TITLE 17. Public Health
Division 1. State Department of Health Services

(Originally Printed 8-15-45)
Chapter 1. Administration
Subchapter 1. State Department of Health Services [Repealed]

(Originally Printed 6-30-73)
Note: Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. New Subchapter 1 (Sections 1 through 4) filed 6-29-73 as an emergency; designated effective 6-30-73 (Register 73, No. 26).
2. Certificate of Compliance filed 10-24-73 (Register 73, No. 43). 
3. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
4. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
5. Repealer of Subchapter 1 (Sections 1-5) filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40). For prior history, see Register 78, No. 44; 78, No. 26; and 74, No. 41.
Subchapter 2. Hospital Districts
Article 1. Liability Loans
§100. Eligibility Requirements.
Note     •     History

(a) Hospital districts may apply for State loans to pay for medical injury tort claims or judgments that are in excess of $300,000. Such hospital districts shall meet all of the following:
(1) Be the Chowchilla Memorial Hospital District, or a hospital district which has entered into a joint powers agreement with the Chowchilla Memorial Hospital District.
(2) Be located in a county that has areas that are designated as rural medically undeserved areas by the Health Manpower Policy Commission, pursuant to Section 1188.4, Chapter 4, Part 4, Health and Safety Code (Rural Health Services, October 1976).
(3) Have a licensed bed capacity of less than 100 beds.
(4) Have submitted to the Department on or before September 8, 1977, a statement which includes the following:
(A) A utilization review plan or its equivalent which has been officially adopted by the governing body of the hospital districts and which:
1. Provides for the participation of the entire medical staff in a review committee.
2. Provides that at least one committee member is a nonphysician health professional.
3. Prohibits the participation on the committee of any person who has a financial interest in the hospital.
4. Prohibits any person from participation in the review of any care in which that person has been professionally involved.
5. Provides for at least monthly meetings of the review committee. 
6. Provides for the retention for at least seven years of records of the review committee's activities, including the number and types of cases received, the findings and recommendations, and the subsequent actions taken.
(B) Proof of either insurance against medical injury liability claims or judgments up to $300,000 or the establishment of a reserve account in that amount, along with a plan for the investment of such reserves.
(C) A written plan for the preliminary investigation of medical injury claims and for procurement of legal counsel when indicated.
(D) A written plan to repay the State loan within forty (40) years detailing the resources available to the hospital district including taxing powers.
NOTE

Authority cited: Sections 32351-32355 and 32358, Health and Safety Code, Division 23. Reference: Sections 32351, 32353, 32355, Health and Safety Code, Division 23.
HISTORY

1. New Subchapter 2 (Sections 100-103) filed 12-6-79; effective thirtieth day thereafter (Register 79, No. 49).
§101. Loan Application.
Note

(a) The hospital district shall make application for a State loan to the Director of Health Services, 714 P Street, Sacramento, CA 95814.
(b) Within ninety (90) days after the receipt of the application the Department of Health Services will notify the applicant of its preliminary finding and recommendation. The notice will contain the information that the Department's final recommendation to the Legislature must be made within the next thirty (30) days and that any information that the applicant has that will affect the preliminary recommendation should be forwarded immediately.
NOTE

Authority cited: Sections 32351-32355 and 32358, Health and Safety Code, Division 23. Reference: Sections 32351, 32353, 32355, Health and Safety Code, Division 23.
§102. Coverage.
Note

(a) The Department shall grant all loans which qualify, to the extent that funds are available, provided that:
(1) Such amount represents an excess of $300,000 in a medical injury tort judgment or settlement, the $300,000 being covered by insurance or reserve account, as specified in Section 100(a)(4)(B).
(2) The total amount of such loans does not exceed $1,000,000 in the aggregate.
(b) Physicians in the local community who are employees of the hospital district shall be covered for medical injury tort liability by the district.
NOTE

Authority cited: Sections 32351-32355, Health and Safety Code, Division 23. Reference: Sections 32351, 32353, 32355, Health and Safety Code, Division 23.
§103. Repayment of Loans.
Note

(a) Repayment of loans shall be on an amortized schedule agreed upon by the Department and the hospital district. The repayment period shall not exceed forty (40) years. The interest rate shall not exceed the five-year average on the return on the investment of State funds pursuant to Chapter 3 (commencing with Section 16430), Part 2, Division 4, Title 2 of the Government Code.
(b) In event of default of repayment of a loan, the Department may attach real property and assets of the hospital district to recover the amount of the loan and appropriate interest as specified in (a) above.
NOTE

Authority cited: Sections 32351-32355, Health and Safety Code, Division 23. Reference: Sections 32351, 32353, 32355 and 32358, Health and Safety Code, Division 23.
Subchapter 3. Hospital Inspection [Repealed]

(Originally Printed 8-15-45)
HISTORY

1. Group 1 (sections 161-198) repealed Register 74, No. 41; Group 2, Subgroups 1-1.5 (sections 229-395.4) repealed Register 75, No. 24; Group 2, Subgroup 2 (sections 400-488) repealed Register 82, No. 4; Group 3 (section 850) repealed Register 75, No. 24; Group 4 (sections 860.0-875.0) repealed Register 75, No. 31; Group 5 (sections 880-881) repealed Register 75, No. 24.
Subchapter 4. Records and Statistics

(Originally Printed 8-15-45)
Article 1. Access to the Records in the Office of the State Registrar and in the Offices of Local Registrars
§901. Access to the Records in the Office of the State Registrar and in the Offices of Local Registrars. [Repealed]
Note     •     History

NOTE

Authority cited: Section 6253, Government Code; and Sections 10001 and 10001.1(b), Health and Safety Code. Reference: Sections 10066 and 10125.5, Health and Safety Code.
HISTORY

1. Amendment filed 1-9-78; effective thirtieth day thereafter (Register 78, No. 2). For prior history, see Register 76, No. 12.
2. Amendment filed 2-8-78 as an emergency; effective upon filing (Register 78, No. 6).
3. Certificate of Compliance filed 5-1-78 (Register 78, No. 18).
4. Amendment filed 2-13-85; effective thirtieth day thereafter (Register 85, No. 7).
5. Change without regulatory effect repealing section filed 11-17-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 46).
§902. Conditions of Examination.
Note     •     History

(a) Authorization to examine the index or records in the Office of the State Registrar and in offices of the local registrars must be obtained from the registrar or deputy in charge.
Written application shall be made by the applicant stating sufficient information to identify the record or records to be examined.
The following information for the type of record specified below should, whenever possible, be provided by the applicant:
(1) Birth
(A) Name of child;
(B) Maiden name of mother;
(C) Date or year of birth.
(2) Death
(A) Name of decedent;
(B) Date or year of death, or date last known alive;
(C) Date or year of birth.
(3) Marriage
(A) Name of Groom or Maiden name of Bride;
(B) Date or year of marriage.
Where the above information is not available, the applicant shall provide whatever information is available, and the State Registrar or local registrar shall make all reasonable effort to locate the requested records.
(b) The State Registrar or local registrar shall supervise the examination of the records.
NOTE

Authority cited: Section 6253, Government Code; and Sections 10001 and 10001.1, Health and Safety Code. Reference: Section 10066, Health and Safety Code.
HISTORY

1. Amendment filed 12-24-75 as an emergency; effective upon filing (Register 75, No. 52). For prior history, see Register 64, No. 4.
2. Amendment filed 2-27-76 as an emergency; effective upon filing (Register 76, No. 9).
3. Certificate of Compliance as to the 12-24-75 and 2-27-76 filings filed 3-18-76 (Register 76, No. 12).
4. Amendment filed 2-13-85; effective thirtieth day thereafter (Register 85, No. 7).
§903. Fee for Examination or Search. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 10001 and 10001.1(b), Health and Safety Code. Reference: Section 10066, Health and Safety Code.
HISTORY

1. Amendment filed 10-22-57; effective thirtieth day thereafter (Register 57, No. 18).
2. Amendment filed 2-11-64; effective thirtieth day thereafter (Register 64, No. 4).
3. Repealer filed 2-13-85; effective thirtieth day thereafter (Register 85, No. 7).
Article 2. Late Registration of Births and Deaths
§908. Late Registration of Births and Deaths.
Note     •     History

The local registrar and the State Registrar of Vital Statistics shall accept for registration only those records of birth and death which are received by the local registrar within one year of the date of occurrence of the event, except as provided under Division 9, Chapters 9 and 10 of the Health and Safety Code.
NOTE

Authority cited: Section 10001, Health and Safety Code. Reference: Section 10577, Health and Safety Code.
HISTORY

1. New section filed 2-4-47 (Register 7).
2. Amendment filed 3-8-55; effective thirtieth day thereafter (Register 55, No. 4).
3. Amendment filed 10-22-57; effective thirtieth day thereafter (Register 57, No. 18).
4. Editorial correction of NOTE filed 3-22-84 (Register 84, No. 12).
Article 3. Birth Certificates of Deceased Persons
§910. Responsibilities of Local Registrar or County Recorder.
Note     •     History

(a) Upon notification by the State Registrar that a person whose birth is registered in the local office is deceased, the local registrar or county recorder of such office shall make at least one of the following:
(1) A notation of the death in the birth index.
(2) A notation of the date of death and the death certificate number upon the record of birth.
(b) The local registrar or county recorder shall notify the State Registrar of any application for a certified copy of a deceased person's birth certificate in which it is indicated that the requested birth record is the applicant's own birth record.
(c) A birth card form shall not be issued where the birth record indicates the registrant is deceased.
NOTE

Authority cited: Sections 10001 and 10575.5, Health and Safety Code. Reference: Sections 10038, and 10575.5, Health and Safety Code.
HISTORY

1. Renumbering of Article 3 to Article 4 and new Article 3 (Sections 910-912) filed 5-1-78; effective thirtieth day thereafter (Register 78, No. 18).
2. Editorial correction of NOTE filed 3-22-84 (Register 84, No. 12).
§911. Identification of Deceased Registrants by Local Registrars and County Recorders.
Note     •     History

Local registrars and county recorders may match deaths occurring in their jurisdictions to births registered in their office and, for any registrants thereby identified as deceased, make any of the notations specified in Section 910(a) (1) and (2).
NOTE

Authority cited: Sections 10001 and 10575.5, Health and Safety Code. Reference: Sections 10038 and 10575.5, Health and Safety Code. 
HISTORY

1. New NOTE filed 3-22-84 (Register 84, No. 12).
§912. Certified Copies of Birth Certificates of Deceased Persons.
Note     •     History

(a) All certified copies of birth records for which the registrant is identified as deceased shall display the legend “DECEASED,” which shall be in boldface style not less than one-half inch in height, near the space reserved for the registrant's name.
(1) Unless produced by a photographic process or through the medium of an overlay employed in the copying process, the legend “DECEASED” shall be printed or stamped in indelible ink.
(2) The local registrar or county recorder shall obtain prior approval by the State Registrar of the method to be employed in producing the legend “DECEASED.”
NOTE

Authority cited: Sections 10001 and 10575.5, Health and Safety Code. Reference: Sections 10038 and 10575.5, Health and Safety Code.
HISTORY

1. New NOTE filed 3-22-84 (Register 84, No. 12).
Article 4. Definitions of Live Birth and Fetal Death
§915. Live Birth.
Note     •     History

“Live birth” means the complete expulsion or extraction from its mother of a product of conception (irrespective of the duration of pregnancy) which, after such separation, breathes or shows any other evidence of life such as beating of the heart, pulsation of the umbilical cord, or definite movement of voluntary muscles, whether or not the umbilical cord has been cut or the placenta is attached.
NOTE

Authority cited: Section 10001, Health and Safety Code. Reference: Sections 10100 and 10102, Health and Safety Code.
HISTORY

1. New Article 3 (§§ 915 and 916) filed 6-14-56; effective thirtieth day thereafter (Register 56, No. 12). For history of former Article 3, see Register 55, No. 4.
2. Renumbering of Article 3 to Article 4 (Sections 915 and 916) filed 5-1-78; effective thirtieth day thereafter (Register 78, No. 18).
3. Editorial correction of NOTE filed 3-22-84 (Register 84, No. 12).
§916. Fetal Death.
Note     •     History

“Fetal death” means a death prior to the complete expulsion or extraction from its mother of a product of conception (irrespective of the duration of pregnancy); the death is indicated by the fact that after such separation, the fetus does not breathe or show any other evidence of life such as beating of the heart, pulsation of the umbilical cord or definite movement of voluntary muscles. Registration of fetal deaths is subject to the provisions of Division 9, Chapter 4 of the Health and Safety Code.
NOTE

Authority cited: Section 10001, Health and Safety Code. Reference: Section 10175, Health and Safety Code.
HISTORY

1. Amendment filed 10-22-57; effective thirtieth day thereafter (Register 57, No. 18).
2. New NOTE filed 3-22-84 (Register 84, No. 12).
Subchapter 5. Home Health Agency Licensing Requirements [Repealed]
NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 1725, 1726, 1727, 1728, 1728.1, 1729, 1731, 1734, 1735, 1736, 1737, 1737.5, 3123 and 3124, Health and Safety Code.
HISTORY

1. New Subchapter 5 (§§ 917 through 947) filed 7-1-66 as an emergency; effective upon filing (Register 66, No. 20).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 10-25-66, as to emergency filing on 7-1-66 (Register 66, No. 37).
3. Amendment filed 10-25-66; effective thirtieth day thereafter (Register 66, No. 37).
4. Amendment filed 12-13-66; effective thirtieth day thereafter (Register 66, No. 44).
5. Repealer of Subchapter 5 (Articles 1-9, Sections 917-948) filed 6-21-79; effective thirtieth day thereafter (Register 79, No. 25). For prior history, see Registers 67, No. 2; 69, No. 13; 72, No. 36; 72, No. 53; 75, No. 24; 76, No. 41; 77, No. 5; 78, No. 45; and 79, No. 18.
Chapter 2. Laboratories

(Originally Printed 8-15-45)
Subchapter 1. Service Laboratories
Group 1. Production and Distribution of Biologics
Article 1. Licenses
§950. General Provisions.
Note     •     History

(a) As used in this chapter “person” includes firm, association and corporation.
(b) As used in this chapter “department” means State Department of Health.
NOTE

Authority cited for Group 1 (§§ 950 to 1021, inclusive): Sections 208, 1600, 1603, 1604, 1605, and 1606, Health and Safety Code. Issuing agency: State Department of Public Health.
HISTORY

1. Amendment of subsection (b) filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10). For prior history, see Register 20, No. 6.
§951. Issuance of License.
History

(a) All persons desiring to produce process or distribute biologics shall make application to the department on a form provided by the department, and shall supply such other information as may be required by the department for the intelligent appraisal of the status of the laboratory, the product to be licensed, and the personnel with respect to the intent and purpose of the law.
(b) Licenses shall not be issued to any person not at the time fully prepared, equipped and actually processing (though not distributing), but the department will provide anyone contemplating the establishment of a processing laboratory with full information concerning the requirements and conditions for the preparation of the products that it is proposed to manufacture or distribute.
(c) A license shall not be issued unless and until the establishment is prepared to operate under the direct supervision of a competent person trained in bacteriological technic and in the preparation of biologics as defined in Section 1601, Health and Safety Code, whose qualifications have been approved by the department.
(d) A license shall not be issued unless the condition of the establishment and methods of preparation are such as to reasonably insure that the biologics produced will not be contaminated, dangerous, or harmful.
(e) A license shall not be issued for the preparation of any biologic as defined in Section 1601, Health and Safety Code, if advertised so as to mislead or deceive the purchaser, or if the package or container in which the same is intended to be sold, bartered, exchanged, or shipped, bears or contains any statement, design, or device which is false or misleading in any particular.
(f) A license shall not be issued for a biologic product that has been specifically forbidden or disapproved by the United States Department of Health, Education and Welfare excepting products that may be specifically approved by the department, for experimental purposes but not for general sale and distribution.
(g) A license shall not be issued for the processing or distributing of any product without satisfactory scientific evidence of therapeutic or prophylactic value.
HISTORY

1. Amendment of subsection (f) filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
§952. Application for Renewal of License.
History

Each licensee applying for renewal of license shall be subject to such review of his activities during the previous licensing period, and to such inspections of his premises, equipment and biologics produced by him as may be determined by the department for consideration in passing upon the application for renewal. Similarly, such licensee shall submit such data, records, and samples of products as may be designated by the department.
HISTORY

1. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
§953. License Fees.
Note     •     History

The fees for license application and for annual license renewal are six hundred dollars ($600).
NOTE

Authority cited: Sections 102, 208, Health and Safety Code. Reference: Sections 1600-1616, Health and Safety Code.
HISTORY

1. New section filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
Article 2. Exemptions
§956. Autogenous Vaccines.

Laboratories whose principal activity is general clinical work and whose only biologic product is autogenous bacterial vaccines do not require a license for the preparation of autogenous vaccines unless the making of autogenous vaccines constitutes 10 percent or more of the activity or source of income of the laboratory.
Article 3. Inspection and Records
§962. Inspection by Department.

(a) Each licensee or applicant shall permit any duly authorized employee of the department to enter his establishment at any reasonable hour, and shall permit said representative of the department to inspect without previous notification the entire premises of such establishment, including all buildings, compartments, and other places, and all equipment, such as chemicals, instruments, apparatus, and the like, as well as the methods used in the manufacture of, and all records maintained relative to biologics as defined in Section 1601, Health and Safety Code.
(b) Each licensee or applicant shall provide to the department such stock cultures or other materials from which biologics are produced and such completed products as may be required by the department for testing of identity, purity, potency or other analysis.
§963. Records.

The licensee shall keep records of the source of the preparation, of tests for purity and potency, and of the methods of preparation of each batch of biologics as defined in Section 1601, Health and Safety Code, and the sale, shipment or other disposition of the same. The licensee shall supply to the department monthly, on forms provided by the department, such information from said records as the department may require, the licensee retaining a full and complete copy thereof in his files.
Article 4. Storage
§967. Storage.

Each licensee shall maintain a refrigerator of sufficient capacity to store all of those products in his possession which require refrigeration and the entire stock of such products shall be kept within the refrigerator at all times. The temperature of the refrigerator shall not be permitted to rise above 10 degrees C. or fall below 1 degree C., as indicated by a required standard mercury thermometer, except that storage below 1 degree C. is allowed if not specifically damaging to the product. Licensee shall not sell or distribute for resale or redistribution biologics which require refrigeration unless the purchaser or distributor for resale or redistribution is equipped to store said biologics in the manner above provided.
Article 5. Containers and Labeling
§972. Containers and Labeling.
History

(a) No biological product either for human or animal use shall be distributed except in the original final container bearing the original label of the manufacturer; provided, however, that a licensed laboratory may purchase products from other producers likewise licensed by the State, and repack and relabel such products in smaller containers; provided, there are no changes, substitutions or additions in the product or the label, and further provided, that all such repacked biological products shall bear on the label the name of the manufacturer as well as the name of the distributor together with a statement that the product has been repacked. All such repacked products are subject to the requirements of Sections 1600 to 1621, inclusive, Health and Safety Code, and are not exempted from inspection and license by the department.
(b) The labels of all biologic products on the containers for general distribution shall show the name of the product, the lot number that will identify the lot or batch in the record of the manufacturer, the expiration date, and the name of the manufacturer. The expiration date shall be based on a period of duration approved by the department.
(c) The labels on all bottles and individual packages of bacterial vaccines (bacterins) shall give the correct name of the organism concerned and mixed bacterins shall give the names of each organism according to the classification of Bergey in the mixture and the proportion that each organism represents in the mixture. The concentration may be expressed in number per mil or in terms of a turbidity standard acceptable to the department.
(d) The labels on products requiring refrigeration or maintenance of uniform temperatures to avoid deterioration, shall specify the temperature range within which the product shall be maintained.
(e) To prevent accidental use, all stocks of labels and advertising not accepted by the department shall be destroyed.
HISTORY

1. Repealer of subsection (e) and relettering of subsection (f) to (e) filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
Article 6. Advertising
§977. Advertising.
History

(a) No statements regarding preventive or therapeutic value shall be made either on labels or circulars or in any form of advertising that are not in accord with the opinion held by the recognized authorities of the medical profession and no descriptive matter or discussion of mode of action of the product or theory of its applicability may be used that is not acceptable to the same authorities.
(b) No mention of the department shall be made in advertising either directly or indirectly.
(c) All advertising matter, statements, and representations pertaining to biologics licensed under Sections 1600 to 1620, Health and Safety Code, shall be submitted to the department at least 30 days prior to their use by the licensee.
HISTORY

1. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
Article 7. Samples
§982. Potency.
History

Licensees producing, processing or distributing biologics for which a potency test is recognized or prescribed by the United States Department of Health, Education, and Welfare, shall upon the request of the department, provide a representative sample of each lot of such product for purposes of checking. The particular lot so sampled shall not be distributed until approval is given by the department.
HISTORY

1. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
Article 8. Vaccine Culture
§987. Vaccine Culture.
History

No culture shall be used in the preparation of live culture vaccine unless it is nonvirulent or has sufficiently low virulence as not to be reasonably likely to produce the disease in the inoculated person, or be dangerous from the standpoint of contagion. Such cultures must be tested and approved by the department before use.
HISTORY

1. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
Article 9. Preparation and Distribution of Whole Blood (Human)
The following conditions must be met and observed in the procurement, processing, storage, and distribution of whole blood (human) or blood derivatives for transfusion purposes:
§997. Definitions.
Note     •     History

As used in this article:
(a) Blood Bank is a medical facility designed, equipped, and staffed to procure, to process, to store, or to distribute human whole blood or blood derivatives for transfusion purposes.
(b) For implementation of these regulations, a blood bank depository also is designated as a transfusion service.
A transfusion service shall be a component of a clinical laboratory holding a license in accordance with the provisions of Chapter 3 (commencing with Section 1200) Division 2 of the Business and Professions Code, or such other place where services essentially equivalent are maintained as determined by the department.
A transfusion service shall be responsible for all functions related to storage and preparation of blood for transfusion, except those activities requiring a biologics license, in accordance with the Health and Safety Code, Division 2, Chapter 4 (commencing with Section 1600).
Institutions which fulfill criteria for both a clinical laboratory license and a biologics license may maintain the combined services of a blood bank and a transfusion service.
(c) Blood collection center is a stationary auxiliary to a blood bank which is designed, equipped and staffed to procure human whole blood and to transport this blood to the blood bank for processing, storing and distribution.
(d) Mobile unit is a transportable auxiliary to a blood bank designed, equipped, and staffed to procure human whole blood and to transport this blood to the blood bank for processing, storing and distribution.
(e) Whole blood is the fluid component of the human cardiovascular system composed of liquid and cellular elements.
(f) Plasma is the extracellular portion of anticoagulated whole blood.
(g) Blood derivatives or fractionation products are the individual elements of whole blood which have been processed or manufactured into their individual component parts, in accordance with procedures contained in Articles 10 and 11.
(h) Donor means the individual from whom blood is procured.
(i) All references to temperature are expressed in degrees centigrade.
NOTE

Authority cited: Sections 1602.5, 1603, 100110 and 100275, Health and Safety Code. Reference: Sections 1600-1620, Health and Safety Code. 
HISTORY

1. Repealer and new Article 10 (Sections 997 through 1003) filed 10-25-66; effective thirtieth day thereafter (Register 66, No. 37). For history of former Article 10, see Registers 56, No. 2, 59, No. 17, 60, No. 19 and 63, No. 17.
2. Amendment of subsection (b) filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
3. Renumbering of Article 10 to Article 9 and amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10). For history of former Article 9 (Section 992) see Register 71, No. 34.
4. Change without regulatory effect repealing subsections (i)-(k), relettering subsections, and amending Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§998. Personnel of Blood Banks and Their Auxiliaries.
Note     •     History

(a) Physicians and surgeons, clinical laboratory bioanalysts, clinical laboratory technologists, clinical laboratory technologist trainees and nurses who comprise the staff of the blood bank shall be duly licensed by or registered in the State of California. The staff may include such other persons, when approved by the director, as may be necessary for the proper operation of the blood bank, including volunteer workers.
(b) Director of Blood Bank. The blood bank and its auxiliaries shall be under the direction of a physician and surgeon duly licensed by the State of California, and who shall have a minimum of six months experience in blood bank methods, transfusion principles, and transfusion practices, satisfactory to the department. Attending Physician refers to the duly licensed physician and surgeon supervising blood collection activities.
(c) Laboratory Personnel. The laboratory personnel shall be licensed pursuant to the Clinical Laboratory Laws (California Business and Professions Code, Division 2, Chapter 3), except that unlicensed persons may be used to assist licensed personnel under their supervision, so long as such unlicensed persons do not perform laboratory tests or render judgment on such tests.
NOTE

Authority cited: Sections 208 and 1603, Health and Safety Code. Reference: Section 1603(c), Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 7-31-68; effective thirtieth day thereafter (Register 68, No. 29).
2. New NOTE filed 3-20-84 (Register 84, No. 12).
§999. Blood Bank Equipment, Facilities and Manual. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1602.5 and 100275, Health and Safety Code. Reference: Section 1602.5, Health and Safety Code. 
HISTORY

1. Change without regulatory effect repealing section and adopting new Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1000. Blood Bank Records; Identification of Human Blood with Its Donor.
Note     •     History

(a) A system which carries through from donor to recipient must be used to identify the blood. This shall be accomplished by having blood container and pilot tube labels identified with the donor before venesection. The labels and personal history shall carry the same identification number. These labels shall accompany the donor to the collection room and shall be applied to the blood container and pilot tubes while it is still possible to check accurately the identity of the blood with the donor and his history. Other documents related to the blood such as invoices, if used, shall also contain the same identification number.
(b) Every California licensed blood bank shall obtain reports of reactions in individuals receiving its blood, or blood derivatives, where it appears that these materials from the blood bank may be implicated in such reactions. Reporting shall include also any illness whose cause may be related to transfusion of blood or blood derivatives provided by the blood bank. Forms for these purposes may be devised by the blood bank as a reminder to the transfusion services and as encouragement to them to comply with this requirement.
(c) In addition to the applicable portions of the regulations set forth in Section 963 and the first two paragraphs of this section, the blood bank shall keep complete records of each donor, which shall include all information specified in Section 1002. Records are required also which contain information related to the disposition of all blood collected or distributed.
(d) These records shall be kept for an interval of not less than five years after the expiration date of the blood unit involved. All such records shall be correlated in such a way that checking the complete history of each blood unit may be quickly and conveniently performed.
(e) Records of refrigerator temperatures shall fulfill the requirements contained in Section 1002(g)(2) of these regulations.
(f) All blood bank records shall be dated.
NOTE

Authority cited: Sections 208 and 1603, Health and Safety Code. Reference: Section 1603, Health and Safety Code.
HISTORY

1. New NOTE filed 3-20-84 (Register 84, No. 12).
§1001. Labels. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1602.5 and 100275, Health and Safety Code. Reference: Section 1602.5, Health and Safety Code. 
HISTORY

1. Repealer of subsection (k) filed 4-20-77; effective thirtieth day thereafter (Register 77, No. 17). For prior history, see Register 76, No. 10.
2. Change without regulatory effect repealing section and adopting new Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1002. Requirements--Donors, Medical History, Blood Collection, Storage and Testing.
Note     •     History

(a) Responsibilities. Final responsibility for the acceptance of donors rests with the attending physician.
Any time blood is collected under license, adequate medical care for the donor shall be provided. Blood shall be drawn from the donor under the supervision of a physician or registered nurse trained in the procedure. Blood may be collected when a physician is not present on the premises under the following conditions:
(1) The medical director and his medical advisory committee, if he has one, must approve.
(2) The employee placed in charge, in the absence of a qualified physician must be a registered nurse.
(3) The nursing staff and medical director must have a mutually clear understanding of the criteria for donor selection. Consultation with the medical director by telephone from mobile unit operations about certain donors may be necessary.
(4) A qualified physician or emergency medical facility shall be available nearby. Having a physician or emergency medical facility available is for the purpose of attending to donors who have a severe reaction or accident related to the blood donation. “Available” means no longer than 15 minutes away.
(5) Written emergency standing orders for donor care must be prepared by the medical director and be made available to the nursing staff. Appropriate training and refresher courses in emergency resuscitative methods must be planned. The nursing staff must be given special training on the symptomatology and emergency treatment of such conditions as cardiac and vascular disease, syncope, fractures, etc.
The attending physician shall sign all donor records, except that he may delegate the responsibility for signature to an employee of the blood bank whose license permits him to perform functions related to medical practice when under medical supervision.
Irrespective of location, the blood bank under whose license the blood is to be processed shall be responsible for all personnel engaged in examining donors and collecting blood, as well as the space and equipment used.
(b) Collection of Blood. (Refer to Section 1000(a) for requirements relative to donor identification.)
(1) Protection of the Donor Against Infection and Injury.
The preparation of the skin at the sites of venipuncture and of injections incidental to venipuncture shall be adequate to protect the donor against infection.
Apparatus or instruments such as syringes, needles, and lancets or other blood-letting devices capable of transmitting infection from one donor to another shall be sterile single-use instruments insofar as possible.
All such instruments intended for reuse shall be heat sterilized prior to each use and protected against contamination. Heat sterilization shall be by autoclaving for 30 minutes at 121.5 C (15 lb. p.s.i. pressure), by dry heat for two hours at 170 C, or by boiling in water for 30 minutes. Times, temperatures and pressures in excess of those stated are permissible.
Such heat sterilization shall include the use of a heat indicator satisfactory to the department, which will serve as evidence of proper sterilization. The heat indicator used shall be retained for one year as a record relating to the sterilization in which it was used. The record of temperature attained shall be kept on file in the blood bank for five years. This record may be kept either as hand-written chart showing temperatures at different times, or as information from an automatic recorder.
Instruments used in puncturing the skin, if not prepared for reuse, shall be disposed of in such a way that they cannot be reused.
Thermometers shall be sufficiently cleansed before use to minimize the transmission of disease.
The staff concerned with blood collection shall be instructed in the first aid procedures to be used in the event of a reaction, and suitable drugs and supplies shall be immediately available for use. Donors shall be kept under continuous observation throughout the entire procedure of blood collection and for at least 15 minutes thereafter.
(c) Laboratory Tests.
(1) Serologic Tests for Syphilis. A serologic test for syphilis approved by the department shall be made on a sample of blood taken from the donor at the time of blood collection. Blood shall not be used for transfusion unless the result of this test is nonreactive (negative), except in emergency situation with the consent of the blood bank director and the patient's attending physician.
All California licensed blood banks must accept and test evaluation sera provided by the department or a proficiency testing service approved by the department, and report test results to the department. Any blood bank laboratory showing unsatisfactory performance shall make changes as recommended by the department. 
(d) Issue of Blood. Issuance of blood shall be in compliance with the provisions of the Health and Safety Code, Division 2, Chapter 4, Sections 1600.3 and 1604.
The laboratory tests and other procedures with respect to the preparation of blood for transfusion after it has been delivered to a transfusion service by the blood bank shall be the sole responsibility of the transfusion service. (See Section 1605 of the Health and Safety Code.)
As a condition to supplying blood, the blood bank director may inquire into the pretransfusion procedures used by the transfusion service and he may suggest as a minimum those described in the latest edition of “Standards for Blood Banks and Transfusion Services,” published by the American Association of Blood Banks. Blood banks shall not supply blood to transfusion services in which the department finds pretransfusion procedures which differ from these standards, or from such other standards which are essentially equivalent to these, as determined by the department.
NOTE

Authority cited: Sections 1602.5 and 1603, Health and Safety Code. Reference: Sections 1602.5 and 1603, Health and Safety Code.
HISTORY

1. Amendment of subsections (b) and (c) filed 5-25-77; effective thirtieth day thereafter (Register 77, No. 22). For prior history, see Register 76, No. 10.
2. Amendment of subsections (a)(3), (c)(6), (g)(1) and (i) filed 1-18-78; effective thirtieth day thereafter (Register 78, No. 3).
3. Amendment of subsection (b)(6) filed 2-6-79 as an emergency; effective upon filing (Register 79, No. 6).
4. Certificate of Compliance filed 5-18-79 (Register 79, No. 20).
5. Amendment of subsection (a)(3) filed 4-10-86; effective thirtieth day thereafter (Register 86, No. 15). 
6. Amendment of subsection (a)(4) filed 10-2-87: operative 10-2-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 41).
7. Editorial correction of subsection (a)(2) (Register 87, No. 41).
8. Change without regulatory effect repealing subsections (a)-(c)(6), (e)(2)-(g)(5), (h)(2)-(i) and (k)-(l)(4), relettering subsections, amending newly designated subsection (b) and amending Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1002.1. Use of AIDS Antibody (HTLV-III) Test by Blood Banks. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 1603, Health and Safety Code. Reference: Section 1603, Health and Safety Code.
HISTORY

1. New section filed 3-8-85 as an emergency; effective upon filing (Register 85, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-8-85.
2. Repealer filed 5-22-85 as an emergency; effective upon filing (Register 85, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-19-85.
3. Emergency language filed 3-8-85 and 5-22-85 expired by operation of Government Code Section 11346.1 (Register 87, No, 2).
§1003. Exceptions for Emergency Purposes.
History

In the event that an emergency occurs as defined in Chapter 7 (California Emergency Services Act), Division 1, Title 2 of the Government Code deviation from the provisions of Section 1001 and subsections (a) through (h) of Section 1002 of this Article will be permissible. The extent of deviation shall be determined by the blood bank director with concurrence by the department and shall be commensurate with the degree of emergency.
HISTORY

1. Amendment filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
§1004. Reporting Requirements.
Note     •     History

(a) Notification of Positive Laboratory Finding for Syphilis. To assist the local health officer in the discharge of his duties under Section 3110 and 3194 of the Health and Safety Code, any person who is in charge of a blood bank in which a laboratory examination of any specimen derived from a donor yields serological or other evidence of syphilis shall promptly notify the health officer of the local health jurisdiction of the address of the donor. This notification shall contain the type of specimen, the date it was obtained, the nature and result of the test performed, and the name, address, and the date of birth of the donor who provided the specimen.
The notification may be made by mailing or otherwise delivering a legible copy of the laboratory report containing all of the required information or by a telephone communication which is documented in the blood bank's records.
(b) The notifications required in this section are confidential and not open for public inspection.
NOTE

Authority cited: Sections 1603, 1603.1(g), 100110 and 100275, Health and Safety Code. Reference: Sections 1600-1616, Health and Safety Code.
HISTORY

1. New section filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10.)
2. Amendment of subsection (a) filed 3-8-85 as an emergency; effective upon filing (Register 85, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-8-85.
3. Repealer and new subsection (a) filed 4-2-85 as an emergency; effective upon filing (Register 85, No. 15). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-31-85.
4. Subsection (a) repealed by operation of Government Code Section 11346.1(g) (Register 85, No. 37).
5. Repealer and new subsection (a) filed 9-11-85 as an emergency; effective upon filing. Certificate of Compliance included (Register 85, No. 37).
6. Change without regulatory effect repealing subsections (a)-(c), relettering subsections, and amending Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
Article 10. Preparation and Distribution of Normal Human Plasma
The following must be met and observed for the procurement, processing, storage and transportation of human blood for plasma:
§1010. Procurement of Blood for Plasma Processing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1603, 100110 and 100275, Health and Safety Code. Reference: Sections 1600-1620, Health and Safety Code.
HISTORY

1. Repealer and new Article 11 (Sections 1010 through 1022) filed 10-25-66; effective thirtieth day thereafter (Register 66, No. 37). For history of previous Article 11, see Registers 56, No. 2 and 59, No. 17.
2. Amendment of subsection (b) filed 11-24-69; effective thirtieth day thereafter (Register 69, No. 48).
3. Renumbering of Article 11 to Article 10 and amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
4. Change without regulatory effect repealing section and amending Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1011. Personnel and Equipment.

Blood shall be processed into plasma only in blood banks adequately staffed and equipped for that purpose. The individual directly in charge of plasma processing shall be a physician and surgeon duly licensed by the State of California or an individual sufficiently trained in laboratory procedures relating to blood banking and plasma processing and whose qualifications have been approved by the department. The staff may include other trained persons necessary for the proper operation of plasma processing.
§1012. Single Donor Plasma and Single Donor Fresh Frozen Plasma (Antihemophilic). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1602.5 and 100275, Health and Safety Code. Reference: Section 1602.5, Health and Safety Code.
HISTORY

1. Amendment filed 4-1-71; effective thirtieth day thereafter (Register 71, No. 14).
2. Renumbering from Section 1022 and amendment filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44). For history of former Section 1012, see Register 71, No. 14.
3. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10.
4. Change without regulatory effect repealing section and adopting new Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1013. Storage. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1602.5 and 100275, Health and Safety Code. Reference: Section 1602.5, Health and Safety Code.
HISTORY

1. Renumbering from Section 1019 and amendment filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44). For history of former Section 1013, see Register 71, No. 14.
2. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10.)
3. Change without regulatory effect repealing section and adopting new Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1014. Expiration Date. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1602.5 and 100275, Health and Safety Code. Reference: Section 1602.5, Health and Safety Code.
HISTORY

1. Renumbering from Section 1020 and amendment filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44). For history of former Section 1020, see Register 71, No. 14.
2. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10.)
3. Change without regulatory effect repealing section and adopting new Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1015. Other Tests. [Repealed]
History

HISTORY

1. Repealer filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
§1016. Filling the Final Container. [Repealed]
History

HISTORY

1. Repealer filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
§1017. Labeling. [Repealed]
History

HISTORY

1. Repealer filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
§1018. Diluent for Dried Plasma. [Repealed]
History

HISTORY

1. Repealer filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
§1021. Requirements for Release. [Repealed]
History

HISTORY

1. Repealer filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
Article 11. Preparation of Other Blood Derivatives
§1024. Red Blood Cells (Human). [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1603, 100110 and 100275, Health and Safety Code. Reference: Sections 1600-1620, Health and Safety Code.
HISTORY

1. Repealer of Article 12 (§§ 1025-1026) filed 10-25-66; effective thirtieth day thereafter (Register 66, No. 37). for former history of Article see Registers 56, No. 2 and 61, No. 3.
2. Amendment filed 4-1-71; effective thirtieth day thereafter (Register 71, No. 14).
3. Renumbering of Article 12 to Article 11 and amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
4. Change without regulatory effect repealing section and amending Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1024.1. Frozen Red Blood Cells. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1602.5, 100110 and 100275, Health and Safety Code. Reference: Sections 1600-1616, Health and Safety Code.
HISTORY

1. New section filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
2. Change without regulatory effect repealing section and amending Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1025. Plasmapheresis.
Note     •     History

(a) Requirements:
(1) No more than 500 milliliters of whole blood shall be removed from a donor at one time, unless the donor's weight is 175 pounds or greater in which case no more than 600 milliliters of whole blood shall be removed from the donor at one time.
(2) A duly licensed physician and surgeon shall be available as described in Section 1002(a) when plasmapheresis is performed.
(3) A system shall be employed which gives maximum assurance against any possibility of return of the separated red cells to an individual other than their donor.
(b) Examination and Laboratory Tests. Examinations and laboratory tests to assist in determining the donor's health shall include the following:
(1) Within no more than one week prior to the initial plasmapheresis, the donor shall be examined and certified to be in good health by a duly licensed physician and surgeon, as indicated in the applicable sections of the regulations. All donors shall have a physical examination by a duly licensed physician and surgeon at least once a year.
(2) A whole blood hemoglobin or hemoglobin or hematocrit concentration shall be performed prior to each plasmapheresis procedure.
(3) Determination of total protein shall be done at the time of each plasmapheresis procedure. the total protein shall not be less than 6.0 grams per 100 ml of plasma.
(4) The ratios of the various protein components of the donor's serum shall be determined from a sample taken at the time of his initial plasmapheresis and at intervals of not more than four months thereafter so long as he remains on a plasmapheresis program.
(5) To qualify for further plasmapheresis, all of the values determined under this section must be within the acceptable normal range.
(c) Samples for Laboratory Tests. Samples for laboratory tests shall not exceed 30 ml of whole blood in a seven-day period.
NOTE

Authority cited: Sections 1602.5 and 100275, Health and Safety Code. Reference: Section 1602.5, Health and Safety Code.
HISTORY

1. Amendment filed 11-24-69; effective thirtieth day thereafter (Register 69, No. 48).
2. Amendment filed 3-5-76; effective thirtieth day thereafter (register 76, No. 10).
3. Change without regulatory effect repealing subsections (a)-(b)(2)(B), (c)(1)-(c)(3) and (e)-(e)(1), relettering subsections, amending newly designated subsections (a)(2) and (b)(2) and adopting new Note filed 7-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 29).
§1026. Other Blood Fractions; Procedures; Standards; Consultative Service.
History

Since procedures and standards for the preparation of other blood fractions, such as immune serum globulin, albumin, etc., for transfusion purposes are not as yet well suited for blood bank production, any biologies producer operating under the license of the department shall submit a complete protocol of procedures to be followed and shall be subject to the current specifications of the department regarding such products. This shall include specific licensure for the production of such materials, inspection, and the maintenance of appropriate standards. Such standards as are necessary will, in general, follow the usual blood banking procures with deviations general, follow the usual blood banking procedures with deviations only for specific reason. Such deviations and specific procedures shall be outlined in writing to the department by the biologics producer. Potential producers of such biologics should avail themselves of the consultative services of this department in order to provide for a proper production procedure consistent with regulations of the department, thus avoiding the installation of methods which must later be amended or changed.
HISTORY

1. Amendment filed 3-5-76; effective thirtieth day thereafter (register 76, No. 10).
Article 12. Transportation of Etiologic Agents
§1027. Definitions and Procedures to Be Followed.
Note     •     History

(a) For the purpose of this article “person” includes laboratory, firm, association, corporation, co-partnership, and educational institutions, and “department” means State Department of Health.
(b) Etiologic Agents.
(1) For the purpose of this article microorganisms which may produce disease in man shall be referred to as etiologic agents.
(2) The provisions of this article do not apply to specimens transmitted to a laboratory operated by the State Department of Health or equivalent containers are used, or those of other public health department laboratories operating under certificates issued by the department.
(3) The provisions of this article do not apply to biological products licensed by the department or by the United States Department of Health, Education and Welfare.
(c) The following safety measures shall be used by persons initiating the transportation of etiologic agents.
(1) Containers shall be used which are constructed in a manner equivalent to those referred to in (b)(2) of this section.
(2) In the case of frozen materials the etiologic agent shall be packed in sufficient dry ice and insulation material to insure that the material will remain frozen for at least 24 hours longer than the expected time in transportation.
(3) The proposed recipient shall be notified when transportation of the etiologic agent begins. This shall include type of transportation and probable time of arrival at a designated place.
(4) The approved type of container, referred to in (b)(2) above, shall be labeled in such a way that the etiologic agent which it contains is clearly indicated in bold type. The label shall state clearly that material of an infectious nature is present within the container.
(5) The label shall state that if breakage or leakage occurs whoever first has knowledge of the accident will immediately notify the department and the local health officer having jurisdiction at the site of the accident. This report should also contain the names and addresses of those who may have been exposed to the etiologic agent as a result of the accident. If loss occurs the person first aware of this occurrence shall notify the department promptly and shall supply such additional details as may be available.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 1603.5, Health and Safety Code.
HISTORY

1. New section filed 2-1-61; effective thirtieth day thereafter (Register 61, No. 3).
2. Amendment filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
Article 13. Research Projects
§1028. Waiver of Regulations.
Note     •     History

Notwithstanding the other provisions of Group 1, Subchapter 1, Chapter 2 of Part I (commencing with Section 950) of Title 17 relating to the production and distribution of biologics, the Director may at his discretion waive such regulations for research projects approved by the Director. The waiver shall be for a specific period of time and subject to all conditions which the Director finds necessary to protect the public health.
NOTE

Authority cited: Section 102 and 208, Health and Safety Code. Reference: Sections 1600-1616, Health and Safety code.
HISTORY

1. New Article 13 (Section 1028) filed 3-5-76; effective thirtieth day thereafter (Register 76, No. 10).
Group 2. Clinical Laboratory Regulations
Article 1. Definitions
§1029. General Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1220, 1241, 1244, 1265, 1281, 1282, 1285, 1288.5 and 1300, Business and Professions Code.
HISTORY

1. Amendment of group, article and section headings, and renumbering and amendment of former section 1053 to section 1029 filed 1-22-96 as an emergency; operative 1-22-96 (Register 96, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-21-96 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note filed 5-28-96 as an emergency; operative 5-28-96 (Register 96, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-25-96 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (gg) (Register 96, No. 25).
4. Certificate of Compliance as to 1-22-96 order including amendment of Note transmitted to OAL 5-21-96 and filed 6-18-96 (Register 96, No. 25).
5. Editorial correction of subsection (k)(1) (Register 96, No. 41).
6. Amendment of section and Note refiled 10-7-96 as an emergency; operative 10-7-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-97 or emergency language will be repealed by operation of law on the following day.
7. Amendment of article heading filed 11-6-96 as an emergency; operative 11-6-96 (Register 96, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-7-96 order, including repealer of section, transmitted to OAL 2-3-97 and filed 3-19-97 (Register 97, No. 12).
9. Certificate of Compliance as to 11-6-96 order transmitted to OAL 3-4-97 and filed 4-15-97 (Register 97, No. 16).
§1029.5. Accreditation Body.
Note     •     History

“Accreditation body” means an approved accreditation organization for laboratories, as defined in 42 Code of Federal Regulations, Section 493.2.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1223, 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
§1029.6. Accredited Institution. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1223, 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Change without regulatory effect renumbering former section 1029.6 to section 1029.9 filed 5-14-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 20).
§1029.7. Accredited College or University.
Note     •     History

“Accredited college or university” means an educational facility which has met the standards of the United States of America Accrediting Commission for Senior Colleges and Universities or the Accrediting Commission for Community and Junior Colleges; or, if a non-United States college or university, one that is evaluated and found equivalent by the American Association of Collegiate Registrars and Admissions Officers. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1260, 1261, 1261.5, 1263 and 1264, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.9. Accredited Institution.
Note     •     History

“Accredited institution” has the same meaning as given in Title 42 of the Code of Federal Regulations, Section 493.2.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 120775, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 1029.6 to section 1029.9 filed 5-14-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 20). For prior history, see Register 98, No. 7.
§1029.10. Accusation.
Note     •     History

“Accusation” means a written statement filed in order to initiate a hearing to determine whether a right, authority, license, or privilege should be revoked, suspended, limited or conditioned, and which:
(a) Sets forth in ordinary and concise language the acts or omissions with which a person, entity, or laboratory and its owners or directors are charged with committing to the end that the person, entity or laboratory and its owners or directors will be able to prepare a defense; and
(b) Specifies the statutes and regulations alleged to have been violated.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1265, 1267, 1320, 1322 and 1326, Business and Professions Code; Section 11503, Government Code; and Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.11. Antigen. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 120775, Health and Safety Code.
HISTORY

1. New section filed 11-6-96 as an emergency; operative 11-6-96 (Register 96, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-6-96 order transmitted to OAL 3-4-97 and filed 4-15-97 (Register 97, No. 16).
3. Renumbering of former section 1029.11 to new section 1029.25 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.13. Approved Public Health Laboratory. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1241 and 1288.5, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.13 to new section 1029.30 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.15. Alternative Sanction.
Note     •     History

“Alternative sanction” means one or more of the following sanctions:
(a) Directed plan of correction;
(b) Civil money penalty; or
(c) Onsite monitoring.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Stats. 1995, c.510, Section 1; and Section 1310, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.15 to new section 1029.35 and new section 1029.15 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.17. CLIA Certificate. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1224, 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.17 to new section 1029.45 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.19. CLIA Exempt Status. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Stats. 1995, c. 510 (SB 113) Section 1(a)(6).
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.19 to new section 1029.50 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.20. Antibody.
Note     •     History

“Antibody” means an immunoglobulin molecule that, due to its specific amino acid sequence, reacts to the antigen that induced its synthesis in the cells of the lymphoid series.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 120775, Health and Safety Code.
HISTORY

1. Renumbering of former section 1029.9 to new section 1029.20 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.23. Direct Patient Care. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1206.5, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.23 to new section 1029.70 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.25. Antigen.
Note     •     History

“Antigen” means any viral component including, but not limited to, proteins and nucleic acids.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 120775, Health and Safety Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.25 to new section 1029.80 and renumbering of former section 1029.11 to new section 1029.25 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.27. HHS. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1202.5 and 1224, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.27 to new section 1029.85 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.30. Approved Public Health Laboratory.
Note     •     History

“Approved public health laboratory” means a laboratory that has been issued a certificate of approval by the department after its determination that the public health laboratory, as defined in Business and Professions Code section 1206(a)(11), is in conformity with chapter 7 (commencing with section 1000) of part 2 of division 1 of the Health and Safety Code and the regulations adopted thereunder.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1241 and 1288.5, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.13 to new section 1029.30 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.31. Arterial Puncture.
Note     •     History

“Arterial puncture” means the penetration of an artery with a needle to withdraw blood for clinical laboratory test or examination purposes. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1242, 1242.5, 1242.6, 1243, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2). For prior history, see Register 2001, No. 14.
§1029.32. Certified Phlebotomy Technician I.
Note     •     History

“Certified phlebotomy technician I” means a person who has completed the education, training, experience and examination requirements pursuant to Section 1034 and is certified by the department to perform skin punctures and venipunctures.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1208, 1212, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2). For prior history, see Register 2001, No. 14.
§1029.33. Certified Phlebotomy Technician II.
Note     •     History

“Certified phlebotomy technician II” means a person who has completed education, training, experience and examination requirements pursuant to Section 1034 and is certified by the department to perform skin punctures, venipunctures and arterial punctures.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1208, 1212, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2). For prior history, see Register 2001, No. 14.
§1029.34. Certifying Organization.
Note     •     History

“Certifying organization”, also called a national accreditation or accrediting board or agency, means an organization, agency or body that creates competency examinations that measure the skill, knowledge and aptitude required of an individual in a profession, occupation or discipline.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1246, 1262, 1264 and 1270, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.35. Chapter 3.
Note     •     History

“Chapter 3” means chapter 3 (commencing with section 1200) of division 2 of the Business and Professions Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1224, Business and Professions Code.
HISTORY

1. New section filed 11-6-96 as an emergency; operative 11-6-96 (Register 96, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-6-96 order transmitted to OAL 3-4-97 and filed 4-15-97 (Register 97, No. 16).
3. Renumbering of former section 1029.35 to new section 1029.90 and renumbering and amendment of former section 1029.15 to new section 1029.35 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.37. Instrument. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209 and 1269, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.37 to new section 1029.100 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.39. Licensed General Acute Care Hospital. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1224 and 1265, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.39 to new section 1029.110 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.40. Civil Money Penalties.
Note     •     History

“Civil money penalties” means the civil money penalties imposed by the department under the procedures identified in section 1067.5.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c.510, Section 1. Reference: Section 1310, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.40 to new section 1029.115 and new section 1029.40 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.43. Patient. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1220, 1241 and 1269, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.43 to new section 1029.130 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.44. Preceptor. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1220 and 1265, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.44 to new section 1029.135 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.45. CLIA Certificate.
Note     •     History

“CLIA certificate” means an unsuspended and unrevoked certificate of compliance, certificate for provider-performed microscopy procedures, certificate of accreditation, certificate of registration or a certificate of waiver, as defined in 42 Code of Federal Regulations section 493.2.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1224, 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.17 to new section 1029.45 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.47. Respiratory Care Practitioner. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206.5 and 1265, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.47 to new section 1029.150 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.49. Specimen. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1209, 1225, 1241, 1244, 1269, 1288, 1288.5 and 1320, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.49 to new section 1029.155 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.50. CLIA Exempt Status.
Note     •     History

“CLIA exempt status” means that the United States Department of Health and Human Services (HHS) has exempted clinical laboratories licensed, registered or otherwise approved by the department from the requirements of CLIA pursuant to subsection (p) of section 263a of title 42 of the United States Code and section 493.513 of title 42 of the Code of Federal Regulations.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Stats. 1995, c. 510 (SB 113) Section 1(a)(6).
HISTORY

1. Renumbering and amendment of former section 1029.19 to new section 1029.50 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.51. Clinical Consultant.
Note     •     History

“Clinical consultant” means a person who meets the requirements of Section 493.1455 of Title 42, Code of Federal Regulations, as published October 1, 1994, and who provides clinical consultation of a laboratory in accordance with Section 1036 of this title and Section 493.1457 of Title 42, Code of Federal Regulations, as published October 1, 1994. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1203, 1204, 1207, 1209, 1209.1 and 1210, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.31 to section 1029.51 filed 4-3-2001; operative 4-3-2001 (Register 2001, No. 14). For prior history, see Register 98, No. 7.
§1029.52. Clinical Cytogenetics.
Note     •     History

“Clinical cytogenetics” means the techniques used to isolate, replicate and identify whole or parts of human chromosomes including culturing, manipulation, banding, staining and hybridizing, and analysis with respect to genotype and phenotype.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1210, 1261.5 and 1264, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.32 to section 1029.52 filed 4-3-2001; operative 4-3-2001 (Register 2001, No. 14). For prior history, see Register 98, No. 7.
§1029.53. Clinical Genetic Molecular Biology.
Note     •     History

“Clinical genetic molecular biology” means the determination of all the aspects of molecular organizations of the nucleic acids of the human genome with respect to genotype and phenotype. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1210, 1261.5 and 1264, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.33 to section 1029.53 filed 4-3-2001; operative 4-3-2001 (Register 2001, No. 14).
§1029.55. Condition Level Deficiency.
Note     •     History

“Condition level deficiency” means noncompliance with one or more condition level requirements.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c. 510, Section 1. Reference: Stats. 1995, c. 510, Section 1; and Section 1310, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.55 to new section 1029.185 and new section 1029.55 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.57. Test Purposes. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1242, 1242.5, 1242.6 and 1246, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.57 to new section 1029.180 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.59. Unprofessional Conduct. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1320, Business and Professions Code.
HISTORY

1. New section filed 3-19-97; operative 4-18-97 (Register 97, No. 12).
2. Renumbering of former section 1029.59 to new section 1029.190 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.60. Condition Level Requirement.
Note     •     History

“Condition level requirement” means any of the requirements specified in section 1066.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c. 510, Section 1. Reference: Stats. 1995, c. 510, Section 1; and Section 1310, Business and Professions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.65. Deficiency.
Note     •     History

“Deficiency” or “Violation” means noncompliance with one or more of the requirements in chapter 3, division 2 of the Business and Professions Code (commencing with section 1200) or any rule or regulation adopted thereunder.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c. 510, Section 1. Reference: Stats. 1995, c. 510, Section 1; and Sections 1310, 1320, 1323 and 1326, Business and Professions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.70. Direct Patient Care.
Note     •     History

“Direct patient care” means medical, psychiatric, nursing or other health care which is legally provided by a care giver or healthcare provider directly to a patient, and which includes observation of the patient's physical or mental condition to enable the care giver or healthcare provider to report changes in the patient's condition.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1206.5, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.23 to new section 1029.70 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.75. Directed Plans of Correction.
Note     •     History

“Directed plans of correction” means the directed plans of correction imposed by the department under the procedures identified in section 1067.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c. 510, Section 1. Reference: Stats. 1995, c. 510, Section 1; and Section 1310, Business and Professions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.80. Electrolytes.
Note     •     History

“Electrolytes” means ionized calcium, sodium, potassium and/or chloride.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1206, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.25 to new section 1029.80 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.81. Evidence of Satisfactory Performance.
Note     •     History

“Evidence of satisfactory performance” means a copy of a document issued to an examinee by the department for satisfactory performance on a department-administered licensing written examination, or by a certifying board or organization indicating satisfactory performance by the examinee on a written certifying examination.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1208, 1260, 1261, 1261.5, 1262 and 1264, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.82. Field Related to Genetics.
Note     •     History

“Field related to genetics” means a major in molecular biology, reproductive biology, biochemistry, clinical genetics, medical genetics, clinical cytogenetics, biochemical genetics, human genetics, clinical laboratory science, or clinical molecular genetics.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206 and 1210, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.83. General Supervisor.
Note     •     History

“General supervisor” means a person who meets the requirements of Section 493.1461 of Title 42, Code of Federal Regulations, as published October 1, 1994, and who provides general supervision of a laboratory in accordance with Section 1036.1 of this title and Section 493.1463 of Title 42, Code of Federal Regulations, as published October 1, 1994. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1203, 1204, 1207, 1209, 1209.1 and 1210, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.85. HHS.
Note     •     History

“HHS” means the federal Department of Health and Human Services, or its designee.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1202.5 and 1224, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.27 to new section 1029.85 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.86. High Complexity Tests or Examinations.
Note     •     History

“High complexity tests or examinations” mean those clinical laboratory tests or examinations classified as high complexity under CLIA. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1202.5, 1203, 1204, 1206, 1206.5, 1207, 1209.1, 1210 and 1265, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.90. Human Immunodeficiency Virus.
Note     •     History

“Human Immunodeficiency Virus” or “HIV” means the etiologic virus of Acquired Immune Deficiency Syndrome, or AIDS.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 120775, Health and Safety Code.
HISTORY

1. Renumbering of former section 1029.35 to new section 1029.90 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.95. Immediate Jeopardy.
Note     •     History

“Immediate jeopardy” means a situation in which immediate corrective action is necessary because the laboratory's noncompliance with one or more conditions has already caused, is causing, or is likely to cause, at any time, serious injury or harm, or death, to individuals served by the laboratory or to the health or safety of the general public. This term is synonymous with imminent and serious risk to human health and significant hazard to the public health.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c. 510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats. 1995, c. 510, Section 1; and Sections 1310, 1320, 1323 and 1326, Business and Professions Code; and Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.100. Instrument.
Note     •     History

“Instrument” means a device, apparatus, implement, machine or contrivance that is used for the performance of a clinical laboratory test or examination,
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209 and 1269, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.37 to new section 1029.100 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.105. Intermediate Sanction.
Note     •     History

“Intermediate sanction” means either or both:
(a) Temporary suspension of a license, registration or approval; or
(b) Temporary suspension of a provider of service under the Medi-Cal program.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Section 14105, Welfare and Institutions Code. Reference: Stats. 1995, c. 510, Section 1; and Section 1323, Business and Professions Code; Section 1002, Health and Safety Code; Section 14123, Welfare and Institutions Code; 42 United States Code, Section 1395w-2 (Section 1846 of the federal Social Security Act); and 42 United States Code, Section 1396a(a)(9) (Section 1902(a)(9)(C) of the federal Social Security Act).
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.108. License.
Note     •     History

For the purposes of this chapter, “license” means license, certificate, registration or other means to engage in a business or profession regulated by Chapter 3.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 23.7, 1203, 1204, 1205, 1206.5, 1207, 1208, 1209, 1210, 1220, 1227, 1242, 1246, 1246.5, 1260, 1260.1, 1261, 1261.5, 1262, 1263, 1264, 1265, 1267, 1269.5, 1270, 1275, 1280, 1281, 1285, 1288.5, 1300, 1301, 1301.1, 1310, 1320, 1322, 1323, 1324 and 1325, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.110. Licensed General Acute Care Hospital.
Note     •     History

“Licensed general acute care hospital” means a facility as defined in section 1250(a) of the Health and Safety Code that has been licensed pursuant to chapter 2 (commencing with section 1250) of division 2 of the Health and Safety Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1224 and 1265, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.39 to new section 1029.110 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.111. Licensed Healthcare Professional. [Repealed]
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206.5 and 1208, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including repealer of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.115. Licensed Surgical Clinic.
Note     •     History

“Licensed surgical clinic” means a facility as defined in section 1204(b)(1) of the Health and Safety Code that has been licensed pursuant to chapter 1 (commencing with section 1200) of division 2 of the Health and Safety Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1224 and 1265, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.40 to new section 1029.115 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.116. Limited Phlebotomy Technician.
Note     •     History

“Limited phlebotomy technician” means a person who has completed the education, training and experience requirements pursuant to Section 1034 and is certified by the department to perform skin punctures.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1208, 1212, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.117. Medical Laboratory Technician.
Note     •     History

“Medical laboratory technician” means a person who has completed education, training or experience, and examination requirements pursuant to Section 1032.5(a), and who is authorized to perform clinical laboratory tests and examinations specified in Section 1032.5(b). 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1208, 1210, 1242, 1260.3, 1264 and 1300, Business and Professions Code. 
HISTORY

1. New section filed 1-13-2005 as an emergency; operative 1-13-2005 (Register 2005, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-13-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-12-2005 order transmitted to OAL 8-3-2005 and filed 9-12-2005 (Register 2005, No. 37).
§1029.118. Moderate Complexity Laboratory Technical Consultant.
Note     •     History

“Moderate complexity laboratory technical consultant” means a person who meets the qualifications of Section 493.1411 of Title 42, Code of Federal Regulations, as published October 1, 1994, and who provides technical oversight in accordance with Section 1036.2 of this title and Section 493.1413 of Title 42, Code of Federal Regulations, as published October 1, 1994.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1203, 1204, 1207, 1209, 1209.1 and 1210, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.119. Moderate Complexity Tests or Examinations.
Note     •     History

“Moderate complexity tests or examinations” mean those clinical laboratory tests or examinations classified as moderate complexity under CLIA. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1202.5, 1203, 1204, 1206, 1206.5, 1207, 1209.1, 1210 and 1265, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.120. Notice of Defense.
Note     •     History

“Notice of Defense” means a writing signed by or on behalf of the person, entity or laboratory, stating the mailing address of the person, entity, or laboratory, and may:
(a) Request a hearing.
(b) Object to the accusation upon the ground that it does not state acts or omissions upon which the agency may proceed.
(c) Object to the form of the accusation on the ground that it is so indefinite or uncertain that the person, entity, or laboratory cannot identify the transaction or prepare a defense.
(d) Admit the accusation in whole or in part.
(e) Present new matter by way of defense.
(f) Object to the accusation upon the ground that, under the circumstances, compliance with the requirements of a regulation would result in material violation of another regulation enacted by another department affecting substantive rights.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1265, 1267, 1320, 1322 and 1326, Business and Professions Code; Sections 11503 and 11504, Government Code; and Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.124. On-the-Job Experience in Phlebotomy.
Note     •     History

“On-the-job experience in phlebotomy” means employment as a phlebotomist in a clinical laboratory performing the techniques pursuant to Section 1035.1(f).  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1242, 1242.5, 1242.6, 1243, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.125. Onsite Monitoring.
Note     •     History

“Onsite monitoring” means the onsite monitoring imposed by the department under the procedures identified in section 1067.10.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c. 510, Section 1. Reference: Stats. 1995, c. 510, Section 1; and Section 1310, Business and Professions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.126. Oral and Maxillofacial Pathology Laboratory Director.
Note     •     History

“Oral and maxillofacial pathology laboratory director” means a dentist who possesses a valid, unexpired license to direct an oral pathology laboratory in all areas of anatomic and clinical pathology related to the oral and maxillofacial region.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1207, 1208 and 1209, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section heading and section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.127. Oral Pathology.
Note     •     History

“Oral pathology” means the subspecialty of pathology that deals with the nature, identification and management of diseases affecting the oral and maxillofacial regions, which investigates the causes, processes and effects of these diseases, and includes research and diagnosis of diseases using clinical, radiographic, microscopic, biochemical or other examinations.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206 and 1207, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.130. Patient.
Note     •     History

“Patient” means a person who is an inpatient or outpatient of a licensed health facility, licensed clinic or a clinic that is exempt from licensure, licensed home health agency, or who is a patient of a licensed physician and surgeon or osteopath, licensed dentist, or licensed podiatrist.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1220, 1241 and 1269, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.43 to new section 1029.130 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.132. Phlebotomist.
Note     •     History

“Phlebotomist” means a person who collects blood for clinical laboratory test or examination purposes.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1208, 1212, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.133. Phlebotomy.
Note     •     History

“Phlebotomy” means the process of collecting blood by venipuncture, arterial puncture or skin puncture for the purpose of obtaining blood for clinical laboratory test or examination purposes.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.134. Practical Experience.
Note     •     History

“Practical experience” means hands-on, direct work experience in clinical laboratory science and phlebotomy techniques on real patients in a clinical laboratory certified by CLIA, using equipment, instruments, kits and materials routinely found in clinical laboratories performing moderate or high complexity tests or examinations, and does not include work done in academic, research, forensic, pharmaceutical or veterinary laboratories. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1208, 1222.5, 1242, 1242.5, 1243, 1246, 1260, 1260.3, 1261, 1261.5, 1264, 1269 and 1286, Business and Professions Code. 
HISTORY

1. New section filed 1-13-2005 as an emergency; operative 1-13-2005 (Register 2005, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-13-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-12-2005 order, including amendments, transmitted to OAL 8-3-2005 and filed 9-12-2005 (Register 2005, No. 37).
§1029.135. Preceptor.
Note     •     History

“Preceptor” means:
(a) The laboratory director or the technical consultant of the laboratory, as that term is defined under CLIA; or,
(b) A person who:
(1) Meets the qualifications of a technical consultant under CLIA and of chapter 3 to perform clinical laboratory tests or examinations classified as of moderate complexity; and,
(2) Is assigned by the laboratory director or the technical consultant of the laboratory to act as a preceptor; or,
(c) Any person listed in subdivision (b) of section 1206.5 of the Business and Professions Code, except for those persons listed in subsections (10), (11), or (12) of subdivision (b), and who:
(1) Has two years of experience performing moderate complexity tests upon the instrument(s) for which she or he will act as a preceptor; and
(2) Meets any CLIA requirements necessary to perform his or her duties and responsibilities in a preceptor program; and
(3) Is assigned by the laboratory director or the technical consultant of the laboratory to act as a preceptor.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1220 and 1265, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.44 to new section 1029.135 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.140. Principal Sanction.
Note     •     History

“Principal sanction” means:
(a) Suspension or revocation of a registration or license issued under chapter 3 of division 2 of the Business and Professions Code; or
(b) Suspension or revocation of the approval to operate a public health laboratory granted under chapter 7 (commencing with section 1000) of the Health and Safety Code; or
(c) Suspension of a provider of service from further participation in, including reimbursement from, the Medi-Cal and Medicaid programs.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c. 510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats. 1995, c. 510, Section 1; Sections 1320 and 1322, Business and Professions Code; Section 1002, Health and Safety Code; and Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.145. Provider of Service.
Note     •     History

“Provider of service” has the same meaning as given in 22 CCR 51051.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c. 510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats. 1995, c. 510, Section 1; and Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.150. Respiratory Care Practitioner.
Note     •     History

“Respiratory care practitioner” means an individual licensed pursuant to chapter 8.3 (commencing with section 3700) of division 2 of the Business and Professions Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206.5 and 1265, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.47 to new section 1029.150 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction (Register 98, No. 7).
3. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.153. Satisfactory Performance.
Note     •     History

“Satisfactory performance” means achieving at least the minimum grade that an examinee must obtain to get a passing score on a written or oral examination.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1208, 1260, 1261, 1261.5, 1262 and 1264, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.154. Skin Puncture.
Note     •     History

“Skin puncture” means penetration of the skin for the purpose of collecting capillary blood for clinical laboratory test or examination purposes.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.155. Specimen.
Note     •     History

“Specimen” has the same meaning as given for “biological specimen” in section 1206(a)(1) of the Business and Professions Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1209, 1225, 1241, 1244, 1269, 1288, 1288.5 and 1320, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.49 to new section 1029.155 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.160. State License.
Note     •     History

“State license” or “license” means the license identified in section 1265(a)(1) of the Business and Professions Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.51 to new section 1029.160 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.165. State Registration.
Note     •     History

“State registration” or “registration” means the registration identified in section 1265(a)(2) of the Business and Professions Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.52 to new section 1029.165 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.168. Statement of Issues.
Note     •     History

“Statement of issues” means a written statement served on the person, entity or laboratory which:
(a) Specifies the statutes and regulations with which the person, entity or laboratory must show compliance by producing proof at the hearing, and
(b) Includes any particular matters which have come to the attention of the department that could form the basis for a denial of the departmental action sought.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1265, 1267, 1320, 1322 and 1326, Business and Professions Code; Sections 11503 and 11504, Government Code; and Section 14123, Welfare and Institutions Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order, including amendment of subsection (b), transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.169. Subspecialty of Histocompatibility.
Note     •     History

“Subspecialty of histocompatibility” means those clinical laboratory analyses of factors that determine the acceptance or rejection of grafted tissues or organs and that are performed in a histocompatibility laboratory as specified in Section 493.1265 of Title 42, Code of Federal Regulations, as published October 1, 1994.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1209.1 and 1210, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.170. Temporary Suspension of a License, Registration or Approval.
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Sections 1002 and 100275, Health and Safety Code. Reference: Stats. 1995, c. 510, Section 1; Section 1323, Business and Professions Code; and Section 1002, Health and Safety Code.
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
3. Change without regulatory effect renumbering former section 1029.170 to section 1029.173 filed 5-14-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 20).
§1029.171. Technical Supervisor.
Note     •     History

“Technical supervisor” means a person who meets the qualifications of Section 493.1449 of Title 42, Code of Federal Regulations, as published October 1, 1994, and who provides technical supervision in accordance with Section 1036.4 of this title and Section 493.1451 of Title 42, Code of Federal Regulations, as published October 1, 1994.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1203, 1204, 1207, 1209, 1209.1 and 1210, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1029.173. Temporary Suspension of a License, Registration or Approval.
Note     •     History

“Temporary suspension of a license, registration or approval” means immediate suspension or limitation of a public health laboratory's approval to perform testing or a clinical laboratory's license or registration to perform tests or examinations in one or more, or all, specialties or subspecialties, prior to a hearing, based on a departmental finding of immediate jeopardy.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Sections 1002 and 100275, Health and Safety Code. Reference: Stats. 1995, c. 510, Section 1; Section 1323, Business and Professions Code; and Section 1002, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 1029.170 to section 1029.173 filed 5-14-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 20).
§1029.175. Temporary Suspension of a Provider of Service Under the Medi-Cal Program.
Note     •     History

“Temporary suspension of a provider of service under the Medi-Cal program” means the immediate suspension imposed by the department pursuant to 22 CCR 51529(g) under the procedures identified in section 1067.15.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Section 14105, Welfare and Institutions Code. Reference: Stats. 1995, c. 510, Section 1; Section 14123, Welfare and Institutions Code; 42 United States Code; Section 1395w-2 (Section 1846 of the federal Social Security Act); and 42 United States Code, Section 1396a(a)(9) (Section 1902(a)(9)(C) of the federal Social Security Act).
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.180. Test Purposes.
Note     •     History

“Test purposes,” as it relates to arterial puncture, venipuncture, and skin puncture, means withdrawal, or injection of any test materials specifically required for a clinical laboratory test, provided that appropriate instructions relative to injection technique have been given and that a licensed physician and surgeon is immediately available when test materials are injected. Unlicensed personnel may not inject test material for any purpose.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1242, 1242.5, 1242.6 and 1246, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.57 to new section 1029.180 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.185. Testing Event.
Note     •     History

“Testing event” means the performance of the preanalytical, analytical, and postanalytical activities related to performing a clinical laboratory test or examination on a biological specimen.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1220, 1241, 1244, 1265, 1281, 1288.5 and 1300, Business and Professions Code.
HISTORY

1. Renumbering of former section 1029.55 to new section 1029.185 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.190. Unprofessional Conduct.
Note     •     History

“Unprofessional conduct,” pursuant to the provisions of Section 1320(m), Business and Professions Code, means:
(a) Acts of gross negligence in the performance of duties authorized by the license under chapter 3, division 2, Business and Professions Code.
(b) Acts of gross incompetence in the performance of duties authorized by the license under chapter 3, division 2, Business and Professions Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1320, Business and Professions Code.
HISTORY

1. Renumbering and amendment of former section 1029.59 to new section 1029.190 filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1029.195. Venipuncture.
Note     •     History

“Venipuncture” means the penetration of a vein with a needle to withdraw blood for clinical laboratory test or examination purposes.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1029.196. Waived Laboratory Technical Consultant.
Note     •     History

“Waived laboratory technical consultant” means a person who meets the qualifications specified in Section 1036.3(a) and provides technical oversight of a waived laboratory as specified in Section 1036.3(b) and (c). 
NOTE

Authority cited: Sections 1208 and 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1203, 1204, 1207, 1208, 1209, 1209.1 and 1210, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
§1029.197. Waived Tests.
Note     •     History

“Waived tests” mean those clinical laboratory tests categorized as waived under the federal Clinical Laboratory Improvement Amendments of 1988 (42 U.S.C. Sec. 263a; P.L.100-578) at Title 42, Code of Federal Regulations, Section 493.15, as published October 1, 1994. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1202.5, 1203, 1204, 1206, 1206.5, 1207, 1209.1, 1210 and 1265, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
Article 1.5. Licensure of Clinical Laboratory Personnel
§1030. Examination for Bioanalysts' Licenses.
Note     •     History

(a) The examination for license as a clinical laboratory bioanalyst shall consist of three sections; namely, written, oral, and practical. The subjects covered in this examination shall have to do with the technical procedures performed in clinical laboratories for the purpose of obtaining scientific data which may be used to ascertain the presence, progress, and source of disease. 
(b) An official transcript of college or university training shall be furnished by each applicant. The college or university training shall include as a minimum the indicated number of semester or equivalent quarter units of standard resident courses or their subject equivalent as follows:

General inorganic chemistry 	 8
Quantitative analysis 	 3
Organic chemistry 	 3
Biochemistry 	 8
Bacteriology 	 8
Physics 	 3
Biology or zoology 	 4
Physiology 	 3
Parasitology 	 3
Hematology 	 2

NOTE

Authority cited for Group 2: Section 208, Health and Safety Code, and Sections 1220 through 1223, Business and Professions Code. Additional authority cited: Section 102, Health and Safety Code.
HISTORY

1. Originally published 8-15-45 (Title 17).
2. Revision filed 12-24-47 (Register 10, No. 8).
3. Repealer and new Group 2 filed 12-26-51; effective thirtieth day thereafter (Register 26, No. 7).
4. Amendment filed 10-22-57; effective thirtieth day thereafter (Register 57, No. 18).
5. New article 1.5 heading (containing sections 1030-1034.2) filed 11-6-96 as an emergency; operative 11-6-96 (Register 96, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-6-96 order transmitted to OAL 3-4-97 and filed 4-15-97 (Register 97, No. 16).
7. Amendment of article heading filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
8. Amendment of article heading refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
9. Amendment of article heading refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1030.5. Licensure of Clinical Chemists, Clinical Microbiologists, Clinical Toxicologists, Clinical Genetic Molecular Biologists and Clinical Cytogeneticists.
Note     •     History

A written and oral examination shall be given to each applicant for licensure as a clinical chemist, clinical microbiologist, clinical toxicologist, clinical genetic molecular biologist or clinical cytogeneticist. In addition to the requirements for licensure as specified in Section 1264 of the Business and Professions Code, an applicant shall have completed one year of training as a licensed trainee or equivalent in his or her specialty or subspecialty pursuant to Section 1207 of the Business and Professions Code. Also, each applicant shall have completed three years of experience in his or her specialty pursuant to Section 1210 of the Business and Professions Code in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing in that specialty, two years of which shall have been at a supervisory level.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1204, 1205, 1207, 1210, 1264 and 1265, Business and Professions Code.
HISTORY

1. New section filed 11-25-70 as procedural and organizational; designated effective 11-24-70 (Register 70, No. 48).
2. Certificate of Compliance--Sec. 11422.1, Gov. Code, filed 1-20-71 (Register 71, No. 4).
3. Amendment of section heading, section and Note filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1030.6. Licensure of Clinical Cytogeneticists.
Note     •     History

(a) Except for a clinical laboratory bioanalyst licensed by the department who meets the laboratory director qualifications for high complexity testing in Section 493.1443 of Title 42, Code of Federal Regulations, as published October, 1994, or a pathologist who meets the laboratory director qualifications in Section 493.1443(b)(1) of Title 42, Code of Federal Regulations, as published October 1, 1994, a laboratory director of a clinical laboratory that performs tests or examinations in the subspecialty of clinical cytogenetics within the specialty of genetics shall possess a valid clinical cytogeneticist license issued by the department. 
(b) In order to be eligible for licensure as a clinical cytogeneticist, an applicant shall: 
(1) Be a physician and surgeon licensed by the State to practice medicine pursuant to Chapter 5 of the Business and Professions Code, and have: 
(A) Two years' training in clinical cytogenetics in a training program approved by the American Board of Medical Genetics (ABMG) or the Canadian Council of Medical Genetics (CCMG), and approved by the department pursuant to Section 1286, Business and Professions Code, Chapter 3, and 
(B) Two years' experience directing or supervising high complexity testing in the specialty of genetics in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing; and 
(C) Evidence of satisfactory performance on a written examination in clinical cytogenetics administered by the ABMG, CCMG or the department; and 
(D) Demonstrated satisfactory performance on an oral examination regarding Business and Professions Code, Chapter 3, and Title 42, CFR, Part 493, as published October 1, 1994; or 
(2) Hold an earned doctoral degree in a biological science or field related to genetics from an accredited university with thirty semester or equivalent quarter hours of post-baccalaureate course credit in genetics posted on an official transcript from the university registrar; and 
(A) Have two years' training in clinical cytogenetics in a training program approved by the ABMG or the CCMG, and approved by the department pursuant to Section 1286, Chapter 3, of Business and Professions Code; and 
(B) Have two years' experience supervising or performing clinical laboratory tests or examinations in clinical cytogenetics in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing; and 
(C) Provide evidence of satisfactory performance on a written examination in clinical cytogenetics administered by the ABMG, CCMG or the department; and 
(D) Have demonstrated satisfactory performance on the oral examination administered by the Department regarding Business and Professions Code, Chapter 3, and Title 42 Code of Federal Regulations, Part 493, as published October 1, 1994; or 
(3) Have served as a laboratory director of a clinical laboratory performing laboratory tests limited to the subspecialty of cytogenetics on or before December 31, 1997 and either; 
(A) Meet the laboratory director qualifications of Section 493.1443(b)(2) or (b)(3) of Title 42, Code of Federal Regulations, as published October 1, 1994; or 
(B) Hold an earned doctoral degree, have four years' clinical cytogenetics training or experience in a clinical laboratory certified by HCFA in clinical cytogenetics, and provide evidence of satisfactory performance on a written certifying examination in cytogenetics administered by the ABMG or the CCMG.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1207, 1209, 1264, 1265 and 1282, Business and Professions Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of subsections (b)(1)(B) and (b)(2)(B), transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1030.7. Licensure of Clinical Genetic Molecular Biologists.
Note     •     History

(a) Except for a clinical laboratory bioanalyst licensed by the department pursuant to Business and Professions Code, Chapter 3, who meets the laboratory director qualifications for high complexity testing in Section 493.1443 of Title 42, Code of Federal Regulations, as published October, 1994, and a pathologist who meets the laboratory director qualifications in Section 493.1443 of Title 42, Code of Federal Regulations, as published October 1, 1994, a laboratory director of a clinical laboratory that performs tests or examinations in the subspecialty of molecular biology related to the diagnosis of abnormalities related to human genetic disorders shall possess a valid clinical genetic molecular biologist license issued by the department. 
(b) In order to be eligible for licensure as a clinical genetic molecular biologist, an applicant shall: 
(1) Be a physician and surgeon licensed by the State, pursuant to Chapter 5 of the Business and Professions Code, to practice medicine and have: 
(A) Two years of training in clinical genetic molecular biology in a training program approved by the American Board of Medical Genetics (ABMG) or the Canadian Council of Medical Genetics (CCMG), and approved by the department pursuant to Section 1286, Chapter 3 of the Business and Professions Code; and 
(B) Two years' experience directing or supervising high complexity testing in the specialty of genetics in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing; and 
(C) Evidence of satisfactory performance on a written examination in genetic molecular biology administered by the ABMG or CCMG or the department; and 
(D) Demonstrated satisfactory performance on an oral examination administered by the department regarding Chapter 3 of the Business and Professions Code and Part 493 of Title 42, Code of Federal Regulations, as published October 1, 1994; or 
(2) Hold an earned doctoral degree in a biological science or field related to genetics from an accredited university with 30 semester or equivalent quarter hours of post-baccalaureate course credit in genetics posted on an official transcript from the university registrar; and 
(A) Have two years' training in clinical genetic molecular biology in a training program approved by the ABMG or the CCMG, and approved by the department pursuant to Section 1286, Chapter 3 of Business and Professions Code; and 
(B) Have two years' experience supervising or performing clinical laboratory tests or examinations in clinical genetic molecular biology in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing; and 
(C) Provide evidence of satisfactory performance on a written certifying examination in genetic molecular biology administered by the ABMG or CCMG or the department; and 
(D) Have demonstrated satisfactory performance in the oral examination regarding Chapter 3 of Business and Professions Code and Part 493 of Title 42 Code of Federal Regulations as published October 1, 1994; or 
(3) Have served as a laboratory director of a clinical laboratory performing laboratory tests limited to the subspecialty of molecular biology related to the diagnosis of human genetic abnormalities on or before December 31, 1997, and either: 
(A) Meet the qualifications of Section 493.1443(a), (b)(2), or (b)(3) of Title 42, Code of Federal Regulations, as published October 1, 1994; or 
(B) Hold an earned doctoral degree, have four years' clinical genetic molecular biology training or experience in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing in the subspecialty of molecular biology, and provide evidence of satisfactory performance on a written certifying examination in genetic molecular biology administered by the ABMG or CCMG.  
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1207, 1209, 1264, 1265 and 1282, Business and Professions Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1030.8. Licensure of Oral Pathology Laboratory Directors.
Note     •     History

(a) Except for a pathologist who meets the laboratory director qualifications of Section 493.1443(b)(1) of Title 42, Code of Federal Regulations, as published October 1, 1994, a laboratory director of an oral pathology laboratory shall possess a valid oral pathology laboratory director license issued by the department. 
(b) In order to be eligible for licensure as an oral pathology laboratory director, an applicant shall: 
(1) Be a doctor of dental surgery licensed by the State pursuant to Chapter 4 of the Business and Professions Code to practice dentistry, and have: 
(A) Advanced training in oral and maxillofacial pathology in a training program approved by the American Dental Association (ADA) Committee on Accreditation of Dental and Dental Auxiliary Education Programs in an educational institution; and 
(B) Full time experience in oral pathology which, together with advanced training approved by the ADA, shall total a minimum of four years; and 
(C) Evidence of satisfactory performance on the oral pathologist certification examination administered by the American Board of Oral Pathology (ABOP); and 
(D) Demonstrated satisfactory performance on an oral (verbal) examination administered by the department regarding Chapter 3 of the Business and Professions Code and Title 42, Code of Federal Regulations, Part 493 as published October 1,1994; or 
(2) Have served as a laboratory director of an oral pathology laboratory on or before January 1, 1996, and be a doctor of dental surgery licensed by the State pursuant to Chapter 4 of the Business and Professions Code to practice dentistry, and provide evidence of satisfactory performance on a certifying examination in oral and maxillofacial pathology administered by the ABOP. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1207, 1208, 1209 and 1264, Business and Profession Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section heading and section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1031. Licensure of Clinical Laboratory Specialists.
Note     •     History

(a) The minimum requirements for admission to the limited scientist examinations shall be as follows:
(1) An applicant for admission to the examination for a clinical chemist scientist license shall meet both of the following requirements: 
(A) Hold a baccalaureate or higher degree in chemistry or equivalent major which shall include at least 25 semester or 38 quarter units in chemistry including courses in analytical chemistry and instrumentation. This coursework shall be verified by an official transcript showing college or university courses, training and degree posted by an accredited college or university; and 
(B) Have completed one year of post-baccalaureate training or experience in all areas of the specialty of chemistry, as listed in (b)(1) below, in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing in the specialty of chemistry. 
(2) An applicant for admission to the examination for a clinical microbiologist scientist shall meet both of the following requirements: 
(A) Hold a baccalaureate or higher degree in microbiology or an equivalent major which shall include at least 25 semester or 38 quarter units in microbiology including courses in medical or pathogenic microbiology or bacteriology. This coursework shall be verified by an official transcript showing college or university courses, training and degree posted by an accredited college or university; and 
(B) Have completed one year of post-baccalaureate training or experience in all areas of the specialty of microbiology, as listed in (b)(2) below, in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing in the specialty of microbiology. 
(3) An applicant for admission to the examination for a clinical immunohematologist scientist license shall meet both of the following requirements: 
(A) Hold a baccalaureate or higher degree in biology, clinical laboratory science or equivalent major which shall include at least 25 semester or 38 quarter units in biology, including genetics and immunology. This coursework shall be verified by an official transcript showing college or university courses, training and degree posted by an accredited college or university; and 
(B) Have completed one year of post-baccalaureate training or experience in all areas of the specialty of immunohematology, as listed in (b)(3) below, in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing in the specialty of immunohematology. 
(4) An applicant for admission to the examination for clinical toxicologist scientist license shall meet both of the following requirements: 
(A) Hold a baccalaureate or higher degree in chemistry or equivalent major which shall include at least 25 semester or 38 quarter units in chemistry including analytical chemistry or quantitative analysis. This coursework shall be verified by an official transcript showing college or university courses, training and degree posted by a college or university from an accredited college or university; and 
(B) Have completed one year of post-baccalaureate training or experience in the specialty of toxicology, as specified in (b)(4) below, in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing in the subspecialty of toxicology. 
(5) An applicant for admission to the examination for a clinical hematologist scientist license shall meet both of the following requirements: 
(A) Hold a baccalaureate degree from an accredited college or university in biology, clinical laboratory science or an equivalent major which shall include at least 25 semester or 38 quarter units in biology, including hematology. This coursework shall be verified by an official transcript showing college or university courses, training and degree posted by an accredited college or university; and 
(B) Have one year of post-baccalaureate training or experience in all areas of the specialty of hematology, as specified in (b)(5) below, in a clinical laboratory that possesses a certificate issued under CLIA for performing high complexity testing in the specialty of hematology. 
(b) Any license issued under this section shall specify the particular specialty or subspecialty in which the licentiate may perform tests under such license. A license issued for: 
(1) A clinical chemist scientist shall specify that the licentiate is authorized to perform clinical laboratory tests or examinations classified as high complexity under CLIA in the specialty or subspecialties of chemistry, including routine chemistry, clinical microscopy, endocrinology and toxicology; immunology, including diagnostic immunology and syphilis serology; and molecular biology. 
(2) A clinical microbiologist scientist shall specify that the licentiate is authorized to perform clinical laboratory tests or examinations classified as high complexity under CLIA in the specialty or subspecialties of microbiology including bacteriology, mycobacteriology, mycology, parasitology, and virology; immunology, including diagnostic immunology and syphilis serology; and molecular biology. 
(3) A clinical immunohematologist scientist shall specify that the licentiate is authorized to perform clinical laboratory tests or examinations classified as high complexity under CLIA limited to the specialty of immunohematology including ABO/Rh Type or Group, unexpected antibody detection, compatibility testing and antibody identification. 
(4) A clinical toxicologist scientist shall specify that the licentiate is authorized to perform clinical laboratory tests or examinations classified as high complexity under CLIA limited to the subspecialty of toxicology. 
(5) A clinical hematologist scientist shall specify that the licentiate is authorized to perform clinical laboratory tests or examinations classified as high complexity under CLIA limited to the specialty of hematology including routine hematology and coagulation. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1209.1, 1210 and 1261, Business and Professions Code.
HISTORY

1. Amendment filed 10-22-57; effective thirtieth day thereafter (Register 57, No. 18).
2. Amendment filed 6-13-69; effective thirtieth day thereafter (Register 69, No. 24).
3. Amendment filed 11-25-70 as procedural and organizational; designated effective 11-24-70 (Register 70, No. 48).
4. Certificate of Compliance--Sec. 11422.1, Gov. Code. filed 1-20-71 (Register 71, No. 4).
5. Amendment of section heading, section and Note filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading, section and Note refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1031.1. Licensure of Clinical Histocompatibility Scientists.
Note     •     History

(a) Each person performing high complexity laboratory tests or examinations in the subspecialty of histocompatibility in a licensed clinical laboratory shall possess a valid clinical histocompatibility scientist license except for the following persons: 
(1) A physician and surgeon licensed by the State to practice medicine pursuant to chapter 5 of the Business and Professions Code; or 
(2) A histocompatibility laboratory director licensed pursuant to chapter 3 of the Business and Professions Code; or 
(3) A clinical laboratory bioanalyst licensed pursuant to chapter 3 of the Business and Professions Code; or 
(4) A clinical laboratory scientist licensed pursuant to chapter 3 of the Business and Professions Code. 
(b) In order to be eligible for licensure as a clinical histocompatibility scientist an applicant shall have been certified as a Clinical Histocompatibility Technologist by the American Board of Histocompatibility and Immunogenetics, either: 
(1) Prior to January 1, 1997 and have had at least 6 years' experience in all areas of clinical histocompatibility testing in a clinical laboratory, or
(2) After January 1, 1997 and have a baccalaureate degree in biological or clinical science and one year of clinical laboratory experience in all areas of clinical histocompatibility testing in a clinical laboratory.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1209.1, 1210 and 1261, Business and Professions Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1031.2. Licensure of Clinical Cytogeneticist Scientists.
Note     •     History

(a) Each person performing high complexity tests or examinations in the specialty of cytogenetics in a licensed clinical laboratory shall possess a valid clinical cytogeneticist scientist license except for the following persons:
(1) A physician and surgeon licensed by the State to practice medicine pursuant to chapter 5 of division 2 of the Business and Professions Code; or
(2) A clinical cytogeneticist licensed to direct a cytogenetics laboratory pursuant to chapter 3; or
(3)  A clinical laboratory bioanalyst licensed pursuant to chapter 3; or
(4) A clinical laboratory scientist licensed pursuant to chapter 3.
(b) In order to be eligible for licensure as a clinical cytogeneticist scientist, an applicant shall:
(1) Hold a baccalaureate or an equivalent or higher degree, which shall include at least 25 semester or 38 quarter hours in biology, chemistry or clinical laboratory science from an accredited college or university, and
(2) Provide evidence of satisfactory performance on a written examination in the specialty of cytogenetics administered by the National Credentialing Agency for Laboratory Personnel (NCA), prior to October 23, 2009, or by the American Society for Clinical Pathology (ASCP), on or after October 23, 2009, and either:
(A) On or after March 14, 2003, have completed at least one year of training and/or experience in clinical cytogenetics in a clinical laboratory certified by the Centers for Medicare and Medicaid Services (CMS) in clinical cytogenetics. This training shall be approved by the department pursuant to Section 1035 and acceptable for admission to an examination administered by the NCA prior to October 23, 2009, or by the ASCP on or after October 23, 2009, in the specialty of cytogenetics; or
(B) Prior to March 14, 2003, have completed training and/or experience in clinical cytogenetics, acceptable for admission to an examination in the specialty of cytogenetics administered by the NCA, or on or after October 23, 2009, by the ASCP. Such training and/or experience shall have been obtained in a clinical laboratory certified by CMS in clinical cytogenetics or in histopathology (cytogenetics).
NOTE

Authority cited: Sections 1224, 1261 and 1261.5, Business and Professions Code; and Sections 100275 and 131200,  Health and Safety Code. Reference: Sections 1203, 1205, 1206, 1206.5, 1210, 1222.5, 1261, 1261.5, 1262, 1282 and 1286, Business and Professions Code; and Sections 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 3-13-2003 as an emergency; operative 3-13-2003 (Register 2003, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-13-2003 order transmitted to OAL 7-10-2003 and filed 8-21-2003 (Register 2003, No. 34).
3. Change without regulatory effect amending subsections (b)(2)-(b)(2)(B) and Note filed 4-7-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 15).
§1031.3. Licensure of Clinical Genetic Molecular Biologist Scientists.
Note     •     History

(a) Each person performing high complexity tests or examinations in the subspecialty of genetic molecular biology in a licensed clinical laboratory shall possess a valid clinical genetic molecular biologist license except for the following persons:
(1) A physician and surgeon licensed by the State to practice medicine pursuant to chapter 5 of division 2 of the Business and Professions Code; or
(2) A clinical genetic molecular biologist licensed to direct a genetics laboratory pursuant to chapter 3; or
(3)  A clinical laboratory bioanalyst licensed pursuant to chapter 3; or
(4) A clinical laboratory scientist licensed pursuant to chapter 3.
(b) In order to be eligible for licensure as a clinical genetic molecular biologist scientist, an applicant shall hold a baccalaureate or an equivalent or higher degree in a biological or clinical laboratory science, or field related to genetics from an accredited college or university; and
(1) Have completed at least one year training and/or experience in clinical genetic molecular biology in a clinical laboratory certified by the Center for Medicare & Medicaid Services (CMS), performing high complexity testing in clinical genetic molecular biology. This training and/or experience shall be acceptable for admission to an examination administered by the National Credentialing Agency for Laboratory Personnel (NCA) or the American Society for Clinical Pathology (ASCP) in the specialty of molecular biology. On or after March 14, 2003, this training shall be approved by the department pursuant to Section 1035; and
(2) Provide evidence of satisfactory performance on a written examination in molecular biology administered by the NCA prior to October 23, 2009, or the ASCP on or after October 23, 2009.
NOTE

Authority cited: Sections 1224, 1261 and 1261.5, Business and Professions Code; and Sections 100275 and 131200, Health and Safety Code. Reference: Sections 1203, 1205, 1206, 1206.5, 1210, 1222.5, 1261, 1261.5, 1262, 1282 and 1286, Business and Professions Code; and Sections 131050 and 131051, Health and Safety Code.
HISTORY

1. New section filed 3-13-2003 as an emergency; operative 3-13-2003 (Register 2003, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-13-2003 order transmitted to OAL 7-10-2003 and filed 8-21-2003 (Register 2003, No. 34).
3. Change without regulatory effect amending subsections (b)(1)-(2) and Note filed 4-7-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 15).
§1031.4. Requirements and Timeframes for Applications for Licensure and Certification.
Note     •     History

(a) Applications for admission to a state-administered licensing examination shall be complete when the information specified in Section 1031.4(b) has been received by the department. For an applicant to be eligible for a scheduled examination, the completed application must be postmarked at least 120 days prior to the examination date as published by the Department of Health Services. When applying for admission to the examination, the applicant shall state whether he or she has previously applied to the department for admission to an examination. 
(b) An application for licensure to direct a clinical laboratory or to perform clinical laboratory tests or examinations under Chapter 3 shall be considered complete when the following is provided to the department: 
(1) Name and address of the applicant, including city, state and zip code; and 
(2) Social security number of the applicant (Pursuant to the authority found in Section 1224 of the Business and Professions Code and in Section 100275 of the Health and Safety Code, and as required by Section 17520 of the Family Code, it is mandatory to provide the social security number. The social security number will be used for purposes of identification.); and 
(3) Gender and birthdate; and
(4) License for which the applicant is applying; and 
(5) Whether the applicant has or has not been convicted of any felonies or misdemeanors other than minor traffic violations; and 
(6) Documentation of the applicant's education including: 
(A) Name, address, major course of study, dates of attendance, number of credits, and degree/completion date for all colleges and universities attended by the applicant; and 
(B) Official transcripts from the registrar of all accredited colleges or universities attended by the applicant showing all courses, course credits, degrees conferred and date of conference; and 
(C) Official transcripts from non-United States colleges or universities which are not in English shall be returned to the applicant to obtain translation from a translation service approved in the United States for legal or government documents. 
(7) Documentation of the applicant's training including: 
(A) Name and address of training program, dates of training, specialty and subspecialty areas of training, length of time in each specialty and subspecialty area of training; and 
(B) Signed documentation from the training program director that this training has been successfully completed; and 
(8) Documentation of the applicant's experience, appropriate to the specific license for which the applicant is applying, including the following: 
(A) Facility name, address, dates of employment, number of hours per week employed, the specialties and subspecialties in which clinical laboratory tests or examinations were performed and a description of clinical laboratory tests or examinations performed; and 
(B) Signed documentation of such experience from the director of the laboratory; and 
(9) Evidence of satisfactory performance on a licensing examination pursuant to Section 1029.81; and 
(10) Signature of the applicant, telephone number and date of application; and 
(11) Payment of license application fee pursuant to Business and Professions Code Section 1300. 
(c) An application for certification in phlebotomy shall be considered complete when the following is provided to the department: 
(1) Name and address of the applicant, including city, state and zip code; and 
(2) Social security number of the applicant (Pursuant to the authority found in Section 1224 of the Business and Professions Code and in Section 100275 of the Health and Safety Code, and as required by Section 17520 of the Family Code, it is mandatory to provide the social security number. The social security number will be used for purposes of identification.); and 
(3) Gender and birthdate; and 
(4) Category of phlebotomy certification for which the applicant is applying; and 
(5) Whether the applicant has or has not been convicted of any felonies or misdemeanors other than minor traffic violations; and 
(6) Documentation of the applicant's education including: 
(A) Name, address, dates of attendance, coursework completed and graduation as verified by official school transcripts; or 
(B) Documentation of a passing score on the general educational development (GED) test or equivalent education as evaluated by the American Association of Collegiate Registrars and Admissions Officers for secondary education; or 
(C) For official school transcripts which are not in English, documentation of equivalent education as obtained through translation into English from a translation service approved in the United States for legal or government documents; and 
(7) Certification of the applicant's instruction in phlebotomy as specified in Section 1035.1(h); and 
(8) Certification of the applicant's on-the-job experience in phlebotomy, if applicable, including: 
(A) Name and address of laboratory where employed, dates of employment, number of hours of experience in techniques specified in Section 1035.1(f) and an estimate of the number of skin punctures, venipunctures or arterial punctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfills all the sampling requirements of all clinical laboratory tests or examinations; and 
(B) Signed documentation from the director of the laboratory that the above information accurately represents the applicant's experience in phlebotomy; and 
(9) Evidence of satisfactory performance on a certification examination in phlebotomy administered by a certifying organization that was approved by the department pursuant to Section 1031.7 at the time the examination was administered; and 
(10) Signature of the applicant, telephone number and date of application; and 
(11) Payment of a two-year certification fee of $50. 
(d) Timeframes for processing applications for licensure to direct a clinical laboratory or to perform clinical laboratory tests or examinations or for certification to perform phlebotomy pursuant to Chapter 3 shall be as follows: 
(1) The department shall notify the applicant in writing, within 90 days of receipt of an application, of one of the following: 
(A) The application is complete and will be processed by the department; or 
(B) The application is incomplete and not accepted for processing. The department's written notification shall include the specific information, documentation or fee in which the application is deficient; or 
(C) The application has been reviewed and does not meet the requirements and that approval is denied. The department shall give written notification of the basis for the denial. 
(2) The department shall notify the applicant within 90 days of postmark date of resubmission of application requirements pursuant to Section 1031.4(d)(1)(B) whether the application has been approved or denied. 
(3) Written notification by the department to applicants shall be deemed to occur on the date of the postmark from the department. 
(4) The department shall deem an application abandoned by an applicant who fails to respond or to supply all information, documents, verifications or payment of applicable fees within 30 days of notification by the department. 
(5) The department's time periods for processing an application for licensure or certification from the date the application is complete to the date the final decision is made regarding an approval are as follows: 
(A) The median time for processing an application is 90 days; 
(B) The minimum time for processing an application is 30 days; and 
(C) The maximum time for processing an application is 150 days. 
(e) Certification shall be valid for a period of 2 years unless revoked. 
(f) Failure to meet the requirements of this section shall be good cause for denial or revocation of approval by the department. 
(g) All applicants, licensees and certificants pursuant to Section 1031.4 shall notify the department in writing of any change(s) of name and /or address within 30 days after the change(s) has occurred.  
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Section 17520, Family Code. Reference: Sections 1203, 1204, 1205, 1207, 1209, 1209.1, 1210, 1220, 1241, 1242, 1242.5, 1246, 1260, 1261, 1261.5, 1263, 1264, 1282, 1300, 1301, 1301.1 and 1320, Business and Professions Code; Section 120580, Health and Safety Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section and Note, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
5. Amendment of section heading, section and Note filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1031.5. Requirements and Timeframes for Renewal of Licenses and Certificates.
Note     •     History

(a) In order to maintain a license in active status, licenses shall be renewed by filing a renewal application within 60 days prior to the end of the license period. 
(b) A complete license renewal application shall include name and address of the licensee, license number, current work location(s), documentation of continuing education credits, an attestation stating whether the licensee has or has not been convicted of any felonies or misdemeanors other than minor traffic violations in the previous two years, license renewal fee, signature and date of application for renewal. 
(c) In order to maintain a phlebotomy certificate in active status, certificates once approved shall be renewed at biennial intervals by filing a renewal application within 60 days prior to the end of the certificate period. 
(d) A complete phlebotomy certificate renewal application shall include name and address of the certificant, certificate number, current work location(s), documentation of continuing education performed during the previous 24 months, an attestation stating whether the certificant has or has not been convicted of any felonies or misdemeanors other than minor traffic violations in the previous two years, certification renewal fee of $50, signature and date of application for renewal. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1203, 1204, 1205, 1207, 1209, 1209.1, 1210, 1226, 1241, 1242, 1242.5, 1246, 1260, 1261, 1261.5, 1263, 1264, 1282, 1300, 1301 and 1301.1, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
5. Amendment of section heading, section and Note filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1031.7. Conditions for Approval of Certifying Organizations to Administer Phlebotomy Certification Examinations.
Note     •     History

(a) In order for a certifying organization to be eligible for approval by the department to administer a phlebotomy certification examination for state certification purposes, the certifying organization shall meet the following conditions: 
(1) The certifying organization shall be a national, independent, not-for-profit, professional certifying organization; and 
(2) The certifying organization shall offer examinations in phlebotomy; and 
(3) The certifying organization shall provide the following to the department: 
(A) The organization's name and address; and 
(B) Names of the organization's officers and board of directors; and 
(C) A description of the organization's structure; and 
(D) The identity of the person designated by the organization to be responsible for overseeing the administration and coordination of all examination activities; and 
(E) A schedule of dates and times that the examination will be conducted within the state; and 
(F) Listing of procedures for monitoring the content, quality, validity and relevance of the phlebotomy examinations pursuant to Section 1031.7 (b); and 
(G) The philosophy of the organization, demonstrating a commitment to accurate assessment of a candidate's preparation for phlebotomy certification. 
(b) In order for a certifying organization's examination to be approved for certification purposes, the organization shall document the following standards to support a request for approval: 
(1) Evaluation of relevant standards in phlebotomy and how the organization's examinations address knowledge and skills that would assure competence of the candidate; and 
(2) Explanation of how the examinations are developed by the organization and the qualifications of person(s) who develop the examination questions; and 
(3) Documentation that the organization's examinations are subject to annual review for current relevance; and 
(4) Demonstration of the ability of the organization to evaluate its examinations, subjecting the examinations to validity and reliability assessments using psychometric performance standards, and the capability of the organization to provide this information at least once yearly or upon request to the department. 
(c) An organization approved to administer a phlebotomy examination shall: 
(1) Agree to make the content of its examinations available to the department for confidential review; and 
(2) Demonstrate how it will maintain security during administration of the examination, ensure the identity of the examinee, and maintain the confidentiality of the examination; and 
(3) Document how it will make its records accessible to the department regarding those persons participating in the examination and their scores; and 
(4) Provide verification of those persons successfully passing the certification examination to the department and shall maintain these records for five years; and 
(5) Issue a certificate to those passing the examination with the examinee's name, name of the certifying organization, type of certificate, effective date and official signature. 
(d) Timeframes for processing applications for approval of a certifying organization's certification examination shall be as follows: 
(1) Within 90 calendar days of receipt of an application, the department shall inform the organization in writing that the application is either complete and accepted for review or that it is deficient and what specific information or documentation is required to complete the application. 
(2) Within 180 calendar days from the date of filing a completed application, the department shall inform the applicant certifying organization in writing whether the organization has been approved or denied as a certifying organization for the administration of the certification examination. 
(3) The department shall deem an application abandoned by an applicant certifying organization that fails to respond or to supply all information, documents, or verifications within 30 days of notification pursuant to Section 1031.7(d)(1). 
(4) The department's time periods for processing an application for approval as a certifying organization, from the receipt of the initial application to the final decision regarding the approval, are as follows: 
(A) The median time for processing is 180 calendar days. 
(B) The minimum time for processing is 90 calendar days. 
(C) The maximum time for processing is 360 calendar days. 
(e) Approval shall be valid for a period of four years unless revoked. 
(f) To apply for renewal, a certifying organization shall file a renewal application at least 120 days prior to the end of the approval period providing the following: 
(1) The name and address of the certifying organization; and 
(2) Names of the organization's officers and board of directors; and 
(3) Name of the person designated by the organization to be responsible for overseeing the administration and coordination of all examination activities; and 
(4) A schedule of dates and times that the examination will be conducted within the state for the next 12 months; and 
(5) A copy of the current examination; and 
(6) Signature of the program director and date of application for renewal. 
(g) Failure to meet the requirements of this section shall be good cause for denial or revocation of approval by the department. 
(h) A certifying organization shall notify the department in writing of any change(s) in the information and material required by Subsections (a) through (c) within 30 days after the change(s) has occurred. 
NOTE

Authority cited: Sections 1224 and 1320, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1031.8. Conditions for Approval of a Certifying Organization to Administer a Certifying Examination for Licensure Purposes.
Note     •     History

(a) In order for a certifying organization to be eligible for approval by the department to administer a category of certifying examination, the organization shall file a complete application that consists of the following: 
(1) Documentation that the certifying organization is a national, independent, not-for-profit, professional certifying organization; and 
(2) The organization's name and address; and 
(3) Names of the organization's officer(s) and board of directors; and 
(4) Description of the organization's structure and organizational chart; and 
(5) The identity of the person designated by the organization to be responsible for overseeing the administration and coordination of examination activities; and 
(6) A mission statement that demonstrates the philosophy of the certifying organization commits to an accurate assessment of a candidate's preparation in the clinical laboratory science category in which the candidate is examined; and 
(7) Schedule of dates that the examination will be available to California licensure applicants during the next four years; and 
(8) Listing of procedures for monitoring the content, quality, validity, reliability and relevance of the examination in the specialty being tested, and 
(9) Demonstration of how the organization's examination addresses the relevant standards in the clinical laboratory science category being examined, and how it evaluates the knowledge and skills that would assure competence of the candidate; and 
(10) Explanation of how the examination structure is developed by the organization, and the qualifications of person(s) who develop the examination questions; and 
(11) Documentation that the organization's examination is subject to annual review for current relevance; and 
(12) Demonstration of the ability of the organization to evaluate its examination, subjecting it to validity and reliability assessments using psychometric performance standards, and the capability of the organization to provide this information at least annually or upon request to the department; and 
(13) Explanation of how the examination is developed and weighted using a job task survey to determine knowledge and skills required to be competent in the examination category; and 
(14) Explanation of how examination questions are established, evaluated and updated to match current practice for the category; and 
(15) Explanation of how the cutoff score for those successfully passing the examination is determined; and 
(16) Documentation of performance statistics for the examination during the previous five years, including pass/fail rate, number of applicants and number accepted to the examination for each time that the examination has been administered by the certifying organization during the five years immediately prior to the date of application, or, for specialties that have been established for less than five years, during the period dating from the establishment of the specialty to the date of the application; and 
(17) Submission of printed copies of examinations given each year for the previous four years, if the examinations were offered. These examination shall be subject to confidential review by the department, shall not be copied, and shall be returned to the organization; and 
(18) Submission of an agreement to provide the examination to candidates who have been approved for admission to the examination by the department; and 
(19) Submission of an agreement to provide verification of those persons successfully passing the examination to the department and to maintain these records for five years; and 
(20) Submission of an agreement to give evidence of satisfactory performance as official notification to those passing the examination with the examinee's name, name of the certifying organization, examination category, effective date and official signature; and 
(21) Demonstration how the organization will maintain security during development and administration of the examination, ensure the identity of the examinee, and maintain the confidentiality of the examination; and 
(22) Listing of procedures in use and required of the organization's personnel to ensure security and confidentiality of the examination, and steps to be taken if a breach is discovered; and 
(23) An agreement that a breach of security shall be reported to the department and that the department is authorized to investigate and withdraw approval of the examination category; and 
(24) Documentation how the organization will make its records accessible to the department regarding those persons participating in the examination and their scores; and 
(25) The name, title, and signature of the person who is responsible for overseeing the administration and coordination of all examination activities, and the date the application was signed. 
(b) Initial approval of an organization's examination category shall include confidential review of an examination given each year up to four years immediately preceding the date of approval, so that examinations taken during this time shall be acceptable for licensure purposes. 
(c) Timeframes for processing applications for approval of a certifying organization's examination in a clinical laboratory science category for licensure purposes shall be as follows: 
(1) The department shall notify the applicant organization within 90 days of submission of an application of one of the following: 
(A) That the application is complete and acceptable for processing by the department; or 
(B) That the application is incomplete and not accepted for processing. This notification shall include the specific information or documentation that the applicant shall submit within 30 days in order for the department to consider the application acceptable; or 
(C) That the application has been reviewed and does not meet the requirements of this section and that approval is denied. 
(2) The department shall consider an application to have been abandoned by any applicant who fails to respond to the department's request to submit specific information or documentation within 30 days of notification pursuant to Section 1031.8(c)(1)(B). 
(d) Written notification by the department to the applicant organization shall be considered to occur on the date the documents are postmarked, 
(e) A certifying organization shall notify the department in writing of any change in the information and materials required by this section within 30 days after the change has occurred. 
(f) Failure to meet and maintain the requirements of this section shall be good cause for denial or revocation of approval by the department. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1208, 1228, 1261, 1261.5, 1262, 1263 and 1264, Business and Professions Code. 
HISTORY

1. New section filed 1-13-2005 as an emergency; operative 1-13-2005 (Register 2005, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-13-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-12-2005 order, including amendment of subsections (a)(12), (a)(17), (a)(20), (a)(25) and (b) and repealer of subsection (c) with subsection relettering, transmitted to OAL 8-3-2005 and filed 9-12-2005 (Register 2005, No. 37).
§1031.9. Conditions for Renewal of a Certifying Organization's Approval to Administer Examinations Acceptable for Licensure Purposes.
Note     •     History

(a) Approval of a certifying organization shall be valid for a period of four years unless revoked. At least 120 days prior to the end of the approval period, the certifying organization that wants to continue approval of its examination shall apply for reapproval. Failure to reapply 120 days in advance shall cause a lapse in approval after which time the examination would not be acceptable for licensure purposes until the certifying organization regains approval. A certifying organization that fails to reapply at least 120 days in advance and subsequently elects to seek approval shall make application pursuant to Section 1031.8. 
(b) To apply for renewal of a certifying organization's approval to administer examinations, the organization shall provide the following: 
(1) The name and address of the certifying organization; and 
(2) Names of the organization's officer(s) and board of directors; and 
(3) Name of the person designated by the organization to be responsible for overseeing the administration and coordination of all examination activities; and 
(4) A schedule of dates that the examination will be available to California applicants during the next four years; and 
(5) A summary of the performance statistics of the examination during the previous approval period, including the number of California applicants applying for, and successfully passing, the certifying examination, the applicant scores, what efforts have been made to evaluate the examination and update the examination questions to match current practice for the category; and 
(6) The name, title and signature of the person responsible for overseeing the administration and coordination of all examination activities and date of application for renewal. 
(c) The timeframes for processing an application of a certifying organization seeking renewal of its examination approval shall be as follows: 
(1) The certifying organization shall submit an application for renewal of approval of its examination at least 120 days prior to the end of the approval period. 
(2) Within 30 days of receipt of a renewal application, the department shall inform the organization in writing that the renewal application is complete and accepted for review, or deficient and what specific information or documentation is required to complete the application. 
(3) Within 30 days of receiving a completed renewal application, the department shall inform the applicant organization in writing whether the examination has been reapproved or denied. 
(d) Failure to meet and maintain the requirements of this section shall be good cause for denial of reapproval by the department. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1208, 1228, 1261, 1261.5, 1262, 1263 and 1264, Business and Professions Code. 
HISTORY

1. New section filed 1-13-2005 as an emergency; operative 1-13-2005 (Register 2005, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-13-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-12-2005 order, including amendment of subsections (a), (b)(6) and (c)(2), transmitted to OAL 8-3-2005 and filed 9-12-2005 (Register 2005, No. 37).
§1032. Examination for Clinical Laboratory Technologist's License.
Note     •     History

With the exception as provided in Section 1262 of the Business and Professions Code, written, oral, or practical examinations shall be conducted by the department to aid it in judging the qualifications of applicants for licensure as clinical laboratory technologists. In addition to the requirements for licensure as specified in Section 1261 of the Business and Professions Code, the prerequisites for entrance into the licensing examination shall be one of the following:
(a) Graduation from a college or university maintaining standards equivalent, as determined by the department, to those institutions accredited by the Western Association of Schools and Colleges, or an essentially equivalent accrediting agency, with a baccalaureate and a major in clinical laboratory science, the last year of which course shall have been primarily clinical laboratory procedures in a clinical laboratory training school acceptable to the department; or
(b) Graduation from a college or university maintaining standards equivalent, as determined by the department, to those institutions accredited by the Eastern Association of Schools and Colleges, or an essentially equivalent accrediting agency, with a baccalaureate and courses pertinent to the clinical laboratory field as may be determined by the department plus one year as a clinical laboratory technologist trainee or the equivalent as determined by the department in a clinical laboratory acceptable to the department; provided, however, that a baccalaureate obtained after July 1, 1973, must include at least:
(1) 16 semester or equivalent quarter hours of chemistry, including instruction in analytical and biological chemistry;
(2) 18 semester or equivalent quarter hours of biological science, including instruction in immunology, hematology and medical microbiology which may include bacteriology, mycology, virology and parasitology;
(3) 3 semester or equivalent quarter hours of physics, including instruction in principles of light and electricity; or
(c) A minimum of two years of experience as a licensed trainee or the equivalent as determined by the department doing clinical laboratory work embracing the various fields of clinical laboratory activity in a clinical laboratory acceptable to the department and 90 semester hours or equivalent quarter hours of university or college work in which are included the following coursed, or essential equivalent as may be determined by the department: general inorganic chemistry--8; quantitative analysis--3; basic biological sciences--8; bacteriology--4; provided, however, that university or college work completed after July 1, 1973, must include at least:
(1) 16 semester or equivalent quarter hours of chemistry, including instruction in analytical and biological chemistry;
(2) 18 semester or equivalent quarter hours of biological science including instruction in immunology, hematology and medical microbiology which may include bacteriology, mycology, virology and parasitology;
(3) 3 semester or equivalent quarter yours of physics, including instruction in principles of light and electricity.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Sections 1246, 1261, 1262, 1263, 2164 and 1301, Business and Professions Code.
HISTORY

1. New section filed 11-25-70 as procedural and organizational; designated effective 11-24-70 (Register 70, No. 48).
2. Certificate of Compliance--Sec. 11422.1, Gov. code, filed 1-20-71 (Register 71, No. 4).
3. Amendment filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§1032.5. Licensure of Medical Laboratory Technicians.
Note     •     History

(a) In order to qualify for licensure as a medical laboratory technician, a person shall apply for a license pursuant to Section 1031.4 (b) and meet the following requirements: 
(1) Have successfully completed at least 60 semester (90 quarter) units from an accredited college or university. The coursework shall consist of at least 36 semester units of physical and biological sciences with an emphasis on applied clinical science. Coursework shall include 6 semester units of chemistry and 6 semester units of biology appropriate for transfer to a baccalaureate program in science, taken prior to, or concurrently with, training or experience; and 
(2) Have met the following training or experience requirements by documenting one of the following: 
(A) Graduating from a medical laboratory technician training program accredited by the National Accrediting Agency for Clinical Laboratory Sciences (NAACLS); or 
(B) Graduating from a medical laboratory technician training program approved by the department pursuant to Section 1035.3; or 
(C) Meeting admission requirements for a clinical laboratory scientist licensing examination, as determined by the department pursuant to Section 1032; or 
(D) Completing a minimum of three years on-the-job practical experience within the previous five years, in a clinical laboratory outside California as a medical laboratory technician, with evidence of satisfactory performance on an examination given by a certifying organization for medical laboratory technicians, performing tests in the specialties of chemistry, hematology, microbiology, and immunology. This work experience shall include at least 480 hours in each of these specialties and shall be documented by the laboratory director(s) of the laboratory(ies) employing the applicant pursuant to Section 1031.4(b)(8); or 
(E) Completing a minimum of three years on-the-job practical experience within the previous five years, in a clinical laboratory outside California as a clinical laboratory scientist, with evidence of satisfactory performance on an examination given by a certifying organization for clinical laboratory scientists, performing tests in the specialties of chemistry, hematology, microbiology, and immunology. This clinical laboratory scientist, also called medical technologist in some states, need not be California licensed pursuant to Business and Professions Code section 1204, but shall have work experience outside California of at least 480 hours in each of these specialties as documented by the laboratory director(s) of the laboratory(ies) employing the applicant pursuant to Section 1031.4(b)(8); or 
(F) Completing a minimum of three years on-the-job practical experience within the previous five years, as a medical laboratory technician or clinical laboratory scientist in a California physician office laboratory or in a laboratory owned and operated by the United States of America. This person shall have evidence of satisfactory performance on an examination given by a certifying organization for medical laboratory technicians or clinical laboratory scientists, respectively, and have performed tests in the specialties of chemistry, hematology, microbiology and immunology. This work experience shall include at least 480 hours in each of these specialties, and shall be documented by the physician(s) directing the laboratory(ies) employing the applicant pursuant to Section 1031.4(b)(8); and 
(3) Have passed a written examination for medical laboratory technicians administered by a certifying organization for medical laboratory technicians approved by the department pursuant to Section 1031.8. The department shall, for licensure purposes, accept evidence of satisfactory performance on examinations taken within the four years previous to department approval of a certifying organization's medical laboratory technician examination. The applicant shall have also passed a separate written, self-administered examination on California clinical laboratory law provided by the department. This self-administered test shall accompany the application. A minimum passage rate of 70 percent shall be required.
(b) A licensed medical laboratory technician shall be authorized to: 
(1) Perform tests and examinations classified as waived and moderate complexity by Centers for Disease Control and Prevention in the specialties of chemistry, including routine chemistry, urinalysis, endocrinology and toxicology; hematology including coagulation; microbiology, including bacteriology, mycobacteriology, mycology, parasitology and virology; and immunology, including syphilis serology and general immunology, with the exception of those moderate complexity tests requiring microscopy, or in the specialty of immunohematology. 
(2) Perform phlebotomy, but shall not perform skin tests for specific diseases pursuant to Section 1242 of the Business and Professions Code. 
(3) Perform tests and examinations under the supervision of a licensed physician and surgeon, or a doctoral scientist, clinical laboratory bioanalyst, clinical laboratory scientist, or clinical laboratory specialist licensed under Chapter 3. On-site supervision shall be required during the entire time the medical laboratory technician performs moderate complexity clinical laboratory tests or examinations. The ratio of medical laboratory technician to supervisor at the site of moderate complexity testing shall not exceed four to one. 
(4) Report test results and perform phlebotomy only after competency has been documented by the laboratory director pursuant to Section 1209(e) of the Business and Professions Code. 
(5) Supervise Limited Phlebotomy Technicians or Certified Phlebotomy Technician Is. 
(c) The license application fee and license renewal fee for a medical laboratory technician shall be the same as the license application fee and license renewal fee for a clinical laboratory scientist pursuant to Section 1300(c) and (e) of the Business and Professions Code. 
(d) A medical laboratory technician shall complete twelve hours of continuing education each year as a condition for renewal. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1202.5, 1204, 1206, 1206.5, 1208, 1209, 1210, 1242, 1260.3, 1261, 1275, 1300 and 1320, Business and Professions Code. 
HISTORY

1. New section filed 1-13-2005 as an emergency; operative 1-13-2005 (Register 2005, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-13-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-12-2005 order, including amendment of subsections (a)(3), (b)(1), (b)(3) and (b)(5), transmitted to OAL 8-3-2005 and filed 9-12-2005 (Register 2005, No. 37).
§1033. Trainee Requirements.
Note     •     History

In addition to the requirements for licensure as specified in Section 1263 of the Business and Professions Code, the prerequisites for licensure as a trainee shall be as follows:
(a) Clinical Laboratory Technologist Trainee. Applicants shall have graduated from a college or university maintaining standards equivalent, as determined by the department, to those institutions accredited by the Western Association of Schools and Colleges or an essentially equivalent agency with a baccalaureate and a major in clinical laboratory science, or a baccalaureate and courses pertinent to the clinical laboratory field as may be determined by the department. An individual who is not a graduate but possesses at least 90 semester hours or equivalent quarter hours of university or college work may be licensed as a clinical laboratory technologist trainee, provided he will be granted a baccalaureate at the conclusion of 12 months of training, and have completed at least 90 semester hours or equivalent quarter hours, must have included in the college work the following courses or essential equivalent as may be determined by the department: general inorganic chemistry--8; quantitative analysis--3; basic biological sciences--8; bacteriology--4; provided, however, that university or college work completed after July 1, 1973, must include at least:
(1) 16 semester or equivalent quarter hours of chemistry, including instruction in analytical and biological chemistry;
(2) 18 semester or equivalent quarter hours of biological science, including instruction in immunology, hematology and medical microbiology which may include bacteriology, mycology, virology and parasitology;
(3) 3 semester or equivalent quarter hours of physics including instruction in principles of light and electricity.
(b) Limited Technologist Trainee. Applicants shall have graduated from a college or university maintaining standards equivalent, as determined by the department, to those institutions accredited by the Western Association of Schools and Colleges or an essentially equivalent accrediting agency with a baccalaureate and a major in the specialty for which licensure is sought. If the major is not designated by the college or university as one of those required under this chapter for limited technologist licenses in clinical chemistry, clinical microbiology, immunohematology, or toxicology, the department may determine the essentially equivalent major.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: sections 1246, 1261, 1262, 1263, 1264 and 1301, Business and Professions Code.
HISTORY

1. New section filed 11-25-70 as procedural and organizational; designated effective 11-24-70 (Register 70, No. 48).
2. Certificate of Compliance--Sec. 11422.1, Gov. Code, filed 1-20-71 (Register 71, No. 4).
3. Amendment of subsection (a) filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
§1034. Certification of Phlebotomy Technicians.
Note     •     History

(a) The education, training and experience required for certification in phlebotomy shall be as follows: 
(1) For a person to be eligible for certification as a Limited Phlebotomy Technician, he or she shall: 
(A) Be a high school graduate or have achieved a passing score on the general educational development (GED) test or documentation of equivalent education pursuant to Section 1031.4(c)(6)(B); and 
(B) Have completed a minimum of 20 hours basic didactic instruction pursuant to Section 1035.1(e)(1) from a phlebotomy training program approved by the department; and 
(C) Have completed a minimum of 25 skin punctures, performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations, in a clinical setting on patients, under the supervision of a licensed physician and surgeon, licensed physician assistant, licensed clinical laboratory bioanalyst, registered nurse, or licensed clinical laboratory scientist, who will certify in writing with a signed certificate that this training has been completed; and 
(D) Apply to the department for certification as a Limited Phlebotomy Technician pursuant to Section 1031.4(c). 
(2) For a person with no on-the-job experience in phlebotomy to be eligible for certification as a Certified Phlebotomy Technician I, he or she shall: 
(A) Be a high school graduate, or have achieved a passing score on the general educational development (GED) test or documentation of equivalent education pursuant to Section 1031.4(c)(6)(B); and 
(B) Have completed a minimum of 40 hours didactic instruction pursuant to Section 1035.1(e) from a phlebotomy training program approved by the department; and 
(C) Have completed a minimum of 40 hours practical instruction from a phlebotomy training program approved by the department pursuant to Section 1035.1(f), which instruction shall include completion of a minimum of 10 skin punctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations and 50 venipunctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations; and 
(D) Have passed a written examination in phlebotomy administered by a certifying organization approved by the department pursuant to Section 1031.7; and 
(E) Apply to the department for certification as a Certified Phlebotomy Technician I pursuant to Section 1031.4(c). 
(3) For a person who has less than 1040 hours on-the-job experience in phlebotomy to be eligible for certification as a Certified Phlebotomy Technician I, he or she shall: 
(A) Be a high school graduate or have achieved a passing score on the general educational development (GED) test or documentation of equivalent education pursuant to Section 1031.4(c)(6)(B); and 
(B) Have completed a minimum of 40 hours didactic instruction pursuant to Section 1035.1(e) from a phlebotomy training program approved by the department; and 
(C) Have a letter signed by a licensed physician and surgeon or licensed clinical laboratory bioanalyst directing the laboratory employing the person attesting his or her completion of a specified number of hours of on-the-job experience in phlebotomy within the previous five years, which shall include the activities listed in Section 1035.1(f) and completion of a minimum of 10 skin punctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations and 50 venipunctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations; and 
(D) Have passed a written examination in phlebotomy administered by a certifying organization approved by the department pursuant to Section 1031.7; and 
(E) Apply to the department for certification as a Certified Phlebotomy Technician I pursuant to Section 1031.4(c). 
(4) For a person who has 1040 hours or more of on-the-job experience in phlebotomy to be eligible for certification as a Certified Phlebotomy Technician I, he or she shall: 
(A) Be a high school graduate or have achieved a passing score on the general educational development (GED) test or documentation of equivalent education pursuant to Section 1031.4(c)(6)(B); and 
(B) Have completed a minimum of 20 hours advanced didactic instruction pursuant to Section 1035.1(e)(2) from a phlebotomy training program approved by the department; and 
(C) Have a letter signed by a licensed physician and surgeon or licensed clinical laboratory bioanalyst directing the laboratory employing the person attesting his or her completion of a specified number of hours of on-the-job experience in phlebotomy within the previous five years which shall include the activities listed in Section 1035.1(f) and completion of a minimum of 10 skin punctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations and 50 venipunctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations; and 
(D) Have passed a written examination in phlebotomy administered by a certifying organization approved by the department pursuant to Section 1031.7; and 
(E) Apply to the department for certification as a Certified Phlebotomy Technician I pursuant to Section 1031.4(c). 
(5) For a person to be eligible for certification as a Certified Phlebotomy Technician II, he or she shall: 
(A) Be a Certified Phlebotomy Technician I who holds a current, valid certificate from the department or who meets certification requirements as a Certified Phlebotomy Technician I pursuant to Section 1034(a)(4)(A)-(D) and who has at least 1040 hours on-the-job experience in phlebotomy in the previous 5 years as certified in writing by the director(s) of the laboratory(ies) employing the person; and 
(B) Have completed a minimum of 20 arterial punctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations and performed under the general overall responsibility of a licensed physician and surgeon, licensed physician assistant, licensed clinical laboratory bioanalyst, registered nurse, respiratory care practitioner or a licensed clinical laboratory scientist, who will certify in writing that this person has completed this practical instruction; and 
(C) Apply to the department for certification as a Certified Phlebotomy Technician II pursuant to Section 1031.4(c). 
(b) Performance of phlebotomy by a person certified by the department shall be limited as follows: 
(1) A Limited Phlebotomy Technician shall perform skin punctures only when he or she: 
(A) Maintains a current, valid certification with the department as a Limited Phlebotomy Technician; and 
(B) Performs skin punctures under the supervision of a licensed physician and surgeon, licensed physician assistant, licensed clinical laboratory bioanalyst, registered nurse, licensed clinical laboratory scientist or a designee. A designee shall be licensed or certified under Chapter 3 and shall be accountable to the laboratory director for skin punctures and other duties related to blood collection performed by the Limited Phlebotomy Technician. The supervisor shall review the work of the technician at least once a month and be accessible to the location where the technician is working to provide on-site, telephone, or electronic consultation when blood is being collected; and 
(C) Is shown to be competent to perform skin punctures after employment without direct and constant supervision before being allowed to perform skin puncture on patients. Documentation of competency shall be done at least annually; and 
(D) Has completed at least three hours per year, or six hours every two years, of continuing education in phlebotomy related courses from a provider of continuing education approved pursuant to Article 2.5; and 
(E) Has posted at the work location in the laboratory employing the person, a current, valid state certificate as a Limited Phlebotomy Technician. When performing skin punctures away from the posted location, the Limited Phlebotomy Technician shall carry a current, valid identification card issued by the department attesting the person's name, certificate type and effective dates of certification as a Limited Phlebotomy Technician. 
(2) A Certified Phlebotomy Technician I shall perform skin punctures and venipunctures only when he or she: 
(A) Maintains a current, valid certification with the department as a Certified Phlebotomy Technician I; and 
(B) Performs skin punctures and venipunctures under the supervision of a licensed physician and surgeon, licensed physician assistant, licensed clinical laboratory bioanalyst, registered nurse, licensed clinical laboratory scientist or a designee. A designee shall be a person licensed or certified under Chapter 3 and shall be accountable to the laboratory director for skin punctures, venipunctures and other duties related to blood collection performed by the Certified Phlebotomy Technician I. The supervisor shall review the work of the technician at least once a month and be accessible to the location where the technician is working to provide on-site, telephone, or electronic consultation as needed; and 
(C) Is shown to be competent to perform skin puncture and venipuncture after employment without direct and constant supervision before being allowed to perform skin punctures or venipunctures on patients. Documentation of competency shall be done at least annually; and 
(D) Has completed at least three hours per year, or six hours every two years, of continuing education in phlebotomy related courses from a provider of continuing education approved pursuant to Article 2.5; and 
(E) Has posted at the work location of the laboratory employing the person, a current, valid state certificate as a Certified Phlebotomy Technician I. When performing skin punctures or venipunctures away from the posted location, the Certified Phlebotomy Technician I shall carry a current, valid identification card issued by the department attesting the person's name, certificate type and effective dates of certification as a Certified Phlebotomy Technician I. 
(3) A Certified Phlebotomy Technician II shall perform skin punctures and venipunctures only under conditions pursuant to Section 1034(b)(2), and shall be limited to performing arterial punctures only when a licensed physician and surgeon, licensed physician assistant, licensed clinical laboratory bioanalyst, registered nurse, licensed clinical laboratory scientist or a respiratory care practitioner is present at the location during performance of an arterial puncture, and when he or she: 
(A) Maintains a current, valid certification with the department as a Certified Phlebotomy Technician II; and 
(B) Is shown to be competent to perform arterial punctures after employment by direct, personal observation and documentation of his or her expertise in arterial punctures by a licensed physician and surgeon, licensed physician assistant, licensed clinical laboratory bioanalyst, registered nurse, licensed clinical laboratory scientist or a respiratory care practitioner. Documentation of competency shall be done at least annually; and 
(C) Has completed at least three hours per year, or six hours every two years, of continuing education in phlebotomy related courses from a provider of continuing education approved pursuant to Article 2.5; and 
(D) Has posted at the work location in the laboratory employing the person, a current, valid state certificate as a Certified Phlebotomy Technician II. When performing arterial punctures, skin punctures, or venipunctures away from the posted location, the Certified Phlebotomy Technician II shall carry a current, valid identification card issued by the department attesting the person's name, certificate type and effective dates of certification as a Certified Phlebotomy Technician II. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1208, 1212, 1220, 1242, 1242.5, 1246 and 1269, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. Amendment filed 7-2-73 as an emergency; effective upon filing (Register 73, No. 27). For prior history, see Register 72, No. 32.
2. Certificate of Compliance filed 10-24-73 (Register 73, No. 43).
3. Amendment filed 1-18-74; effective thirtieth day thereafter (Register 74, No. 3).
4. Amendment filed 12-12-75; effective thirtieth day thereafter (Register 75, No. 50).
5. Repealer and new section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1034.1. Unlicensed Personnel, Laboratory Aides.
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. 
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Repealer of section and new Note filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1034.2. Unlicensed Personnel, Cytotechnologist.
Note     •     History

NOTE

Authority cited: Section 1224, Business and Professions Code; Section 208, Health and Safety Code. Reference: Section 1270, Business and Professions Code; Section 1002, Health and Safety Code. 
HISTORY

1. Amendment filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50). For prior history, see Register 74, No. 18.
2. Repealer filed 11-18-93 as an emergency; operative 11-18-93 (Register 93, No. 47).  A Certificate of Compliance must be transmitted  to OAL  by 3-18-94 or emergency changes will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-18-93 order transmitted to OAL 3-18-94 and filed 4-29-94 (Register 94, No. 17).
Article 2. Training
§1035. Training Schools.
History

(a) Any person operating a school or conducting any course for the purpose of training or preparing individuals for a license under the provisions of Chapter 3, Division 2 of the Business and Professions Code shall submit, on forms provided by the department and subject to periodic renewal, such information as may be required by the department to satisfactorily evaluate the personnel, equipment, quality of instruction, and scope of activities of said schools.
(b) Persons providing instruction in general or specialized technic shall provide training which when successfully completed will fully qualify individuals to meet the minimum requirements for licensure under the provisions of Article 4, Chapter 3, Division 2 of the Business and Professions Code.
(c) A training school shall accept a person licensed for training in clinical laboratory procedures only if there are on active duty in the laboratory a minimum of two full-time actively employed persons who possess any of the following licenses: clinical laboratory technologist, clinical laboratory bioanalyst, physician and surgeon, or appropriate laboratory specialty.
(d) The ratio of licensed clinical laboratory personnel to trainees shall be no less than 2:1.
(e) The following shall be minimum requirements for approval of laboratories to employ clinical laboratory technologist trainees as provided for in Article 2 of Chapter 3, Division 2 of the Business and Professions Code:
(1) There shall be adequate space and necessary equipment as defined by the department to carry out the procedures of the laboratory and to provide training for the clinical laboratory technologist trainees.
(2) The workload of the laboratory training clinical laboratory technologist trainees shall meet minimum standards set by the department and shall include at least the following: routine chemical determinations commonly required on blood, spinal fluid, and other body fluids; morphological, cultural, chemical and immunological tests for microbial pathogens; tests for helminths and protozoa; examinations for normal and abnormal blood cells; sedimentation rates, bleeding and coagulation time determinations and other commonly employed tests in hematology; precipitation, flocculation, agglutination or complement fixation tests; blood typing, Rh factor determinations and pretransfusion procedures; commonly employed serological tests; routine and microscopic urinalyses and such other technics as may be required to properly instruct clinical laboratory technologist trainees in current clinical laboratory procedures.
(3) The amount of practical training required by each clinical laboratory technologist trainee in order to fulfill the minimum requirements for admission to the licensing examinations shall be in accordance with the provisions of Article 4, Chapter 3, Division 2 of the Business and Professions Code. When one year of practical training in all subjects is necessary, the minimum time devoted to each shall be as follows:

Biochemistry 	 12 Weeks
Hematology 	 8 Weeks
Pretransfusion Procedures 	 4 Weeks
Urinalysis 	 4 Weeks
Bacteriology 	 9 Weeks
Serology 	 4 Weeks
Parasitology 	 3 Weeks
Miscellaneous and review 	 8 Weeks
(4) When less than one or more than one year of practical training is required toward admission to the clinical laboratory technologists' examination, the above time devoted to the various subjects shall be decreased or increased proportionately after the laboratory director has secured approval from the department for the modification.
(5) However, when one or more years of practical training in any one basic science or specialty is necessary, the laboratory director shall modify this schedule, subject to prior approval by the department, so that the area of concentration is in one or more subjects.
(6) Unless a trainee is a college graduate, he must receive during the course of his training program a minimum of 40 clock hours of recitation or instruction in the subjects covered in clinical laboratory work other than that received as practical training in the laboratory. Any laboratory school approved for specialist or limited technologist training must provide the department with adequately documented workload and program information and must comply with the minimum requirements heretofore stated in that special field of training.
(7) The requirements for the members of the teaching staff must be those considered minimum for licensure, and in addition, persons with an advanced degree in one or more of the fields covered in the curriculum may be included on the teaching staff.
(8) The director of any school shall supply sufficient information to the department to satisfy the department that adequate specimen material will be made available for training purposes.
(9) There shall be available to persons receiving training a technical library adequate in the number of copies of each text book.
(10) The names and addresses of persons receiving training are to be reported to the department at the time of entrance to course and again at completion of course.
(11) The department may require such other information as may be necessary to satisfactorily evaluate the application for approval including periodic on-site reviews.
(12) Approval for training granted by the department pursuant to requirements of this section may be denied or withdrawn if the school is unable to meet or maintain these requirements.
(f) Colleges or universities accredited by the Western College Association or the Northwest Association of Secondary and Higher Schools or an essentially equivalent accrediting agency, as determined by the department, conducting courses for the purpose of training or preparing persons for a license under the provisions of Chapter 3, Division 2 of the Business and Professions Code, shall be considered approved by the department. Provided, however, that when such training is carried out in cooperation with other laboratories than those of said institutions, specific approval shall be obtained.
HISTORY

1. Amendment filed 10-22-57; effective thirtieth day thereafter (Register 57, No. 18).
2. Amendment filed 10-1-62; effective thirtieth day thereafter (Register 62, No. 21).
3. Amendment filed 5-18-64; effective thirtieth day thereafter (Register 64, No. 11).
4. Repealer and new section filed 12-28-71; effective thirtieth day thereafter (Register 72, No. 1).
§1035.1. Phlebotomy Training Program Requirements.
Note     •     History

(a) In order to be eligible for approval by the department to provide didactic and/or practical phlebotomy instruction leading to certification of phlebotomists, a phlebotomy training program shall meet the requirements of this section and be offered by either a: 
(1) National Accrediting Agency for Clinical Laboratory Sciences (NAACLS) approved program for training phlebotomists; or 
(2) Accredited college or university; or 
(3) Private, post-secondary program or occupational program registered or approved by the Bureau for Private Postsecondary and Vocational Education; or 
(4) California Adult Education or Regional Occupational Program (ROP); or 
(5) United States of America military medical laboratory specialist program; or 
(6) California licensed clinical laboratory. 
(b) A phlebotomy training program shall be directed by a licensed physician and surgeon, licensed physician assistant, registered nurse, or person licensed under Chapter 3, who shall be responsible for: 
(1) Overall operation and administration of the phlebotomy training program; and 
(2) Ensuring the quality of the technical, scientific and clinical instruction; and 
(3) Ensuring that the person(s) providing instruction meets the qualifications of this section; and 
(4) Ensuring that the person(s) providing instruction is competent and that his or her work performance is periodically evaluated, monitored and documented. 
(c) The person(s) providing instruction shall be a: 
(1) Licensed physician and surgeon; or 
(2) Licensed physician assistant; or 
(3) Registered nurse; or 
(4) Person licensed under Chapter 3; or 
(5) Respiratory care practitioner with a minimum of 2 years experience in the previous 5 years; or 
(6) Certified phlebotomy technician with a minimum of 3 years of experience in the previous 5 years or a phlebotomist with 3 years of experience in the previous 5 years and employed as a phlebotomy instructor, who shall meet certification requirements pursuant to Section 1034(a)(4) on or before December 31, 2003. 
(d) Person(s) specified in Subsection (c)(1) through (5) shall pass a written examination in phlebotomy, administered by a certifying organization approved by the department pursuant to Section 1031.7 either: 
(1) Prior to employment by a phlebotomy training program approved by the department pursuant to this section; or 
(2) No later than December 31, 2003, if employed as a phlebotomy instructor on or before April 9, 2003. 
(e) An approved phlebotomy training program shall provide the following didactic instruction to its students: 
(1) A basic phlebotomy curriculum consisting of a minimum of 20 hours lecture and testing for knowledge of: 
(A) Basic infection control, universal precautions and safety; and 
(B) Basic anatomy and physiology of body systems with emphasis on the circulatory system, the appropriate medical terminology; and 
(C) Proper identification of patient and specimens, the importance of accuracy in overall patient care; and 
(D) Proper selection and preparation of skin puncture site, including selection of antiseptic; and 
(E) Blood collection equipment, types of tubes and additives, proper order of draw when additives are required, special precautions; and 
(F) Post-puncture care; and 
(G) Appropriate disposal of sharps, needles and waste. 
(2) An advanced phlebotomy curriculum consisting of a minimum of 20 hours of lecture and testing for knowledge of: 
(A) Advanced infectious disease control and biohazards; and 
(B) Anti-coagulation theory; and 
(C) Knowledge of pre-analytical sources of error in specimen collection, transport, processing and storage; and 
(D) Anatomical site selection and patient preparation; and 
(E) Risk factors and appropriate responses to complications which may arise from phlebotomy; and 
(F) Recognition of, and corrective actions to take, with problems in test requisitions, specimen transport and processing; and 
(G) Applications of basic concepts of communication, interpersonal relations, stress management, professional behavior, ethics and legal implications of phlebotomy; and 
(H) Quality assurance in phlebotomy necessary to provide accurate and reliable laboratory test results; and 
(I) Legal issues related to blood collection. 
(f) An approved phlebotomy training program shall provide a clinical setting for a minimum of 40 hours of practical instruction in phlebotomy. This setting shall provide access to patients whose blood is being tested by a clinical laboratory. In order for a program to be eligible for approval by the department, it shall provide documentation of a training curriculum that includes: 
(1) Selection of blood collection equipment appropriate to test requisitions; and 
(2) Preparation of the patient and infection control; and 
(3) Skin punctures for testing purposes from patients of varying ages, including pediatric and geriatric, and of varying health and obesity status; and 
(4) Venipunctures from patients of varying ages, health and obesity status; and 
(5) Post-puncture care; and 
(6) Processing of blood containers after collection, including centrifugation; and 
(7) Proper disposal of needles, sharps and medical waste; and 
(8) Observation of arterial punctures; and 
(9) A practical examination showing evidence of successful completion of Subsections (f)(1) through (7). 
(g) A phlebotomy training program shall be responsible for assuring that a student completes a minimum of 10 skin punctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements and 50 venipunctures performed pursuant to the Business and Professions Code Section 1220(d)(1) or (d)(2)(A) that fulfill all sampling requirements of all clinical laboratory tests or examinations during or after his or her practical instruction. 
(h) A phlebotomy training program shall provide a certificate of completion to its students upon satisfactory completion of the program. The program shall maintain a copy of this certificate for five years. This certificate shall be signed by the director of the program and shall include: 
(1) Name and address of the training program; and 
(2) Name of the student; and 
(3) Statement of satisfactory completion of the program; and 
(4) Dates that training began and ended. 
(i) A phlebotomy training program seeking approval from the department shall provide documentation to substantiate that its program objectives meet training criteria stated in this section. Verification may include an on-site inspection of the program. 
(j) A complete application for phlebotomy training program approval shall include the following: 
(1) Name and address of the training program; and 
(2) Location(s) of all sites where didactic and practical instruction occur; and 
(3) Name(s) and license number(s) of the physician and surgeon, physician assistant, registered nurse, or person licensed under Chapter 3 who is directing the program; and 
(4) Name(s), license number(s) or certificate number(s), experience in phlebotomy, and evidence of satisfactory performance on a phlebotomy certification examination administered by a certifying organization with departmental approval in effect at the time the examination was administered, of every physician and surgeon, physician assistant, registered nurse, person licensed under Chapter 3, respiratory care practitioner, certified phlebotomy technician, or phlebotomist pursuant to Subsection (c)(6) who is supervising or providing instruction; and 
(5) List of equipment, supplies and educational materials used for instruction; and 
(6) Curriculum and instructional objectives, including hours spent at each activity. 
(k) Timeframes for approval of training programs shall be as follows: 
(1) Submission of an application for approval shall be deemed to occur on the date the complete application is received by the department. 
(2) Written notification by the department to the applicant shall be considered to occur on the date the documents are postmarked. 
(3) The department shall notify the applicant within 60 days of submission of an application for training program approval, of one of the following: 
(A) That the application is complete and acceptable for processing by the department; or 
(B) That the application is incomplete and not accepted for processing. This notification shall include the specific information or documentation that the applicant shall submit within 30 days in order for the department to consider the application acceptable; or  
(C) That the application has been reviewed and does not meet the requirements of this section and that approval is denied. 
(4) The department shall consider an application to have been abandoned by any applicant who fails to respond to the department's request to submit specific information or documentation within 30 days of notification pursuant to Section 1035.1(k)(3)(B). 
(5) The department's time periods for processing an application, from the date the initial application is received to the date the final decision is made regarding approval, are as follows: 
(A) The median time for processing an application is 90 days. 
(B) The minimum time for processing is 30 days. 
(C) The maximum time for processing is 150 days. 
(l) Approval shall be valid for a two-year period. 
(m) To apply for renewal, a training program shall file a renewal application at least 60 days prior to the end of the approval period and provide the following: 
(1) The name and address of the training program; and 
(2) The name and license number of all directors; and 
(3) The name, license or certificate number of all instructors; and 
(4) The name(s) and location(s) of all didactic and practical instruction; and 
(5) The curriculum and instructional objectives, including hours spent at each activity; and 
(6) The schedule of didactic and practical instruction for the next 24 months; and 
(7) The listing of students who completed its program and the total number of students who enrolled in its program in the previous approval period; and 
(8) The signature of the director(s) and date of the application for renewal. 
(n) Failure to meet the requirements of this section shall be good cause for denial or revocation of approval by the department. 
(o) The training program shall notify the department in writing of any change(s) in the information and material required by Subsections (a) through (h) within 30 days after the change(s) has occurred. 
NOTE

Authority cited: Sections 1224 and 1320, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1208, 1220, 1222, 1222.5, 1242, 1242.5, 1246, 1269 and 1300, Business and Professions Code; and Section 120580, Health and Safety Code. 
HISTORY

1. New section filed 1-9-2003; operative 4-9-2003 (Register 2003, No. 2).
§1035.3. Medical Laboratory Technician Training Program Standards.
Note     •     History

(a) In order to be eligible for approval by the department, a medical laboratory technician training program shall be offered by either a: 
(1) California licensed clinical laboratory; or 
(2) Accredited college or university in the United States of America; or 
(3) United States of America military medical laboratory specialist program of at least 26 weeks duration; or 
(4) Laboratory owned and operated by the United States of America. 
(b) The program director of a medical laboratory technician training program shall be a physician and surgeon licensed under Chapter 5, or a doctoral scientist, clinical laboratory bioanalyst, clinical laboratory scientist or clinical laboratory specialist licensed under Chapter 3. The program director shall be responsible for the content, quality and conduct of the training program and shall: 
(1) Employ instructors who are physicians and surgeons licensed under chapter 5; doctoral scientists, clinical laboratory bioanalysts, clinical laboratory scientists, or clinical laboratory specialists licensed under chapter 3; medical laboratory technicians with five years practical experience licensed under Chapter 3; or public health microbiologists certified pursuant to Health and Safety Code Section 101160. 
(2) Assure that training includes at least 26 weeks, consisting of at least 1040 hours, of instruction and practical experience in moderate complexity testing in chemistry, including routine chemistry, urinalysis, endocrinology and toxicology; hematology; microbiology, including bacteriology, mycobacteriology, mycology, parasitology and virology; and immunology, including syphilis serology and general immunology. The training shall include at least 160 hours each in chemistry, hematology, microbiology and immunology. 
(3) Provide didactic training in: 
(A) Pre-analytical skills including phlebotomy, specimen processing, reagent preparation, and infection control, as specified in Section 1035.1(e) and (f); and 
(B) Analytical skills required for performing tests of waived or moderate complexity, including quality control, test calibration, quality assurance, legal requirements for documentation of testing, data storage and retrieval, safety and standard precautions, troubleshooting, preventive maintenance, reagent preparation and storage; and 
(C) Post-analytical skills such as knowledge of factors that influence test results and the ability to access and verify the validity of patient test results through review of quality control values prior to reporting patient test results; and 
(D) Test methods commonly used in chemistry, hematology, microbiology and immunology, including clinical significance of test results, how the tests interrelate and how the tests impact diagnosis and treatment, quality assessment of test results, information processing and regulatory compliance in state and federal law. 
(4) Provide practical training in: 
(A) Phlebotomy that shall include 40 hours instruction and successful completion of a minimum of 10 skin punctures and 50 venipunctures, as specified in Section 1035.1(f); and 
(B) Instruction and practical experience in the use of instruments; and 
(C) Preventive maintenance and problem solving malfunctions of instruments; and 
(D) Knowledge of instrument and test parameters to assess reasonableness of results; and 
(E) Validation of moderate complexity test methods and clinical correlation of test results. 
(c) A medical laboratory technician training program shall provide a certificate of completion to its students upon satisfactory completion of the program. The program shall maintain a copy of this certificate for at least five years. This certificate shall be signed by the director of the program and shall include: 
(1) Name and address of the training program; and 
(2) Name of the student; and 
(3) Statement of satisfactory completion of the program; and 
(4) Dates that training began and ended. 
(d) A program approved to train medical laboratory technicians shall maintain records of its students for at least five years and shall make available to the department documentation of the students successfully completing their training. 
(e) A medical laboratory technician training program seeking approval from the department shall provide documentation to substantiate that its program objectives meet training criteria stated in this section. 
(f) A medical laboratory technician training program shall be allowed to document program compliance with the requirements of this section for a period dating up to four years prior to their initial application, after the date of implementation of these standards. The program shall document that, during the time preceding initial approval, the training program met the standards pursuant to Section 1035.3(a) and (b). 
(g) A complete application for a medical laboratory technician training program shall include the following: 
(1) The name and address of the primary training program, including city, state, county and zip code; telephone number, FAX number and e-mail address; and 
(2) The location(s) of all sites where training will be conducted, including city, state and zip code; and 
(3) The name(s) and qualifications of the person(s) directing and instructing in the program including a copy of current licensure for each person. Training programs in the United States of America but outside California shall provide evidence that the director(s) and instructor(s) substantially meet this licensure requirement by documenting inclusion, licensure or certification in a class of personnel similar to those required in Chapter 3 or requiring equivalent standards; and 
(4) Dates the training program was conducted if prior approval is requested as specified in Section 1035.3(f); and 
(5) The didactic curriculum listing each class or topic with instructional objectives, the instructor(s) and the amount of time allocated for each class or topic, pursuant to Section 1035.3(b)(3); and 
(6) Documentation of practical training in pre-analytical, analytical and post-analytical skills, including instructor(s) and hours spent at each activity, list of equipment, supplies and materials used pursuant to Section 1035.3(b)(4); and 
(7) The signature(s) of the program director(s), telephone number(s) and date of application. 
(h) A medical laboratory technician training program approval shall be valid for a four-year period. To apply for renewal, the training program shall file an application at least 120 days prior to the end of the approval period providing the following: 
(1) The name and address of the primary training program, including city, state, county and zip code, telephone number, FAX number and e-mail address; and 
(2) The name, address, and telephone number(s) of the director(s) and instructor(s), providing documentation of their current licensure; and 
(3) Any changes in training locations, didactic and practical instruction, course objectives, equipment, supplies and materials, that shall be made to the program from that approved in the previous application; and 
(4) A listing of all students who completed its program and the total number of students who enrolled in its program during the previous approval period; and 
(5) The signature(s) of the program director(s) and the date of application for renewal. 
(i) The training program shall notify the department in writing of any change(s) in the information and materials required by Section 1035.3(b) through (d) within 30 days after the change(s) has occurred. 
(j) Failure to meet and maintain the requirements of this section shall be good cause for denial or revocation of approval by the department. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206.5, 1208, 1209, 1222, 1222.5, 1242, 1246, 1260.3, 1269,1286 and 1300, Business and Professions Code. 
HISTORY

1. New section filed 1-13-2005 as an emergency; operative 1-13-2005 (Register 2005, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-13-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-12-2005 order, including amendment of subsection (b)(4)(E), transmitted to OAL 8-3-2005 and filed 9-12-2005 (Register 2005, No. 37).
§1035.4. Timeframes for Approval of Training Programs.
Note     •     History

(a) Timeframes for approval of training programs to train clinical laboratory personnel for licensure pursuant to Chapter 3 shall be as follows: 
(1) Submission of an application for approval shall be deemed to occur on the date the application is received by the department. 
(2) Written notification by the department to the applicant program shall be considered to occur on the date the documents are postmarked. 
(3) The department shall notify the applicant within 60 days of submission of an application for training program approval, of one of the following: 
(A) That the application is complete and acceptable for processing by the department; or 
(B) That the application is incomplete and not accepted for processing. This notification shall include the specific information or documentation that the applicant shall submit within 30 days in order for the department to consider the application acceptable; or 
(C) That the application has been reviewed and does not meet the requirements of this section and that approval is denied. 
(4) The department shall consider an application to have been abandoned by any applicant program which fails to respond to the department's request to submit specific information or documentation within 30 days of notification pursuant to Section 1035.4(a)(3)(B). 
(b) Timeframes for processing applications for renewal of approval to train clinical laboratory personnel for licensure pursuant to Chapter 3 shall be as follows: 
(1) The training program shall submit a renewal application at least 120 days prior to the end of the approval period. 
(2) Within 30 days of receipt of a renewal application, the department shall inform the training program in writing that the application is complete and accepted for review, or deficient and what specific information or documentation is required to complete the application. 
(3) Within 30 days of submitting a completed renewal application, the department shall inform the training program in writing whether its application has been approved or denied. 
(4) The department may authorize a training program to extend its approval during the time its application is being reviewed when that training program is in good standing and its application was submitted at least 120 days prior to the end of the approval period. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1261.5, 1263, 1264, 1286 and 1302, Business and Professions Code. 
HISTORY

1. New section filed 1-13-2005 as an emergency; operative 1-13-2005 (Register 2005, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-13-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-12-2005 as an emergency; operative 5-14-2005 (Register 2005, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-12-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-12-2005 order, including subsection (b)(2), transmitted to OAL 8-3-2005 and filed 9-12-2005 (Register 2005, No. 37).
Article 2.3. Clinical Laboratory Supervisors
§1036. Clinical Consultant.
Note     •     History

(a) Every clinical laboratory director, under whom moderate or high complexity tests or examinations are performed, shall either perform the duties of a clinical consultant or employ a clinical consultant who can provide consultation about the appropriateness of testing ordered and interpretation of test results, as specified in Section 1209, chapter 3 of the Business and Professions Code. 
(b) The clinical consultant shall possess a current, valid license issued by the State to direct a clinical laboratory pursuant to chapter 3, Business and Professions Code, or to practice medicine, osteopathy or podiatry pursuant to chapter 5, Business and Professions Code appropriate to the specialties and subspecialties for which he or she is consulting. 
(c) The clinical consultant shall: 
(1) Provide clinical consultation to the clients of the laboratory; and 
(2) Assist in ordering tests appropriate to meet clinical expectations; and 
(3) Ensure that test results include pertinent information required for interpretation; and 
(4) Communicate matters about quality of test results reported and interpretation in relation to specific patient conditions. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1208, 1209, 1209.1 and 1210, Business and Professions Code. 
HISTORY

1. New article 2.3 (sections 1036-1036.4) and section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 72, No. 1.
2. New article 2.3 (sections 1036-1036.4) and section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New article 2.3 (sections 1036-1036.4) and section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of subsections (a) and (b), transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1036.1. General Supervisor.
Note     •     History

(a) Every clinical laboratory director, under whom high complexity tests or examinations are performed, shall either perform the duties of a general supervisor or employ a general supervisor who shall be responsible for day-to-day supervision of laboratory operation and personnel performing and reporting high complexity tests, pursuant to Section 1209, chapter 3 of Business and Professions Code. 
(b) A general supervisor shall: 
(1) Possess an active, valid license issued by the State to perform high complexity testing pursuant to chapter 3 of Business and Professions Code or to practice medicine, osteopathy or podiatry pursuant to chapter 5 of Business and Professions Code appropriate to the specialty or specialties they are supervising; and 
(2) Have a minimum of two years' experience in high complexity testing in the specialty or specialties they are supervising. 
(c) The general supervisor shall be accessible to testing personnel at all times testing is performed by providing on-site, telephone or electronic consultation to resolve technical problems. 
(d) The general supervisor shall be responsible for ensuring that tests and examinations are performed in compliance with chapter 3 of the Business and Professions Code and Title 42, Code of Federal Regulations, Part 493 standards as published October 1, 1994, regarding clinical laboratories. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1208, 1209, 1209.1 and 1210, Business and Professions Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1036.2. Moderate Complexity Laboratory Technical Consultant.
Note     •     History

(a) Every laboratory director, under whom moderate complexity tests or examinations are performed, shall either perform the duties of a moderate complexity laboratory technical consultant or employ a moderate complexity laboratory technical consultant who is responsible for providing technical and scientific consultation for each of the specialties and subspecialties performed. 
(b) A moderate complexity laboratory technical consultant of a laboratory performing moderate complexity testing shall: 
(1) Possess an active, valid license issued by the State pursuant to chapter 3 of the Business and Professions Code to perform high complexity testing, or to practice medicine, osteopathy or podiatry pursuant to chapter 5 of Business and Professions Code appropriate to the specialty or specialties for which he or she is consulting; and 
(2) Have a minimum of two years' experience in moderate or high complexity testing in the specialty or specialties for which he or she is consulting. 
(c) A moderate complexity laboratory technical consultant shall be responsible for the technical and scientific oversight of the laboratory as specified in Section 493.1413, Title 42, Code of Federal Regulations, as published October 1, 1994. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1208, 1209, 1209.1 and 1210, Business and Professions Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of subsections (a) and (b)(1)-(2), transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1036.3. Waived Laboratory Supervisor.
Note     •     History

(a) A laboratory director of a clinical laboratory performing waived tests may delegate or reapportion his or her responsibilities, as allowed by Section 1209 of the Business and Professions Code, by utilizing a waived laboratory supervisor. Except for a waived laboratory supervisor of a laboratory performing blood glucose testing by a person certified as an Emergency Medical Technician II or Paramedic pursuant to Division 2.5 (commencing with section 1797) of the Health and Safety Code and pursuant to subsection (c) and (d), a waived laboratory supervisor shall:
(1) Be listed in Section 1206.5 of the Business and Professions Code; and 
(2) Possess at least a baccalaureate degree from an accredited college or university; and 
(3) Have at least one year of training or experience in clinical laboratory testing in those tests or examinations that he or she will be supervising; and 
(4) Document competency in those tests he or she will be supervising to the laboratory director at least semiannually during the first year and annually, or whenever new instrumentation is added, thereafter. 
(b) Except for a waived laboratory supervisor of a laboratory performing blood glucose testing by a person certified as an Emergency Medical Technician II or Paramedic pursuant to Division 2.5 (commencing with section 1797) of the Health and Safety Code, a waived laboratory supervisor shall be responsible for:
(1) Selecting, in consultation with the laboratory director, the test methodology appropriate for clinical use of test results; and 
(2) Establishing a quality control program appropriate for the tests performed, which follows the test manufacturer's parameters for acceptable levels of analytical performance and ensures that these levels are maintained throughout the entire testing process from initial receipt of the specimen through sample analysis and test result reporting; and 
(3) Resolving technical problems and ensuring remedial actions are taken and documented whenever test systems deviate from the manufacturer's established performance specifications; and 
(4) Ensuring patient test results are not reported until all corrective actions have been taken and the test system is performing properly; and 
(5) Identifying training needs and assuring that each individual performing tests receives regular in-service training and education appropriate for waived testing; and 
(6) Evaluating and documenting that the staff maintain their competency to perform test procedures and report tests promptly, accurately and proficiently by: 
(A) Directly observing routine test performance, including patient preparations (if applicable), specimen handling, processing and testing; and 
(B) Monitoring the recording and reporting of test results; and 
(C) Reviewing quality control records and preventive maintenance records; and 
(D) Directly observing performance of instrument maintenance and function checks; and 
(E) Assessing problem solving skills; and 
(F) Evaluating and documenting the performance of individuals responsible for waived testing at least semiannually during the first year the individual tests patient specimens. Thereafter evaluations shall be performed at least annually unless test methodology or instrumentation changes (in which case and prior to reporting patient test results, the individual's performance shall be re-evaluated to include the use of the new test methodology or test instrumentation). 
(c) A waived laboratory supervisor of a laboratory performing blood glucose testing by a person certified as an Emergency Medical Technician II or Paramedic pursuant to Division 2.5 (commencing with section 1797) of the Health and Safety Code shall: 
(1) Hold a current, active license as an Emergency Medical Technician-Paramedic pursuant to Health and Safety Code Section 1797.194, as a registered nurse pursuant to Chapter 6 (commencing with Section 2700) or as a person under Chapter 3 (commencing with Section 1200) authorized to engage in clinical laboratory practice or to direct a clinical laboratory; and
(2) Have at least one year training or experience in blood glucose testing in the method or procedure that he or she will be supervising.
(d) The waived laboratory supervisor of a laboratory performing blood glucose testing as specified in subsection (c) shall be responsible for:
(1) Documenting that each individual performing blood glucose is competent to perform the test before he or she starts testing and whenever new methodologies or technologies are added; and
(2) Ensuring that manufacturer's instructions for test performance, equipment maintenance and quality control are followed; and
(3) Resolving technical problems and ensuring remedial actions are taken and documented whenever test systems deviate from the manufacturer's established performance specifications.
(e) A waived laboratory technical supervisor shall be accessible to the laboratory testing personnel to provide onsite, telephone or electronic consultation. The laboratory director of a laboratory performing blood glucose testing by a person certified as an Emergency Medical Technician II or Paramedic pursuant to Division 2.5 (commencing with section 1797) of the Health and Safety Code may designate a licensed physician and surgeon or an authorized registered nurse at the hospital serving as the base hospital to provide such consultation.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1208, 1209, 1209.1 and 1210, Business and Professions Code. 
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order, including amendment of section heading and section, transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
§1036.4. Technical Supervisor.
Note     •     History

(a) Every laboratory director, under whom high complexity tests or examinations are performed, shall either perform the duties of a technical supervisor or employ a technical supervisor who is responsible for the technical and scientific oversight of the laboratory. 
(b) A technical supervisor of a laboratory performing high complexity testing shall: 
(1) Possess an active, valid, license issued by the state to perform high complexity testing pursuant to chapter 3 of Business and Professions Code or to practice medicine, osteopathy or podiatry, pursuant to chapter 5 of Business and Professions Code appropriate to the specialty or specialties for which they are consulting; and 
(2) Meet the experience requirements in Section 493.1449 of Title 42 of the Code of Federal Regulations, as published October 1, 1994. 
(c) While not required to be on site at all times testing is performed, a technical supervisor shall be available to laboratory testing personnel at all times to provide either on-site, telephone or electronic consultation. 
(d) A technical supervisor shall be responsible for all the activities listed in Section 493.1451 of Title 42 of the Code of Federal Regulations, as published October 1, 1994. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1207, 1208, 1209, 1209.1 and 1210, Business and Professions Code.
HISTORY

1. New section filed 2-24-2000 as an emergency; operative 2-24-2000 (Register 2000, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-23-2000 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-21-2000 as an emergency; operative 6-24-2000 (Register 2000, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-23-2000 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 10-19-2000 as an emergency; operative 10-24-2000 (Register 2000, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-21-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-19-2000 order transmitted to OAL 2-21-2001 and filed 4-3-2001 (Register 2001, No. 14).
Article 2.5. Continuing Education
§1038. Definitions.
Note     •     History

(a) The definitions set forth in subsections b through j inclusive shall govern the interpretation of this article.
(b) “Contact Hour” means the actual time a licensee participates in continuing education offered by an approved provider, utilizing the following conversion standards:
50-60 minutes = 1 contact hour
0.1 continuing education unit (CEU) = 1 contact hour
1 quarter unit = 10 contact hours
1 semester unit = 15 contact hours
(c) “Accredited Academic Institution” means an academic institution accredited by the Western Association of Schools and Colleges or an accrediting organization recognized by the Council of Post Secondary Education.
(d) “Accrediting Agency” means an organization approved by the Department pursuant to Section 1038.2 which evaluates and grants approval to providers of continuing education who comply with the standards of that agency, and who are other than those identified in (c) above. 
(e) “Approved Provider” means an accredited academic institution or any person or entity offering continuing education who has been approved by an accrediting agency.
(f) “Licensee” means those persons other than clinical laboratory technologist trainees licensed pursuant to Chapter 3 (commencing with section 1200) of Division 2 of the Business and Professions Code.
(g) “Quarter Unit” and “Semester Unit” means the hours of instruction offered by an accredited academic institution which are credited by that institution as a quarter unit and semester unit respectively.
(h) “Active Status” means a current license in good standing which authorizes the licensee to perform the functions described in this chapter.
(i) “Inactive Status” means a license which is not in good standing because the holder has not completed the continuing education requirements of this article or has voluntarily requested that the license be made inactive.
(j) “Continuing Education Program” means a presentation given by an approved provider at a scheduled time or times which conforms to the requirements of section 1038.3.
NOTE

Authority cited: Sections1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New Article 2.5 (sections 1038-1038.7) and section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
§1038.1. Continuing Education Requirements.
Note     •     History

(a) All persons licensed under Division 2, Chapter 3 of the Business and Professions Code, commencing with Section 1200, whose license is in active status shall complete 12 contact hours of continuing education each calendar year.  All persons licensed with more than one active license type pursuant to Division 2, Chapter 3 of the Business and Professions Code shall be able to renew all license types after completion of a total of 12 contact hours of continuing education each calendar year.
(b) At the time of renewal, each licensee shall provide the Department with the date, name and number of contact hours received for each continuing education program successfully completed by the licensee in the previous calendar year.
(c) The licensee shall retain continuing education documents received from approved providers under Section 1038.4 for a minimum of four years.
(d) A random sample of licensees shall be audited by the Department to determine compliance with the continuing education requirement.  Those licensees selected for audit shall submit to the Department, within 30 calendar days of notification of selection, a copy of each document provided the licensee under section 1038.4(c) since the date of last license renewal.
(e) Any licensee who is found to have not successfully completed the continuing education requirement of this article will be placed in inactive status.  The licensee shall have the right to appeal such findings to the Department.  An appeal shall be conducted in compliance with chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
NOTE

Authority cited: Sections 1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
§1038.2. Accrediting Agencies.
Note     •     History

(a) Any organization seeking approval as an accrediting agency shall submit an application to the Department which shall include documentation of the following:
(1) The organization's name, address, and owner(s);
(2) The organization's structure, function, and philosophy for monitoring the content, quality, and faculty of approved programs; and,
(3) The person designated by the organization to be responsible for overseeing the administration and coordination of all continuing education providers approved by the organization.
(b) The Department's review of an accrediting agency shall include an evaluation of the following:
(1) Whether the organization's philosophy shows an identifiable commitment to continuing education;
(2) Whether the organization's mechanism for monitoring the content, faculty, education methods, quality, and facilities of approved providers meets the criteria of section 1038.3; and,
(3) Effective mechanisms for responding to complaints about approved providers and the ability to take effective action to insure that approved providers comply with sections 1038.3 and 1038.4.
(c) The Department shall approve an organization as an accrediting agency and issue an approval upon satisfactory review under subsections (a) and (b).  Such approval may be subject to special terms as specified by the Department.
(d) Within 30 calendar days of receipt of an application by an organization for approval as an accrediting agency, the Department shall inform the organization in writing that the application is either complete and accepted for review or that it is deficient and what specific information or documentation is required to complete the application.
(e) Within 30 calendar days from the date of filing of a completed application, the Department shall inform the applicant organization in writing whether the organization has been approved as an accrediting agency.
(f) The Department's time periods for processing an application for approval as an accrediting agency, from the receipt of the initial application to the final decision regarding the approval, are as follows:
(1) The median time for processing is 60 calendar days.
(2) The minimum time for processing is 45 calendar days.
(3) The maximum time for processing is 90 calendar days.
(g) An accrediting agency shall maintain for five years and shall make available to the Department, the name of each approved provider, the title, date, and number of contact hours awarded for each program offered by its approved providers, and a list of all participants in each program offered.
(h) An accrediting agency shall be subject to review by the Department to determine adherence to requirements of this article.  Failure of an accrediting agency to meet the requirements of this article or its terms of approval is good cause for revocation of approval by the Department.
NOTE

Authority cited: Sections 1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
§1038.3. Approval of Providers.
Note     •     History

(a) An accrediting agency shall approve only providers who offer continuing education programs that meet all of the following criteria:
(1) Use instructors who are competent in subject matter by education, training or experience;
(2) Are a minimum of 50 minutes in duration excluding evaluation by participants of the continuing education program;
(3) Are relevant to the scope of practice of clinical laboratory science and may include education, supervision, and management;
(4) Have clearly stated, measurable, education objectives; and,
(5) Use teaching methods which are consistent with the objectives of the continuing education program.
NOTE

Authority cited: Sections 1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
§1038.4. Approved Providers.
Note     •     History

(a) No person or entity shall represent itself as an approved provider unless approved by an accrediting agency or unless it is an accredited academic institution.
(b) Approved providers shall issue certificates to participants which include:
(A) The participant's name;
(B) Contact hours;
(C) Date of continuing education provided;
(D) Name and address of both program provider and accrediting agency; and,
(E) Signature of instructor and/or provider or provider designee.
(c) Accredited academic institutions shall provide certificates to every participant upon completion of a continuing education program which includes all the information in subsection (b), except the approved provider will not be required to issue a certificate when the continuing education program is a regularly scheduled class and documented on a student transcript.
(d) An approved provider shall maintain an official record verifying all participants' attendance at continuing education programs for at least four years after the completion date.  The provider shall include the participant on the official record of attendance only if the participant's signature was obtained at the time of attendance at the program. The official record of attendance shall contain the name of the participant and shall identify the time, date, location, subject matter, and length of the continuing education program and shall be provided to the Department upon request at no cost to the Department.
(e) If two or more approved providers jointly provide a continuing education program, the providers shall designate the provider responsible for keeping records and issuing certificates to participants.
(f) An approved provider shall evaluate the effectiveness of continuing education programs to determine whether the program objectives required under section 1038.3 subsection (a)(5) were met.  This evaluation shall include a written evaluation by the participants, or pre- and post-examination.
(g) An approved provider shall allow, at no cost, in-person observation of continuing education programs by employees of the Department of Health Services for purposes of monitoring compliance with sections 1038.3 and 1038.4.
NOTE

Authority cited: Sections 1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
§1038.5. Waiver of Requirement.
Note     •     History

(a) At the time of making application for renewal of a license issued pursuant to Division 2, Chapter 3 of the Business and Professions Code (BPC), a licensee may request a waiver of all or part of the continuing education requirement.  To be eligible for a waiver, a license holder shall verify in writing that he or she:
(1) Was residing in another country for at least half the license period since the license was issued or, if the license was previously renewed, since it was last renewed, and that this reasonably prevented completion of the continuing education requirements; or
(2) Was absent from California for at least half the license period since the license was issued or, if previously renewed, since it was last renewed, because of military service, and that this reasonably prevented completion of the continuing education requirements; or
(3) Was prevented from completing the continuing education requirements for reasons of ill health or other good cause, including, but not limited, to:
(A) Total physical and/or mental disability of the licensee for at least half of the period since the license was issued or, if previously renewed, since it was last renewed; or
(B) Total physical and/or mental disability of an immediate family member for at least half of the period since the license was issued or, if previously renewed, since it was last renewed, where the licensee has total responsibility for the care of that family member.
(4) Verification of a disability under paragraph (3) shall include a corroborating statement by a licensed physician.
NOTE

Authority cited: Sections 1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
§1038.6. Inactive Status.
Note     •     History

A licensee whose license issued pursuant to Division 2, Chapter 3 of the Business and Professions Code is in inactive status shall document 12 hours of continuing education for the year prior to reinstatement or pass the examination for licensure prior to reinstatement to active status.
NOTE

Authority cited: Sections 1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
§1038.7. Fees.
Note     •     History

(a) A fee of $250.00 shall accompany an application for approval or renewal as an accrediting agency.
(b) At the time of initial application or renewal of a clinical laboratory personnel license, an additional fee of $8.00 shall be paid by each licensee to support the costs of administering and enforcing the continuing education requirements of this article.
NOTE

Authority cited: Sections 1224 and 1275, Business and Professions Code; and Section 208, Health and Safety Code.  Reference: Section 1275, Business and Professions Code.
HISTORY

1. New section filed 1-28-94; operative 1-28-94 pursuant to Government Code section 11346.2(d) (Register 94, No. 4).
Article 2.8. CLIA Certification/State Licensure
§1039.1. Recognition of CLIA Certification for Limited Purpose and Period.
Note     •     History

(a) Except for a certificate of accreditation issued by HHS, a CLIA certificate issued to a clinical laboratory that on December 31, 1995 was not required to obtain a state license pursuant to Section 1241 of Chapter 3, shall be considered to be a state license or registration issued pursuant to Chapter 3 until such time as CLIA exempt status is obtained, provided that the CLIA certificate is for the type and complexity of clinical laboratory tests or examinations performed and that it remains in effect, unsuspended and unrevoked during the entire period covering January 1, 1996 to when CLIA exempt status is granted by HHS.
(b) A certificate of accreditation issued by HHS to a clinical laboratory that on December 31, 1995 was not required to obtain a state license pursuant to Section 1241 of Chapter 3, shall be considered a state license or registration issued pursuant to Chapter 3 until such time as the accreditation body, upon whose accreditation the certificate of accreditation was issued by HHS, fails to be approved by the department as having accreditation standards that are equal to, or more stringent than, state requirements for licensure; and, provided that:
(1) The certificate of accreditation issued by HHS is for the type and complexity of clinical laboratory tests or examinations performed and that it remains in effect, unsuspended and unrevoked; and
(2) After exempt status is obtained, the accredited laboratory pays the department the $100 annual certificate of accreditation renewal fee.
(c) A certificate of waiver issued by HHS, to a clinical laboratory that on December 31, 1995 was required to obtain a state license, and that performs only waived tests, physician performed microscopy, or both, shall be considered to be a state registration issued pursuant to Chapter 3 until such time as CLIA exempt status is obtained, provided that the certificate of waiver remains in effect, unsuspended and unrevoked during the entire period covering January 1, 1996 to when CLIA exempt status is granted by HHS.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1220, 1241, 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. New article 2.8 (sections 1039.1-1039.3) and section filed 5-28-96 as an emergency; operative 5-28-96 (Register 96, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-25-96 or emergency language will be repealed by operation of law on the following day.
2. New article 2.8 (sections 1039.1-1039.3) and section refiled 10-7-96 as an emergency, including amendment of subsections (a) and (c); operative 10-7-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-7-96 order, including amendment of subsection (b), transmitted to OAL 2-3-97 and filed 3-19-97 (Register 97, No. 12).
§1039.2. Clinical Laboratory Personnel Requirements.
Note     •     History

(a) All persons performing, supervising, consulting on, or directing clinical laboratory tests or examinations in California shall meet the requirements for performing, supervising, consulting on, or directing laboratory tests or examinations as set forth in Chapter 3 for the type and complexity of tests performed and irrespective of whether the clinical laboratory is operated under a CLIA certificate or under a state license or registration.
(b) All persons performing, supervising, consulting on, or directing clinical laboratory tests or examinations outside California on biological specimens originating in California, and irrespective of whether the clinical laboratory where the tests or examinations are performed is operated under a CLIA certificate or under a state license or registration, shall meet all personnel requirements set forth in Chapter 3 for the type and complexity of testing performed, or shall provide evidence to the department that they substantially meet those requirements by documenting inclusion, licensure or certification in a class of personnel similar to those required in Chapter 3 or requiring equivalent standards.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1241, 1244, 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. New section filed 5-28-96 as an emergency; operative 5-28-96 (Register 96, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-25-96 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-7-96 as an emergency; operative 10-7-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-7-96 order, including amendment section, transmitted to OAL 2-3-97 and filed 3-19-97 (Register 97, No. 12).
§1039.3. State Licensure or Approval Required During CLIA Exemption.
Note     •     History

All clinical laboratories except those identified in subdivision (b) of Section 1241, or in Section 1244 of the Business and Professions Code, shall have in effect a state license or state registration, and all public health laboratories shall be approved public health laboratories during any period for which HHS grants CLIA exempt status for clinical laboratories or public health laboratories licensed, registered or approved by the department.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206, 1241, 1244, 1265, 1281 and 1288.5, Business and Professions Code.
HISTORY

1. New section filed 5-28-96 as an emergency; operative 5-28-96 (Register 96, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-25-96 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-7-96 as an emergency; operative 10-7-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-7-96 order transmitted to OAL 2-3-97 and filed 3-19-97 (Register 97, No. 12).
Article 3. License
§1040. Forfeited Licenses.
Note     •     History

(a) No license which has been forfeited for failure to pay the required fee shall be reinstated until a written request for reinstatement and all unpaid fees have been received by the department.
(b) If the renewal fee is not paid for five or more years, an examination will be required in addition to the requirements of subsection (a) above before the license may be reinstated, except as otherwise provided in Division 2, Chapter 3, Section 1301 of the Business and Professions Code.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 1303, Business and Professions Code.
HISTORY

1. Amendment filed 2-18-58; effective thirtieth day thereafter (Register 58, No. 3).
2. Amendment filed 11-25-70 as procedural and organizational; designated effective 11-24-70 (Register 70, No. 48).
3. Certificate of Compliance--Sec. 11422.1, Gov. Code, filed 1-20-71 (Register 71, No. 4).
§1041. Fee Credits.
Note     •     History

Each clinical laboratory that pays a fee subject to reduction under subdivision (u) of Section 1300 of the Business and Professions Code shall have any reduction credited against the clinical laboratory's future license, registration or other fees payable under Chapter 3.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1300, Business and Professions Code.
HISTORY

1. New section filed 11-25-70 as procedural and organizational; designated effective 11-24-70 (Register 70, No. 48).
2. Certificate of Compliance--Sec. 11422.1, Gov. Code, filed 1-20-71 (Register 71, No. 4).
3. Amendment of subsection (a) filed 6-5-78; effective thirtieth day thereafter (Register 78, No. 23).
4. Repealer filed 4-22-82; effective thirtieth day thereafter (Register 82, No. 17).
5. New section heading, section and Note filed 5-28-96 as an emergency; operative 5-28-96 (Register 96, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-25-96 or emergency language will be repealed by operation of law on the following day.
6. New section heading, section and Note refiled 10-7-96 as an emergency; operative 10-7-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-7-96 order, including amendment of section, transmitted to OAL 2-3-97 and filed 3-19-97 (Register 97, No. 12).
§1042. Substantial Relationship Criteria.
Note     •     History

Four purposes of denial, suspension or revocation of a license, certificate or permit pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions, or duties of a person who is an applicant or holder of a license, certificate or permit under Chapter 3, Division 2, of the Business and Professions Code if to a substantial degree it evidences present unfitness of a person holding a license, certificate or permit to perform the functions authorized by such license, certificate or permit in a manner consistent with the public health, safety or welfare. Such crimes or acts shall include but not be limited to the following:
(a) Violating or attempting to violate, directly or indirectly, or assisting in or abetting the violation of, or conspiring to violate, any provision of Chapter 3, Division 2 of the Business and Professions Code.
(b) Acts of dishonesty, fraud or deceit with intent to substantially benefit himself or another, or substantially injure another.
(c) Acts of gross negligence in the performance of functions authorized by the license, certificate or permit under Chapter 3, Division 2, of the Business and Professions Code.
A license, certificate or permit shall not be denied, suspended or revoked because of a lack of good moral character or any similar ground relating to a person's character, reputation, personality or habits.
NOTE

Authority cited: sections 208, 3901, 15020 and 25800-25870, Health and Safety Code; section 1224, Business and Professions Code. Reference: Sections 3901, 15000-15023 and 25811, Health and Safety Code; Sections 475, 480, 481, 482, and 1242.5, Business and Professions Code.
HISTORY

1. New section filed 12-12-75; effective thirtieth day thereafter (Register 75, No. 50). For former history, see Register 71, No. 4.
§1042.1. Criteria for Evaluating Rehabilitation.
Note     •     History

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

Authority cited: Sections 208, 3901, 15020 and 25800-25870, Health and Safety Code: Section 1224, Business and Professions Code. Reference: Sections 3901, 15000-15023 and 25811, Health and Safety Code; Sections 475, 480, 481, 482 and 1242.5, Business and Professions Code.
HISTORY

1. New section filed 12-12-75; effective thirtieth day thereafter (Register 75, No. 50).
Article 4. Personnel Report
§1045. Personnel Report.

All clinical laboratory directors shall on or before December 15th of each calendar year transmit to the department, on forms provided by the department, the names of all persons performing clinical laboratory procedures including, but not limited to biochemical, bacteriological, parasitological, hematological, or serological procedures. All clinical laboratory directors shall keep the department advised of current changes in employment of such technical personnel giving employment and/or separation dates of personnel.
Article 5. Issuance of License
§1050. Clinical Laboratory Standards.
Note     •     History

(a) All licensed clinical laboratories shall be conducted, maintained, and operated without injury to the public health and shall maintain records, equipment, and facilities which are adequate and appropriate for the services rendered and demonstrate satisfactory performance in a proficiency program approved by the department.
(b) Proficiency Testing.
(1) The laboratory must participate in a state approved proficiency testing program and demonstrate satisfactory performance in all of the laboratory specialties that include tests performed in the laboratory. Proficiency shall be tested in the following specialties: microbiology, serology, clinical chemistry, hematology, and immunohematology.
(2) The participating laboratory must test applicable materials each time they are distributed by the approved proficiency testing service according to a schedule approved by the department.
(3) Those procedures performed by the laboratory for which test materials are provided by the approved proficiency testing service and which have been designated by the department as a requirement for measuring test performance, must be proficiency tested by the participating laboratory each time test materials are received.
(4) The participating laboratory must authorize the approved proficiency testing service to report proficiency test results to the department.
(5) The participating laboratory must test applicable materials only in the laboratory to which the license and the proficiency testing requirement applies using personnel and equipment used in that facility in providing services.
(6) A laboratory may be required to discontinue providing a service in a procedure or category of procedures if:
(A) For three consecutive quarters the laboratory fails to report on test materials received for procedures for which the laboratory is required to be proficiency tested, or
(B) For three consecutive quarters the laboratory demonstrates unsatisfactory performance in a procedure or category of procedures. A determination of satisfactory performance for a procedure shall be based upon results being within acceptable limits established by the proficiency testing service for that procedure and approved by the department. A determination of satisfactory performance for a category of procedures shall be based upon an average of performance within the category over four consecutive quarters.
(7) A laboratory whose services have been disapproved because of unsatisfactory performance may apply to the department for reapproval to provide these services after demonstrating satisfactory performance during the two consecutive quarters or testing periods immediately prior to requesting reapproval.
(c) Direction. The person or persons directing a licensed clinical laboratory shall assume the following responsibilities:
(1) Determine what laboratory procedures will be performed, the techniques that will be followed, and the equipment and reagents that will be used.
(2) Determine the scope and nature of procedures to control the reliability of test performance and personally monitor these control programs.
(3) Regularly assess the activities of the laboratory by personal observation, evaluation, and review of reports of laboratory findings.
(4) Establish qualification criteria of laboratory personnel.
(5) Determine the format of laboratory report forms and decide what information is to be contained on these report forms.
(6) Regularly consult with supervisors and other staff members.
(7) Confer with those served by the laboratory on matters that relate to test performance and determine the nature and scope of technical and administrative information to be released by the laboratory staff.
(8) Be available daily in any laboratory performing cytology and serve as director of no more than three (3) laboratories.
(9) Cause a licensed physician or dentist, qualified in cytopathology, to personally examine and report findings on abnormal or questionable gynecologic and all non-gynecologic specimens.
(d) Facilities. The laboratory must provide for and assure that:
(1) There is adequate space including working surface to conduct and control the performance of all test procedures performed in the laboratory.
(2) There is adequate area for safe storage and use of equipment and supplies.
(3) All areas are well lighted and properly ventilated.
(4) Fume hoods and biological safety cabinets, properly installed and regulated, are used if required for safe performance of tests or for safe preparation of materials.
(5) Instructions to be followed in case of fire and other emergencies are posted in a conspicuous place.
(e) Equipment and Test Materials.
(1) The laboratory must provide for and assure that equipment, instruments, glassware, and reagents are maintained in proper working order by periodic inspection, testing, or calibration in a manner acceptable to the department.
(2) All reagents and stains shall be dated at the time of preparation and initialed by the person making the reagents or stains, or the date received and date opened if commercially prepared reagents or stains are used. All reagents and stains shall be labeled to indicate identity, and titer, strength, or concentration. Recommended storage temperature and expiration date, and other pertinent information necessary for quality control must be on the label.
(f) Records.
(1) Retention of Records: The laboratory must maintain for a period of at least two years documentation of the following:
(A) Records of specimens received and tested, including identification of the patient, name of the submitter, dates of receipt and report, type of test performed, and test results.
(B) Records of inspection, validation, calibration, repair, and replacement to insure proper maintenance and operation of equipment and proper reactivity of test materials.
(C) Manuals, card files, or flow charts for each procedure performed in the laboratory which include:
1. Name of procedure.
2. Source or reference for the test method.
3. Date the procedure was last reviewed or modified by the director or supervisor.
4. Current specific instructions for test performance.
5. The standards and controls required.
6. Instructions for collecting and handling specimens to insure test reliability.
(D) Records of quality control procedures in use in the various technical areas of the laboratory, including results on standards and reference materials and action limits when appropriate.
(E) Additional requirements for cytology. The laboratory shall retain all cytology slides and cell blocks for a minimum of five (5) years and all cytology reports for a minimum of ten (10) years.
(2) Cytology Specimen Documents. The laboratory shall maintain cytology records indicating the daily accession of specimens, each of which is numbered, and an appropriate cross-filing system according to patient's name.
(A) Requests shall contain at least the following information:
1. The laboratory accession number when assigned by the laboratory.
2. The name of the person from whom the specimen was taken.
3. The name of the licensed physician or other authorized person or clinical laboratory who submitted the specimen.
4. Minimum information provided shall include: source of specimen (anatomic site), age of patient, previous therapy (endocrine, surgical, radiation, birth control, etc.), gynecologic history on cervical-vaginal specimens, including date and normalcy of patient's last menstrual period, duration of patient's current pregnancy, if any, and patient's menopausal status or essential history on non-gynecologic specimen.
5. The date the specimen was collected.
(B) Reports shall contain at least the following information:
1. The dates the specimen was collected, received in the laboratory and reported by the laboratory; and the accession number. 
2. The result of the laboratory examination.
(3) Cytology Laboratory Records.
(A) The laboratory director shall be responsible for the final laboratory report and shall sign all abnormal and all non-gynecological reports. Each report, or a laboratory copy, shall be signed or initialed by the cytopathologist and/or cytotechnologist who examined the preparation and evaluated the final report. The names of all persons who examined the specimen and their evaluation, if inconsistent with the final report, shall be indicated on the laboratory work sheet or report copy.
(B) Duplicate copies of laboratory reports are filed in a manner which permits ready identification and accessibility.
(C) Laboratories shall utilize reporting systems that are as explicit as is cytologically feasible and must include acceptable morphologic terminology.
(D) If a specimen is judged by the laboratory director or cytotechnologist to be suboptimal, an accompanying statement shall indicate the reason, e.g., samples of sparse cellularity, poor preservation, or exhibiting other factors interfering with the laboratory evaluation, such as, excessive blood, inflammatory cells, etc.
(g) Quality Control.
(1) The laboratory must conduct, maintain, and operate programs for controlling the quality of test performance in a manner acceptable to the department.
(2) Additional Cytology.
(A) Specimen Identification. All smears and other specimens shall be labelled for patient identification and appropriately prepared by the submitter.
(B) Specimen Preparation.
1. The laboratory shall use the Papanicolaou staining technique or its equivalent as determined by the laboratory director.
2. Staining quality of cytologic specimens shall be checked at least once daily, with suboptimal results corrected immediately.
3. Gynecologic specimens shall be processed totally separately from non-gynecologic specimens.
(C) Microscopy.
1. Each specimen shall be evaluated to determine whether the material is satisfactory and consistent with the patient source. For satisfactory specimens, a cytologic evaluation shall be rendered according to the reporting system, as outlined in Section 1050(f)(3)(C).
2. The laboratory shall have a sufficient number of certified cytotechnologists to handle, under general supervision, the volume and diversity of tests performed requiring the exercise of independent judgment. No cytotechnologist shall be required to examine more than 75 one-slide gynecologic cases or 50 two-slide gynecologic cases per day; not including aspiration cytology specimens, cell block specimens, and other not normally examined by a cytotechnologist. Work load ratios for cytotechnologists who also prepare and stain slides shall be based on time spent in examining cytologic preparations.
3. The director or a supervising cytotechnologist shall examine (to verify proper staining and correct interpretation) at least ten (10) percent of all gynecologic smears previously examined and classified as not abnormal or questionable, including smears initially examined by a supervising cytotechnologist.
(3) Clinical Correlation. The laboratory shall maintain records for a minimum of 10 years of histologic or clinical confirmation of cytologic findings on abnormal cases and false negative and false positive results for each category of specimens, when such results are made available to them.
(h) Clinical Laboratory Test Results. Clinical laboratory test results shall not be reported from the laboratory until these results have been critically reviewed and verified for accuracy, reliability, and validity by a licensed physician and surgeon or a person, other than a trainee, duly licensed under Chapter 3, Division 2, Business and Professions Code (commencing with Section 1200).
NOTE

Authority cited: Sections 1224 and 1245, Business and Professions Code. Reference: Sections 1220, 1224 and 1245, Business and Professions Code.
HISTORY

1. New subsection (h) filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8). For prior history, see Register 76, No. 51.
2. Amendment of subsections (c), (f)(2)(A) and (B), (f)(3)(A), (g)(2)(A) and (B)3, (g)(2)(C)2, (g)(3) filed 10-13-78; effective thirtieth day thereafter (Register 78, No. 41).
§1051. Proficiency Testing Services.
History

A service may be approved by the department for proficiency testing laboratories providing the service:
(a) Makes available to each participating laboratory
(1) Materials not less than four times during each calendar year for testing those procedures which have been designated by the department for evaluation,
(2) Acceptable forms for reporting results of proficiency testing, 
(3) An evaluation of test results reported by the participating laboratory showing acceptable results based on a reference system approved by the department, and
(4) A summary of results reported by all participating laboratories prepared at least annually.
(b) Provides the department with an adequate description of acceptable procedures for
(1) The preparation and distribution of test materials,
(2) The determination of limits of acceptable test results, and
(3) The reporting of results of performance to the laboratories subscribing to the service.
(c) Establishes and maintains an adequate reference system for each procedure evaluated. The names and addresses of all laboratories used as reference or referee laboratories by the service must be provided to and approved by the department.
(d) Maintains records of proficiency testing including reports for participating laboratories for a period of not less than five years, such records being available to the department for reference upon request. These records must include:
(1) The names and addresses of laboratories subscribing to the service,
(2) The test procedures evaluated,
(3) The results of performance reported by each laboratory, and
(4) The results or range of results which were considered acceptable performance by the service.
(e) Makes application for approval on forms provided by the department.
HISTORY

1. New section filed 12-28-71; effective thirtieth day thereafter (Register 72, No. 1).
§1052. Satisfactory Performance in Proficiency Testing.
Note     •     History

The standards for satisfactory performance for laboratories operating in accordance with Subsections (b) and (g), Sections 1241, Division 2, Chapter 3, Business and Professions Code shall be those outlined in Section 1050(b) of this Title.
NOTE

Authority cited: Sections 1224 and 1241.1, Business and Professions Code.
HISTORY

1. New section filed 12-28-71; effective thirtieth day thereafter (Register 72, No. 1).
2. Amendment filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
§1053. Definitions.
Note     •     History

NOTE

Authority cited: Sections 1220(a), 1224 and 1245, Business and Professions Code. Reference: Sections 1206, 1209, 1220(a), 1224, 1245, 1265, 1282 and 1285, Business and Professions Code.
HISTORY

1. New section filed 6-8-72; effective thirtieth day thereafter (Register 72, No. 24).
2. Amendment of subsection (e) and new subsections (f), (g) and (h) filed 2-17-77; effective thirtieth day thereafter (Register 77, No. 8).
3. New subsection (i) filed 10-13-78; effective thirtieth day thereafter (Register 78, No. 41).
4. Amendment of section and Note filed 12-27-94 as an emergency; operative 12-27-94 (Register 94, No. 52). A Certificate of Compliance must be transmitted to OAL 4-26-95 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 5-5-95 as an emergency; operative 5-5-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-4-95 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 9-15-95 as an emergency; operative 9-15-95 (Register 95, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-15-96 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 12-27-94 emergency amendment by operation of Government Code section 11346.1(f) (Register 96, No. 4).
8. Renumbering and amendment of former section 1053 to section 1029 filed 1-22-96 as an emergency; operative 1-22-96 (Register 96, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-21-96 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-22-96 order transmitted to OAL 5-21-96 and filed 6-18-96 (Register 96, No. 25).
Article 5.2. Test Kits Approved for Over-the-Counter Sale to the Public by the United States Food and Drug Administration
§1053.5. HIV Tests.
Note     •     History

The Department hereby adds to the tests that may be requested and reported pursuant to Business and Professions Code section 1246.5 any laboratory test or examination to identify HIV, a component of HIV, or antibodies or antigens to HIV when the test or examination has been approved by the United States Food and Drug Administration for sale to the public without a prescription in the form of an over-the-counter test kit.
NOTE

Authority cited: Sections 1224 and 1246.5, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Section 1246.5, Business and Professions Code; and Section 120775, Health and Safety Code.
HISTORY

1. New article 5.2 (section 1053.5) and section filed 11-6-96 as an emergency; operative 11-6-96 (Register 96, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-6-96 order transmitted to OAL 3-4-97 and filed 4-15-97 (Register 97, No. 16).
Article 5.3. Blood Electrolyte Analysis by Respiratory Care Practitioners
§1054.1. Conditions for Performance.
Note     •     History

(a) A Respiratory Care Practitioner may engage in clinical laboratory practice by performing a blood electrolyte analysis when all of the following conditions are met:
(1) The blood electrolyte analysis is performed on an instrument which is designed to perform both blood gas analysis and blood electrolyte analysis simultaneously or concurrently and from the same blood specimen;
(2) The blood electrolyte analysis is performed in a licensed laboratory that:
(A) is within a licensed surgical clinic or a licensed general acute care hospital;
(B) has a CLIA certificate to perform blood gas analysis and blood electrolyte analysis; and
(C) has established and maintains protocols for the performance and reporting of blood gas analysis and blood electrolyte analysis simultaneously or concurrently from the same blood specimen by Respiratory Care Practitioners;
(3) The blood electrolyte analysis is performed:
(A) under the overall operation and administration of the laboratory director, as required in Section 1029 of the Business and Professions Code; and
(B) in conformity with the protocols required in (2)(C), above; and
(C) in conformity with the manufacturer's instructions.
(4) The Respiratory Care Practitioner:
(A) has been trained in accordance with Section 1054.2; and,
(B) performs and reports simultaneous or concurrent blood gas analysis and blood electrolyte analysis in compliance with the requirements in (3), above; and
(C) meets CLIA testing personnel qualifications for the type and complexity of tests being performed.
NOTE

Authority cited: Section 1224, Business and Professions Code. Reference: Sections 1206, 1209, 1220, 1265, 1282 and 1285, Business and Professions Code.
HISTORY

1. New Article 5.3 (sections 1054.1 - 1054.2) and section filed 12-27-94 as an emergency; operative 12-27-94 (Register 94, No. 52). A Certificate of Compliance must be transmitted to OAL 4-26-95 or emergency language will be repealed by operation of law on the following day.
2. New article 5.3 (sections 1054.1-1054.2) and section refiled 5-5-95 as an emergency; operative 5-5-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-4-95 or emergency language will be repealed by operation of law on the following day.
3. New article 5.3 and section  refiled 9-15-95 as an emergency; operative 9-15-95 (Register 95, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-15-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 4).
5. New section filed 1-22-96 as an emergency; operative 1-22-96 (Register 96, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-21-96 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of subsection (a)(2) (Register 96, No. 25).
7. Certificate of Compliance as to 1-22-96 order including amendment of NOTE transmitted to OAL 5-21-96 and filed 6-18-96 (Register 96, No. 25).
§1054.2. Training.
Note     •     History

(a) Prior to performing a blood electrolyte analysis, a Respiratory Care Practitioner shall have completed the following training:
(1) instruction by the laboratory director, or by a person who qualifies as a technical consultant or a technical supervisor under CLIA, depending on the type and complexity of the tests being performed, in:
(A) the operation of each instrument to be used for simultaneous or concurrent blood gas analysis and blood electrolyte analysis by the Respiratory Care Practitioner, including the following:
1. Equipment maintenance and calibration;
2. Method performance including the normal ranges and critical values for each test protocol;
3. Quality Control and Assurance requirements including remedial action and reagent and specimen handling and integrity; and,
4. Clinical significance of test results and clinical applications for simultaneous or concurrent blood gas analysis and blood electrolyte analysis.
NOTE

Authority cited: Section 1224, Business and Professions Code. Reference: Sections 1209, 1220 and 1265, Business and Professions Code.
HISTORY

1. New section filed 12-27-94 as an emergency; operative 12-27-94 (Register 94, No. 52). A Certificate of Compliance must be transmitted to OAL 4-26-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-5-95 as an emergency; operative 5-5-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-4-95 or emergency language will be repealed by operation of law on the following day.
3. New section  refiled 9-15-95 as an emergency; operative 9-15-95 (Register 95, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-15-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 4).
5. New section filed 1-22-96 as an emergency; operative 1-22-96 (Register 96, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-21-96 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 1-22-96 order including amendment of NOTE transmitted to OAL 5-21-96 and filed 6-18-96 (Register 96, No. 25).
Article 5.5. Use of Point-of-Care Laboratory Testing Devices by  Registered Nurses
§1054.5. Conditions for Performance.
Note     •     History

NOTE

Authority cited: Sections 1220(a) and 1224, Business and Professions Code. Reference: Sections 1206, 1209, 1220(a), 1265, 1282 and 1285, Business and Professions Code.
HISTORY

1. New Article 5.5 (sections 1054.5 - 1054.6) and section filed 12-27-94 as an emergency; operative 12-27-94 (Register 94, No. 52). A Certificate of Compliance must be transmitted to OAL 4-26-95 or emergency language will be repealed by operation of law on the following day.
2. New article 5.5 (sections 1054.5-1054.6) and section refiled 5-5-95 as an emergency; operative 5-5-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-4-95 or emergency language will be repealed by operation of law on the following day.
3. New article 5.5 and section  refiled 9-15-95 as an emergency; operative 9-15-95 (Register 95, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-15-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 4).
Article 5.6. Moderately Complex Laboratory Testing by Licensed Psychiatric Technicians, Licensed Vocational Nurses, Licensed Midwives, Certified Nurse Assistants, and Certified Home Health Aides
§1054.6. Testing Authority for Licensed Psychiatric Technicians, Licensed Vocational Nurses, Licensed Midwives, Certified Nurse Assistants, and Certified Home Health Aides.
Note     •     History

NOTE

Authority cited: Section 1224 Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206.5, and 1209, Business and Professions Code.
HISTORY

1. New section filed 12-27-94 as an emergency; operative 12-27-94 (Register 94, No. 52). A Certificate of Compliance must be transmitted to OAL 4-26-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-5-95 as an emergency; operative 5-5-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-4-95 or emergency language will be repealed by operation of law on the following day.
3. New section  refiled 9-15-95 as an emergency; operative 9-15-95 (Register 95, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-15-96 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 96, No. 4).
5. New article 5.6 (sections 1054.6-1054.7), section heading, section, and Note filed 5-28-96 as an emergency; operative 5-28-96 (Register 96, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-25-96 or emergency language will be repealed by operation of law on the following day.
6. New article 5.6 (sections 1054.6-1054.7) and section refiled 10-7-96 as an emergency; operative 10-7-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-7-96 order, including repealer of section, transmitted to OAL 2-3-97 and filed 3-19-97 (Register 97, No. 12).
§1054.7. Preceptor Program Requirements for Licensed Psychiatric Technicians, Licensed Vocational Nurses, Licensed Midwives, Certified Emergency Medical Technicians II, Paramedics, Certified Nurse Assistants, and Certified Home Health Aides Performing Moderate Complexity Testing on Point-of-Care Laboratory Testing Devices.
Note     •     History

(a) Prior to the performance of any clinical laboratory test or examination authorized in Business and Professions Code Section 1206.5(b)(11), a licensed psychiatric technician, licensed vocational nurse, licensed midwife, certified emergency medical technician II, paramedic, certified nurse assistant or certified home health aide shall have been trained by a preceptor in:
(1) The operation of each instrument to be used by the licensed psychiatric technician, licensed vocation nurse, licensed midwife, certified emergency medical technician II, paramedic, certified nurse assistant or certified home health aide including:
(A) Each instrument's requirements for maintenance and calibration which shall include training regarding all manufacturer's instructions;
(B) Each instrument's performance criteria including the reference ranges, critical values for each test method, and actions to be taken for values outside the analytical range; and
(C) Each instrument's quality control and quality assurance protocols, including remedial action and reagent and specimen handling and integrity; and,
(2) The clinical significance of test results for each instrument and the clinical application for use of the instruments by licensed psychiatric technicians, licensed vocational nurses, licensed midwives, certified emergency medical technicians II, paramedics, certified nurse assistants or certified home health aides; and,
(3) The common physiological conditions of patients that may impact specimen integrity and cause inaccurate test results; and
(4) Principles of good laboratory practice including laboratory safety and universal precautions.
(b) Prior to the utilization, for patient care, prognosis, monitoring, treatment, or disease prevention, of any clinical laboratory test or examination performed by him or her, a licensed psychiatric technician, licensed vocational nurse, licensed midwife, certified emergency medical technician II, paramedic, certified nurse assistant, certified home health aide shall have the following experience and shall have been determined to be competent to perform moderate complexity tests by the laboratory director or a person who qualifies as a technical consultant pursuant to Business and Professions Code Section 1209:
(1) He or she shall participate in a preceptor program until such time as he or she is able to perform clinical laboratory tests or examinations with results that are consistent with the preceptor's results 90% of the time over 20 separate testing events which taken together, cover the entire range of expected values for the instrument.
(2) The experience requirement in subsection (b)(1) shall be met for each instrument to be used by the licensed psychiatric technician, licensed vocational nurse, licensed midwife, certified emergency medical technician II, paramedic, certified nurse assistant or certified home health aide.
NOTE

Authority cited: Section 1224, Business and Professions Code; and Section 100275, Health and Safety Code. Reference: Sections 1206.5, 1209, and 1220, Business and Professions Code.
HISTORY

1. New section filed 5-28-96 as an emergency; operative 5-28-96 (Register 96, No. 22). A Certificate of Compliance must be transmitted to OAL by 9-25-96 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-7-96 as an emergency; operative 10-7-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-4-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-7-96 order, including amendment of section heading and section, transmitted to OAL 2-3-97 and filed 3-19-97 (Register 97, No. 12).
Article 6. Laboratory Reports
§1055. Reports.
Note     •     History

Any report of results issuing from a clinical laboratory operating under the provisions of Chapter 3, Division 2, Business and Professions Code shall show clearly the name of a director of said laboratory.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Sections 1220, 1225, 1284 and 1285, Health and Safety Code.
HISTORY

1. New section filed 9-30-60; effective thirtieth day thereafter (Register 60, No. 21).
§1056. Prenatal and Neonatal Blood Typing.
Note     •     History

For purposes of compliance with Sections 291 and 304 of the California Health and Safety Code, rhesus (Rh) blood typing (as defined in Title 17, California Administrative Code, Chapter 2, Subchapter 1, Group 1, Section 1002, Number 3, [Determination of Rh type]) shall consist of D and if this is negative, Du typing.
NOTE

Additional authority cited: Sections 290-293 and 304-305, Health and Safety Code.
HISTORY

1. New Sections 1056 and 1057 filed 3-16-70; effective thirtieth day thereafter (Register 70, No. 12).
2. Amendment filed 2-2-71; effective thirtieth day thereafter (Register 71, No. 6).
3. Editorial correction (Register 72, No. 31).
§1057. Prenatal Blood Typing Reports.
History

Licensed clinical laboratories or approved public health laboratories performing tests on pregnant women as required by Sections 290 and 291 of the California Health and Safety Code shall provide the requesting physician with a copy of the report to be stamped or imprinted as follows: “State law requires that the woman tested be informed as to the rhesus (Rh) typing test results.”
Every licensed physician and surgeon or other person engaged in the prenatal care of a pregnant woman, or attending such woman at time of delivery after receiving such report, shall be responsible for notifying the woman tested of the results of the test.
HISTORY

1. Amendment filed 2-2-71; effective thirtieth day thereafter (Register 71, No. 6). 
Article 7. Cytotechnology
§1060. Definitions: Cytotechnologist License.
Note     •     History

(a) The definitions in subsections (b) though (i) shall govern the interpretation of this article.
(b) “Competency testing service or program” means an organization that has been approved by the Department pursuant to section 1270 of the California Business and Professions Code to administer a cytotechnology competency examination.
(c) “Cytotechnologist competency examination” means an examination which evaluates a person's entry level skills and abilities in cytotechnology, including his or her understanding of: (1) the underlying scientific principles, technical and procedural aspects of cytotechnology; (2) the identification of cellular changes in gynecological and non-gynecological specimens through both a written and visual component; (3) cytopreparatory techniques; and (4) cytology laboratory operations; and which include the following subject areas in the following ratios: 48% to 52% female reproductive system (to include both the genital system and breast); 13% to 17% respiratory system; 9% to 12% male and female genitourinary systems; 6% to 10% alimentary system; and 13% to 17% body cavity fluids and other body sites.
(d) “Entry Level Skills” means the following skills and abilities expected at career entry:
(1) Knowledge and understanding of:
(A) the underlying scientific principles as well as the technical and procedural aspects of the examination of cytology specimens;
(B) the physiological, biochemical, microbiological, and genetic factors which affect cell health and disease, and the importance of cytology laboratory examinations to medical care;
(C) quality assurance sufficient to monitor and to implement quality control programs;
(D) the introduction and implementation of new procedures and the evaluation of new instruments;
(E) basic management theory and functions.
(2) Technical skills so that the examinee is capable of:
(A) performing examinations on cytology specimens;
(B) exercising initiative and independent judgment in dealing with the broad scope of procedural and technical problems;
(C) participating in, or being delegated, the responsibility for decisions involving quality control programs, or reagent purchases; 
(D) communicating technical or general information to medical, paramedical, or lay individuals;
(E) participating in and developing responsibility for the establishment of technical and administrative procedures;
(F) supervising technicians, aides, and clerical personnel, as directed; and,
(G) providing instruction in the basic theory, technical skills, and application of cytology laboratory procedures.
(e) ”Examinee” means an individual who meets the following requirements:
(1) Has a baccalaureate degree from a college or university accredited by the Western Association of Schools and Colleges or its equivalent with 20 semester hours (30 quarter hours) of biological science, 8 semester hours (12 quarter hours) of chemistry and 3 semester hours (4 quarter hours) of mathematics; and
(2) Has completed:
(A) A 12-month cytotechnology program accredited by the Council on Accreditation of Allied Health Educational Program (CAAHEP) or its equivalent; or
(B) Five years, of at least 40 hours a week, clinical laboratory experience in cytopreparatory techniques, microscopic analysis and evaluation of the body systems within the last ten years.  At least two of these years must be subsequent to the completion of the academic component and at least two years must be under the supervision of a licensed physician who is a pathologist certified or eligible for certification by the American Board of Pathology in Anatomic Pathology or has other qualifications acceptable to the competency testing service or program.
(f) “Evidence of Satisfactory Performance” means (1) a copy of a document issued to an examinee after January 1, 1993 by a cytotechnology competency testing service or program indicating satisfactory performance by the examinee on a cytotechnologist competency examination; or (2) a copy of a document issued to an individual by the American Society of Clinical Pathologists (ASCP) Board of Registry (BOR) indicating satisfactory performance by the individual on an ASCP Cytotechnology Examination taken prior to the approval of a competency testing service or program under the provisions of this article.
(g) “Satisfactory performance” means (1) receipt of a passing score on a cytotechnologist competency examination given after January 1, 1993; or (2) passage of an ASCP Cytotechnology Examination prior to the approval of a competency testing service or program under the provisions of this article.
(h) ”Passing score” means a score determined by a cytotechnologist competency testing service or program utilizing the criteria approved by the Department pursuant to section 1062.
(i) “Owner(s)” means any person who is a sole proprietor, or holds a partnership interest in, or who is an officer, director, or 5% (five percent) or more shareholder in a corporation which owns an organization that is applying for approval as a cytotechnologist testing service or program.
NOTE

Authority cited: Sections 1224 and 1270, Business and Professions Code.  Reference: Section 1270, Business and Professions Code.
HISTORY

1. New article 7 and section filed 11-18-93 as an emergency; operative 11-18-93 (Register 93, No. 47).  A Certificate of Compliance must be transmitted to OAL by 3-18-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-18-93 order transmitted with amendment of subsections (e)(2)(A) and (f) to OAL 3-18-94 and filed 4-29-94 (Register 94, No. 17).
§1061. Cytotechnology Licensure.
Note     •     History

(a) A cytotechnologist license shall be issued to an individual who submits the following to the Department:
(1) A verified and complete application as described in subsection (b);
(2) Evidence of satisfactory performance;
(3) The application fee required under Business and Professions Code Section 1300 and Health and Safety Code Section 116.
(b) A complete application for a cytotechnologist license shall include the following verified information on a form, Application for Cytotechnologist License (LAB 124, Rev. 11/93), provided by the Department:
(1) Name, address, social security number (optional), and ASCP registration number, if any, of the applicant; and
(2) The applicant's education, training and experience in gynecological and non-gynecological cytology including: 
(A) An official copy of any and all college credits including a statement of any degrees conferred; and
(B) Documentation of each of the following, if completed or obtained by the applicant:
1. The completion of a 12 month training program approved by CAAHEP or its equvalent, or
2. The completion of five years of full-time, of at least 40 hours a week, clinical laboratory experience in cytology;
3. ASCP registration certificate;
4. Licensure by the Department under Business and Professions Code section 1270 subsection (c) or subsection (d); and 
(3) The name and address of the applicant's current laboratory employer(s), and the number of hours employed (by each) and the time devoted, and volume of types of specimens examined at each location.
(c) Within 30 calendar days of receipt of an application for a cytotechnologist license, the Department shall inform the applicant in writing that the application is either complete and accepted for filing or that it is incomplete and what specific information is required before the application may be accepted for filing.
(d) Within 90 calendar days from the date the Department receives the information and documentation required in subdivision (a), it shall inform the applicant in writing whether a cytotechnologist  license shall be issued or denied.  If a license is denied, the Department shall indicate the reasons therefor.
(e) The Department's time periods for processing an application for cytotechnologist license, from receipt of the initial application to the final decision regarding the license, are as follows:
(1) The median time for processing is 240 calendar days.
(2) The minimum time for processing is 120 calendar days.
(3) The maximum time for processing is 360  calendar days.
(f) Each licensed cytotechnologist shall notify the Department within 30 calendar days of any and all changes in his or her employment, including any changes in the name and address of his or her employer(s), the hours employed by each, and the information specified in subsection (b)(3) above.
NOTE

Authority cited: Sections 1224, 1270 and 1271(f), Business and Professions Code. Reference: Sections 1270, 1271 and 1300, Business and Professions Code; Section 15376, Government Code; and Section 116, Health and Safety Code.
HISTORY

1. New section filed 11-18-93 as an emergency; operative 11-18-93 (Register 93, No. 47).  A Certificate of Compliance must be transmitted to OAL by 3-18-94 or emergency language will be repealed by operation of  law on the following day.
2. Certificate of Compliance as to 11-18-93 order transmitted with amendment of subsection (b)(2)(B)1 to OAL 3-18-94 and filed 4-29-94 (Register 94, No. 17).
§1062. Cytotechnologist Competency Testing Services Or Programs.
Note     •     History

(a) Any organization seeking approval by the Department as a cytotechnologist competency testing service or program shall submit an application to the Department which shall include documentation of the following:
(1) The organization's name, address, and owner(s);
(2) The organization's mechanism for assuring that each individual for whom a cytotechnologist competency testing examination is administered meets the criteria as an examinee;
(3) The organization's mechanism for assuring that each cytotechnologist competency examination administered by the organization shall test each examinee on his or her entry level skills and understanding of:
(A) The underlying scientific principles and the technical and procedural aspects of cytology;
(B) The identification of cellular changes in gynecologic and non-gynecologic specimens through both a written and visual component;
(C) Cytopreparatory techniques; and
(D) Cytology laboratory operations, and that each test shall include the following subject areas in the following ratios: 48% to 52% female reproductive system (to include both genital system and breast); 13%-17% respiratory system; 9%-12% male and/or female genitourinary system; 6%-10% alimentary system; and 13%-17% body cavity fluids and other body sites;
(4) The organization's mechanism for determining the validity and passing score for each cytotechnologist competency examination administered by the organization in order that there is a consistency between and among all testing events as to entry level skills that must be demonstrated in order for an examinee to pass the examination; and,
(5) The organization's mechanism for assuring the security of each cytotechnologist competency examination administered by it.
(b) Upon receipt of the above, and the determination by the Department that the documentation provides assurances of the following, the Department shall approve the organization as a cytotechnologist competency testing service or program and shall issue an approval document indicating the terms of the organization's approval:
(1) The organization shall only administer cytotechnologist competency examinations to persons who qualify as an examinee;
(2) Each cytotechnologist competency examination administered by the organization shall challenge each examinee on his or her entry level skills and understanding of the subjects, and shall contain the subject matter in the ratios identified in subsection (a) (3), above;
(3) Each cytotechnologist competency examination administered by the organization shall be validly constructed and have a passing score that fosters a consistency between and among all testing events as to entry level skills that must be demonstrated in order for an examinee to pass the examination; and,
(4) Each cytotechnologist competency examination shall be administered in a secure fashion.
(c) Within 15 days of receipt of an application by an organization for approval as a cytotechnologist competency testing service, the Department shall inform the organization in writing that the application is complete and accepted for review or deficient and what specific information or documentation is required to complete the application.
(d) Within 30 calendar days from the date of filing of a completed application, the Department shall inform the applicant organization in writing whether the organization has been approved as a cytotechnologist competency testing service or program.
(e) The Department's time periods for processing an application for approval as a cytotechnologist competency testing service or program, from the receipt of the initial application to the final decision regarding the approval, are as follows:
(1) The median time for processing is 90 calendar days.
(2) The minimum time for processing is 45 calendar days.
(3) The maximum time for processing is 135 calendar days.
(f) Cytotechnologist competency testing services or programs shall issue a document to each examinee who obtains a passing score on each cytotechnologist competency examination administered by the service or program.
(g) Cytotechnologist competency testing services or programs shall maintain, for a minimum of five years, and shall make available to the Department, records showing the validation, content, passing score, date and place of each competency testing examination administered by it, and a record of each examinee tested.
(h) A cytotechnologist competency testing service or program shall be subject to review by the Department to determine adherence to the requirements of this article and its approval.  Failure of a cytotechnologist competency testing service or program to meet the requirements of this article or its terms of approval shall constitute good cause for revocation of approval by the Department.
NOTE

Authority cited: Sections 1224 and 1270, Business and Professions Code.  Reference: Section 1270, Business and Professions Code; and Section 15376, Government Code.
HISTORY

1. New section filed 11-18-93 as an emergency; operative 11-18-93 (Register 93, No. 47).  A Certificate of Compliance must be transmitted to OAL by 3-18-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-18-93 order transmitted with amendment of subsection (a)(3)(D)  to OAL 3-18-94 and filed 4-29-94 (Register 94, No. 17).
Article 8. Enforcement
§1065. Imposition of Sanctions.
Note     •     History

(a) The department may impose, as applicable, one or more of the following sanctions on a clinical laboratory, a public health laboratory or a provider of service:
(1) Principal sanctions.
(2) Intermediate sanctions.
(3) Alternative sanctions.
(4) Automatic suspension of a license or registration based on federal exclusion from the Medicare or Medicaid program or revocation of CLIA certificate.
(5) State-initiated exclusions from the Medicaid and Medi-Cal programs.
(6) Exclusion from ownership or operation for two years following license or registration revocation.
(7) Civil suit to enjoin statutory or regulatory violations.
(8) Criminal sanctions for unlawful activity.
(9) Automatic revocation of license/registration or other approval based on intentional referral of proficiency testing samples for analysis.
(10) Suspension of Medi-Cal and Medicaid payments for failure to permit an inspection.
(b) The department's decision to impose sanctions shall be based on one or more of the following:
(1) Deficiencies found by the department or its agents in the conduct of inspections or through review of materials submitted by a laboratory (e.g., personnel qualifications).
(2) Unsuccessful participation in proficiency testing.
(c) The department shall base its choice of sanction or sanctions to impose on consideration of one or more factors that include, but are not limited to, the following, as assessed by the department or its agents:
(1) Whether the deficiencies pose immediate jeopardy.
(2) The nature, incidence, severity, and duration of the deficiencies or noncompliance.
(3) Whether the same condition level deficiencies have been identified repeatedly.
(4) The accuracy and extent of laboratory records (e.g., of remedial action) in regard to the noncompliance, and their availability to the department, to its agents, or to the United States Health Care Financing Administration and its agents.
(5) The relationship of one deficiency or group of deficiencies to other deficiencies.
(6) The overall compliance history of the laboratory.
(7) The corrective and long-term compliance outcomes that the department hopes to achieve through application of the sanction.
(8) Whether the laboratory has made any progress toward improvement following a reasonable opportunity to correct deficiencies.
(d) The department shall impose a separate sanction for each condition level deficiency or a single sanction for all condition level deficiencies that are interrelated and subject to correction by a single course of action.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New article 8 (sections 1065-1067.15) and section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.5. Principal Sanctions.
Note     •     History

(a) The department may impose on a clinical laboratory the principal sanctions of denial, revocation or suspension of a registration or license issued under chapter 3 of division 2 of the Business and Professions Code whenever it determines that any of the grounds identified in Business and Professions Code section 1320 exist and it has complied with the requirements of Business and Professions Code sections 1267 and 1322. A clinical laboratory that has had a Statement of Issues or an Accusation filed against it for the denial, revocation or suspension of its license or registration may defend itself, its owner(s) and director(s) by filing a notice of defense in accordance with section 11506 of the Government Code. A clinical laboratory that is dissatisfied with a final decision regarding a denial, revocation or suspension may seek judicial review in accordance with section 11523 of the Government Code. 
(b) The department may impose on a public health laboratory the principal sanctions of denial, revocation or suspension of the approval to operate a public health laboratory granted under article 5 (commencing with section 101150) of the Health and Safety Code whenever it determines that the requirements identified in 17 CCR section 1078 are not being met and it has complied with chapter 5 (commencing with section 11500) of part 1 of division 3 of title 2 of the Government Code. A public health laboratory that has had a Statement of Issues or an Accusation filed against it for the denial, revocation or suspension of its approval to operate may defend itself by filing a notice of defense in accordance with section 11506 of the Government Code. A public health laboratory that is dissatisfied with a final decision regarding a denial, revocation or suspension may seek judicial review in accordance with section 11523 of the Government Code. 
(c) The department may impose on a provider of service the principal sanction of suspension from further participation in, including reimbursement from, the Medi-Cal and Medicaid programs whenever it determines that any of the grounds identified in Welfare and Institutions Code section 14123 exist and it has complied with chapter 5 (commencing with section 11500) of part 1 of division 3 of title 2 of the Government Code, except that hearings may be conducted by departmental hearing officers appointed by the director. A provider of service that has had an Accusation filed against it for its suspension from further participation in the Medi-Cal program may defend itself, its owner(s) or director(s) by filing a notice of defense in accordance with section 11506 of the Government Code. A provider of service that is dissatisfied with a final decision regarding suspension from further participation in the Medi-Cal program may seek judicial review in accordance with section 11523 of the Government Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order, including amendment of subsection (b), transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.10. Intermediate Sanctions.
Note     •     History

(a) The department may impose on a clinical laboratory the intermediate sanction of temporary suspension of a registration or license issued under chapter 3 of division 2 of the Business and Professions Code based on a departmental finding of immediate jeopardy or other grounds identified in Business and Professions Code section 1323. The intermediate sanction becomes effective upon the serving of an Accusation. A clinical laboratory that has had an Accusation filed against it for temporary suspension of its license or registration may defend itself, its owner(s) and director(s) by filing a notice of defense in accordance with section 1323 of the Business and Professions Code. Regardless of a notice of defense being filed, the temporary suspension remains in effect at least until the hearing is completed and the department has made a final determination on the merits. A clinical laboratory that is dissatisfied with a final determination on the merits may seek judicial review in accordance with section 11523 of the Government Code.
(b) The department may impose on a public health laboratory the intermediate sanction of temporary suspension of the approval to operate a public health laboratory granted under article 5 (commencing with section 101150) of the Health and Safety Code based on a departmental finding of immediate jeopardy. The intermediate sanction becomes effective upon the serving of an Accusation. A public health laboratory that has had an Accusation filed against it for temporary suspension of its approval may defend itself, its owner(s) and director(s) by filing a notice of defense in accordance with section 11506 of the Government Code. Regardless of a notice of defense being filed, the temporary suspension remains in effect at least until the hearing is completed and the department has made a final determination on the merits. A public health laboratory that is dissatisfied with a final determination on the merits may seek judicial review in accordance with section 11523 of the Government Code.
(c) The department may impose on a provider of service the intermediate sanction of temporary suspension from participation in, including reimbursement from, the Medi-Cal and Medicaid programs based on a departmental finding of immediate jeopardy or condition level deficiencies and when in the opinion of the director of the department such action is necessary to protect the public welfare or the interests of the Medi-Cal program. The intermediate sanction becomes effective upon the serving of an Accusation. A provider of service that has had an Accusation filed against it for temporary suspension from participation in the Medi-Cal program may defend itself, its owner(s) and director(s) by filing a notice of defense in accordance with section 11506 of the Government Code. Regardless of a notice of defense being filed, the temporary suspension remains in effect at least until the hearing is completed and the department has made a final determination on the merits. A provider of service that is dissatisfied with a final determination on the merits may seek judicial review in accordance with section 11523 of the Government Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order, including amendment of subsection (b), transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.15. Alternative Sanctions.
Note     •     History

(a) The department may impose on a clinical laboratory one or more of the following alternative sanctions in lieu of or in addition to imposing a principal sanction:
(1) Directed plans of correction, as set forth in section 1067.
(2) Onsite monitoring, as set forth in section 1067.10.
(3) Civil money penalties, as set forth in section 1067.5.
(b) Prior to the imposition of an alternative sanction a clinical laboratory shall be given a Notice of Intent and an opportunity to respond. A clinical laboratory that is dissatisfied with the imposition of an alternative sanction may seek judicial review by filing a petition for writ of mandate in accordance with the provisions of the Code of Civil Procedure.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.20. Automatic Suspension.
Note     •     History

The department shall automatically suspend a clinical laboratory license or registration based on federal exclusion from the Medicare or Medicaid program or revocation of CLIA certificate. A clinical laboratory that is dissatisfied with the imposition of an automatic suspension may seek judicial review by filing a petition for writ of mandate in accordance with the provisions of the Code of Civil Procedure.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.25. State-Initiated Exclusions from Medicaid and Medi-Cal.
Note     •     History

The department may initiate exclusions from Medicaid and Medi-Cal when the grounds for taking a permissive exclusion under 42 CFR part 1002 exist. The department shall initiate exclusions from Medicaid and Medi-Cal when the grounds for taking a mandatory exclusion under 42 CFR part 1002 exist. Before imposing an exclusion, the department shall give a provider of service an opportunity to submit documents and written argument against the exclusion. A provider of service that is dissatisfied with the imposition of an exclusion may seek judicial review by filing a petition for writ of mandate in accordance with the provisions of the Code of Civil Procedure.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.30. Exclusion from Ownership or Operation.
Note     •     History

The department shall exclude for a period of two years following revocation any person or entity from owning, operating, or directing a laboratory, whenever the person or entity has been the owner, operator or laboratory director of a clinical laboratory that has had its clinical laboratory license or registration revoked. A person or entity that is dissatisfied with the imposition of an exclusion from owning or operating a clinical laboratory may seek judicial review by filing a petition for writ of mandate in accordance with the provisions of the Code of Civil Procedure.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.35. Civil Suit to Enjoin Violations.
Note     •     History

The department shall initiate a civil suit whenever such suit is necessary to enjoin the violation or threatened violation of chapter 3 (commencing with section 1200) of the Business and Professions Code or the regulations adopted thereunder. A person or entity against whom a civil suit is filed shall have all the rights of defense afforded by California civil law.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.40. Criminal Sanctions for Unlawful Activity.
Note     •     History

The department may refer for prosecution to the Attorney General's office or a District Attorney's office, when appropriate, any person or entity it has reason to believe has engaged in any of the unlawful activities identified in sections 1280 through 1287, inclusive of the Business and Professions Code. A person or entity against whom a criminal action is filed shall have all the rights of defense afforded by California criminal law.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC , Section1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1065.45. Revocation for Referral of Proficiency Testing Samples.
Note     •     History

If the department determines that a laboratory has intentionally referred proficiency testing samples to another laboratory for analysis, it shall take action to revoke the license/registration or other approval for at least one year and may take action to impose any other available sanction.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; Stats. 1995, c.510, Section 1; and Section 14105, Welfare and Institutions Code. Reference: Stats.1995, c.510, Section 1; Section 101160, Health and Safety Code; Sections 1265, 1267, 1280, 1281, 1282, 1283, 1284, 1285, 1286, 1287, 1288.5, 1289, 1310, 1320, 1323, 1324 and 1326, Business and Professions Code; Sections 11503, 11504, 11506 and 11523, Government Code; 42 USC, Section 1395x(s) [Section 1861(s) of the Social Security Act]; 42 United States Code, Section 1395w-2 [Section 1846 of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(9)(C) [Section 1902(a)(9)(C) of the federal Social Security Act]; 42 United States Code, Section 1396a(a)(30) [Section 1902(a)(30) of the federal Social Security Act]; 42 USC Section 1396a(p) [Section 1902(p) of the Social Security Act]; 42 CFR Section 1002.2; 42 CFR Sections 1001.201 through 1001.1701; Section 14123, Welfare and Institutions Code; and 42 CFR Section 493.1840. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1066. Condition Level Requirements.
Note     •     History

(a) Any requirement specified in subsections (b) through (i) shall constitute a condition level requirement.
(b) Each clinical laboratory performing clinical laboratory tests or examinations classified as of moderate or of high complexity under CLIA shall obtain and maintain a valid clinical laboratory license issued pursuant to section 1265 of the Business and Professions Code.
(c) Each clinical laboratory shall employ:
(1) A sufficient number of laboratory personnel with the appropriate education and either experience or training to:
(A) Provide appropriate direction, supervision and consultation;
(B) Accurately perform tests; and
(C) Report test results.
(2) Laboratory personnel who meet the personnel qualifications, duties, and responsibilities required in CLIA and sections 1203, 1204, 1206.5, 1207, 1209, 1209.1, 1210, 1270 and 1271 of the Business and Professions Code.
(d) Each clinical laboratory shall:
(1) Enroll in a proficiency testing program approved by the department or by the United States Health Care Financing Administration if required to enroll under Business and Professions Code section 1220(a)(2)(A); and if required to enroll, demonstrate successful participation, as defined under CLIA, for each specialty and subspecialty in which it performs clinical laboratory tests or examinations, to the same extent as required under CLIA,
(2) Authorize its proficiency test results to be reported to the department in an electronic format that is compatible with the department's proficiency testing data monitoring system, and
(3) Authorize the release of proficiency tests results to the public to the same extent required by CLIA.
(e) Each clinical laboratory required to do so under Business and Professions Code section 1220(d)(2)(A) shall establish and maintain a patient test management system that meets the standards of CLIA;
(f) Each clinical laboratory required to do so under Business and Professions Code section 1220(d)(2)(B) shall:
(1) Establish and maintain a quality control program that meets the requirements of CLIA,
(2) Perform all clinical laboratory tests or examinations classified as waived under CLIA in conformity with the manufacturer's instructions.
(g) Each clinical laboratory required to do so under Business and Professions Code section 1220(d)(2)(C) shall:
(1) Establish and maintain a comprehensive quality assurance program that meets the standards of CLIA,
(2) Maintain records, equipment, and facilities that are adequate and appropriate for the services rendered,
(3) Be conducted, maintained and operated without injury to the public health, and
(4) If providing cytology services and its licensee ceases operation, preserve
(A) Records,
(B) Reports,
(C) Cytology slides, and
(D) Cell blocks as prescribed in subdivision (g) of section 1271 and section 1274 of the Business and Professions Code.
(h) Each licensed or registered clinical laboratory shall submit to the inspections identified in Business and Professions Code section 1220, which inspections may be conducted by department employees or contractors, or the United States Health Care Financing Administration (HCFA), or HCFA agents. The department may conduct announced or unannounced inspections of any premises, building, equipment, materials, records, or information at any reasonable time to secure compliance with, or prevent a violation of chapter 3 of division 2 of the B&P Code. A clinical laboratory shall permit, as part of this inspection, the department or its contractors or agents to:
(1) Inspect, photograph, or copy any records, reports, test results, test specimens, or other information related to the requirements of chapter 3 of division 2 of the Business and Professions Code or the regulations adopted pursuant thereto. (The laboratory shall make all records and data accessible and retrievable within a reasonable time frame during the course of the inspection.);
(2) Secure any sample, photograph, or other evidence from any building or premises for the purpose of enforcing chapter 3 of division 2 of the Business and Professions Code or the regulations adopted pursuant thereto;
(3) Observe laboratory personnel performing tests (including proficiency testing), data analysis and reporting;
(4) Interview all personnel of the clinical laboratory concerning compliance with chapter 3 of division 2 of the Business and Professions Code and the regulations adopted thereunder;
(5) Upon request, review all information and data necessary to:
(A) Determine that testing is being performed or the laboratory is being operated in a manner that does not constitute an imminent and serious risk to public health;
(B) Evaluate complaints from the public; and
(C) Determine whether or not the laboratory is performing tests without a license or registration applicable to the category of tests or examinations being performed; and
(6) Provide copies to the department or its contractors or agents of all records and data required under chapter 3 of division 2 of the Business and Professions Code and the regulations adopted thereunder.
(i) Each laboratory shall comply with the requirements identified as “conditions” in subparts G through P of CLIA.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, Chapter 510, Section 1. Reference: Statutes 1995, Chapter 510, Section 1; and Sections 1203, 1204, 1206.5, 1207, 1209, 1209.1, 1210, 1220, 1223, 1225 and 1265, Business and Professions Code. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1067. Procedures for the Imposition of Directed Plans of Correction.
Note     •     History

(a) The department may impose a directed plan of correction as an alternative sanction for any clinical laboratory that has condition level deficiencies.
(b) If the department is imposing a directed plan of correction, the following procedures shall apply:
(1) The department shall give the laboratory a written Notice of Intent to impose a directed plan of correction. The Notice of Intent shall include the following:
(A) The condition level deficiency that has been identified,
(B) The sanction or sanctions that the department proposes to impose against the laboratory,
(C) The rationale for the proposed sanction or sanctions,
(D) The projected effective date and duration of the proposed sanction or sanctions,
(E) The authority for the proposed sanction or sanctions, and
(F) The time allowed for the laboratory to respond to the notice. (During the period specified, the laboratory may submit to the department written evidence or other information against the imposition of the proposed sanction or sanctions.)
(2) After the period specified in (b)(1)(F) has elapsed, the department shall give the laboratory a written Notice of Sanction to impose a Directed Plan of Correction that acknowledges any evidence or information received from the laboratory and specifies the following:
(A) The sanction or sanctions to be imposed against the laboratory,
(B) The authority and rationale for imposing the sanction or sanctions,
(C) The effective date and duration of sanction, and
(D) A direction to the laboratory to take specific corrective action within specific time frames in order to achieve compliance.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c.510, Section 1. Reference: Stats.1995, c.510, Section 1; Section 1310, Business and Professions Code; and Sections 11503, 11505 and 11506, Government Code. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order, including amendment of subsection (b)(1)(F), transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1067.5. Procedures for the Imposition of Civil Money Penalties.
Note     •     History

(a) The department may impose civil money penalties as an alternative sanction for any clinical laboratory that has condition level deficiencies.
(b) If the department is imposing civil money penalties, the following procedures apply:
(1) In determining the amount of the penalty, the department shall take into account the following factors:
(A) The nature, scope, severity, and duration of the deficiency or noncompliance.
(B) Whether the same condition level deficiencies have been identified during prior inspections.
(C) The laboratory's intent or reason for noncompliance.
(D) The accuracy and extent of laboratory records and their availability to the department or its contractors or agents.
(2) For a condition level deficiency that does not pose immediate jeopardy, the range of the penalty amount shall be $50-$3,000 per day of noncompliance or per violation. The department may, before any hearing, propose to increase the penalty amount into the range specified in (b)(3) for a laboratory that has deficiencies which, after imposition of a lower penalty amount, become sufficiently serious to pose immediate jeopardy.
(3) For a condition level deficiency that poses immediate jeopardy, the range of the penalty shall be $3,050-$10,000 per day of noncompliance or per violation. If the immediate jeopardy is removed, but the deficiency continues, the department shall shift the penalty amount to the range specified in (b)(2).
(4) The department shall send the laboratory written notice of intent to impose a civil money penalty. The notice shall include the following information:
(A) The statutory basis for the penalty,
(B) The proposed daily or per violation amount of the penalty,
(C) The factors (as described in paragraph (b)(1) of this section) that the department considered, and
(D) The time allowed for the laboratory to respond to the notice. (During the period specified, the laboratory may submit to the department written evidence or other information against the imposition of the proposed sanction or sanctions.)
(5) After the period specified in (b)(4)(D) has elapsed, the department shall give the laboratory a written Notice of Sanction that acknowledges any evidence or information received from the laboratory and specifies the following:
(A) The sanction or sanctions to be imposed against the laboratory,
(B) The authority and rationale for imposing the sanction or sanctions,
(C) The effective date and duration of sanction, and
(D) A specific statement regarding the laboratory's appeal rights and a Notice of Defense in the following form: Unless a written request for a hearing signed by the laboratory owner(s) or director(s) is delivered or mailed to the department within 15 days after the Notice of Sanction was mailed, the department may proceed upon imposition of the sanctions identified in the Notice of Sanction without a hearing. A request for a hearing may be made by delivering or mailing the enclosed form entitled Notice of Defense, or by delivering or mailing a notice of defense as provided by section 11506 of the Government Code to: The Department of Health Services at the address noted on the Notice of Sanction. The laboratory may, but need not, be represented by counsel at any or all stages of the proceedings.
(6) The laboratory shall have 15 days from the date of receipt of the Notice of Sanction to request a hearing by delivering or mailing a Notice of Defense. Hearings shall be conducted in accordance with chapter 5 (commencing with section 11500) of part 1 of division 3 of title 2 of the Government Code, except that hearings may be conducted by departmental hearing officers appointed by the director.
(7) The effective date of an alternative sanction of a civil money penalty shall be delayed if the laboratory has appealed and the hearing or the hearing decision is pending.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c.510, Section 1. Reference: Stats.1995, c.510, Section 1; Section 1310, Business and Professions Code; and Section 11505, Government Code. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order, including amendment of subsection (b)(4)(D), transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1067.10. Procedures for the Imposition of On-site Monitoring.
Note     •     History

(a) The department may require continuous or intermittent monitoring of a plan of correction to ensure that the laboratory makes the improvements necessary to bring it into compliance with the condition level requirements.
(b) The laboratory shall pay the costs of on-site monitoring by the department. 
(c) If the department imposes on-site monitoring, the following procedures apply:
(1) The department shall provide written notice of the following:
(A) The condition level noncompliance that it has identified,
(B) The sanction or sanctions that the department proposes to impose against the laboratory,
(C) The rationale for the proposed sanction or sanctions,
(D) The projected effective date and duration of the proposed sanction or sanctions,
(E) The authority for the proposed sanction or sanctions, and
(F) The time allowed for the laboratory to respond to the notice. [During the period specified, the laboratory may submit to the department written evidence or other information against the imposition of the proposed sanction or sanctions.]
(2) After the period specified in (c)(1)(F) has elapsed, the department shall give the laboratory written notice that acknowledges any evidence or information received from the laboratory and specifies the following:
(A) The sanction or sanctions to be imposed against the laboratory,
(B) The authority and rationale for imposing the sanction or sanctions, and
(C) The effective date and duration of sanction.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Stats. 1995, c.510, Section 1. Reference: Stats.1995, c.510, Section 1; Section 1310, Business and Professions Code; and Sections 11503, 11505 and 11506, Government Code. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order, including amendment of subsection (b), transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
§1067.15. Procedures for the Imposition of a Temporary Suspension of a Laboratory or Clinical Laboratory under the Medi-Cal Program.
Note     •     History

(a) The department may impose a Temporary Suspension on a provider of laboratory services prior to hearing if the laboratory has condition level deficiencies or there is immediate jeopardy and in the director's opinion such action is necessary to protect the public welfare or the interests of the Medi-Cal program.
(b) If the department is imposing a Temporary Suspension on a provider of service, the following procedures apply:
(1) The department shall serve the laboratory with a Notice of Sanction which includes the following information:
(A) The sanction or sanctions to be imposed against the laboratory, and
(B) The effective date and duration of sanction.
(2) At the same time as the Notice of Sanction is served, the department shall serve the laboratory with an Accusation. Included with the Accusation is a Notice of Defense in the following form: Unless a written request for a hearing signed by the owner(s) or director(s) of the laboratory is delivered or mailed to the department within 15 days after the Notice of Sanction and Accusation were served, no hearing shall be held regarding the imposition of the sanctions identified in the Notice of Sanction. A request for a hearing may be made by delivering or mailing the enclosed form entitled Notice of Defense, or by delivering or mailing a notice of defense as provided by section 11506 of the Government Code to: The Department of Health Services at the address noted on the Notice of Sanction. The laboratory may, but need not, be represented by counsel at any or all stages of these proceedings.
(3) The laboratory shall have 15 days from the date of receipt of the Notice of Sanction to request a hearing by delivering or mailing a Notice of Defense. Hearings shall be conducted in accordance with chapter 5 (commencing with section 11500) of part 1 of division 3 of title 2 of the Government Code, except that hearings may be conducted by departmental hearing officers appointed by the director.
(4) The effective date of a Temporary Suspension of a clinical laboratory or laboratory under the Medi-Cal program shall not be delayed because the laboratory has appealed the sanction under (b)(3), above, and the hearing or the hearing decision is pending.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 100275, Health and Safety Code; and Section 14105, Welfare and Institutions Code. Reference: Stats. 1995, c.510, Section 1; Section 1265, Business and Professions Code; Section 14123, Welfare and Institutions Code; 42 United States Code, Section 1395w-2 (Section 1846 of the federal Social Security Act); 42 United States Code, Section 1396a(a)(9) (Section 1902(a)(9)(C) of the federal Social Security Act); and Sections 11503, 11505 and 11506, Government Code. 
HISTORY

1. New section filed 8-28-97 as an emergency; operative 8-28-97 (Register 97, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-26-97 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-28-98 order transmitted to OAL 12-24-97 and filed 2-9-98 (Register 98, No. 7).
Group 3. County and Municipal Laboratories
Article 1. Official Public Health Laboratory Service Required
§1075. Local Health Departments.
Note     •     History

Each local health department shall have available the services of an official public health laboratory. The laboratory of the State Department of Health is hereby designated as the official laboratory for all local health department jurisdictions not covered by local laboratory service.
NOTE

Authority cited for Article 1: Sections 208, 1000, and 1002 of the Health and Safety Code. Reference: Sections 1000 and 1002, Health and Safety Code. Issuing agency: State Department of Public Health.
HISTORY

1. Article 1 (§§ 1075 to 1085, inclusive) originally published 8-15-45 (Title 17).
2. Revised Article 1 (§§ 1075 to 1084, inclusive) filed 10-26-49 (Register 18, No. 4).
3. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
§1076. Certificates of Approval Required.
History

A certificate of approval issued after inspection by the Department shall be required to be in the possession of and be on display in every principal and branch public health laboratory and no such laboratory shall continue to operate following receipt of notice of cancellation of any existing certificate, or of refusal of the Department to issue a certificate.
HISTORY

1. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
2. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
§1076.1. Public Health Laboratory.
Note     •     History

The official public health laboratory shall consist of a principal public health laboratory and may include branch public health laboratories.
(a) The principal public health laboratory is the laboratory facility that provides the major or total laboratory services to a public health department.
(b) A branch public health laboratory is any laboratory facility that provides minor or auxiliary laboratory services.
NOTE

Authority cited: Sections 208, 1000 and 1002, Health and Safety Code. Reference: Sections 1000 and 1002, Health and Safety Code.
HISTORY

1. New section filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
§1077. Reports Required.
Note     •     History

The following reports shall be transmitted to the Department by all laboratories approved under Section 1076. Standard forms shall be used if provided by the Department.
(a) A report shall be made semiannually during the months of January and July, of work load data and personnel information as requested by the Department.
(b) A report shall be given within 30 days:
(1) Of any change in the directorship of the laboratory.
(2) Of any proposed expansion, reduction or shift in laboratory services.
(3) Of any change in the location of the laboratory.
(c) Such additional reports shall be made as required by the Department.
NOTE

Authority cited: Sections 208 and 1130, Health and Safety Code. Reference: Section 1130, Health and Safety Code.
HISTORY

1. Amendment filed 8-3-67; effective thirtieth day thereafter (Register 67, No. 31).
2. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
3. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
4. Editorial correction of NOTE filed 11-5-84 (Register 84, No. 45).
§1078. Minimum Requirements Specified.
History

Any laboratory approved under Section 1076 shall meet the following minimum requirements:
(a) Maintain adequate equipment and facilities and sufficient personnel to carry on dependable public health laboratory work.
(b) Employ procedures, technics, and reporting practices approved by the Department.
(c) Establish and maintain for a minimum of two years adequate record systems and files of laboratory work done.
(d) Conduct, maintain, and operate programs, acceptable to the Department, for controlling the quality of test performance.
(e) Demonstrate satisfactory performance in a proficiency testing program approved by the Department.
(f) Maintain and conduct the laboratory in a manner approved by the Department.
(g) Employ personnel as provided in this article.
(h) Accept specimens for examination as an aid to patient management only from, and issue reports only to, persons licensed under the provisions of the law relating to the healing arts or their representatives.
(i) Employ procedures and precautions to provide for the safety and health protection of all persons in the laboratory.
HISTORY

1. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
2. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
§1079. Professional Personnel to Be Certified.
Note     •     History

(a) No person may act as a Public Health Microbiologist in any laboratory certified under Section 1076 who is not in possession of a Public Health Microbiologist's Certificate issued by the Department.
(b) The Department may issue temporary certificates to applicants who meet the requirements for admission to the next scheduled examination when this is deemed to be reasonably necessary for the provision of public health laboratory services. Temporary certificates may not be issued to applicants who have failed to pass certification examinations.
(c) Examinations, either written or oral, or both, for the certificate of Public Health Microbiologist shall be held as needed and where designated by the Department. Such examinations shall be under the supervision of the Department.
(d) The minimum requirements for admission to the examinations for a certificate as Public Health Microbiologist shall be as follows:
(1) Holds an earned doctoral degree from an accredited institution with a chemical, physical or biological science as a major, and has completed at least one year of postdoctoral laboratory training in medical and public health microbiology approved by the Department; or
(2) A baccalaureate or higher degree with a major in Medical or Public Health Microbiology, or equivalent major as determined by the Department, with courses acceptable to the Department, from a college or university accredited by the Western Association of Schools and Colleges or an essentially equivalent accrediting agency, as determined by the Department; and experience represented by at least six months as a Public Health Microbiologist-trainee in a public health laboratory approved by the Department for such training; or experience equivalent to this training as determined by the Department in a laboratory acceptable to the Department.
(e) No person shall perform any test or make any examination in any laboratory certified under Section 1076 unless he is in possession of a valid Public Health Microbiologist's certificate or is otherwise approved by the Department to perform specified laboratory procedures.
(f) Every person certified as a Public Health Microbiologist shall report to the Department within 30 days any change of name or mailing address giving both the old and new names and addresses.
(g) Certificates may be denied, revoked or suspended for any of the following reasons:
(1) Conviction of a felony or of any misdemeanor involving moral turpitude, under laws of any State or of the United States, arising out of or in connection with public health laboratory practice. The record of conviction or a certified copy thereof shall be conclusive evidence of such conviction.
(2) Violation of any provision of the Business and Professions Code governing the practice of medicine and surgery.
(3) Violation of these regulations.
(4) Knowingly making a false statement concerning a material matter on an application for certification, or on an application for approval as a trainee.
(5) The use of any degree, certificate or title in any manner, which has been purchased or procured by barter or any unlawful means or obtained from any institution which at the time said degree, certificate or title was obtained was not recognized or accredited by the proper authorities of the state where said institution was located to give training in the field of study in which the degree, certificate or title is claimed.
(6) The use of drugs or alcoholic beverages to the extent, or in such a manner, that such use impairs the ability of the certified person to practice his profession with safety to other persons in the laboratory or to the public.
(h) Proceedings under paragraph (g) above shall be conducted in accordance with Chapter 5, Part 1, Division 3 of Title 2 of the Government Code.
NOTE

Authority cited: Section 1224, Business and Professions Code; Section 208, Health and Safety Code. Reference: Section 1270, Business and Professions Code; Section 1002, Health and Safety Code. 
HISTORY

1. Amendment of subsection (d) filed 12-12-78; effective thirtieth day thereafter (Register 78, No. 50). For prior history, see Register 77, No. 4.
2. Amendment of subsection (d)(2) filed 10-24-80; effective thirtieth day thereafter (Register 80, No. 43).
§1080. Professional Training.
History

(a) For purposes of this section a person receiving professional training required for certification as a Public Health Microbiologist shall be designated as a Public Health Microbiologist-trainee.
(b) The credentials of a Public Health Microbiologist-trainee shall be approved by the Department prior to appointment.
(c) The appointment or separation of a Public Health Microbiologist-trainee shall be reported within 5 days to the Department giving the date of appointment or separation.
(d) Laboratories which accept personnel for training as Public Health Microbiologist-trainees shall be specifically approved for such training by the Department. The minimum requirements for approval as training laboratories shall be established by the Department.
(e) A Public Health Microbiologist-trainee shall not be entrusted with any microbiological examination except under the supervision of qualified personnel, nor shall he issue or sign a laboratory report for any test which he is scheduled for training for certification as a Public Health Microbiologist.
HISTORY

1. Amendment filed 3-25-57; effective thirtieth day thereafter (Register 57, No. 5).
2. Renumbering of Section 1081 and amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
3. Amendment of subsection (e) filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
§1081. Certain Cultures and Specimens to Be Sent to the State Laboratory.
History

(a) All laboratories making examinations for identification of typhoid carriers shall, in all positive cases, forward to the Department a culture of the organism, the isolation of which established the diagnosis.
(b) Whenever a laboratory receives a specimen for the laboratory diagnosis of suspected human cases of plague or botulism such laboratory shall communicate immediately by telephone or telegraph with the Department for instructions.
(c) Any other specimens or cultures shall be submitted as required by the communicable disease regulations, Sections 2500 to 2699.
HISTORY

1. Renumbering of Section 1079 and amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
2. Amendment of subsection (c) filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
§1082. Certain Specimens to Be Sent to Approved Laboratories.
History

Whenever specimens are taken for laboratory diagnosis of rabies or botulism, or for release from isolation of cases of diphtheria, typhoid fever, salmonellosis, or shigellosis, they shall be sent by the physician to a Public Health Laboratory approved for such work by the Department in accordance with Section 1076.
HISTORY

1. Amendment filed 3-25-57; effective thirtieth day thereafter (Register 57, No. 5).
2. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
3. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
§1083. Inspections to Be Made.
History

Laboratories approved under Section 1076 shall be inspected by a duly authorized representative of the Department, for maintenance and conduct in conformity with these regulations. When deemed advisable, the Department may send check specimens to local laboratories to evaluate the accuracy and precision of specific test performance.
HISTORY

1. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
§1084. Health Departments May Contract with Private Laboratories.
History

A health officer of a municipality or county may designate any laboratory as an official public health laboratory to perform any of the basic services, as defined under Section 1276(f). Any such laboratory shall be subject to the same requirements as an official public health laboratory as heretofore provided under Sections 1075 to 1083, inclusive.
HISTORY

1. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
2. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4). 
Group 4. Tests for Syphilis Under the Premarital and Prenatal Laws
Article 1. Serologic Tests
§1125. Application Required.
Note     •     History

The director of any laboratory in which performance of serologic tests is planned in connection with premarital and prenatal examinations, as required by Sections 4300-4309 of the Civil Code and Sections 3220-3229 of the Health and Safety Code, shall apply to the State Department of Health for approval to perform these tests. The laboratory director shall submit to the State Department of Health, on forms provided by the department, such information as may be required by the department to satisfactorily evaluate the personnel, equipment, and scope of activity in relation to these tests.
NOTE

§§ 1125 to 1134, inclusive, originally issued under authority contained in Section 79.04, Civil Code, and Deering's General Laws, Act 6265. Source of §§ 1125 to 1134, inclusive, is the Rules and Regulations issued by State Department of Health. Additional authority cited for revision of Article 1: Sections 102 and 208, Health and Safety Code. Reference: Sections 3180-3199 and 3220-3229, Health and Safety Code.
HISTORY

1. Amendment filed 10-5-71 as procedural and organizational; effective upon filing (Register 71, No. 41). For prior history, see Register 60, No. 19.
2. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
§1126. Approved Tests.
Note     •     History

The serologic tests for syphilis approved by the Department for use in connection with legally required premarital and prenatal examinations are as follows: VDRL slide, Automated Reagin, Fluorescent Treponemal Antibody (absorption), Reagin Screen, and the Rapid Plasma Reagin (circle) Card. Any one of these tests shall constitute the “standard test” as required by the California Civil Code and California Health and Safety Code.
The serologic tests for rubella approved by the department for use in connection with legally required premarital examinations shall be the hemagglutination-inhibition (HI) test performed according to the standard method of the U.S. Public Health Service, Center for Disease Control, or modifications thereof approved by the Center for Disease Control and the Department, and such other tests approved by the Center for Disease Control and Food and Drug Administration, U.S. Public Health Service, as the Department may evaluate and determine to be equal in reliability and specificity to the approved hemagglutination-inhibition test.
Commercially prepared antigens and diagnostic kits utilized for the approved rubella tests shall have been evaluated by, and shown to meet specifications of the U.S. Public Health Service and such evaluation shall be evidenced by a statement on the label of, or accompanying, the product.
NOTE

Authority cited: Section 11426, Government Code; Sections 4300, 4301, 4302 and 4304, California Civil Code; Sections 102 and 208, Health and Safety Code. Reference: Sections 3180-3199 and 3220-3229, Health and Safety Code.
HISTORY

1. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26). For prior history, see Register 71, No. 34.
2. Amendment filed 8-17-78; effective thirtieth day thereafter (Register 78, No. 33).
§1127. Method of Conducting Tests.
History

All tests for syphilis must be conducted exactly as outlined by the author of the test. All equipment recommended by the author of the test must be available in the laboratory before approval can be granted.
For syphilis serology, the latest United States Department of Health, Education and Welfare, Public Health Service publication pertaining to the performance of these tests, or its replacement, shall be the reference on equipment and methods.
All tests for rubella must be conducted exactly according to the protocols for each method or modification that has been approved by the Center for Disease Control and the Department. All necessary equipment for the approved rubella test to be performed must be available in the laboratory before approval to perform legally required tests can be granted.
The references for approved rubella test methods and equipment shall be protocols issued by the Center for Disease Control, or the Department, or provided by manufacturers for use with commercially distributed diagnostic kits or components which have been approved by the Center for Disease Control and the Department.
HISTORY

1. Amendment filed 8-24-60; effective thirtieth day thereafter (Register 60, No. 19). See history note to Section 1125.
2. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
3. Amendment filed 8-17-78; effective thirtieth day thereafter (Register 78, No. 33).
§1128. Evaluation Sera.
History

Any laboratory approved to perform premarital and prenatal serologic tests must accept and test, evaluation sera provided by the department or a proficiency testing service approved by the department, and report test results to the department. Any laboratory showing unsatisfactory performance shall make changes as recommended by the department or discontinue the testing of legally required premarital and prenatal blood specimens, and return all outstanding “Marriage Health Certificates.”
HISTORY

1. Amendment filed 8-24-60; effective thirtieth day thereafter (Register 60, No. 19). See history note to Section 1125.
2. Amendment filed 3-15-66; effective thirtieth day thereafter (Register 71, No. 7).
3. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 66, No. 34).
§1129. Marriage Health Certificates.
History

“Marriage Health Certificates” shall be assigned by the State Department of Public Health to an individual laboratory at a specified location, and shall be used by no other. These certificates must not be transmitted to the physician until the tests have been performed.
HISTORY

1. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26). For prior history, see Register 66, No. 7.
§1130. Persons Permitted to Perform Tests.
Note     •     History

Only a person who is duly licensed as a physician and surgeon pursuant to Sections 2000-2497 of the Business and Professions Code, or duly authorized under the provisions of Chapter 3, Division 2 (commencing with Section 1200) of the Business and Professions Code, or who is certified under the provisions of Sections 1075-1084 of Title 17 of the California Administrative Code, shall be permitted to conduct premarital and prenatal serologic tests.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Sections 3220, 4300 and 4302, Health and Safety Code.
HISTORY

1. Amendment filed 2-18-58; effective thirtieth day thereafter (Register 58, No. 3). See history note to Section 1125.
2. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
§1131. Change of Personnel.
History

Within 30 days after new personnel are employed to perform legally required prenatal and premarital serologic tests, their names shall be transmitted to the State Department of Health. This rule does not apply to the rotation of staff members from one phase of laboratory work to another.
HISTORY

1. Amendment filed 8-24-60; effective thirtieth day thereafter (Register 60, No. 19). See history note to Section 1125.
2. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
§1132. Change of Director or Location.
History

Reapplication for approval to perform legally required premarital and prenatal serologic tests shall be made when there is a change of laboratory director or location.
HISTORY

1. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
§1133. Advertising Prohibited.

Laboratories shall not be approved to perform premarital and prenatal serologic tests if they advertise the performance of these tests to the lay public.
§1134. Withdrawal of Approval.
History

Approval granted under this article may be withdrawn following violation of any of the provisions of Sections 1125-1134 of Title 17 of the California Administrative Code, Sections 3220-3229 of the Health and Safety Code, Sections 4300-4309 of the Civil Code pertaining to the performance of premarital and prenatal serologic tests and all outstanding “marriage health certificates” shall be returned to the State Department of Public Health.
HISTORY

1. Amendment filed 8-24-60; effective thirtieth day thereafter (Register 60, No. 19). See history note to Section 1125.
2. Amendment filed 3-15-66; effective thirtieth day thereafter (Register 66, No. 7).
3. Amendment filed 10-5-71 as procedural and organizational; effective upon filing (Register 71, No. 41). 
Group 5. Care of Laboratory Animals
Article 1. Definitions
§1150. Definitions.
History

(a) For purposes of these regulations, “person” includes: laboratory, firm, association, corporation, copartnership, and educational institution.
(b) For purposes of these regulations, “board” means: the State Department of Health Services.
(c) For purposes of these regulations, “department” means: the State Department of Public Health.
(d) For purposes of these regulations, “animal” means: any live, warm-blooded animal kept or used by any person for the purposes defined herein.
(e) For purposes of these regulations, “individual” means: the one whom the laboratory, firm, association, corporation, copartnership or educational institution designates as being responsible for proper care of the animals kept or used for experimentation, demonstration, or test; the propriety of the procedures used; and the scientific justification for the use of the animals in experiments, demonstrations, or tests.
HISTORY

1. New Group 5 (§§ 1150 through 1159) filed 3-28-52; effective thirtieth day thereafter (Register 28, No. 1). For history of previous Group 5, see Register 26, No. 7.
Article 2. Certification Requirements
§1151. Issuance of the Certificate of Approval.

(a) All persons desiring to keep or use animals for the study, diagnosis, and treatment of human and animal diseases, for education or research in the advancement of veterinary, dental, medical, and biological sciences for education and research in animal and human nutrition, and for the testing and diagnosis, improvement and standardization of laboratory specimens, biologic products, pharmaceuticals and drugs shall make application to the department on the forms provided by the department for a certification of approval for such activities. They shall supply such other information as may be required by the department for the establishment, and its physical facilities with respect to the care of animals as related to the intent and purpose of this law.
(b) Certificates of approval shall not be issued to any person unless he is at the time of application prepared and equipped to keep and use the animals in accordance with the provisions of this law, and rules and regulations of the board adopted in accordance thereof. The department will provide anyone contemplating keeping or using animals information concerning the requirements and conditions for the compliance with the law.
(c) Each applicant for certification shall designate an individual who will be directly responsible for the use and care of animals and for making appropriate reports thereof. Such individuals shall occupy a responsible position of authority in the applicant organization. A certified institution which transfers such responsibility shall immediately notify the department of such fact. The department may deny any application unless it is satisfied that the responsible individual so designated is qualified and will require that the animals kept or used by the applicant be used and cared for in a humane manner acceptable to this department.
(d) A certificate of approval must be obtained for each address or campus where animals are kept or used for the purposes specified in this law.
(e) A new application or amendment to existing and approved application must be made for any change of the responsible individual, or change in location of the laboratory or animal quarters.
(f) Any major change in equipment or methods of management must be approved in advance by the department.
(g) The certificate of approval or duplicate thereof as supplied by the department shall be displayed in a prominent place in the approved animal quarters or approved laboratory.
(h) A certificate of approval shall not be issued unless the conditions of the establishment and facilities are such as to reasonably insure that the animals kept or used receive humane care and treatment.
(i) Denial, revocation, or suspension of certificates of approval must be in accordance with the provisions of the Administrative Procedure Act.
§1152. Fees.

(a) The application and renewal fees must be in accordance with the provisions of Article 5 of Chapter 5 of Division 2 of the Health and Safety Code.
(b) For the purpose of these regulations the fiscal year shall be from January 1st to December 31st.
§1153. Application for Renewal of Certificate of Approval.

(a) Application for renewal of certificates of approval shall be on forms provided by the department.
(b) Each holder of a certificate applying for renewal of his certificate of approval shall be subject to a review of his activities during the previous licensing period and to such inspections of his records, premises, equipment, and animals as may be determined by the department for consideration by the board in passing upon the application for renewal.
(c) Similarly, such licensees shall submit such data and records as may be designated by the department.
§1154. Records.

Holders of certificates of approval shall keep the following records:
(a) Monthly census of animals kept according to type;
(b) Total number of animals used per month according to type;
(c) Use and disposition of the animals.
Such records may be open to inspection by authorized agents of the department during the normal working hours of operation.
Article 3. Minimum Standards
§1155. Care and Treatment of Animals.

(a) Careful consideration shall be given to the bodily comfort of such animals. They shall be kindly treated, properly fed, and their quarters shall be clean, properly lighted and maintained at the proper temperature. Exception may be made to this rule only with expressed permission of the responsible individual. This permission may be granted only when the foregoing considerations would defeat the purpose of the work.
(b) Any operation likely to cause greater discomfort than the attending anesthetization shall not be undertaken until the animal be first rendered incapable of perceiving pain. The animals shall be maintained in that condition until the operation is completed. Exceptions to this rule may be made only when provisions for maximum comfort including anesthesia would defeat the object of the experiment, and then only with the expressed permission of the responsible individual.
(c) At the conclusion of experiments, the animals must be killed painlessly or given care to minimize discomfort which is essentially equivalent, as determined by the department, to that rendered human beings following an operation. In any event, animals which have been used for any purpose described herein shall not be disposed of as pets, except with the expressed permission of the responsible individual. Due consideration in this master shall be given to public health and to the animal's welfare.
§1156. Quarters.

The animal quarters shall be provided with proper lighting, ventilation, and heating to maintain comfort of the animal except where the provisions of Section 1155 otherwise provide. Equipment must be adequate for the proper care and treatment of all animals kept or used. Cages, or other enclosures, shall be large enough to permit reasonable freedom of movement. Adequate facilities shall be provided for keeping animal quarters and equipment clean. Overcrowding must be avoided in order to limit the transmission of animal diseases. The animals shall be maintained in a room separate from any other activity of the establishment, or under other physical conditions satisfactory to the department.
§1157. Personnel.

Capable personnel shall be employed for the adequate care and feeding of the animals. In small, as well as in extensive animal facilities, one individual shall be in complete charge of, and therefore, responsible for, the entire operation of the unit. Selection of animal caretakers shall be made with care. Nonprofessional personnel shall be chosen for their dependability and their liking for animals. The training should include a knowledge of the means of transmission of disease and an understanding of the precautions necessary to prevent this. Caretakers should be trained in recognizing early symptoms of the common diseases of the animals under their care.
§1158. Feeding.

(a) The animals shall be well fed and shall receive wholesome food suitable to the species and shall receive sufficient clean water except where special studies require specified diet for the animal. 
(b) Rules and regulations adopted by the board with reference to shelter, food, sanitation, and the care and treatment of animals shall be prominently displayed in all animal rooms.
Article 4. Filing of Complaint
§1159. Filing of a Complaint.

Anyone who files a complaint to the department against an individual, or person, violating this law shall supply in writing specific information regarding the alleged violation, or violations. Such complaint shall include the time, date, place, individual, or person involved; and the names of other witnesses who may be called to testify. This statement must be in the form of a sworn affidavit and must be notarized. 
Group 5.5. Methadone Drug Analysis Laboratories
Article 1. Application
§1160. Application of Subchapter.
Note     •     History

Group 5.5 shall apply to all laboratories performing urine testing or other body fluids analysis for methadone programs operating in California.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. New Group 5.5 (Articles 1-8, Sections 1160-1196) filed 11-30-81; effective thirtieth day thereafter (Register 81, No. 49). 
2. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Article 2. Definitions
§1161. Methadone Drug Analysis.
Note     •     History

“Methadone drug analysis” means the practical application of specialized devices, instruments and methods by trained laboratory personnel to detect the presence of chemical substances named in Section 1186 in samples of urine or other body fluids obtained from persons receiving treatment from a methadone program.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1162. Methadone Drug Analysis Laboratory.
Note     •     History

“Methadone drug analysis laboratory” means a place at which specialized apparatus, instruments and methods are used by trained laboratory personnel to detect the presence of chemical substances named in Section 1186 in urine or other body fluids obtained from persons receiving treatment from a methadone program.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1163. Methadone Drug Analysis Supervisor.
Note     •     History

“Methadone drug analysis supervisor” means a person, employed by a methadone drug analysis laboratory, who is directly responsible for all aspects of the performance of methadone drug analysis and for the supervision of personnel who perform such analysis.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1164. Method.
Note     •     History

“Method” means the steps used by a trained person to determine the presence of drugs in urine or other body fluids.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1165. Instrument or Device.
Note     •     History

“Instrument” or “device” means any item or combination of items of equipment used to determine the presence of drugs; simple and complex devices are included in this meaning.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1166. Sample or Specimen.
Note     •     History

“Sample” or “specimen” means a representative portion of urine or other body fluid or of an artificially constituted material, taken for the purpose of determining the presence of drugs.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1167. Department.
Note     •     History

“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1168. May, Shall.
Note     •     History

“May” is permissive; “Shall” is mandatory.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1169. Methadone.
Note     •     History

“Methadone” means the substance that can be described as 6-dimethyl-amino-4, 4-diphenyl-3-heptanone. Methadone doses are usually administered as methadone chloride.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1170. Primary Metabolite of Methadone.
Note     •     History

“Primary Metabolite of Methadone” means: 2-ethylidene-1, 5-dimethyl-3, 3-diphenylpyrrolidine.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Article 3. Requirements for Methadone Drug Analysis Laboratories
§1171. Licensing Requirement.
Note     •     History

Every methadone drug analysis laboratory performing urine testing or other body fluid analysis for any methadone program operating in California shall have a valid license issued by the Department in accordance with these regulations.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11886 and 11887, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1172. Qualifications for Licensing.
Note     •     History

A methadone drug analysis laboratory meets the qualifications for licensing if it:
(a) Employs at least one methadone drug analysis supervisor.
(b) Furnishes the Department with detailed, written descriptions of each method it uses for drug analysis. Such description shall clearly describe the initial test and confirmatory test methods.
(c) Maintains an internal quality control program.
(d) Demonstrates satisfactory performance in an initial proficiency testing program conducted by the Department.
(e) Demonstrates satisfactory performance in a continuing external proficiency testing program conducted by or approved by the Department.
(f) Passes such on-site inspections as the Department may require.
(g) Demonstrates an ability to meet the requirements of these regulations.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11885, 11886 and 11890, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1173. Qualifications of Methadone Drug Analysis Supervisor.
Note     •     History

A methadone drug analysis supervisor shall have the following qualifications:
(a) Possesses a baccalaureate or higher degree, or an equivalent in chemistry, biochemistry, or other appropriate discipline as determined by the Department.
(b) Has two years practical experience in performing drug analysis on biological fluids or tissues, such experience to include experience in interpretation of chromatographic, spectrophotometric and immunochemical testing results.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1174. Use or Access of Patients.
Note     •     History

A methadone drug analysis laboratory shall not employ or utilize the services of a patient of any methadone program in, nor permit any such patient access to, any of its activities involving urinalysis or other body fluids testing for any methadone program.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Article 4. Licensing Procedures
§1175. Qualifying for License.
Note     •     History

Upon receipt of a completed application and upon payment of the required fee, the Department shall submit such proficiency test samples and perform such examinations as are required for that laboratory to complete the qualifications. Upon the laboratory's successfully completing all the qualifications, the Department shall issue to the applicant laboratory a methadone drug analyses laboratory license.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11885, 11886 and 11887, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1176. Renewal of Licenses.
Note     •     History

A license issued under these regulations shall be renewed annually as long as the activity requiring licensure continues. Renewal shall be contingent upon the laboratory continuing to fulfill the qualifications as set forth in these regulations, and is further subject to the following:
(a) A methadone drug analysis laboratory license shall be valid from July 1 to June 30 of the next succeeding calendar year. Applications for renewal and all applicable fees shall be submitted to the Department on or before April 1 of each year.
(b) Failure to apply for renewal shall result in forfeiture after a period of three months from the day on which the application for renewal should have been submitted, with the exception that the Department may grant a temporary extension under special circumstances.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11887, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1177. Application Forms.
Note     •     History

Application for a license and a renewal thereof, shall be made on forms furnished by the Department. The applicant shall set forth all pertinent information called for by the form. Application forms may be obtained from, and shall be sent to: Clinical Chemistry Laboratory, Department of Health Services, 2151 Berkeley Way, Berkeley, CA 94704.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11887, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1178. Report of Change or Discontinuance.
Note     •     History

The person responsible for the operation of a methadone drug analysis laboratory shall report to the Department in writing within 30 days any change in ownership, change in supervisorial personnel, changes in methods of analysis, change of address or discontinuance of an activity authorized under these regulations.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1179. License Implications.
Note     •     History

Licenses issued under these regulations shall not imply approval of anything carried out by a laboratory other than what is specified on the license.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11885, 11886 and 11887, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1180. Display of Licenses.
Note     •     History

Licenses issued under these regulations shall be displayed on request to representatives of the Department.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11885 and 11887, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1181. Fees.
Note     •     History

The annual application fee for a methadone drug analysis laboratory license or its renewal shall be $100.00. A laboratory operated by the state, a county, a city, a city and county, other public agency or a clinical laboratory licensed pursuant to subdivision (f) of Section 1300 of the Business and Professions Code shall be exempt from the fee.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11887, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Article 5. Substances Approved for Analysis, Requirements for Collection and Handling of Samples
§1182. Urine.
Note     •     History

The only presently approved body fluid which may be tested for a methadone program is urine.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11885 and 11886, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1183. General.
Note     •     History

Urine samples taken for methadone drug analysis shall be collected and handled in a manner subject to the approval of the Department. The identity and the integrity of the sample shall be maintained through collection to analysis and reporting. The only approved urine sample shall be one which has been collected under direct observation by a staff member of the methadone program. The sample shall be deposited in a clean container.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1184. Sample Preservation.
Note     •     History

While not in transit to a laboratory, or being analyzed, any urine sample not containing a preservative shall be refrigerated.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Article 6. Methods of Analysis and Standards of Performance
§1185. General.
Note     •     History

All methods used for methadone drug analysis shall be subject to the standards as set forth in these regulations. Each licensed methadone drug analysis laboratory shall have on file with the Department detailed, current written descriptions of each method it uses for drug screening. Such descriptions shall be immediately available to the person performing an analysis and shall be available for inspection by the Department on request.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1186. Standards of Performance.
Note     •     History

The methods of analysis used by a laboratory shall be able to detect the following drugs, and at least at the following concentrations, in urine:

Methadone 	2 micrograms per milliliter
Primary Metabolite of Methadone 	1 microgram per milliliter
Morphine (total of free and conjugated) 	1 microgram per milliliter
Codeine 	1 microgram per milliliter
Amphetamine 	2 micrograms per milliliter
Methamphetamine 	5 micrograms per milliliter
Phenobarbital 	1 microgram per milliliter
Pentobarbital 	1 microgram per milliliter
Secobarbital 	1 microgram per milliliter
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1187. Specificity.
Note     •     History

In order to insure adequate specificity, all positive findings, with the exception of methadone, shall be confirmed using an alternate method of analysis, fundamentally different from that used in the initial test.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1188. Evaluation of Standards of Performance.
Note     •     History

The ability of methods to meet the standards of performance, as contained in this Article, shall be subject to evaluation by the Department using either a laboratory's internal quality control or external proficiency testing results, or both.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1189. Expression of Analytical Results.
Note     •     History

All analytical results shall be expressed in terms of the generic or chemical name of any drug found to be present, and analytical results shall not be expressed in equivocal terms, such as “possible traces” or “plus-minus.”
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Article 7. Inspections, Quality Control, Proficiency Testing
§1190. Inspections and Proficiency Testing.
Note     •     History

Licensed methadone drug analysis laboratories and laboratories applying for licensure shall be subject to on-site inspections by representatives of the Department, and shall cooperate in the quality control proficiency testing program conducted by or approved by the Department. These tests shall be used by the Department to evaluate the accuracy of the analyses performed by the laboratory.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11888 and 11890, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1191. Access to Premises.
Note     •     History

The Department may enter any methadone drug analysis laboratory at any reasonable time for the purpose of determining whether or not the laboratory is complying with the provisions of these regulations.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11888 and 11890, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No 45).
§1192. Quality Control Program and Proficiency Testing.
Note     •     History

Methods for methadone drug analysis shall be performed in accordance with the following quality control program:
(a) Each laboratory shall have its own internal quality control program and shall analyze a suitable control sample with each set of 50 samples.
(b) Each laboratory shall demonstrate acceptable performance in an external proficiency testing program. The Department shall submit blind proficiency test samples on a random basis to each methadone program director; at least 12 samples per quarter shall be submitted. The methadone program director shall, in turn, submit this sample to the methadone drug analysis laboratory in a container which is normally used by the program. Each container shall bear identifying numbers and letters that are indistinguishable from those used by patients in that program. The proficiency test samples shall arrive at the laboratory intermingled with other regular specimens. When the analysis is completed, the methadone program director shall forward the results of the analysis to the Department. The Department shall notify both the methadone program director and the director of the methadone drug analysis laboratory of the results of the proficiency test at the end of each month.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1193. Standard of Performance in Proficiency Testing Program.
Note     •     History

Whenever a laboratory fails to correctly analyze at least 90 percent of the external proficiency test samples, the Department may take such action as it deems necessary or desirable to correct the source of error. Such action may include, but is not limited to, the removal of the laboratory from the List of Certified Methadone Laboratories, and, concurrently or separately, the commencement of disciplinary proceedings to suspend or revoke the license of the laboratory.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11885, 11889 and 11893, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1194. List of Certified Methadone Laboratories.
Note     •     History

The Department shall compile, maintain and publish a current List of Certified Methadone Laboratories, which shall contain all licensed methadone drug analysis laboratories which are currently able to meet the acceptable level of performance required by the provisions of this subchapter. Whenever the Department determines that any licensed laboratory is presently unable to meet the acceptable level of performance, the Department shall remove the name of the laboratory from said list and notify all programs in the State of such removal. A laboratory so removed from the list shall not be restored to the list unless and until the laboratory demonstrates to the satisfaction of the Department that it is able to meet the acceptable level of performance.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11889, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Article 8. Records
§1195. General.
Note     •     History

Methadone drug analysis laboratories shall maintain records which clearly describe their activities under these regulations. Such records shall be available for inspection by the Department upon request.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Sections 11885 and 11890, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
§1196. Methadone Drug Analysis Laboratory Records.
Note     •     History

Each licensed methadone drug analysis laboratory shall keep and preserve, for at least three years, the following records:
(a) A record, which is kept current, of persons in its employ who are qualified as methadone drug analysis supervisors. This record shall include the qualifications of each such person, including education, experience, training and performance in examinations and tests conducted by the Department.
(b) A detailed, current written description of each method it uses for drug screening.
(c) Complete records of samples analyzed under these regulations, which shall include sample number, date sample received, date sample analyzed, results and date results sent to methadone program director.
(d) Records of the internal quality control program.
(e) Records of laboratory performance as shown by results in the external proficiency testing program.
NOTE

Authority cited: Sections 208, 11881 and 11885, Health and Safety Code. Reference: Section 11885, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 11-6-84 (Register 84, No. 45).
Group 6. Water Laboratories
NOTE

Authority cited: Sections 208 and 4025, Health and Safety Code. Reference Section 4025, Health and Safety Code.
HISTORY

1. New Group 6 (§§ 1174-1184) filed 7-27-51; effective thirtieth day thereafter (Register 25, No. 2).
2. Repealer of Group 6 (Sections 1174-1184) filed 10-22-79; effective thirtieth day thereafter (Register 79, No. 43).
Group 7. Human Tissue Preservation
Article 1. Approval
§1200. Definitions.
Note     •     History

(a) As used in this group, “person” includes teaching institution, university, college, legally licensed hospital, nonprofit blood bank, artery bank, eye bank, or other therapeutic service operated by any agency approved by the State Director of Health Services.
(b) As used in this group, “department” means State of California Department of Health.
NOTE

Authority cited for Group 7: Sections 102 and 208, Health and Safety Code
HISTORY

1. New Group 7 (Sections 1200 through 1205) filed 4-30-59; effective thirtieth day thereafter (register 59, No. 7).
2. Editorial Correction (Register 73, No. 26).
§1201. Approval Required for Tissue Preservation.

No person shall collect, process, store, or distribute human tissues obtained in accordance with Sections 7100 or 7115 of the Health and Safety Code, or Section 20 of the Probate Code, unless such person shall have received approval from the department.
§1202. Provisions for Approval.

(a) An application for approval shall be made to the department, which shall include the following items.
(1) Complete and detailed description of the methods, equipment, and technics used in relation to each tissue which is to be processed.
(2) The name and address of the person owning the place, establishment, or institution, in which the processing is to be carried on.
(3) The name and address of the director who shall be a duly licensed physician and surgeon in the State of California.
(4) Kinds of tissues to be processed.
(5) Such additional information as the department may require in order to determine compliance with these regulations.
(b) The operation of the tissue bank shall be under the direct supervision of a physician and surgeon duly licensed in this State.
(c) The person shall be prepared to begin operations at the time application for approval is submitted.
(d) Application will be approved only when establishment and the methods used are such that the tissues processed will not be contaminated, dangerous, or harmful.
(1) Representative samples shall be provided for the department of each lot of tissues, if requested by the department, for the purpose of checking sterility, quality, or other factor.
(2) Any duly authorized representative of the department shall have free access to the establishment and the records thereof at all reasonable hours for the purpose of ascertaining compliance with these regulations.
(e) Approval may be granted only for the processing of tissues for which there is scientific evidence of therapeutic value and for which methods of preservation have been developed.
(f) Renewal of Approval.
(1) The department shall issue renewal notices annually prior to the end of each calendar year.
(2) Each person on applying for renewal shall review his activities in the field for the preceding year if requested to do so by the department.
(g) There is no fee required in connection with this approval, or with renewal of approval.
§1203. Exemptions from Approval.

This group does not apply to autogenous tissue grafting, or to homografts where tissues are obtained from living donors, or to other biologic products as defined in Section 1601 of the Health and Safety Code.
§1204. Records.

(a) The director or supervisor of approved tissue processing programs shall keep records of all tissues processed.
(b) Records may be designated by number (instead of by name of donor) to conform with individual specimens or lots of tissue.
(c) Records shall contain the following data:
(1) Name and address of institution from which material was obtained, also name of physician responsible for procurement.
(2) Date and hour of death of donor.
(3) Cause of death and age of donor and, when available, pathologic results including autopsy reports.
(4) Date and hour of obtaining tissue. If more than four hours post mortem, state whether refrigeration was used and, if so, give length of time and temperature.
(5) Date and method of processing tissue, if applicable.
(6) Date final storage begins.
(7) Date and place of use.
(8) Results of tests for contamination and other examinations.
(9) Pertinent laboratory data, including serologic tests for syphilis, from donor. Prospective donors with histories of hepatitis shall not be accepted.
(10) Information relating to consent or authorization.
(d) Unless otherwise required by other provisions of law, all records and information shall be retained for not less than two (2) years.
§1205. Labels.

(a) A method which will positively identify each specimen during the period from procurement to the beginning of final storage shall be placed in effect by each person.
(b) The final label shall show:
(1) The name of the product, and method used in processing.
(2) A number which will identify the processing information related to the specimen.
(3) A date prior to which use must be made of the product, or prior to which use of the product is recommended, whichever is applicable.
(4) Name and address of the processor.
(5) If temperature is a factor in preservation, the temperature range within which deterioration is avoided shall be specified.
(6) Other data descriptive of the product may also be included in the label.
(7) Directions for reconstitution of the product, and preparation for its use may be included in the label or in an accompanying circular.
(8) Altered or supplementary labels shall not be used.
Group 8. Forensic Alcohol Analysis and Breath Alcohol Analysis
Article 1. General
§1215. Authority.
Note     •     History

Chapter 5 Sections 436.50-436.63 of Part 1 of Division 1 of the Health and Safety Code.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. 
HISTORY

1. New Group 8 (Sections 1215, 1215.1, 1216, 1216.1, 1217, 1217.1 through 1217.8, 1218, 1218.1 and 1218.2) filed 8-10-70; effective thirtieth day thereafter (Register 70, No. 33).
§1215.1. Definitions.
History

(a) “Alcohol” means the unique chemical compound, ethyl alcohol, with the exception that reference in these regulations to compounds to be avoided as skin antiseptics includes the generic class of organic compounds known as alcohols.
(b) “Forensic Alcohol Analysis” means the practical application of specialized devices, instruments, and methods by trained laboratory personnel to measure the concentration of ethyl alcohol in samples of blood, breath, urine, or tissue of persons involved in traffic accidents or traffic violations.
(c) “Breath Alcohol Analysis” means analysis of a sample of a person's expired breath, using a breath testing instrument designed for this purpose, in order to determine the concentration of ethyl alcohol in the person's blood.
(d) “Concentration” means the weight amount of alcohol contained in a unit volume of liquid or a unit volume of gas under specified conditions of temperature and pressure; in the case of a solid tissue specimen, “concentration” means the weight amount of alcohol contained in a unit weight of specimen.
(e) “Forensic Alcohol Laboratory” means a place at which specialized apparatus, instruments, and methods are used by trained laboratory personnel to measure the concentration of alcohol in samples of blood, breath, urine, or tissue of persons involved in traffic accidents or in traffic violations; this may be an activity of a laboratory engaged in activities other than alcohol analysis.
(f) “Forensic Alcohol Supervisor” means a person employed by a forensic alcohol laboratory who can be responsible for all aspects of the performance of forensic alcohol analysis and for the supervision of personnel who perform such analysis.
(g) “Forensic Alcohol Analyst” means a person employed by a forensic alcohol laboratory who performs the technical procedures of forensic alcohol analysis.
(h) “Forensic Alcohol Analyst Trainee” means a person employed by a forensic alcohol laboratory for the purpose of receiving comprehensive practical experience and instruction in the technical procedures of forensic alcohol analysis under the supervision of a forensic alcohol supervisor or forensic alcohol analyst.
(i) “Method” means the steps used by a trained person to make a measurement of alcohol concentration.
(j) “Instrument” or “Device” means any item or combination of items of equipment used to make a measurement of alcohol concentration; simple and complex devices are included in this meaning.
(k) “License” means a document issued by the State Department of Health to a laboratory to perform the tests referred to in the Health and Safety Code, Sections 436.51 and 436.52.
(l) “Sample” or “Specimen” means a representative portion of breath, blood, urine, or tissue or of an artificially constituted material, taken for the purpose of measuring its alcohol concentration.
(m) “Alveolar” refers to the smallest air sacs in the lungs and to that portion of the expired breath which is in equilibrium with respect to alcohol with the immediately adjacent pulmonary blood.
(n) “Department” means the California State Department of Health and its duly authorized representatives.
HISTORY

1. Amendment of subsections (b), (c), (d) and (e) filed 10-9-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
Article 2. Requirements for Forensic Alcohol Laboratories
§1216. Authorization Requirement.
History

(a) Every laboratory performing forensic alcohol analysis shall have a valid license issued in accordance with the provisions of these regulations.
(1) Forensic alcohol analysis shall be performed only by persons who meet the qualifications set forth in these regulations for forensic alcohol supervisors, forensic alcohol analysts, or forensic alcohol analyst trainees.
(A) A trainee may perform forensic alcohol analysis only under the supervision of a forensic alcohol supervisor or forensic alcohol analyst.
(2) The Department shall not be limited by these regulations in performing functions in administration of the alcohol analysis and licensing program.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48.)
§1216.1. Qualifications for Licensing.
History

(a) A laboratory meets the qualifications for licensing by:
(1) Employing at least one forensic alcohol supervisor. If forensic alcohol analysis is performed by persons other than forensic alcohol supervisors, such persons shall meet the qualifications set forth in these regulations for forensic alcohol analysts or forensic alcohol analyst trainees;
(2) Maintaining a quality control program in forensic alcohol analysis procedures;
(3) Demonstrating satisfactory performance in a proficiency testing program conducted by or approved by the Department;
(4) Passing such on-site inspections as the Department may require;
(5) Showing ability to meet the requirements set forth in these regulations.
(b) These qualifications shall be maintained at all times by each licensed laboratory.
(c) The Department may deny a license or renewal thereof, or take disciplinary action against a licensee, for failure to maintain these qualifications in a manner which meets the Department's standards for approval.
(d) Whenever a licensed laboratory employing only one forensic alcohol supervisor loses that person, the Department may upon petition of the laboratory extend the license for a period not exceeding 90 days during which time the laboratory shall hire another forensic alcohol supervisor.
(1) Such an extension shall be contingent on the laboratory's having in its employ at least one forensic alcohol analyst and upon the laboratory's successfully demonstrating to the Department continued competence in forensic alcohol analysis through such proficiency tests, examinations, and on-site inspections as the Department may require.
(e) A forensic alcohol supervisor is a person who meets the following qualifications:
(1) Possesses a baccalaureate or higher degree, or an equivalent, in chemistry, biochemistry, or other appropriate discipline as determined by the Department;
(2) Has two years of experience in performing forensic alcohol analysis, such experience to include experience in interpretation and correlation of alcohol analyses with subjective observations of the demeanor and behavior of persons who have ingested known amounts of ethyl alcohol; or, in lieu of such two years of experience, satisfactorily completes a training course approved by the Department, such training course to include at minimum the following schedule of subjects:
(A) Value and purpose of forensic alcohol analysis, including breath alcohol analysis;
(B) Physiological action of alcohol;
(C) Pharmacology and toxicology of alcohol;
(D) Laboratory methods of alcohol analysis;
(E) Instruments and procedures for breath alcohol analysis;
(F) Practical laboratory demonstration of the student's ability to perform alcohol analysis;
(G) Interpretation of results of alcohol analysis, including correlation of alcohol analyses with subjective observations of the demeanor and behavior of persons who have ingested known amounts of alcohol;
(H) Court testimony;
(I) Court decisions regarding chemical tests of alcohol to determine alcohol influence; and
(J) Requirements of these regulations;
(3) Successfully demonstrates accuracy in the analysis of proficiency test samples submitted by the Department, and successfully passes examinations prescribed by the Department;
(4) Demonstrates the ability to adhere to the provisions of these regulations; or (in lieu of (1) and (2) above)
(5) Either is a person who, prior to January 1, 1971, qualified as director of a clinical laboratory operating under the provisions of the California Business and Professions Code, or is a person who, for a period of one year prior to January 1, 1971, has been employed in the activities of a forensic alcohol supervisor.
(f) A forensic alcohol analyst is a person who meets the following qualifications:
(1) Successfully completes at least 60 semester-hours, or their equivalent in quarter-hours, of college level courses, including 8 hours of general chemistry and 3 hours of quantitative analysis;
(2) Successfully completes a training period in alcohol analysis on forensic or clinical specimens in a forensic alcohol laboratory or in a clinical laboratory;
(3) Performs during the training period a minimum of 25 analyses of alcohol concentration in blood samples, at least half of which contain alcohol;
(4) Successfully demonstrates accuracy in the analysis of proficiency test samples submitted by the Department, and successfully passes examinations prescribed by the Department;
(5) Demonstrates ability to adhere to the provisions of these regulations; or (in lieu of (1), (2), and (3) above)
(6) Either is a person who, prior to January 1, 1971, was a clinical laboratory technologist licensed under the provisions of the California Business and Professions Code, or is a person who, for a period of one year prior to January 1, 1971, has been employed in the activities of a forensic alcohol analyst.
(g) A forensic alcohol analyst trainee is a person who meets the following qualifications:
(1) Meets the educational qualification set forth as (1) for a forensic alcohol analyst;
(2) Is employed by a licensed forensic alcohol laboratory.
HISTORY

1. Amendment of subsection (c)(1) filed 10-9-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Amendment of subsection (b)(2) filed 8-2-72; effective thirtieth day thereafter (Register 72, No. 32).
3. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
4. Editorial correction (Register 76, No. 24).
Article 3. Licensing Procedures
§1217. Forensic Alcohol Laboratory License.
History

(a) Upon receipt of a completed application which shows ability to meet the requirements set forth in these regulations, and upon payment of any required fee, the Department shall submit such proficiency test samples and perform such examinations as are required for that laboratory to complete the qualifications.
(b) Upon the laboratory's successfully completing all the qualifications, the Department shall issue to the applicant laboratory a forensic alcohol laboratory license.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1217.1. Renewal of Licenses.
History

(a) Licenses under these regulations shall be renewed as required by the Department as long as the activity requiring authorization continues. Renewal shall be contingent upon the laboratory continuing in the qualifications set forth in these regulations.
(1) A forensic alcohol laboratory license shall be valid from January 1 to December 31 of a calendar year. Applications for renewal and applicable fees shall be submitted to the Department on or before October 1 of each year.
(2) Failure to apply for renewal shall result in forfeiture after a period of three months from the day on which the application for renewal should have been submitted, with the exception that the Department may grant a temporary extension under special circumstances.
(3) An application for renewal shall not list as a forensic alcohol analyst trainee any person who fails to comply with the requirements of Section 1216.1 (f) (4) within a period of one year after he was first listed with the Department as a trainee. The Department may extend this period for a justifiable reason, such as illness.
HISTORY

1. New subsection (c) filed 4-7-71; effective thirtieth day thereafter (Register 71, No. 15).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1217.2. Application Forms.

Application for a license and renewal thereof, shall be made on forms furnished by the Department. The applicant shall set forth all pertinent information called for by the form.
§1217.3. Report of Change or Discontinuance.
History

(a) A person responsible for the operation of a forensic alcohol laboratory shall report to the Department in writing within 30 days any change in qualified personnel who may be performing forensic alcohol analysis, change of ownership, change of address or change or discontinuance of an activity authorized under these regulations. 
(b) Such reports shall be made on forms furnished by the Department and shall set forth all pertinent information called for by the form.
(c) Persons who formerly qualified as forensic alcohol supervisors or forensic alcohol analysts in another laboratory may be required to demonstrate again their ability to meet the requirement of Section 1216.1 (e) (3) or 1216.1 (f) (4) using the method, apparatus and facilities of the forensic alcohol laboratory which newly lists them in such a Report of Change or Discontinuance.
HISTORY

1. Amendment filed 10-9-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
3. Editorial correction (Register 76, No. 24).
§1217.4. License Implications.

Licenses issued under these regulations shall not imply approval of anything carried out by a laboratory other than what is specified on the document.
§1217.5. Licensing Records.

Forensic Alcohol Laboratory Licenses shall become part of permanent records available to the courts for legal proceedings or to the Department.
§1217.6. Inspection and Additional Requirements.

(a) Display of Licenses. Licenses issued under these regulations shall be displayed on request to representatives of the Department.
(b) Access to Premises. The Department may enter at all reasonable times upon any laboratory for the purpose of determining whether or not there is compliance with the provisions of these regulations.
§1217.7. Surveys and Proficiency Tests.
History

(a) Laboratories having been licensed or applying for licensing as forensic alcohol laboratories shall be subject to on-site surveys by representatives of the Department, the results of which must meet the requirements of these regulations, and shall accept periodic evaluation samples, perform analyses and report the results of such analyses to the Department.
(b) These analytical results shall be used by the Department to evaluate the accuracy of the forensic alcohol analyses performed by the laboratory, and the results must meet the requirements of these regulations.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1217.8. Fees and Other Procedures.

The annual application fee for a Forensic Alcohol Laboratory License or its renewal shall be one hundred dollars ($100). A laboratory operated by the state, city or county or other public organization shall be exempt from the annual application fee requirement. Other procedures in the administration of these regulations shall be carried out as set forth in Chapter 5 (commencing with section 436.50) of Part 1 of Division 1 of the Health and Safety Code. Such other procedures include suspension or revocation of license, denial of license, and disciplinary action.
Article 4. Training of Personnel
§1218. Training Program Approval.

Any organization, laboratory, institution, school, or college conducting a course of instruction for persons to qualify under these regulations shall submit a course summary and list of instructors and their qualifications to the Department for approval.
§1218.1. Additional Requirements.

At the discretion of the Department, any phase or portion of a training program shall be subject to alteration in an effort to update the program as technological advances are made or if a portion has been judged inappropriate.
§1218.2. Contracts.

The Department may contract with persons it deems qualified to administer such practical tests and written or oral examinations as may be required under these regulations. This section shall not be construed to authorize the delegation of any discretionary functions conferred on the Department by law, including, but not limited to, the evaluation of tests and examinations.
Article 5. Collection and Handling of Samples
§1219. General.
Note     •     History

Samples taken for forensic alcohol analysis and breath alcohol analysis shall be collected and handled in a manner approved by the Department. The identity and integrity of the samples shall be maintained through collection to analysis and reporting.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 436.50, Health and Safety Code.
HISTORY

1. New Article 5 ( 1219, 1219.1, 1219.2, 1219.3), filed 10-9-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1219.1. Blood Collection and Retention.
History

(a) Blood samples shall be collected by venipuncture from living individuals as soon as feasible after an alleged offense and only by persons authorized by Section 13354 of the Vehicle Code.
(b) Sufficient blood shall be collected to permit duplicate determinations.
(c) Alcohol or other volatile organic disinfectant shall not be used to clean the skin where a specimen is to be collected. Aqueous benzalkonium chloride (zephiran), aqueous merthiolate or other suitable aqueous disinfectant shall be used.
(d) Blood samples shall be collected using sterile, dry hypodermic needles and syringes, or using clean, dry vacuum type containers with sterile needles. Reusable equipment,if used, shall not be cleaned or kept in alcohol or other volatile organic solvent.
(e) The blood sample shall be deposited into a clean, dry container which is closed with an inert stopper.
(1) Alcohol or other volatile organic solvent shall not be used to clean the container.
(2) The blood shall be mixed with an anticoagulant and a preservative.
(f) When blood samples for forensic alcohol analysis are collected post-mortem, all practical precautions to insure an uncontaminated sample shall be employed, such as:
(1) Samples shall be obtained prior to the start of any embalming procedure. Blood samples shall not be collected from the circulatory system effluent during arterial injection of embalming fluid. Coroner's samples do not need a preservative added if stored under refrigeration.
(2) Care shall be taken to avoid contamination by alcohol from the gastrointestinal tract directly or by diffusion therefrom. The sample shall be taken from a major vein or the heart.
(g) In order to allow for analysis by the defendant, the remaining portion of the sample shall be retained for one year after the date of collection.
(1) In coroner's cases, blood samples shall be retained for at least 90 days after date of collection.
(2)Whenever a sample is requested by the defendant for analysis and a sufficient sample remains, the forensic alcohol laboratory or law enforcement agency in possession of the original sample shall continue such possession, but shall provide the defendant with a portion of the remaining sample in a clean container together with a copy or transcript of the identifying information carried on the original sample container.
HISTORY

1. Amendment of subsection (d) filed 4-7-71; effective thirtieth day thereafter (Register 71, No. 15).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1219.2. Urine Collection and Retention.
History

(a) The only approved urine sample shall be a sample collected no sooner than twenty minutes after first voiding the bladder.
(b) The specimen shall be deposited in a clean, dry container which also contains a preservative.
(c) In order to allow for analysis by the defendant, the remaining portion of the sample shall be retained for one year after the date of collection.
(1) Whenever a sample is requested by the defendant for analysis and a sufficient sample remains, the forensic alcohol laboratory or law enforcement agency in possession of the original sample shall continue such possession, but shall provide the defendant with a portion of the remaining sample in a clean container together with a copy or transcript of the identifying information carried by the original sample container.
HISTORY

1. Amendment of subsection (a) filed 4-7-71; effective thirtieth day thereafter (Register 71, No. 15).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1219.3. Breath Collection.
History

A breath sample shall be expired breath which is essentially alveolar in composition. The quantity of the breath sample shall be established by direct volumetric measurement. The breath sample shall be collected only after the subject has been under continuous observation for at least fifteen minutes prior to collection of the breath sample, during which time the subject must not have ingested alcoholic beverages or other fluids, regurgitated, vomited, eaten, or smoked.
HISTORY

1. Amendment filed 4-7-71; effective thirtieth day thereafter (Register 71, No. 15).
Article 6. Methods of Forensic Alcohol Analysis
§1220. General.
Note     •     History

(a) All laboratory methods used for forensic alcohol analysis shall be subject to standards set forth in this Article.
(b) Each licensed forensic alcohol laboratory shall have on file with the Department detailed, up-to-date written descriptions of each method it uses for forensic alcohol analysis.
(1) Such descriptions shall be immediately available to the person performing an analysis and shall be available for inspection by the Department on request.
(2) Each such description shall include the calibration procedures and the quality control program for the method.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 436.50, Health and Safety Code.
HISTORY

1. New Article 6 ( 1220, 1220.1 through 1220.4) filed 10-9-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1220.1. Standards of Performance.
History

(a) Methods for forensic alcohol analysis shall meet the following standards of performance:
(1) The method shall be capable of the analysis of a reference sample of known alcohol concentration within accuracy and precision limits of plus or minus 5 percent of the value; these limits shall be applied to alcohol concentrations which are 0.10 grams per 100 milliliters or higher;
(2) The method shall be capable of the analysis of ethyl alcohol with a specificity which is adequate and appropriate for traffic law enforcement.
(3) The method should be free from interference from anticoagulants and preservatives added to the sample;
(4) Blood alcohol results on post-mortem samples shall not be reported unless the oxidizable substance is identified as ethyl alcohol by qualitative test;
(5) The method shall give a test result which is always less than 0.01 grams of alcohol per 100 milliliters of blood when living subjects free of alcohol are tested. 
(b) The ability of methods to meet the standards of performance set forth in this Section shall be evaluated by the Department using a laboratory's proficiency test results and such ability must meet the requirements of these regulations.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1220.2. Standards of Procedure.
History

(a) Methods for forensic alcohol analysis shall meet the following standards of procedure:
(1) The method shall be calibrated with standards which are water solutions of alcohol.
(A) Such alcohol solutions are secondary standards.
(B) Each forensic alcohol laboratory shall establish the concentration of each lot of secondary alcohol standards it uses, whether prepared or acquired, by an oxidimetric method which employs a primary standard, such as United States National Bureau of Standards potassium dichromate;
(2) The procedure shall include blank and secondary alcohol standard samples at least once each day that samples are subjected to forensic alcohol analysis.
(A) The blank and secondary alcohol standard samples shall be taken through all steps of the method used for forensic alcohol analysis of samples.
(3) The procedure shall also include analysis of quality control reference samples as described in Section 1220.3 and shall include at least duplicate analyses of samples for forensic alcohol analysis.
(A) A quality control reference sample shall not be taken from the same lot of alcohol solution which is used as a secondary alcohol standard.
(4) Alcohols or other volatile organic solvents shall not be used to wash or rinse glassware and instruments used for alcohol analysis;
(5) All instruments used for alcohol analysis shall be in good working order and routinely checked for accuracy and precision.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1220.3. Quality Control Program.
History

(a) Methods for forensic alcohol analysis shall be performed in accordance with the following quality control program:
(1) For each method of forensic alcohol analysis it performs, each forensic alcohol laboratory shall make or acquire a suitable quality control reference material containing alcohol, a sample of which it shall analyze along with each set of samples; the alcohol concentration in the reference material shall be between 0.10 and 0.20 grams per 100 milliliters of liquid;
(2) For each lot of quality control reference material, the laboratory shall determine a mean value of at least 20 replicate analyses, at a rate of no more than 2 analyses per day, with the method used for analysis of samples for forensic alcohol analysis;
(3) Acceptable limits of variation for the method shall be set as follows:
(A) The lower limit shall be calculated by subtracting, from the mean value, 0.01 grams per 100 milliliters;
(B) The higher limit shall be calculated by adding, to the mean value, 0.01 grams per 100 milliliters;
(4) At least one sample of the quality control reference material shall be analyzed with each set of samples analyzed for the purpose of forensic alcohol analysis;
(5) Whenever analysis of the quality control reference material is outside the acceptable limits, the method shall be regarded to be in error, and a forensic alcohol supervisor shall take remedial action to investigate and correct the source of error;
(6) Until such time as the error has been corrected, as shown by return of the analysis of the quality control reference material to values within the acceptable limits, no samples shall be analyzed for the purpose of forensic alcohol analysis.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1220.4. Expression of Analytical Results.
History

(a) With the exception of tissue analysis, all analytical results shall be expressed in terms of the alcohol concentration in blood, based on the number of grams of alcohol per 100 milliliters of blood.
(1) The symbols, grams %, %, and % (W/V), shall be regarded as acceptable abbreviations of the phrase, grams per 100 milliliters of liquid.
(b) Analytical results shall be reported to the second decimal place, deleting the digit in the third decimal place when it is present.
(c) Blood alcohol concentrations less than 0.01% in living subjects may be reported as negative.
(d) Blood alcohol concentrations less than 0.02% on post-mortem blood samples may be reported as negative.
(e) A urine alcohol concentration shall be converted to an equivalent blood alcohol concentration by a calculation based on the relationship: the amount of alcohol in 1.3 milliliters of blood is equivalent to the amount of alcohol in 1 milliliter of urine.
(f) A breath alcohol concentration shall be converted to an equivalent blood alcohol concentration by a calculation based on the relationship: the amount of alcohol in 2,100 milliliters of alveolar breath is equivalent to the amount of alcohol in 1 milliliter of blood.
(g) Tissue analysis results shall be expressed in terms of a weight amount of alcohol in a unit weight of the specimen.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Editorial correction (Register 76, No. 24).
Article 7. Requirements for Breath Alcohol Analysis
§1221. General.
Note     •     History

Breath alcohol analysis shall be performed in accordance with standards set forth in this Article.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 436.50, Health and Safety Code.
HISTORY

1. New Article 7 (Sections 1221, 1221.1 through 1221.5) filed 10-9-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1221.1. Authorized Procedures.
Note     •     History

(a) Breath alcohol analysis shall be performed only with instruments and related accessories which meet the standards of performance set forth in these regulations.
(b) Such instruments may be used for the analysis of breath samples in places other than licensed forensic alcohol laboratories and by persons other than forensic alcohol supervisors, forensic alcohol analysts and forensic alcohol analyst trainees only if such places and persons are under the direct jurisdiction of a governmental agency or licensed forensic alcohol laboratory.
(1) Breath alcohol analysis by persons other than forensic alcohol supervisors, forensic alcohol analysts and forensic alcohol analyst trainees shall be restricted to the immediate analysis of breath samples collected by direct expiration by the subject into the instrument in which the measurement of alcohol concentration is performed.
(2) Except for the requirements of Section 1220.4, such immediate analysis shall not be subject to the requirements of Article 6.
NOTE

Authority cited: Sections 208 and 436.50, Health and Safety Code. Reference: Section 436.52, Health and Safety Code.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Repealer of subsection (c) filed 12-20-85 as an emergency; effective upon filing (Register 85, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-21-86.
3. Certificate of Compliance transmitted to OAL 4-8-86 and filed 5-8-86 (Register 86, No. 19).
§1221.2. Standard of Performance.
Note     •     History

(a) Instruments for breath alcohol analysis shall meet the following standard:
(1) The instrument and any related accessories shall be capable of conforming to the “Model Specifications for Evidential Breath Testing Devices” of the National Highway Traffic Safety Administration of the U.S. Department of Transportation, which were published in the Federal Register, Vol. 49, No. 242, Pages 48854-48872, December 14, 1984, and are hereby adopted and incorporated.
(b) The ability of instruments and any related accessories to conform to the standard of performance set forth in this section shall be tested by the U.S. Department of Transportation.
NOTE

Authority cited: Sections 208 and 436.50, Health and Safety Code. Reference: Section 436.52, Health and Safety Code.
HISTORY

1. Repealer of subsection (b) and relettering of (c), (d), (e), (f) and (g) to (b), (c), (d), (e) and (f) filed 4-7-71; effective thirtieth day thereafter (Register 71, No. 15).
2. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
3. Amendment filed 12-20-85 as an emergency; effective upon filing (Register 85, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-21-86.
4. Certificate of Compliance transmitted to OAL 4-8-86 and filed 5-8-86 (Register 86, No. 19).
§1221.3. Approved Instruments.
Note     •     History

(a) Only such types and models of instruments and related accessories as are named in the “Conforming Products List” published in the Federal Register by the National Highway Traffic and Safety Administration of the U.S. Department of Transportation shall be used for breath alcohol analysis in this State.
NOTE

Authority cited: Sections 208 and 436.50, Health and Safety Code. Reference: Section 436.52, Health and Safety Code.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Editorial correction (Register 76, No. 24).
3. Amendment filed 12-20-85 as an emergency; effective upon filing (Register 85, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-21-86.
4. Certificate of Compliance transmitted to OAL 4-8-86 and filed 5-8-86 (Register 86, No. 19).
§1221.4. Standards of Procedure.
Note     •     History

(a) Procedures for breath alcohol analysis shall meet the following standards:
(1) For each person tested, breath alcohol analysis shall include analysis of 2 separate breath samples which result in determinations of blood alcohol concentrations which do not differ from each other by more than 0.02 grams per 100 milliliters.
(2) The accuracy of instruments shall be determined.
(A) Such determination of accuracy shall consist, at a minimum, of periodic analysis of a reference sample of known alcohol concentration within accuracy and precision limits of plus or minus 0.01 grams % of the true value; these limits shall be applied to alcohol concentrations from 0.10 to 0.30 grams %. The reference sample shall be provided by a forensic alcohol laboratory.
1. Such analysis shall be performed by an operator as defined in Section 1221.4 (a)(5), and the results shall be used by a forensic alcohol laboratory to determine if the instrument continues to meet the accuracy set forth in Section 1221.4 (a)(2)(A).
(B) For the purposes of such determinations of accuracy, “periodic” means either a period of time not exceeding 10 days or following the testing of every 150 subjects, whichever comes sooner. 
(3) Breath alcohol analysis shall be performed only with instruments for which the operators have received training, such training to include at minimum the following schedule of subjects:
(A) Theory of operation;
(B) Detailed procedure of operation;
(C) Practical experience;
(D) Precautionary checklist;
(E) Written and/or practical examination.
(4) Training in the procedures of breath alcohol analysis shall be under the supervision of persons who qualify as forensic alcohol supervisors, forensic alcohol analysts or forensic alcohol analyst trainees in a licensed forensic alcohol laboratory.
(A) After approval as set forth in Section 1218, the forensic alcohol laboratory is responsible for the training and qualifying of its instructors.
(5) An operator shall be a forensic alcohol supervisor, forensic alcohol analyst, forensic alcohol analyst trainee or a person who has completed successfully the training described under Section 1221.4 (a) (3) and who may be called upon to operate a breath testing instrument in the performance of his duties.
(6) Records shall be kept for each instrument to show the frequency of determination of accuracy and the identity of the person performing the determination of accuracy.
(A) Records shall be kept for each instrument at a licensed forensic alcohol laboratory showing compliance with this Section.
NOTE

Authority cited: Section 436.50, Health and Safety Code. Reference: Section 436.50, Health and Safety Code.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Amendment filed 12-20-85 as an emergency; effective upon filing (Register 85, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-21-86.
3. Certificate of Compliance including amendment of subsection (a)(2)(A)1. transmitted to OAL 4-8-86 and filed 5-8-86 (Register 86, No. 19).
§1221.5. Expression of Analytical Results.

Results of breath alcohol analysis shall be expressed as set forth in Section 1220.4.
Article 8. Records
§1222. General.
Note     •     History

Forensic alcohol laboratories and law enforcement agencies shall maintain records which clearly represent their activities which are covered by these regulations. Such records shall be available for inspection by the Department on request.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 436.50, Health and Safety Code.
HISTORY

1. New Article 8 (§§ 1222, 1222.1, 1222.2) filed 10-9 -70; effective thirtieth day thereafter (Register 70, No. 41).
§1222.1. Forensic Alcohol Laboratory Records.
History

(a) Each laboratory which is licensed to perform forensic alcohol analysis shall keep the following records for a period of at least three years:
(1) An up-to-date record of persons in its employ who are qualified as forensic alcohol supervisors and forensic alcohol analysts; the record shall include the qualifications of each such person, including education, experience, training and performance in proficiency tests and examinations;
(2) A list of persons in its employ who are forensic alcohol analyst trainees, the date on which each such person began his training period and the number and results of analyses performed during the training period;
(3) Records of samples analyzed by that laboratory under these regulations, their results and the identity of persons performing the analyses;
(4) Records of the quality control program;
(5) Records of laboratory performance evaluation in alcohol analysis as shown by results of proficiency tests;
(6) Records of such determinations of accuracy of breath testing instruments as a laboratory may perform for law enforcement agencies;
(7) Records of such training as a laboratory may provide to persons who operate breath testing instruments for law enforcement agencies.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§1222.2. Breath Alcohol Analysis Records.
History

(a) Each agency shall keep the following records for breath testing instruments which are under its jurisdiction:
(1) Records of instrument determinations of accuracy;
(2) Records of analyses performed, results and identities of the persons performing analyses;
(3) At the location of each instrument, the precautionary checklist to be used by operators of the instrument.
HISTORY

1. Amendment filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Editorial correction (Register 76, No. 24). 
Group 9. HIV Antibody Testing
Article 1. Approval of Laboratories
§1230. HIV Screening Testing by Laboratories.
Note     •     History

(a) All clinical laboratories that perform waived, moderate or high complexity tests or examinations to screen for human immunodeficiency virus (HIV) shall do all of the following: 
(1) Utilize United States Food and Drug Administration (FDA) approved test systems in accordance with the manufacturers' instructions. Any laboratory that modifies a non-waived FDA-approved kit shall establish and verify the performance specifications pursuant to 42 Code of Federal Regulations Section 493.1253. 
(2) Confirm all reactive or indeterminate HIV test results by following the HIV confirmation protocols recommended by the federal Centers for Disease Control and Prevention as published in the Mortality and Morbidity Weekly Report prior to reporting the result as positive. 
(3) Establish and maintain a quality assurance program that includes all of the following: 
(A) Evaluation and documentation of testing personnel by direct observation, training, and competency testing to ensure tests are accurately performed and reported. This shall be done prior to testing, six months later and then yearly as long as assessment of test performance is acceptable. If the testing personnel fail any assessment of test performance given in subpart (B), the testing personnel shall be removed from testing, retrained and their competency re-evaluated. 
(B) Assessment and documentation of test performance by testing previously analyzed specimens, internal blind testing samples, or external proficiency testing samples at least twice yearly and monitored by the laboratory director. 
(b) Failure to comply with all the requirements of this section shall subject the laboratory to sanctions pursuant to Business and Professions Code Section 1320. 
NOTE

Authority cited: Sections 1603.1(f), 100275, 131050 and 131200, Health and Safety Code; and Section 1224, Business and Professions Code. Reference: Sections 1220 and 1265, Business and Professions Code; and Sections 1603.1, 101160, 120895, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 1-21-86 as an emergency; effective upon filing (Register 86, No. 6). A certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 5-21-86.
2. Change without regulatory effect of group 9 and article 1 heading filed 2-7-86; effective upon filing (Register 86, No. 6).
3. Certificate of Compliance as to 1-21-86 order including amendment of section heading and subsections (b) and (f) transmitted to OAL 5-15-86 and filed 6-12-86 (Register 86, No. 24).
4. Amendment filed 1-8-90 as an emergency; operative 1-8-90 (Register 90, No. 4). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-8-90.
5. Amendment filed 5-11-90 as an emergency; operative 5-11-90 (Register 90, No. 25). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 9-8-90.
6. Amendment filed 9-12-90 as an emergency; operative 9-12-90 (Register 90, No. 43). A Certificate of Compliance must be transmitted to OAL by 1-10-91 or the emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance including amendment transmitted to OAL 1-9-91 and filed 2-8-91 (Register 91, No. 11).
8. Repealer and new section filed 10-15-2009; operative 11-14-2009 (Register 2009, No. 42).
Chapter 3. Local Health Service
Subchapter 1. Standards for State Aid for Local Health Administration

(Originally Printed 11-1-47)
Article 1. Organization
§1250. Health Officer.
Note     •     History

The health department shall be under the direction of the health officer devoting full time to official duties and these duties shall constitute his primary responsibility and no other activities shall interfere with performance of his official duties.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 454 and 1130, Health and Safety Code.
HISTORY

1. New Sections 1250 to 1329, inclusive, filed 10-1-47 as an emergency (Register 10, No. 1).
2. Amendment filed 9-24-71; effective thirtieth day thereafter (Register 71, No. 39).
3. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1250 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 9-24-71 remains in effect uninterrupted (Register 85, No. 30).
4. Editorial correction of NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1251. Office.
Note     •     History

The health department shall maintain and operate a central office and headquarters on a full-time basis during the normal work week of the local government.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Section 1130, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1251 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1252. Clerical Staff.
Note     •     History

There shall be a clerical staff under proper supervision, adequate to meet local needs.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Section 1130, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1252 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1253. Public Health Nursing Staff.
Note     •     History

(a) There shall be a public health nursing staff under the supervision of a director of public health nursing, and such additional supervisors, who are necessary to provide effective service. Public health nurses shall be qualified and knowledgeable in matters pertaining to health, safety and sanitation within a local health jurisdiction which shall include but not be limited to:
(1) The control and prevention of communicable and chronic disease;
(2) The promotion of maternal, child and adolescent health;
(3) The prevention of abuse and neglect of children, spouses and elderly adults within the home environment;
(4) The case management of California Children Services or handicapped children;
(5) The assessment and prevention of accidents within the home environment;
(6) The provision of services for populations at risk; and,
(b) All members of the public health nursing staff who are employed as public health nurses including supervisory personnel shall be certified.
NOTE

Authority cited: Section 1130, Health and Safety Code. Reference: Sections 600-603, Health and Safety Code.
HISTORY

1. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74, No. 23).
2. Amendment filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 11).
§1254. Environmental Health Staff.
Note     •     History

There shall be an adequate staff of Registered Sanitarians under the direction of a Director of Environmental Health. In addition, the staff shall include such other support personnel as are required to carry out the environmental health program.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1111 and 1130, Health and Safety Code.
HISTORY

1. Amendment filed 5-7-75; effective thirtieth day thereafter (Register 75, No. 19).
2. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1254 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 5-7-75 remains in effect uninterrupted (Register 85, No. 30).
3. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1255. Public Health Laboratory.
Note     •     History

The principal public health laboratory shall be under the direction of a public health laboratory director. A branch public health laboratory shall be under the direction of a branch public health laboratory director who shall be directly responsible to the director of the principal public health laboratory.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1000, 1001, 1002, 1111 and 1130, Health and Safety Code.
HISTORY

1. Amendment filed 5-19-49 (Register 16, No. 4).
2. Repealer and new section filed 1-28-59; effective thirtieth day thereafter (Register 59, No. 3).
3. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
4. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
5. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1255 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 1-21-77 remains in effect uninterrupted (Register 85, No. 30).
6. Editorial correction of NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1256. Provisional Approval of Health Departments.
Note     •     History

The Director of Health Services, after thorough investigation of geographic, transportation, economic, or other conditions, may grant provisional approval to health departments which serve all of the incorporated, as well as the unincorporated, area of the county and which are under the direction of a part-time county health officer; provided, however, that such counties shall have a population of less than 25,000, as determined pursuant to Section 1101, Chapter 8, Part 2, Division 1 of the Health and Safety Code. Such health departments, however, shall meet all standards established for local health departments by the Department except Section 1250 of this article. Such provisional approval shall terminate on June 30, 1948, but may be renewed annually at the discretion of the Director.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1101, 1102 and 1130, Health and Safety Code.
HISTORY

1. New section filed 1-28-59; effective thirtieth day thereafter (Register 59, No. 3).
2. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1256 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 1-28-59 remains in effect uninterrupted (Register 85, No. 30).
3. Editorial correction filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
Article 2. Program
§1275. Duties and Functions.
Note     •     History

A local health department, in order to qualify for funds pursuant to Division 1, Part 2, Chapter 8, of the Health and Safety Code, shall perform all of the duties and functions imposed upon it by the Health and Safety Code and other statutes of the State of California, and by the rules, regulations and orders of the Department of Health Services.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1130 and 1155, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1275 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. Editorial correction filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1276. Basic Services.
Note     •     History

The health department shall offer at least the following basic services to the health jurisdiction which it serves:
(a) Collection, tabulation and analysis of all public health statistics, including population data, natality, mortality and morbidity records, as well as evaluation of service records.
(b) Health education programs including, but not necessarily limited to, staff education, consultation, community organization, public information, and individual and group teaching, such programs to be planned and coordinated within the department and with schools, public and voluntary agencies, professional societies, and civic groups and individuals.
(c) Communicable disease control, including availability of adequate isolation facilities, the control of the acute communicable diseases, and the control of tuberculosis and the venereal diseases, based on provision of diagnostic consultative services, epidemiologic investigation and appropriate preventive measures for the particular communicable disease hazards in the community.
(d) Medical, nursing, educational, and other services to promote maternal and child health, planned to provide a comprehensive program to meet community needs in these fields.
(e) Environmental health and sanitation services and programs in accordance with an annual plan and program outline as required in Title 17, Section 1328, and approved by the State Department of Health and the applicable services and program standards as specified in the State Department of Health “Services in a Local Environmental Health and Sanitation Program,” September 1976. The required services and programs shall be as follows:
(1) Food.
(2) Housing and institutions.
(3) Radiological health in local jurisdictions contracting with the State Department of Health to enforce the Radiation Control Law pursuant to Section 25600-25654 and Sections 25800-25876, Health and Safety Code.
(4) Milk and dairy products in local jurisdictions maintaining an approved milk inspection service pursuant to Section 32503, Food and Agricultural Code.
(5) Water oriented recreation.
(6) Safety.
(7) Vector control.
(8) Wastes management.
(9) Water supply.
(10) Air sanitation.
(11) Additional environmentally related services and programs as required by the County Board of Supervisors, City Council, or Health District Board.
(12) And may include land development and use.
(f) Laboratory services, provided by an approved public health laboratory in health departments serving a population of 50,000 or more. Such laboratories shall provide:
(1) Services necessary for the various programs of the health department.
(2) Consultation and reference services to further the development of improved procedures and practices in laboratories employing such procedures related to the prevention and control of human disease.
(g) Services in nutrition, including appropriate activities in education and consultation for the promotion of positive health, the prevention of ill health, and the dietary control of disease.
(h) Services in chronic disease, which may include case finding, community education, consultation, or rehabilitation, for the prevention or mitigation of any chronic disease.
(i) Services directed to the social factors affecting health, and which may include community planning, counseling, consultation, education, and special studies.
(j) Services in occupational health to promote the health of employed persons and a healthful work environment, including educational, consultative and other activities appropriate to local needs. Where the population of a health jurisdiction exceeds 500 thousand, the program in occupational health shall include a planned and organized service with trained staff.
(1) “Services in occupational health” shall mean, as a minimum, a program of industrial sanitation and surveillance of occupational health hazards to insure that places of employment are maintained in a healthful and sanitary condition. For the purpose of this section, “sanitary condition” is defined as equivalent to that described in the “Recommended Standards of Sanitation in Places of Employment” issued by the California State Department of Health Services. Such services shall be provided by at least one Occupational Health Sanitarian as defined in Section 1307, or any one of the occupational health disciplines in Section 1306, with medical, sanitation, and public health nursing support available.
(2) “Planned and organized service” shall include services in occupational health as defined above, and in addition the prevention of work-induced illness and disability by recognizing, evaluating and preventing unhealthful environmental conditions and practices in places of work.
(3) “Trained staff” shall be defined as follows:
(A) When the health jurisdiction includes a population of 500,000 to 1,000,000, at least 1, and after July 1, 1968, 2 full-time health professionals representing 1 or 2, respectively, of the disciplines listed in part (4) hereof shall be employed.
(B) When health jurisdictions include more than 1,000,000 population at least 2, and after July 1, 1968, 3 full-time health professionals representing 2 or 3, respectively, of the 5 disciplines listed in part (4) hereof shall be employed.
(C) When health jurisdictions include more than 5,000,000 population, at least 10 full-time health professionals including all 5 of the disciplines listed in part (4) hereof shall be employed.
(4) Occupational health disciplines include: Occupational Health Physician; Occupational Health Nursing Consultant; Industrial Hygiene Engineer; Industrial Hygienist (including sanitarians with appropriate training); and Industrial Hygiene Chemist as defined in Section 1306.
(k) Appropriate services in the field of family planning, which may include:
(1) Promotion of availability of program elements such as:
(A) Assembling knowledge about family planning, attitudes, values, and information held by population groups.
(B) Public and professional educational services about the health benefits of family planning and fertility control methods.
(C) Professional services for sterility correction,fertility control and genetic counseling for all segments of the population, making available methods acceptable to families of any religious persuasion.
(D) Evaluation of the adequacy of the community's family planning efforts.
(2) Provision of program elements which are not otherwise likely to be made available, including family planning services for those groups who cannot reasonably obtain them.
(l) Public health nursing services to provide for the preventive and therapeutic care of the population served.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1111, 1112, 1113, 1130, 1155, 1555.5 and 1155.6, Health and Safety Code.
HISTORY

1. Amendment of subsection (j)(1) filed 6-24-68; effective thirtieth day thereafter (Register 68, No. 24). For prior history, see Register 67, No. 50.
2. Amendment of subsection (f) filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
3. New subsection (l) filed 6-7-74; effective thirtieth day thereafter (Register 74, No. 23).
4. Amendment of subsection (e) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
5. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1276 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 12-9-77 remains in effect uninterrupted (Register 85, No. 30).
6. Editorial correction filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
Article 3. Personnel
§1300. Health Officer.
Note     •     History

The health officer shall be a graduate of a medical school of good standing and repute and shall be eligible for a license to practice medicine and surgery in the State of California; provided however that those health officers on a full-time basis as of September 19, 1947, shall be considered as meeting the requirements of this section.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 454 and 1130, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1300 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1301. Director of Public Health Nursing.
Note     •     History

(a) A director of public health nursing shall be a public health nurse who has:
(1) Completed a baccalaureate program of study in public health nursing accredited by the National League for Nursing and has had three years of progressively responsible experience in public health nursing or
(2) A Masters Degree with preparation in Nursing Administration, Supervision or Consultation from a program accredited by the National League for Nursing or the American Public Health Association and at least three years of progressively responsible experience in public health nursing.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 600, 601, 602, 603, 604 and 1130, Health and Safety Code.
HISTORY

1. Amendment filed 2-6-51 as an emergency; designated to be effective 3-1-51 (Register 23, No. 3).
2. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74, No. 23).
3. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1301 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 6-7-74 remains in effect uninterrupted (Register 85, No. 30).
4. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1302. Director of the Public Health Laboratory.
Note     •     History

The director of a principal public health laboratory shall be a certified Public Health Microbiologist whose qualifications conform with the specifications for this position as established by the Department, pursuant to the provisions of the Health and Safety Code. The director shall have had four or more years of experience in public health laboratory work. The quality, variety and currency of this experience shall be satisfactory to the Department.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1000, 1002 and 1130, Health and Safety Code.
HISTORY

1. New section filed 2-6-51 as an emergency; designated to be effective 3-1-51 (Register 23, No. 3).
2. Repealer and new section filed 1-28-59; effective thirtieth day thereafter (Register 59, No. 3).
3. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
4. Amendment filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
5. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1302 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 1-21-77 remains in effect uninterrupted (Register 85, No. 30).
6. Editorial correction filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1302.1. Director of a Branch Public Health Laboratory.
Note     •     History

The director of a branch public health laboratory shall be a certified Public Health Microbiologist whose qualifications conform with the specifications for this position as established by the Department, pursuant to the provisions of the Health and Safety Code. The director shall have had two or more years experience in public health laboratory work. The quality, variety and currency of this experience shall be satisfactory to the Department.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1000, 1002 and 1130, Health and Safety Code.
HISTORY

1. New section filed 1-21-77; effective thirtieth day thereafter (Register 77, No. 4).
2. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1302.1 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 1-21-77 remains in effect uninterrupted (Register 85, No. 30).
3. Editorial correction filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1303. Health Educator.
Note     •     History

A health educator shall hold a master's degree with specialization in public or community health education awarded upon completion of a program of study accredited by the American Public Health Association.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Section 1130, Health and Safety Code.
HISTORY

1. New section filed 1-28-59; effective thirtieth day thereafter (Register 59, No. 3).
2. Amendment filed 10-1-62; effective thirtieth day thereafter (Register 62, No. 21).
3. Amendment filed 8-10-70; effective thirtieth day thereafter (Register 70, No. 33).
4. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1303 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 8-10-70 remains in effect uninterrupted (Register 85, No. 30).
5. Editorial correction of NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1304. Director of Health Education.
Note     •     History

A director of health education appointed after November 1, 1962 who is responsible for the supervision of other professional staff shall have had, in addition to the professional training specified above, three or more years full-time paid experience in public health education, preferably in a local public health department.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Section 1130, Health and Safety Code.
HISTORY

1. New section filed 10-1-62; effective thirtieth day thereafter (Register 62, No. 21).
2. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1304 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-62 remains in effect uninterrupted (Register 85, No. 30).
3. Editorial correction of NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1305. Public Health Nurse.
Note     •     History

(a) A public health nurse shall be currently licensed to practice as a registered nurse in California and shall:
(1) Possess a California Public Health Nurse Certificate issued prior to March 5, 1954, or a Public Health Nurse Certificate issued under the provisions of Section 4500 et seq: and
(2) By October 1, 1987 acquire training in the detection, prevention, reporting requirements and treatment of child abuse and neglect in accordance with Section 4501 of this chapter of working for a local health jurisdiction on or after January 1, 1981.
(A) Directors of Public Health Nursing as defined in Section 1301 shall have the responsibility for verifying that all members of their Public Health Nursing Staff who have received Public Health Nurse Certificates prior to October 1, 1987, have received training which satisfies the requirement in Section 4501(a)(4).
(B) The Department of Health Services shall have the responsibility for verifying that all nurses who receive a Public Health Nurse Certificate after October 1, 1987 have received training which satisfies the requirements in Section 4501(a)(4).
NOTE

Authority cited: Sections 208, 600, 602 and 1130, Health and Safety Code. Reference: Section 600, 602, 605 and 1130, Health and Safety Code.
HISTORY

1. New section filed 10-1-62; effective thirtieth day thereafter (Register 62, No. 21).
2. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
3. Repealer and new section filed 6-7-74; effective thirtieth day thereafter (Register 74, No. 23).
4. Amendment filed 3-9-87; effective thirtieth day thereafter (Register 87, No. 11).
§1306. Occupational Health Trained Staff.
Note     •     History

Qualifications for each discipline included in the definition of trained staff shall conform to the following specifications:
(a) Occupational Health Physician. M.D. degree and license to practice medicine in California, and either:
(1) a master's degree in public health or occupational medicine and two years' experience in the full-time practice of occupational medicine, or
(2) four years' experience in the full-time practice of occupational medicine, at least one year of which shall have been in a public health program.
(b) Occupational Health Nursing Consultant. Baccalaureate degree and possession of a valid license as a registered nurse and a valid California Public Health Nurse certificate, and, either:
(1) a master's degree in public health and two years' experience in the full-time practice of occupational health nursing, or
(2) four years' experience in the full-time practice of occupational health nursing, and two years in a generalized public health nursing program.
(c) Industrial Hygiene Engineer. Baccalaureate degree in engineering, and either:
(1) a master's degree in public health or industrial hygiene and two years' experience in the full-time practice of industrial hygiene engineering, or
(2) four years' experience in the full-time practice of industrial hygiene engineering, at least one year of which shall have been in a public health program.
(d) Industrial Hygienist. Baccalaureate degree with major in a physical or biological science, and, either:
(1) a master's degree in public health or industrial hygiene and two years' experience in the fill-time practice of industrial hygiene, or
(2) four years' experience in the full-time practice of industrial hygiene, at least one year of which shall have been in a public health program, or
(3) registration as a sanitarian in California with four years' experience in a local health department, three years of which shall have been in the full-time practice of industrial hygiene.
(e) Industrial Hygiene Chemist. Baccalaureate degree with major in chemistry or biochemistry, and, either:
(1) a master's degree in chemistry, biochemistry, or a related field of environmental chemistry and two years' experience as a professional chemist doing increasingly complex analytical procedures, or
(2) four years' experience as a professional chemist doing increasingly complex analytical procedures.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Section 1130, Health and Safety Code.
HISTORY

1. New section filed 12-15-67; effective thirtieth day thereafter. (Register 67, No. 50).
2. Amendment of subsection (d) filed 6-24-68; effective thirtieth day thereafter (Register 68, No. 24).
3. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1306 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 6-24-68 remains in effect uninterrupted (Register 85, No. 30).
4. Editorial correction of NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1307. Occupational Health Sanitarian.
Note     •     History

(a) Qualifications for an Occupational Health Sanitarian shall conform to the following specifications:
(1) Registration as a sanitarian in California;
(2) Three years' full-time experience in environmental sanitation; 
(3) One year of experience in an occupational health program of a local health department under direct supervision of an Industrial Hygiene Engineer or Industrial Hygienist as defined in Section 1306, or satisfactory completion of a two-week intensive training course in the recognition of occupational health hazards conducted by the California State Department of Public Health, or the equivalent of such a course conducted by an institution acceptable to the Department.
(b) An Occupational Health Sanitarian with two years' full-time experience in that classification may qualify as an Industrial Hygienist for the purposes of Section 1276(j)(4) of this Code by completing two additional years of full-time experience in industrial hygiene under the direct supervision of an Industrial Hygiene Engineer or Industrial Hygienist qualified under Section 1306 above.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 519, 1111 and 1130, Health and Safety Code.
HISTORY

1. New section filed 6-24-68; effective thirtieth day thereafter (Register 68, No. 24).
2. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1307 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 6-24-68 remains in effect uninterrupted (Register 85, No. 30).
3. Editorial correction of NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
§1308. Director of Environmental Health.
Note     •     History

A director of Environmental Health shall hold a valid certificate of registration as a Sanitarian in the State of California and shall have had three or more years' experience in an environmental health agency (a Master's Degree in Public Health, Health Science, Public Administration, or related field may be substituted for one year of the required experience).
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1130 and 1155, Health and Safety Code.
HISTORY

1. New section filed 5-7-75; effective thirtieth day thereafter (Register 75, No. 19).
2. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1308 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 5-7-75 remains in effect uninterrupted (Register 85, No. 30).
3. Editorial correction of NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
Article 4. Finance
§1325. Use of Funds.
Note     •     History

Funds available to local health departments under Chapter 8, Part 2, Division 1 of the Health and Safety Code may be expended for personnel, including but not limited to new or additional personnel and adjustments of salaries of existing personnel, maintenance and operation, equipment, and for capital expenditures. The funds may be used only to augment local appropriations provided for public health purposes, through the local public health department, including those functions listed in Article 2, but not including any of the following:
(a) Medical, hospital and therapeutic care of physically handicapped children.
(b) Maintenance of hospitals (including emergency hospitals and first aid stations), sanatoria and homes.
(c) Garbage and refuse collection and disposal, and sewage disposal.
(d) Street cleaning.
(e) Inspection of building construction.
(f) Inspection of plumbing.
(g) Maintenance of dog or animal pounds.
(h) Inspection of cemeteries.
NOTE

Authority cited: Sections 100275, 100295 and 100950, Health and Safety Code. Reference: Sections 100295, 101250 and 101255, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1325 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
3. Change without regulatory effect amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1326. Restrictions on Matching Funds.
Note     •     History

For matching purposes as specified in Section 101255 of the Health and Safety Code, local health departments shall not include funds appropriated for functions listed under subsections (a) to (h), inclusive of Section 1325 above.
NOTE

Authority cited: Sections 100275, 100295 and 100950, Health and Safety Code. Reference: Sections 100295, 101250 and 101255, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1326 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34)
3. Change without regulatory effect amending section and Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1327. Deposit and Expenditure of Funds.
Note     •     History

The governing body of each local health department shall set up a special fund or account as approved by the State Department and all payments received from the State by the governing body shall be deposited in that fund or account. No money shall be expended from such fund or account except for public health purposes in accordance with Division 1, Part 2, Chapter 8, of the Health and Safety Code, and the rules and regulations adopted by the State Department of Health Services pursuant thereto.
NOTE

Authority cited: Sections 100275, 100295 and 100950, Health and Safety Code. Reference: Sections 100295, 101250 and 101255, Health and Safety Code.
HISTORY

1. Amendment filed 7-2-64; effective thirtieth day thereafter (Register 64, No. 14).
2. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1327 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 7-2-64 remains in effect uninterrupted (Register 85, No. 30).
3. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
4. Change without regulatory effect amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1328. Budget and Program.
Note     •     History

Local health departments shall submit a budget each year, showing a total plan for the expenditure of public health funds during the year, together with an outline of the program contemplated. The appropriation made in support of such budget shall also be reported. 
NOTE

Authority cited: Sections 100275, 100295 and 100950, Health and Safety Code. Reference: Sections 100295, 101250 and 101255, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1328 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. New NOTE filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34.)
3. Change without regulatory effect amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1329. Reports.
Note     •     History

Local health departments shall report their expenditures, and shall submit reports of services and operations, upon forms provided for that purpose, at such times as the State Department of Health Services may require.
NOTE

Authority cited: Sections 208, 1111 and 1130, Health and Safety Code. Reference: Sections 1130, 1153 and 1154, Health and Safety Code.
HISTORY

1. OAL Notice of Erroneous Filing filed 7-18-85; purported editorial correction of Section 1329 filed in error on 7-1-85 is null and void and text as filed with Secretary of State on 10-1-47 remains in effect uninterrupted (Register 85, No. 30).
2. Editorial correction filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
Subchapter 2. Standards for State Aid for Comprehensive Environmental Agencies
Article 1. Definitions
§1351. Comprehensive Environmental Agency.
Note     •     History

“Comprehensive Environmental Agency” means an agency responsible to the board of supervisors which has been assigned the total function of providing environmental health and sanitation services and programs and other related environmental management functions which the board of supervisors may choose to delegate to the agency. 
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Section 1155.5, Health and Safety Code.
HISTORY

1. New Subchapter 2 (Sections 1351-1375, not consecutive) filed 12-9-77; effective thirtieth day thereafter (Register 77, No. 50).
2. Editorial correction of NOTE filed 5-8-84 (Register 84, No. 19).
§1353. Environmental Health and Sanitation Services and Programs.
Note     •     History

“Environmental Health and Sanitation Services and Programs” means those agency provided services and programs which are required by the Director of the State Department of Health to meet local environmental health and sanitation needs. The term shall include additional environmentally related services and programs for which responsibility has been delegated to the agency by the county Board of Supervisors or Health District Board.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Section 1155.5, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
Article 2. Agency Personnel and Facilities
§1355. Director of Environmental Health.
Note     •     History

(a) There shall be a full-time Director of Environmental Health who shall be responsible for the administration of environmental health and sanitation services and programs.
(b) The Director shall meet the following minimum qualifications:
(1) Possession of a valid certificate of registration as a sanitarian in the State of California.
(2) Three or more years' experience in an environmental health agency. A Master's Degree in Public Health, Health Science, Public Administration, or a related field may be substituted for one year of the required experience.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1357. Environmental Health Staff.
Note     •     History

There shall be an adequate staff of Registered Sanitarians meeting the qualifications established by the State Department of Health pursuant to provisions of the Health and Safety Code and other support personnel necessary to implement agency services and programs. Staffing units shall be equal to or greater than those levels provided by the environmental health unit of the health department prior to the transfer.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1359. Clerical Staff.
Note     •     History

There shall be sufficient, properly supervised clerical staff to meet agency needs. Staffing levels shall be equal to or greater than those levels provided by the environmental health unit of the health department prior to the transfer.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1361. Office Facilities.
Note     •     History

There shall be provided publicly accessible office facilities which shall be in operation full time during the normal county government work week.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
Article 3. Organization
§1363. Conditions of Transfer.
Note     •     History

(a) Prior to transferring environmental health and sanitation services and programs from a local health department to an agency, the following shall be met:
(1) The county board of supervisors or health district board shall authorize the total environmental health and sanitation services and programs to be transferred and maintained as a single organizational unit.
(2) The Director of the State Department of Health shall give written approval for the transfer.
(3) The proposed agency shall have a State Department of Health approved annual program plan.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1365. Powers and Duties of the County Health Officer.
Note     •     History

The county health officer shall retain powers, duties, and responsibilities relating to the protection of public health as set forth in Section 452 of the Health and Safety Code.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 452, 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1367. Powers and Duties of the District Health Officer.
Note     •     History

The district health officer shall retain powers, duties, and responsibilities relating to the protection of public health as set forth in Division 1, Part 2, Chapter 6 (commencing with Section 880) of the Health and Safety Code.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Division 1, Part 2, Chapter 6 (commencing with Section 880) (Pursuant to the Savings Clause in Statutes 1959, Chapter 380, Page 2305, Section 3, as amended by Statutes 1961, Chapter 1362, Page 3137, Section 1; Statutes 1968, Chapter 468, Page 1099, Section 1) and Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1369. Powers and Duties of the Director of Environmental Health.
Note     •     History

(a) The Director of Environmental Health shall have powers and duties relating to environmental health and sanitation services and programs.
(b) The powers and duties shall be clearly delineated in writing and shall provide for well-defined, direct lines of communication with the county or district health officer to assure coordination of public health programs and environmental health and sanitation services and programs.
(c) These regulations shall not be deemed to diminish or impede any additional powers and duties of the Director of Environmental Health specified by statute, rule, regulation, resolution or order, or which may have been delegated to him by the county or district health officer.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
Article 4. Program
§1371. Basic Program.
Note     •     History

(a) Environmental health and sanitation services and programs shall be offered in accordance with an annual program plan approved by the State Department of Health and the applicable services and program standards an specified in the State Department of Health “Services in a Local Environmental Health and Sanitation Program,” September 1976. The required services and programs shall be as follows:
(1) Food.
(2) Housing and institutions.
(3) Radiological health in local jurisdictions contracting with the State Department of Health to enforce the Radiation Control Law pursuant to Sections 25600-25654 and Sections 25800-25876, Health and Safety Code.
(4) Land development and uses.
(5) Milk and dairy products in local jurisdictions maintaining an approved milk inspection service pursuant to Section 32503, Food and Agricultural Code.
(6) Occupational health.
(7) Water oriented recreation.
(8) Safety.
(9) Vector control.
(10) Wastes management.
(11) Water supply.
(12) Additional environmentally related services and programs as required by the County Board of Supervisors, City Council, or Health District Board.
(13) Air sanitation.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1373. Annual Program Plans.
Note     •     History

(a) Each county or district shall submit to the State Department of Health, annually for approval, program plans in each of the categories specified in Section 1371.
(b) The annual program plans shall contain information pertaining to community needs, authority, goals, objectives, activities, personnel, and program evaluation as may be required by the State Department of Health.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
§1375. State Financial Aid.
Note     •     History

County or district eligibility for funds pursuant to Division 1, Part 2, Chapter 8 (commencing with Section 1100) of the Health and Safety Code shall be contingent upon fulfillment by the agency of all environmental health and sanitation requirements imposed upon county or district health departments by state statutes, rules, regulations and orders, and by local ordinances.
NOTE

Authority cited: Sections 208, 1111 and 1155.6, Health and Safety Code. Reference: Sections 1155.5 and 1155.6, Health and Safety Code.
HISTORY

1. New NOTE filed 5-8-84 (Register 84, No. 19).
Subchapter 3. Standards for Maintaining County Health Services
Article 1. Application
§1401. Application of Subchapter.
Note     •     History

Subchapter 3 shall apply to local jurisdictions that elect to apply for State funds under the provisions of Part 4.5 of Division 9 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700 and 16702, Welfare and Institutions Code.
HISTORY

1. New Subchapter 3 (Sections 1401-1463, not consecutive) filed 10-18-78 as an emergency; effective upon filing (Register 78, No. 42).
2. Certificate of Compliance filed 2-6-79 (Register 79, No. 6).
3. Repealer of Subchapter 3 (Sections 1401-1463, not consecutive) and new Subchapter 3 (Sections 1401-1497, not consecutive) filed 8-29-80 as an emergency; designated effective 8-29-80 (Register 80, No. 35). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-29-80.
4. Certificate of Compliance transmitted to OAL 12-5-80 and filed 1-14-81 (Register 81, No. 3).
5. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
6. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1403. Section Headings.
Note

Section headings contained herein shall not be deemed to govern, limit, or modify the provisions of any section.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference: Section 16712, Welfare and Institutions Code.
Article 2. Definitions
§1405. Addendum.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code. Reference: Section 16990, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1407. Agreement.
Note     •     History

“Agreement” means the Standard Agreement for County Health Services entered into and signed by the governing body of each local jurisdiction and the Director of the State Department of Health Services which specifies the conditions under which monies shall be transferred to each local jurisdiction from the County Health Services Fund pursuant to Part 4.5 of Division 9 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700 and 16704(b), Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1409. Allocation.
Note     •     History

NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference cited: Sections 16702 and 16704, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 1409 to Section 1418 filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1411. Annual Local Jurisdiction Budget.
Note     •     History

“Annual Local Jurisdiction Budget” means the official local jurisdiction budget adopted each year by the governing body of the local jurisdiction.
NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16990, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1411.1. Benefits Chart.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending section heading and Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1413. Budget.
Note     •     History

NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference cited: Section 16700, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 1413 to Section 1430.3 filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1415. City Health Services.
Note

“City health services” means public health services, outpatient health services, and inpatient health services provided directly by a city or financed or purchased by a city through grants, contracts, or agreements, but not including services provided pursuant to Division 5, Welfare and Institutions Code, or Division 10.5, Health and Safety Code.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference: Section 16701(c), Welfare and Institutions Code.
§1417. County Health Services.
Note     •     History

“County health services” means public health services, outpatient health services, and inpatient health services provided directly by a local jurisdiction or financed or purchased by a local jurisdiction through grants, contracts, or agreements but not including services provided:
(1) Pursuant to Division 5, Welfare and Institutions Code.
(2) Pursuant to Division 10.5, Health and Safety Code.
(3) In Fiscal Year 1977-78 which are not part of the reported net county costs for Fiscal Year 1977-78.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700 and 16701(a), Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1418. County Health Services Allocation.
Note     •     History

“County Health Services Allocation” means monies disbursed from the County Health Services Fund established pursuant to subdivision (a) of Section 16703, Welfare and Institutions Code, in an amount specified in the Standard Agreement for County Health Services entered into and signed by duly authorized local jurisdiction officials and the Director of Health Services. The “County Health Services Allocation” consists of an amount based on county population, in the case of a county, and may include an amount based on net costs budgeted by a local jurisdiction for the provision of health services.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700, 16702 and 16704, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 1409 to Section 1418 filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1419. County Health Services Fund.
Note     •     History

“County Health Services Fund” means the fund created by Section 16703, subdivision (a), Welfare and Institutions Code, for deposit of monies appropriated for distribution to the local jurisdictions pursuant to Part 4.5 of Division 9 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700 and 16703, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1420.1. County Medical Services Program.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1420.2. County Medical Services Program Account.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709(d), Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1420.3. County Medical Services Program Contract.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1420.4. Declaration of Intent to Enter into Contract.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1420.5. County Medical Services Program Reserve Account.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; and Section 100275, Health and Safety Code. Reference: Section 16709(g), Welfare and Institutions Code.
HISTORY

1. New section filed 4-4-86 effective thirtieth day thereafter (Register 86, No. 14).
2. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1421. Department.
Note

“Department” means the State Department of Health Services.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference cited: Section 16702, Welfare and Institutions Code.
§1422. Director.
Note

“Director” means the Director of the State Department of Health Services.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference cited: Section 16700, Welfare and Institutions Code.
§1422.1. Eligible Contract County.
Note     •     History

“Eligible Contract County” means a county which has requested the transfer of funding pursuant to Section 1157.5 of the Health and Safety Code.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16704, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1422.3. Eligibility Manual.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1423. Expenditures.
Note     •     History

“Expenditures” means funds budgeted or expended to support health program operations and includes:
(1) Health services supplied or provided for through purchase or contract.
(2) Salaries and employee benefits.
(3) Operation and maintenance costs.
(4) Depreciation of facilities owned by a local jurisdiction.
(5) Administrative costs.
(6) Federal Revenue Sharing Funds budgeted or expended for these health activities.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16708, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1425. Fixed Assets, Fixtures, Structures and Improvements.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code. Reference: Section 16708, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1427. Inpatient/Outpatient Services.
Note     •     History

“Inpatient/outpatient services” means those medical care services provided directly by a local jurisdiction or purchased or provided through contracts with other providers which may include but not be limited to:
(1) General acute inpatient hospital services.
(2) Outpatient services administered by hospital staff, non-hospital based county clinics, and community clinics funded by a local jurisdiction.
(3) Skilled nursing facilities.
(4) Licensed home health agencies.
(5) Rehabilitation facility services.
(6) Inpatient/outpatient services for criminal justice inmates.
(7) Ambulance and related emergency services.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700 and 16701(a), Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1428. Local Jurisdiction.
Note     •     History

“Local Jurisdiction” means a county, the San Joaquin Local Health District, a city which has not transferred to the county enforcement authority of applicable health statutes and regulations, or a city which provides public health services pursuant to a contract with a county through an organized health department recognized by the Department.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16700, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1429. Maximum Allocation.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16705, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1430. May, Shall, Should.
Note

“May” means permissible. “Shall” means mandatory. “Should” means desirable.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference: Section 16712, Welfare and Institutions Code.
§1430.1. Medically Indigent Services Account.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16803(b), Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1430.2. Medically Indigent Services Allocation.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16803, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1430.3. Multi-Year Budget.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16990, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 1413 to Section 1430.3 filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1430.4. Multi-Year Plan.
Note     •     History

“Multi-Year Plan” means the County Health Services three-year plan which describes proposed county health services in a format specified by the Department and submitted by a local jurisdiction pursuant to Part 4.5 of Division 9 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16700, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 1433 to Section 1430.4 filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1431. Net City Costs for Health Services.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code. Reference: Section 16801(e), Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1432. Net County Costs for Health Services.
Note

“Net county costs for health services” means expenditures for county health services less revenues received for county health services plus Federal Revenue Sharing funds budgeted or expended for county health services.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference: Section 16701(b), Welfare and Institutions Code.
§1433. Plan.
Note     •     History

NOTE

Authority cited: Section 16712, Welfare and Institutions Code. Reference: Section 16700, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 1433 to Section 1430.4 filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
§1435. Public Health Services.
Note     •     History

“Public health services” means those health promotion, surveillance, and disease prevention services designed to protect the health of the public, population groups, and individuals.
NOTE

Authority cited: Section 16812, Welfare and Institutions Code. Reference: Section 16801, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1437. Reported Net County Costs for Fiscal Year 1977-78.
Note     •     History

“Reported net county costs for Fiscal Year 1977-78” means those net county costs for health services for Fiscal Year 1977-78 which were originally reported to the Department pursuant to Section 20 of Chapter 292 of the Statutes of 1978 or amended pursuant to County Health Services Bulletin #2-1979. These costs are those exact amounts listed below by county except that the amount listed for Alameda County does not include the net costs for Berkeley and the amount listed for San Joaquin County does not include the net costs for the San Joaquin Local Health District:

Alameda	$22,649,584	Orange	$21,552,624
Alpine 	$23,704	Placer 	$812,227
Amador 	$491,123	Plumas 	$115,890
Butte 	$1,179,463	Riverside	$10,248,905
Calaveras 	$35,861	Sacramento 	$9,646,438
Colusa 	$273,457	San Benito 	$80,536
Contra Costa	$11,924,448	San Bernardino 	$7,920,785
Del Norte 	$106,435	San Diego	$10,797,538
El Dorado 	$1,015,867	San Francisco	$40,124,175
Fresno	$11,853,293	San Joaquin 	$3,006,398
Glenn 	$121,505	San Luis Obispo 	$1,889,127
Humboldt 	$1,238,729	San Mateo 	$8,280,966
Imperial	 $1,035,813	Santa Barbara 	$4,647,590
Inyo 	$593,006	Santa Clara	$16,715,698
Kern 	$8,830,127	Santa Cruz 	$2,592,658
Kings 	$718,199	Shasta 	$563,682
Lake 	$64,719	Sierra 	$15,916
Lassen 	$401,705	Siskiyou 	$285,207
Los Angeles 	$177,838,404	Solano 	$1,006,584
Madera 	$311,721	Sonoma 	$1,439,658
Marin 	$1,760,674	Stanislaus 	$4,384,380
Mariposa 	$24,291	Sutter 	$999,607
Mendocino 	$547,607	Tehama 	$474,072
Merced 	$1,301,322	Trinity 	$318,281
Modoc 	$164,312	Tulare 	$2,317,423
Mono 	$424,737	Tuolumne 	$328,064
Monterey 	$4,200,837	Ventura 	$5,803,840
Napa	 $820,398	Yolo 	$1,419,400
Nevada 	$171,556	Yuba 	$334,214
NOTE

Authority cited: Section 16812, Welfare and Institutions Code. Reference: Section 16990, Welfare and Institutions Code. 
HISTORY

1. Change without regulatory effect amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1439. Revenues.
Note     •     History

“Revenues” means income budgeted or received for health services from fees, fines, grants, subventions, and/or monetary aid from government agencies but excluding property taxes, Federal Revenue Sharing, and monies provided pursuant to Part 4.5 of Division 9 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16700, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1440. “Update.”
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16936, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
Article 3. County Health Services Multi--Year Plan and Budget
§1445. Multi-Year Plan and Budget Submission.
History

(a) Beginning in 1983, and each third subsequent year thereafter, the governing body of each county, the Cities of Berkeley, Long Beach, and Pasadena, and the San Joaquin Local Health District shall adopt and shall submit a Multi-Year Plan and Budget to the Director in the form and in accordance with procedures specified in this Article on or before September 15.
(b) Beginning in 1984, and each year thereafter, the governing body of each county, the Cities of Berkeley, Long Beach, and Pasadena, and the San Joaquin Local Health District shall adopt and shall submit an update of its adopted Multi-Year Plan and Budget to the Director in the form and in accordance with procedures specified in this Article on or before September 15.
(c) Copies of the Multi-Year Plan and Budget and Update shall be submitted to the appropriate area health planning agency simultaneously to submission to the Department.
(d) Submission of a Multi-Year Plan and Budget or Update shall not:
(1) Relieve any county of its indigent health care obligation under Section 17000, Welfare and Institutions Code.
(2) Restrict the ability of the State or any interested person or persons to obtain any judicial relief to which there is entitlement. NOTE: Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700 and 16711, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Amendment of Article 3 heading and Section 1445 filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
§1451. Multi-Year Plan and Budget and Update Content.
Note     •     History

(a) The Multi-Year Plan and Budget submitted by each local jurisdiction shall contain but not be limited to a:
(1) Narrative section which provides a description of public health, and inpatient and outpatient services be provided or contracted for by the local jurisdiction.
(2) Budget section which details proposed expenditures, revenues and net county costs for county health services.
(3) Certification section containing signatures necessary for the formal transfer of State and/or Federal monies to the local jurisdiction pursuant to the Multi-Year Plan and Budget.
(b) The Multi-Year Plan and Budget shall include only health programs, services, and administrative support that are part of the reported net county costs for Fiscal Year 1977-78 and may include any new health programs which have been instituted since Fiscal Year 1977-78.
(c) Health programs and associated costs which existed during Fiscal Year 1977-78 and which are not part of the reported net county costs for Fiscal Year 1977-78 shall be excluded from the Multi-Year Plan and Budget, but may be in the Addendum identified in (d).
(d) The Multi-Year Plan and Budget may contain an Addendum which includes narrative descriptions and estimated expenditures, revenues, and net county costs for health services, exclusive of mental health, alcohol, and drug abuse treatment, not reported in the Plan and Budget.
(e) In those counties, except the County of Alameda, where the governing body of a city has not transferred to the county enforcement authority of applicable public health statutes and regulations or where public health services are provided b a city pursuant to a contract with a county, such a county shall, in the Multi-Year Plan and Budget, Update, and Agreement, provide for continuation and funding of such services.
(f) The Multi-Year Plan and Budget shall include only fiscal information which is consistent with the regulations on capital expenditures, depreciation, and administrative overhead as listed below:
(1) Capital expenditures for local jurisdiction structures and fixtures, and improvements to local jurisdiction structures and fixtures shall not be considered allowable costs.
(2) Depreciation for local jurisdiction structures and fixtures, and improvements to local jurisdiction structures and fixtures shall be an allowable expense for purposes of applying for monies pursuant to 1466. Depreciation also shall be an allowable expense for purposes of applying for monies pursuant to 1465(a) only if the:
(A) Reported net county costs for Fiscal Year 1977-78 included depreciation expenses for such local jurisdiction structures and fixtures, or improvements to local jurisdiction structures and fixtures; or,
(B) Reported net county costs for Fiscal Year 1977-78 included capital expenditures for such local jurisdiction structures and fixtures, or improvements to local jurisdiction structures and fixtures; or,
(C) Capital expense was incurred after June 30, 1978 and was for an allowable expense as determined by Department guidelines and regulations.
(3) Expenditures for fixed assets involving inpatient or outpatient health services for persons certified eligible pursuant to Section 17000 of the Welfare and Institutions Code shall be depreciated and all other expenditures for fixed assets may be either expensed or depreciated, but not both.
(4) Administrative overhead shall be listed as a single line item or distributed across all programs, but not both.
(5) The Multi-Year Plan and Budget and Update shall include the Cost Allocation Summary presented annually to the State Controller's Office for the determination of indirect costs for Federal grants and contracts.
(g) The Multi-Year Plan and Budget and Update shall include information pertaining to medical services provided to indigent county residents. Specifically the Plan and Budget and Update shall include but not be limited to:
(1) The eligibility criteria the county uses to determine whether a person is certified as eligible for health services under Section 17000 of the Welfare and Institutions Code.
(2) A description of the county's eligibility process used to determine whether a person is eligible for services under Section 17000 of the Welfare and Institutions Code.
(3) A description of how county residents are notified or informed of the availability of county financed services pursuant to Section 17000 of the Welfare and Institutions Code.
(4) A listing of services or benefits which are provided.
(5) A listing of the location of services and how the county ensures reasonable accessibility of such services.
(6) A description of the county's fee collection policies, fee schedules, procedures and expected revenues for persons covered by Section 17000 of the Welfare and Institutions Code.
(7) An estimate of the Section 17000 target population size and an estimate of the number of persons who will use the services/benefits.
(8) A projection of the estimated costs of serving the medically indigent population under Section 17000 of the Welfare and Institutions Code.
(h) The annual Update of the Multi-Year Plan and Budget submitted by the local jurisdiction shall contain but not be limited to:
(1) The requirements specified in subdivisions (a) through (g), and any other instructions, forms, and guidelines developed by the Department pertaining to the annual Update.
(2) The Update shall not duplicate any of the material in the Multi-Year Plan and Budget.
(3) The Update also shall serve as a progress report evaluating what has been accomplished over the past year and shall provide specific time-limited measurable objectives in relation to each of the elements in the Multi-Year Plan and Budget during the applicable fiscal year.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700, 16709, 16710 and 16711, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Amendment of Subsections (a)(1), (a)(2), (f)(5) and (g) filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
§1457. Plan and Budget Review.
Note     •     History

(a) The Department shall review the County Health Services Multi-Year Plan and Budget or Update submitted by each local jurisdiction to ensure as a minimum that the Multi-Year Plan and Budget or Update:
(1) Have been submitted in accordance with the procedures specified by the Director.
(2) Are in the format and cover the content specified by the Director.
(3) Contain the necessary signatures and certifications as specified by the Director.
(4) Contain budgeted financial data by budget unit as specified in the Annual County Budget and are presented in the format specified by the Department.
(5) Include copies of revenue and appropriations pages from the Annual County Budget for each budget unit listed pursuant to (4). Interim documentation may be submitted until an official Annual County Budget has been printed.
(6) Are in conformance with:
(A) Uniform accounting standards and procedures.
(B) Fiscal policies stated in these regulations.
(C) Guidelines issued by the Department.
(b) Based on the review of the Multi-Year Plan and Budget or Update, the Department may require a local jurisdiction to submit additional data or information in a format specified by the Department.
(1) The data or information shall be requested to augment an incomplete or inaccurate submission.
(2) Any local jurisdiction which does not comply with the request shall be considered as not having submitted a Multi-Year Plan and Budget or Update in conformance with Department guidelines and regulations and shall not receive per capita monies from the County Health Services Fund.
(c) All fiscal information submitted as part of the Multi-Year Budget or Update shall be verifiable and shall be subject to State audit.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16700 and 16704, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
Article 4. Allocations, Agreement, Disbursement, Reporting and Recoupment Procedures
§1465. County Health Services Allocation.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16704 and 16705, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b)(3) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1466. Medically Indigent Services Allocation.
Note     •     History

(a) The Department shall compute each county's Medically Indigent Services Allocation in accordance with Subdivision (d) of Section 16703 of the Welfare and Institutions Code.
(b) A county may apply for all or a portion of its total allocation pursuant to 1473(c). If the County chooses to apply for these funds, it shall be bound by conditions and limitations contained in paragraph (1) of subdivision (c) of Section 16704 of the Welfare and Institutions Code on the use of such funds.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16703(b), 16704(c) and 16709(a), Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1467. Medically Indigent Services Application.
Note     •     History

(a) In order to apply for the Medically Indigent Services Allocation, a county shall submit to the Department an Application adopted by the County Board of Supervisors prior to the disbursement of funds from the Medically Indigent Services Account. The Application shall be in a form and in accordance with procedures specified by the Director and shall contain but not be limited to the following:
(1) Unless a county has contracted with the Department pursuant to Article 6, an assurance by the County that it will incur no less in net costs of county funds for county health services in any fiscal year than the amount required to obtain the maximum allocation as specified in 1465(a).
(2) An assurance by the county that funds allocated pursuant to 1466 shall be expended only for health services included in Sections 14132 and 14021 of the Welfare and Institutions Code for persons certified eligible pursuant to Section 17000 of the Welfare and Institutions Code. A county shall not be bound by utilization control provisions which are specified within Sections 14132 and 14021.
(3) An assurance by the county that funds allocated pursuant to 1466 shall not be expended for costs of services specified in county Short-Doyle plans which are in excess of the 125 percent limitation specified in Section 5705.1 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 16712, Welfare and Institution Code; and Statutes of 1982, Chapter 1594, Section 8(c). Reference: Sections 16704(c) and 16706, Welfare and Institutions Code.
HISTORY

1. New section filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
§1469. Agreement.
Note     •     History

(a) Upon completion of the Departmental review of a local jurisdiction's Multi-Year Plan and Budget or Update, the Department shall issue an Agreement for review and signature by appropriate officials representing the local jurisdiction. The agreement shall include, as appropriate, but shall not be limited to:
(1) The total funds to be allocated to the county based on population as specified in 1465(a)(1).
(2) The total funds to be allocated to the county based on budgeted allowable expenditures, revenues, and net costs as specified in 1465(a)(2).
(3) The total funds to be allocated to an Eligible Contract County solely for public health services as specified in 1465(a)(3).
(4) The total funds to be allocated to the City of Berkeley as specified in 1465 (a)(5).
(5) The total funds to be allocated to the San Joaquin Local Health District solely for public health services as specified in 1465(a)(6).
(6) The net costs of local jurisdiction funds for health services that must be incurred by the local jurisdiction in order to receive the total allocation specified in 1465(a).
(7) The sharing ratio of State funds as specified in (2), (3), (4) and (5) to the local jurisdiction funds as specified in (6). The sharing ratios shall not exceed those specified in 1465(h), as applicable.
(8) An assurance by the local jurisdiction that it agrees to expend local jurisdiction funds for net county costs for county health services in the amounts specified in 1465(c), (d), (e), and (f), as applicable.
(9) An assurance by the local jurisdiction that the health services provided by the Agreement will be in general accordance with the local jurisdiction's Multi-Year Plan and Budget or Update.
(10) An assurance by the local jurisdiction that monies provided by the State under the terms of this Agreement will be used to finance health services as described in the Multi-Year Plan and Budget or Update and for no other purpose.
(11) An assurance by the local jurisdiction that sufficient records, files and documentation will be maintained for State review concerning program activity and expenditures made under this Agreement and will be accessible for a period of at least four years from the expiration of this Agreement, or in the event of a State audit, until the audit has been resolved.
(12) An assurance by the local jurisdiction that access will be provided during normal working hours to authorize representatives of the Department and of other State agencies to all records, files, and documentation related to the Agreement.
(13) An assurance by the local jurisdiction that reports will be provided as required by the Department.
(b) The Agreement shall also include provisions pertaining to medically indigent services funds received pursuant to 1466. The provisions shall include but not be limited to:
(1) The total funds to be allocated to the county based on the allocation specified in 1466.
(2) The net costs for health services that must be incurred by the county in order to receive the allocation specified in 1466.
(3) An assurance by the county that it will incur no less in net costs of county funds for county health services in any fiscal year than the amount required to obtain the maximum allocation specified in 1465.
(4) An assurance by the county that funds allocated pursuant to 1466 shall be expended only for health services included in Sections 14132 and 14021 of the Welfare and Institutions Code for persons certified eligible pursuant to Section 17000 of the Welfare and Institutions Code. A county shall not be bound by utilization control provisions which are specified within Sections 14132 and 14021.
(5) An assurance by the county that funds allocated pursuant to 1466 shall not be expended for costs of services specified in county Short-Doyle plans which are in excess of the 125 percent limitation specified in Section 5705.1 of the Welfare and Institutions Code.
(6) The total funds to be provided by the State as specified in (a) and in (b)(1) above, under the terms of the Agreement.
(c) The Agreement shall constitute a contractual obligation.
(d) A local jurisdiction that has not submitted a signed Agreement to the Department by the end of a current fiscal year shall be subject to recoupment of any funds disbursed pursuant to (b)(1).
(e) A local jurisdiction that does not conform with any or all of the terms of the Agreement may be subject to recoupment of funds disbursed to that local jurisdiction.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16704 and 16706, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1473. Disbursement.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16803, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a)(2) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Amendment filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
5. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1475. Reports.
Note     •     History

(a) For Fiscal Year 1979-80 and annually thereafter, each local jurisdiction shall submit to the Department a report of estimated actual expenditures, revenues, and net county costs for services provided in accordance with the Multi-Year Plan and Budget or Update.
(1) The report shall be submitted in a form and in accordance with procedures specified by the Department.
(2) The report shall be due on November 15 in the year following the fiscal year for which data s being reported.
(b) For Fiscal Year 1979-80 and annually thereafter, each local jurisdiction shall submit to the Department a report of actual expenditures, revenues and net county costs for services provided in accordance with the Multi-Year Plan and Budget or Update.
(1) The report shall be submitted in accordance with the format and procedures as specified by the Department.
(2) The report shall be due on November 15 in the second year following the fiscal year for which data is being reported.
(c) Beginning on November 15, 1981, and annually thereafter each local jurisdiction shall prepare and submit to the Department a report describing health services provided by the local jurisdiction pursuant to Part 5 (commencing with Section 17000) of Division 9 of the Welfare and Institutions Code.
(1) The report shall be submitted in accordance with the procedures and timetable as established by the Department.
(2) The report shall include but not be limited to information covering the following:
(A) Eligibility standards
(B) Services provided
(C) Resources utilized
(D) Fees collected
(E) Target population size
(F) Costs
(d) The Director shall withhold part or all payment of County Health Services Funds to a local jurisdiction, unless the reports specified in (a) through (c) have been received by the Department.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16706 and 16716, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1477. Recoupment.
Note     •     History

(a) For Fiscal Year 1979-80 and annually thereafter, the Department shall review the report specified in 1475(a), which shall serve as the initial basis for the recovery of funds not expended in accordance with the Agreement described in 1469.
(1) The Department:
(A) Shall determine whether or not the county has reported only net costs specifically allowed pursuant to Department guidelines and regulations.
(B) May disallow reported costs that are inaccurate or are not allowable costs for county health services or for health services provided to persons eligible pursuant to Section 17000 of the Welfare and Institutions Code.
(2) The Department shall notify the local jurisdiction in writing of its determinations and allowances made pursuant to (1).
(3) Notification shall be sent to the local jurisdiction's governing body, Auditor-Controller, Administrative Officer, and the Health Agency Director, Health Officer, and Hospital Administrator, as applicable.
(4) The notification for the fiscal year shall list:
(A) Aggregate net county costs specified in the Agreement.
(B) Estimated actual net county costs as reported pursuant to 1475(a).
(C) The difference between the two amounts.
(5) If the estimated actual net county costs are less than the aggregate net county costs specified in the Agreement, the notification shall declare the Department's intent to do one or a combination of the following in order to recoup the State portion of the funds specified in (4)(C):
(A) Adjust subsequent payments to the local jurisdiction from the County Health Services Fund.
(B) Negotiate a repayment plan for the local jurisdiction.
(C) Withhold the appropriate amount from other State funds payable to the local jurisdiction.
(b) For Fiscal Year 1979-80 and annually thereafter, the Department shall review the report specified in 1475(b) which shall serve as the final basis for recoupment of funds not expended in accordance with the Agreement described in 1469, unless the report is modified by actual audit findings officially adopted by the State.
(1) The Department:
(A) Shall determine whether or not the local jurisdiction has reported only net costs specifically allowed pursuant to Department guidelines and regulations.
(B) May disallow reported costs that are inaccurate or are not allowable after verifying the information with the local jurisdiction and notifying them of the proposed disallowance.
(2) The Department shall notify the local jurisdiction in writing of its determinations and disallowances made pursuant to (1) and of any difference between the actual net county costs reported pursuant to 1475(b) and the estimated actual net county costs reported pursuant to 1475(a).
(3) Notification shall be sent to the local jurisdiction's governing body, Auditor-Controller, Administrative Officer, and the Health Agency Director, Health Officer, and Hospital Administrator, as applicable.
(4) The notification for the fiscal year shall list the:
(A) Actual net county costs as reported pursuant to 1475(b).
(B) Estimated actual net county costs as reported pursuant to 1475(a).
(C) Difference between the two amounts.
(5) If the actual net county costs are less than the estimated actual net county costs the notification shall declare the Department's intent to do one or a combination of the following in order to recoup the State portion of the funds specified in (4)(c):
(A) Adjust subsequent payments to the local jurisdiction from the County Health Services Fund.
(B) Negotiate a repayment plan for the local jurisdiction.
(C) Withhold the appropriate amount from other State funds payable to the local jurisdiction.
(c) The governing body of the local jurisdiction shall have twenty-one (21) working days, following receipt of notification pursuant to (a)(2) or (b)(2) to appeal the Department's decision. The appeal shall be in accordance with the format and procedures specified by the Department.
(d) The Department may adjust the monthly payments made to a county pursuant to an Agreement as specified in 1469(b) if the county fails to expend such funds as specified in the Agreement.
(e) The Department shall recover any unexpended funds disbursed to county as specified in 1473(b) for medically indigent services in accordance with the procedures specified in the Agreement.
(f) The Department shall recover any funds not expended pursuant to 1469(b) in accordance with the procedures specified in the Agreement.
NOTE

Authority cited: Section 16712, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16706, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (d)(B) and (e) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
§1481. Special Needs and Priorities.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16707, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Amendment filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
4. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
Article 5. Public Hearing Procedures
§1485. Purpose.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16705 and 16705.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1486. Conditions.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16705 and 16705.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1487. Scheduling.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16705 and 16705.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1489. Notification.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16705 and 16705.5, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (a)(1) and (a)(2) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1491. Conduct.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16705 and 16705.5, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (b) and (d) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1493. Findings.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16705, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1495. Transmittal.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16705 and 16705.5, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (a) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
§1497. Determinations.
Note     •     History

NOTE

Authority cited: Section 16812, Welfare and Institutions Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16705 and 16705.5, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (b) and (c) and new subsection (f) filed 5-21-81; effective thirtieth day thereafter (Register 81, No. 21).
2. Amendment filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
3. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
4. Change without regulatory effect repealing section and amending Note filed 10-13-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 42).
Article 6. County Medical Services Program
§1498. County Medical Services Program.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. New Article 6 (Sections 1498-1498.9) filed 12-31-82 as an emergency; effective upon filing (Register 83, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-30-83.
2. Certificate of Compliance including amendments and editorial corrections transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
3. Amendment of subsection (f) filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
4. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.1. Declaration of Intent to Contract.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16703 and 16709, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Amendment of subsections (a) and (c) filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.2. Small County Advisory Committee.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.3. Contract.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16704 and 16709, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (a)(1) and NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Amendment of subsections (c), (d) and (e) filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.4. Eligibility.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 159, Section 87(c). Reference: Sections 16703, 16706 and 16709, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Amendment of subsections (b), (d), (e) and (f) filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.5. Benefits.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.6. Administration.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16709 and 16717, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.7. Fiscal.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16703 and 16709, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Amendment filed 4-4-86; effective thirtieth day thereafter (Register 86, No. 14).
3. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.8. Liabilities.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Section 16709, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including editorial correction of NOTE transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24).
2. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
§1498.9. Reporting.
Note     •     History

NOTE

Authority cited: Section 10725, Welfare and Institutions Code; Section 100275, Health and Safety Code; and Statutes of 1982, Chapter 1594, Section 87(c). Reference: Sections 16709 and 16716, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 4-29-83 and filed 6-9-83 (Register 83, No. 24)
2. Change without regulatory effect repealing section and amending Note filed 9-7-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 36).
Chapter 3.1. Indian Health
Article 1. Definitions
§1500. Indian.
Note     •     History

“Indian” means any person who is:
(a) Identified as an Indian on the rolls maintained by the Bureau of Indian Affairs,
(b) Identified as an Indian on the rolls maintained by an Indian tribe, band, or other organized group of Indians, in any state,
(c) A descendant in the first or second degree of any person identified at any time on a roll referred to in subsection (a) or (b),
(d) Declared to be a member of a tribe or a descendant in the first or second degree of a member of a tribe by the tribal council of his or her tribe, or
(e) A descendant in any degree from a member of a tribe which has been declared to be terminated by the United States government. However, any person qualifying under this subsection must be at least one quarter Indian blood.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Sections 429.30, 429.31 and 429.32, Article 14, Chapter 2, Part 1, Division 1, Health and Safety Code.
HISTORY

1. New Chapter 3.1, Articles 1-4 (Sections 1500-1541, not consecutive) filed 4-1-76 as an emergency; effective upon filing (Register 76, No. 14).
2. Certificate of Compliance filed 7-14-6 (Register 76, No. 29).
§1501. Indian Tribe.

“Indian Tribe” means any Indian tribe, band, nation or other organized group or community, which is determined to be eligible for the special programs and services provided by the United States or State of California, to Indians because of their status as Indians.
§1502. Existing Indian Health Programs.

“Existing Indian Health Programs” means any program which provided, as of September 8, 1975, direct health services as defined in Section 1503 under the supervision of a licensed physician and surgeon, dentist, optometrist, or nurse.
§1503. Direct Health Services.

“Direct Health Services” means one or more of the following services provided under the supervision of a licensed provider of health services acting within the scope of his or her license:
(a) Primary health care consisting of diagnostic, treatment and health maintenance services.
(b) Outreach, education, referral, follow-up services and assistance to the individual in obtaining services from other agencies to which he is entitled (health advocacy).
(c) Specialized health services as listed below:
(1) Screening and disease detection services.
(2) Alcohol and drug abuse detoxification services.
(3) Dental health services.
(4) Services leading to the prevention of vision and hearing loss and the restoration of vision and hearing.
(5) Family planning services.
(6) Maternal and child health services.
(7) Medical care of chronic conditions.
§1504. Licensed Provider of Health Services.

“Licensed Provider of Health Services” for the purposes of Section 1503 means:
(a) A provider practicing in California licensed by the appropriate healing arts board.
(b) An individual employed by the Federal government in the practice of the healing arts on tribal lands.
§1505. Department.
Note     •     History

“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 208 and 1182.2(d), Health and Safety Code. Reference: Section 1182.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-7-84 (Register 84, No. 49.
§1506. Director.
Note     •     History

“Director” means the Director of the State Department of Health Services.
NOTE

Authority cited: Sections 208 and 1182.2(d), Health and Safety Code. Reference: Section 1182.2, Health and Safety Code.
HISTORY

1. Editorial correction filed 12-7-84 (Register 84, No. 49).
§1507. Indian Medicine and Traditional Health Practices.
Note     •     History

“Indian Medicine and Traditional Health Practices” means traditional practices of Indian medicine which are native to an Indian community, which are accepted by that Indian community as handed down through the generations and which can be established through the collective knowledge of the elders of that Indian community.
NOTE

Authority cited: Sections 208 and 1182.2(d), Health and Safety Code. Reference: Section 1182.2, Health and Safety Code.
HISTORY

1. New NOTE filed 12-7-84 (Register 84, No. 49).
Article 2. Indian Health Policy Panel
§1520. Indian Health Policy Panel.

An Indian Health Policy Panel established by the Director shall advise the Director regarding policy for Indian health.
§1521. Panel Membership.

Panel membership shall consist of four representatives of the California Rural Indian Health Board, four representatives of the California Urban Indian Health Council, and two individuals appointed by the Director. The representatives of the California Urban Indian Health Council and the California Rural Indian Health Board shall be appointed by the Council and the Board.
Article 3. Assistance to Indian Health Programs
§1530. Financial Assistance to Indian Health Programs.

Monies available under Chapter 606, Statutes of 1975, and any funds available to carry out provisions of Article 14 (commencing with Section 429.30) of Chapter 2 of Part 1 of Division 1 of the Health and Safety Code shall be allotted for the following purposes: 
(a) Direct health services as defined under Section 1503 of these regulations.
(b) Technical assistance by individuals experienced in the delivery of health services including, but not limited to, health professionals, economists, sociologists, accountants, legal advisors, midwives (to the extent otherwise permitted by law), and other experts in Indian medicine and traditional health practices. Technical assistance may be provided by State staff, by consultants under contract with the State, or through contracts with local public and voluntary health organizations or existing Indian health programs.
(c) Training for health workers in Indian programs provided in the following manner:
(1) On the job training using workers in the program or individuals from other projects or agencies as instructors.
(2) Short term training sponsored by an educational facility not to exceed two weeks duration at any one time or one day per week over a three-month period.
(3) Tuition for the course work required by a staff member for the A.A., B.A. degree or advanced degree.
(d) Studies concerning the health needs, resources and practices of California Indians. Special emphasis shall be placed on the area of Indian medicine and traditional health practices.
§1531. Allocation of Financial Assistance to Indian Health Programs.

(a) Funds shall be allocated for health services which are supplemental to those available from the Federal or State government. State funds available for the purposes of the Indian Health Service Program (Article 14 (commencing with Section 429.30) of Chapter 2 of Part 1 of Division 1 of the Health and Safety Code) shall not duplicate or replace any commitment made by the Federal government.
(b) No funds shall be provided from those appropriated for the purposes of the Indian Health Service Program for types of services for which Indians are eligible under other programs and for which other funds are available, including but not limited to the following types of services:
(1) Family planning.
(2) Supplemental Feeding for Women, Infants and Children (WIC).
(3) Alcoholism or substance abuse services.
(4) Hospitalization other than for emergency services, if an individual is eligible for medical care under Title XVIII or XIX of the Federal Social Security Act, under the Workmen's Compensation Statutes of California, from the Veteran's Administration or other similar programs or when a public health service hospital is accessible or if an individual has private health insurance.
(5) Maternal and Child Health.
(6) Crippled Childrens Services.
(7) Community Mental Health Services Program (Short-Doyle).
(8) Developmental Disability Program (Regional Centers).
§1532. Allocation Formula.

(a) In the determination of the allocation of State funds the following factors shall be considered:
(1) Need as demonstrated by:
(A) The number of individuals to be served.
(B) The availability of other resources in the service area.
(C) The accessibility of resources in the service area.
(D) Higher costs of providing health services in the areas served. 
(2) The ability of the proposed program to meet that need, as determined by:
(A) Adequate personal services.
(B) Sufficient operating expenses.
(3) Compliance with statewide plan for Indian health services and existing priorities for services.
(4) Compliance with local Indian health plan.
(5) The demonstrated ability of the Indian health program to carry out the proposed services.
§1533. Reimbursement for Service.

(a) The programs shall maximize utilization of reimbursement from third-party payors.
(b) Where an Indian is eligible for health benefits from third-party payors and the service is provided by an existing Indian health program, the revenue collected from third-party payors shall be used to increase the services offered by the program.
§1534. To Qualify for Funding.
Note     •     History

(a) To qualify for funding an existing Indian health program shall be administered by a nonprofit corporation organized under the laws of this State or by an Indian tribe as defined in Section 1501. The board of directors or trustees of such corporation shall be composed of a majority of Indians as defined in Section 1500.
NOTE

Authority cited: Sections 208 and 1182.2(d), Health and Safety Code. Reference: Sections 1182 and 1182.2, Health and Safety Code.
HISTORY

1. New NOTE filed 12-7-84 (Register 84, No. 49).
§1535. Criteria for Reimbursement of Direct Services.

(a) Salaries, travel expenses, and per diem rates for employees of existing Indian health programs shall be no greater than the rate set for State employees in like circumstances. Exceptions shall be granted only when no provider of services is available to the program at the rate set for State employees.
(b) Rates for reimbursement of services provided on a fee-for-service basis shall be no greater than the prevailing rates in the community in which the provider of services offers services.
Article 4. Standards of Service
§1540. Confidentiality of Information.

(a) All patient files and information maintained or possessed by an existing Indian health program shall be treated as privileged communication, shall be held confidential, and shall not be divulged without the written consent of the individual or his personal representative, (or the parent or guardian, in the case of a minor), except as may be necessary to provide emergency services to the individual, to file a claim for benefits on behalf of the individual, or as required by the Department to administer this program. Information may be disclosed in summary, statistical, or other form which does not identify the particular individual.
(b) Services shall be provided in a manner that respects the privacy and dignity of the individual.
§1541. Informed Consent.

(a) No individual shall be denied benefits available under the Indian Health Service Program for failure to accept any form of offered treatment. In the case of any medical treatment offered or given to an individual under the Indian Health Services Program, a signed consent form shall be obtained indicating that the individual has been informed of all known risks, benefits, and alternatives to the proposed treatment. This requirement may be waived in the case of emergencies. In the case of minors, the consent form shall be signed by the parent or guardian.
Chapter 3.5. Joint Regulations for Handicapped Children
Subchapter 1. Interagency Responsibilities for Providing Services to Handicapped Children
§2000. Joint Regulations for Handicapped Children.
History

CROSS-REFERENCE: See Title 2, Division 9, Chapter 1, Articles 1-9, Sections 60000-60610, not consecutive.
HISTORY

1. New Chapter 3.5 (Subchapter 1, Section 2000) printed as cross-reference only (Register 86, No. 21).
Chapter 4. Preventive Medical Service

(Originally Printed 8-15-45)
Subchapter 1. Reportable Diseases and Conditions
Article 1. Reporting
§2500. Reporting to the Local Health Authority.
Note     •     History

(a) The following definitions shall govern the interpretation of this Subchapter.
(1) `CDC' means the Centers for Disease Control and Prevention, United States Department of Health and Human Services.
(2) `CSTE' means the Council of State and Territorial Epidemiologists.
(3) `MMWR' means the Morbidity and Mortality Weekly Report.
(4) `Case' means (A) a person who has been diagnosed by a health care provider, who is lawfully authorized to diagnose, using clinical judgment or laboratory evidence, to have a particular disease or condition listed in subsection (j); or (B) a person who meets the definition of a case in Section 2564 - Diarrhea of the Newborn, Section 2574 - Food Poisoning, Section 2612 Salmonella Infections (Other than Typhoid Fever), Section 2628 - Typhoid Fever, or Section 2636 - Venereal Disease; or (C) a person who is considered a case of a disease or condition that satisfies the most recent communicable disease surveillance case definitions established by the CDC and published in the Morbidity and Mortality Weekly Report (MMWR) or its supplements; or (D) an animal that has been determined, by a person authorized to do so, to have rabies or plague. 
(5) `Clinical signs' means the objective evidence of disease.
(6) `Clinical symptoms' means the subjective sensation of disease felt by the patient.
(7) `Communicable disease' means an illness due to a specific microbiological or parasitic agent or its toxic products which arises through transmission of that agent or its products from an infected person, animal, or inanimate reservoir to a susceptible host, either directly or indirectly through an intermediate plant or animal host, vector, or the inanimate environment.
(8) `Director' means State Director of Public Health.
(9) `Drug susceptibility testing' means the process where at least one isolate from a culture of a patient's specimen is subjected to antimicrobial testing to determine if growth is inhibited by drugs commonly used to treat such infections.
(10) `Epidemiological risk factors' means those attributes, behaviors, exposures, or other factors that alter the probability of disease.
(11) `Epidemiologically linked case' means a case in which the patient has/has had contact with one or more persons who have/had the disease, and transmission of the agent by the usual modes of transmission is plausible.
(12) `Foodborne disease' means illness suspected by a health care provider to have resulted from consuming a contaminated food.
(13) `Foodborne disease outbreak' means an incident in which two or more persons experience a similar illness after ingestion of a common food, and epidemiologic analysis implicates the food as the source of the illness. There are two exceptions: even one case of botulism or chemical poisoning constitutes an outbreak if laboratory studies identify the causative agent in the food.
(14) `Health care provider' means a physician and surgeon, a veterinarian, a podiatrist, a nurse practitioner, a physician assistant, a registered nurse, a nurse midwife, a school nurse, an infection control practitioner, a medical examiner, a coroner, or a dentist.
(15) `Health officer' and `local health officer' as used in this subchapter includes county, city, and district health officers.
(16) `In attendance' means the existence of the relationship whereby a health care provider renders those services which are authorized by the health care provider's licensure or certification.
(17) `Infection control practitioner' means any person designated by a hospital, nursing home, clinic, or other health care facility as having responsibilities which include the detection, reporting, control and prevention of infections within the institution.
(18) `Laboratory findings' means (A) the results of a laboratory examination of any specimen derived from the human body which yields microscopical, cultural, immunological, serological, or other evidence suggestive of a disease or condition made reportable by these regulations; or (B) the results of a laboratory examination of any specimen derived from an animal which yields evidence of rabies or plague.
(19) `Multidrug-resistant Mycobacterium tuberculosis' means a laboratory culture or subculture of Mycobacterium tuberculosis which is determined by antimicrobial susceptibility testing to be resistant to at least isoniazid and rifampin.
(20) `Outbreak' means the occurrence of cases of a disease (illness) above the expected or baseline level, usually over a given period of time, in a geographic area or facility, or in a specific population group. The number of cases indicating the presence of an outbreak will vary according to the disease agent, size and type of population exposed, previous exposure to the agent, and the time and place of occurrence. Thus, the designation of an outbreak is relative to the usual frequency of the disease in the same facility or community, among the specified population, over a comparable period of time. A single case of a communicable disease long absent from a population or the first invasion by a disease not previously recognized requires immediate reporting and epidemiologic investigation.
(21) `Personal information' means any information that identifies or describes a person, including, but not limited to, his or her name, social security number, date of birth, physical description, home address, home telephone number, and medical or employment history.
(22) `Sexually Transmitted Diseases' means Chancroid, Lymphogranuloma Venereum, Granuloma Inguinale, Syphilis, Gonorrhea, Chlamydia, Pelvic Inflammatory Disease, and Nongonococcal Urethritis.
(23) `Suspected case' means (A) a person whom a health care provider believes, after weighing signs, symptoms, and/or laboratory evidence, to probably have a particular disease or condition listed in subsection (j); or (B) a person who is considered a probable case, or an epidemiologically-linked case, or who has supportive laboratory findings under the most recent communicable disease surveillance case definition established by CDC and published in the Morbidity and Mortality Weekly Report (MMWR) or its supplements; or (C) an animal which has been determined by a veterinarian to exhibit clinical signs or which has laboratory findings suggestive of rabies or plague.
(24) `Unusual disease' means a rare disease or a newly apparent or emerging disease or syndrome of uncertain etiology which a health care provider has reason to believe could possibly be caused by a transmissible infectious agent or microbial toxin.
(25) [Repealed]
(26) `Waterborne disease outbreak' means an incident in which two or more persons experienced a similar illness after consumption or use of the same water intended for drinking or after water contact such as by immersion, and epidemiologic investigation by public health authorities implicates the same water as the source of the waterborne illness. There is one exception: a single case of waterborne chemical poisoning constitutes an outbreak if laboratory studies indicate that the source water is contaminated by the chemical.
(b) It shall be the duty of every health care provider, knowing of or in attendance on a case or suspected case of any of the diseases or conditions listed in subsection (j) of this section, to report to the local health officer for the jurisdiction where the patient resides as required in subsection (h) of this section. Where no health care provider is in attendance, any individual having knowledge of a person who is suspected to be suffering from one of the diseases or conditions listed in subsection (j) of this section may make such a report to the local health officer for the jurisdiction where the patient resides.
(c) The administrator of each health facility, clinic or other setting where more than one health care provider may know of a case, a suspected case or an outbreak of disease within the facility shall establish and be responsible for administrative procedures to assure that reports are made to the local health officer.
(d) Each report made pursuant to subsection (b) shall include all of the following information if known:
(1) name of the disease or condition being reported; the date of onset;  the date of diagnosis; the name, address, telephone number, occupation, race/ethnic group, Social Security number, sex, age, and date of birth for the case or suspected case; the date of death if death has occurred; and the name, address and telephone number of the person making the report.
(2) If the disease reported pursuant to subsection (b) is hepatitis, a sexually transmitted disease or tuberculosis, then the report shall include the following applicable information, if known: (A) hepatitis information as to the type of hepatitis, type-specific laboratory findings, and sources of exposure, (B) sexually transmitted disease information as to the specific causative agent, syphilis-specific laboratory findings, and any complications of gonorrhea or chlamydia infections, or (C) tuberculosis information on the diagnostic status of the case or suspected case, bacteriologic, radiologic and tuberculin skin test findings, information regarding the risk of transmission of the disease to other persons, and a list of the anti-tuberculosis medications administered to the patient.
(e) Confidential Morbidity Report forms, are available from the local health department for reporting as required by this section.
(f) Information reported pursuant to this section is acquired in confidence and shall not be disclosed by the local health officer except as authorized by these regulations, as required by state or federal law, or with the written consent of the individual to whom the information pertains or the legal representative of the individual.
(g) Upon the State Department of Public Health's request, a local health department shall provide to the Department the information reported pursuant to this section. Absent the individual's written consent, no information that would directly or indirectly identify the case or suspected case as an individual who has applied for or been given services for alcohol or other drug abuse by a federally assisted drug or alcohol abuse treatment program (as defined in federal law at 42 C.F.R. Section 2.11) shall be included.
(h) The urgency of reporting is identified by symbols in the list of diseases and conditions in subsection (j) of this section. Those diseases with a diamond (t) are considered emergencies and shall be reported immediately by telephone. Those diseases and conditions with a cross (+) shall be reported by mailing, telephoning or electronically transmitting a report within one (1) working day of identification of the case or suspected case. Those diseases and conditions not otherwise identified by a diamond or a cross shall be reported by mailing a written report, telephoning, or electronically transmitting a report within seven (7) calendar days of the time of identification.
(i) For foodborne disease, the bullet (·) symbol indicates that, when two (2) or more cases or suspected cases of foodborne disease from separate households are suspected to have the same source of illness, they shall be reported immediately by telephone.
(j) Health care providers shall submit reports for the following diseases or conditions.

View Graphic
NOTE

Authority cited: Sections 120130, 131050, 131051, 131052, 131080 and 131200, Health and Safety Code. Reference: Sections 1603.1, 100325, 103925, 113150, 113155, 120125, 120130, 120140, 120175, 120245, 120250, 131050, 131051 and 131080, Health and Safety Code; Sections 551, 554 and 555, Business and Professions Code; Section 1798.3, Civil Code; 42 C.F.R. Sections 2.11 and 2.12; Cal. Const., art. 1, Section 1; and Section 1040, Evidence Code.
HISTORY

1. Originally published 8-15-1945 (Title 17).
2. Amendment filed 12-22-69; effective thirtieth day thereafter (Register 69, No. 52). For prior history, see Register 66, No. 39.
3. Amendment filed 12-14-79; effective thirtieth day thereafter (Register 79, No. 50).
4. Amendment of subsection (a) and new subsections (b)-(h) filed 3-30-89; operative 3-30-89 (Register 89, No. 14).
5. Editorial correction of HISTORY No. 4 printing error (Register 89, No. 23).
6. Editorial correction of subsection (g)(1) printing error (Register 90, No. 4).
7. Editorial correction of printing errors in subsection (g) (Register 91, No. 46).
8. Amendment of section and Note filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
9. Amendment of section and Note, including amendment of subsection (j)(1) “Diphtheria”, refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-1-95 order, including amendment of section, transmitted to OAL 12-19-95 and filed 2-2-96 (Register 96, No. 5).
11. Editorial correction of subsections (j)(1) and (j)(2) (Register 97, No. 12).
12. Amendment of subsection (j), repealer of subsection (j)(1) designator and  initial text, repealer of subsection (j)(2) and amendment of Note filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
13. Editorial correction restoring inadvertently deleted footnote (Register 2000, No. 33).
14. Amendment of subsection (j) and amendment of Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (j) and amendment of Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 3-1-2002 order, including amendment of Note, transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29). 
17. Amendment of subsection (j) filed 6-30-2005; operative 6-30-2005. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2005, No. 32).
18. Amendment of subsection (j) filed 10-26-2006; operative 10-26-2006. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130(a) and (d) (Register 2006, No. 43).
19. Amendment of subsection (j) filed 6-12-2007; operative 6-12-2007. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2007, No. 31).
20. Amendment of subsection (j) filed 7-30-2007; operative 7-30-2007. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2007, No. 31).
21. Amendment of subsections (a)(8), (g) and (j) and amendment of Note filed 2-13-2008; operative 2-13-2008. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130(a) and (d) (Register 2008, No. 7).
22. Amendment of subsection (j) and Note filed 9-22-2009; operative 9-22-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130(a) and (d) (Register 2009, No. 39).
23. Repealer of subsection (a)(25) and amendment of subsections (e) and (j) filed 6-30-2011; operative 6-30-2011. Submitted to OAL for printing only pursuant to Health and Safety Code sections 120130(a) and 120130(d) (Register 2011, No. 26).
§2501. Investigation of a Reported Case, Unusual Disease, or Outbreak of Disease.
Note     •     History

(a) Upon receiving a report made pursuant to Section 2500 or 2505, the local health officer shall take whatever steps deemed necessary for the investigation and control of the disease, condition or outbreak reported. If the health officer finds that the nature of the disease and the circumstances of the case, unusual disease, or outbreak warrant such action, the health officer shall make or cause to be made an examination of any person who or animal which has been reported pursuant to Sections 2500 or 2505 in order to verify the diagnosis, or the existence of an unusual disease, or outbreak, make an investigation to determine the source of infection, and take appropriate steps to prevent or control the spread of the disease. Whenever requested to do so by the Department, the health officer shall conduct a special morbidity and mortality study under Health and Safety Code Section 211 for any of the diseases made reportable by these regulations.
(b) If a disease is one in which the local health officer determines identification of the source of infection is important, and the source of infection is believed to be outside the local jurisdiction, the health officer shall notify the Director or the health officer under whose jurisdiction the infection was probably contracted if known. Similar notification shall be given if there are believed to be exposed persons, living outside the jurisdiction of the health officer, who should be quarantined or evaluated for evidence of the disease.
NOTE

Authority cited: Sections 207, 208 and 3123, Health and Safety Code; and Section 555(b), Business and Professions Code. Reference: Sections 7, 200, 207, 211, 211.5, 304.5, 410, 1603.1, 3051, 3053, 3110, 3122, 3123, 3124, 3125, 3131 and 3132, Health and Safety Code; Sections 551, 554 and 555, Business and Professions Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment filed 3-30-89; operative 3-30-89 (Register 89, No. 14).
3. Amendment of section and Note, including renumbering and amendment of former section 2512 to subsection 2501(b)(1)-(2), filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-1-95 order, including repealer and new section heading, and amendment of section and Note transmitted to OAL 12-19-95 and filed 2-2-96 (Register 96, No. 5).
§2502. Reports by Local Health Officer to State Department of Public Health.
Note     •     History

(a) Summary Reports: Each local health officer shall report at least weekly, on the Weekly Morbidity by Place of Report form to the Director the number of cases of those diseases, conditions, unusual diseases or outbreaks of disease reported pursuant to Section 2500. Copies of the form are available from the Department's Division of Communicable Disease Control.
(b) Individual Case and Outbreak Reports: For the diseases listed below, the local health officer shall prepare and send to the Department along with the summary report described in (a) above an individual case or outbreak report for each individual case/outbreak of those diseases which the Department has identified as requiring epidemiological analysis reported pursuant to Section 2500. At the discretion of the Director, the required individual case/outbreak report may be either a Confidential Morbidity Report, its electronic equivalent or a hard copy 8.5x11 inch individual case/outbreak report form. The Weekly Morbidity by Place of Report form indicates which format to use. Each individual case report shall include the following: (1) verification of information reported pursuant to Section 2500; (2) information on the probable source of infection, if known; (3) laboratory or radiologic findings, if any; (4) clinical signs and/or symptoms, if applicable; and (5) any known epidemiological risk factors. The Department or CDC has prepared forms that may be used for many of the diseases requiring individual case reports. Copies of these case report forms are available from the Department's Division of Communicable Disease Control. An individual case report is required for the following diseases:
Acquired Immune Deficiency Syndrome (AIDS) 
Anthrax, human
Botulism (Infant, Foodborne, Wound, Other) 
Brucellosis, human
Chickenpox (Varicella) deaths (separate reporting form required)
Chickenpox (Varicella) hospitalizations (separate reporting form 
  required)
Cholera 
Creutzfeldt-Jakob Disease (CJD) and other Transmissible Spongiform Encephalopathies (TSE)
Cyclosporiasis
Cysticercosis
Diphtheria 
Escherichia coli: shiga toxin producing (STEC) including
  E. coli O157
Foodborne Disease Outbreak
Haemophilus influenzae, Invasive Disease 
Hantavirus Infections 
Hemolytic Uremic Syndrome
Hepatitis A, acute infection
Hepatitis B, acute only
Hepatitis C, acute only
Hepatitis D (Delta), acute infection
Hepatitis E, acute infection
Influenza, deaths in laboratory-confirmed cases for ages 0-64 years
Influenza, novel strains (human)
Legionellosis 
Leprosy (Hansen Disease)
Leptospirosis
Listeriosis 
Lyme Disease 
Malaria 
Measles (Rubeola) 
Meningococcal Infections 
Outbreak of Disease Report
Pelvic Inflammatory Disease 
Pertussis (Whooping Cough)
Plague, human
Poliovirus Infection
Psittacosis
Q Fever
Rabies, human or animal (separate reporting forms required for 
  human and animal cases)
Relapsing Fever 
Rickettsial Diseases (non-Rocky Mountain Spotted Fever), including   Typhus and Typhus-like Illnesses)
Rocky Mountain Spotted Fever 
Rubella (German Measles) (a separate form is used for Congenital   Rubella)
Severe Acute Respiratory Infection (SARS) 
Shiga toxin (detected in feces)
Smallpox 
Staphylococcus aureus infection (only a case resulting in death or admission to an intensive care unit of a person who has not been hospitalized or had surgery, dialysis, or residency in a long-term care facility in the past year, and did not have an indwelling catheter or percutaneous medical device at the time of culture.)
Streptococcal Outbreaks and Individual Cases in Food Handlers and   Dairy Workers Only
Syphilis
Tetanus
Toxic Shock Syndrome 
Trichinosis
Tuberculosis
Tularemia, human
Typhoid Fever, Cases and Carriers (separate reporting forms required   for cases and carriers)
Unusual Disease Report
Vibrio Infections 
Viral Hemorrhagic Fevers, human (e.g., Crimean-Congo, Ebola,   Lassa and Marburg viruses)
Waterborne Disease Outbreak
West Nile virus infection, acute 
Yellow Fever
(c) Immediate Reports: Cases and suspect cases of anthrax (human or animal), botulism, brucellosis (human only), cholera, dengue, diphtheria, measles (rubeola), plague (human or animal), rabies (human only), smallpox (variola), tularemia (human only), varicella deaths, viral hemorrhagic fevers (human or animal), yellow fever, occurrence of any unusual diseases, and outbreaks of any disease are to be reported by the local health officer to the Director immediately by telephone.
(d) Upon request of the Department, the local health officer shall submit an individual case report for any disease not listed in subsection (b) above.
(e) During any special morbidity and mortality study requested under Section 2501, the local health officer shall be the Director's agent for purposes of carrying out the powers conferred under Government Code Section 11181.
(f) Confidentiality. Information reported pursuant to this section is acquired in confidence and shall not be disclosed by the local health officer except as authorized by these regulations, as required by state or federal law, or with the written consent of the individual to whom the information pertains or to the legal representative of that individual.
(1) A health officer shall disclose any information, including personal information, contained in an individual case report to state, federal or local public health officials in order to determine the existence of a disease, its likely cause or the measures necessary to stop its spread.
(2) A health officer may for purposes of his or her investigation disclose any information contained in an individual case report, including personal information, as may be necessary to prevent the spread of disease or occurrence of additional cases.
(3) A health officer may disclose any information contained in an individual case report to any person or entity if the disclosure may occur without linking the information disclosed to the individual to whom it pertains, and the purpose of the disclosure is to increase understanding of disease patterns, to develop prevention and control programs, to communicate new knowledge about a disease to the community, or for research.
(4) Notwithstanding subsections (1), (2), and (3) above, no information that would directly or indirectly identify an individual as one who has applied for or been given services for alcohol or other drug abuse by a federally assisted drug or alcohol abuse treatment program (as defined in 42 C.F.R. § 2.11) shall be included in an individual case report or otherwise disclosed absent the individual's written consent.
(g) Whenever the health officer collects personal information in order to prepare an individual case report required by subsection (b), the health officer shall notify the individual from whom the information is collected that: (1) supplying personal information related to the individual's disease is mandatory; (2) the only disclosure of personal information will be pursuant to subsections 2502(f(1) and 2502(f)(2); and (3) non-personal information may be disclosed pursuant to subsection 2502(f)(3).
NOTE

Authority cited: Sections 120130, 131050, 131051, 131052, 131080 and 131200, Health and Safety Code; and Section 555(b), Business and Professions Code. Reference: Sections 7, 1603.1, 100325, 100330, 103925, 113150, 113155, 120125, 120130, 120140, 120145, 120175, 120190, 120245, 120250, 131050, 131051 and 131080, Health and Safety Code; and Sections 551, 554 and 555, Business and Professions Code; Section 1798.3, Civil Code; Sections 11181 and 11182, Government Code; 42 C.F.R. Sections 2.11 and 2.12; Cal. Const., art. 1, Section 1; and Section 1040, Evidence Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment filed 3-30-89; operative 3-30-89 (Register 89, No. 14).
3. Amendment filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-1-95 order, including repealer and new section heading, section and Note transmitted to OAL 12-19-95 and filed 2-2-96 (Register 96, No. 5).
6. Editorial correction of subsection (c) (Register 97, No. 12).
7. Amendment of subsections (b)-(c) and amendment of Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (b)-(c) and amendment of Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
10. Amendment of subsection (b) filed 6-30-2005; operative 6-30-2005. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2005, No. 32).
11. Amendment of subsection (b) 6-12-2007; operative 6-12-2007. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2007, No. 31).
12. Amendment of subsection (b) filed 7-30-2007; operative 7-30-2007. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2007, No. 31).
13. Amendment of section heading, subsection (b) and Note filed 2-13-2008; operative 2-13-2008. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130(a) and (d) (Register 2008, No. 7).
14. Amendment of subsection (b) and Note filed 9-22-2009; operative 9-22-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130(a) and (d) (Register 2009, No. 39).
15. Amendment of subsections (a) and (b) filed 6-30-2011; operative 6-30-2011. Submitted to OAL for printing only pursuant to Health and Safety Code sections 120130(a) and 120130(d) (Register 2011, No. 26).
§2503. Reporting Occurrence of Unusual Diseases. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 207, 208 and 3123, Health and Safety Code. Reference: Sections 200, 207, 3053, 3110, 3123, 3124 and 3125, Health and Safety Code.
HISTORY

1. New section filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment filed 3-30-89; operative 3-30-89 (Register 89, No. 14).
3. Amendment of section heading and section filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 5-1-95 order, including repealer of section transmitted to OAL 12-19-95 and filed 2-2-96 (Register 96, No. 5).
§2504. Report by Health Care Provider of Out-of-State Laboratory Findings.
Note     •     History

Whenever a health care provider's identification of a case or suspected case of tuberculosis includes laboratory findings from an out-of-state laboratory, the health care provider shall include those findings with the report made pursuant to Section 2500(b), and if the laboratory performed drug susceptibility testing, the results of such testing shall also be so reported.
NOTE

Authority cited: Sections 207, 208 and 3123, Health and Safety Code. Reference: Sections 200, 207, 3053, 3110, 3123, 3125 and 3285, Health and Safety Code.
HISTORY

1. Amendment of section heading, repealer and new section, and new Note filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
2. Repealer and new section  refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-1-95 order transmitted to OAL 12-19-95 and filed 2-2-96 (Register 96, No. 5).
§2505. Notification by Laboratories.
Note     •     History

(a) To assist the local health officer, the laboratory director, or the laboratory director's designee, of a clinical laboratory, an approved public health laboratory or a veterinary laboratory in which a laboratory examination of any specimen derived from the human body (or from an animal, in the case of rabies or plague testing) yields microscopical, cultural, immunological, serological, or other evidence suggestive of those diseases listed in subsections (e)(1) and (e)(2) below, shall report such findings to the health officer of the local health jurisdiction where the health care provider who first submitted the specimen is located. 
(1) For those diseases listed in subsection (e)(1), the report of such findings shall be made within one hour after the laboratory notifies the health care provider or other person authorized to receive the report. If the laboratory that makes the positive finding received the specimen from another laboratory, the laboratory making the positive finding shall notify the health officer of the jurisdiction in which the health care provider is located within one hour from the time the laboratory notifies the referring laboratory that submitted the specimen.
(2) For those diseases listed in subsection (e)(2), the report of such findings shall be made within one working day from the time that the laboratory notifies the health care provider or other person authorized to receive the report. If the laboratory that makes the positive finding received the specimen from another laboratory, the laboratory making the positive finding shall notify the health officer of the jurisdiction in which the health care provider is located within one working day from the time the laboratory notifies the referring laboratory that submitted the specimen.
(b) To permit local health officer follow-up of laboratory findings, all specimens submitted for laboratory tests or examinations related to a disease or condition listed in subsections 2505(e)(1) or 2502(e)(2) shall be accompanied by a test requisition which includes the name, gender, and age or date-of-birth of the person from whom the specimen was obtained and the name, address and telephone number of the health care provider or other authorized person who submitted the specimen. Whenever the specimen, or an isolate therefrom, is transferred between laboratories, a test requisition with the above patient and submitter information shall accompany the specimen. The laboratory that first receives a specimen shall be responsible for obtaining the patient and submitter information at the time the specimen is received by that laboratory.
(c) Each notification to the local health officer shall include the date the specimen was obtained, the patient identification number, the specimen accession number or other unique specimen identifier, the laboratory findings for the test performed, the date that any positive laboratory findings were identified, the name, gender, address, telephone number (if known) and age or date of birth of the person from whom the specimen was obtained, and the name, address, and telephone number of the health care provider for whom such examination or test was performed. 
(d) The notification shall be submitted as specified in subsections (e)(1) and (e)(2) of this Section to the local health officer in the jurisdiction where the health care provider who submitted the specimen is located. When the specimen is from an out-of-state submitter, the state epidemiologist of the submitter shall be provided the same positive findings per subsections (e)(1) and (e)(2) of this Section. If the laboratory that finds evidence for any of those diseases listed in subsections (e)(1) and (e)(2) is an out-of-state laboratory, the California clinical laboratory that receives a report of such findings from the out-of-state laboratory shall notify the local health officer in the same way as if the finding had been made by the California laboratory.
(e) Laboratory reports to the local health officer shall include the information as specified in (c) of this Section and laboratories shall submit the reports within the following timeframes:
(1) The diseases or agents specified shall be reported within one hour after the health care provider or other person authorized to receive the report has been notified. Laboratories shall make the initial reports to the local health officer by telephone and follow the initial report within one working day by a report in writing submitted by electronic facsimile transmission or electronic mail to the local health officer. Within one year of the establishment of the state electronic reporting system, all List (e)(1) diseases, in addition to being reported by telephone within one hour, shall be reported electronically to the state electronic reporting system within one working day of identification. Reporting to the state electronic reporting system substitutes reporting by electronic facsimile transmission and electronic mail. Laboratory findings for these diseases are those that satisfy the most recent communicable disease surveillance case definitions established by the CDC (unless otherwise specified in this Section). The diseases or agents reported pursuant to this requirement are:
Anthrax, human (B. anthracis) (see section 2551 for additional reporting instructions)
Anthrax, animal (B. anthracis)
Botulism (see section 2552 for additional reporting instructions)
Brucellosis, human (all Brucella spp.) (see section 2553 for special reporting instructions)
Burkholderia pseudomallei and B. mallei (detection or isolation from a clinical specimen)
Influenza, novel strains (human) (see (i) for additional reporting requirements)
Plague, human (see section 2596 for additional reporting instructions)
Plague, animal 
Smallpox (Variola) (see section 2614 for additional reporting instructions)
Tularemia, human (F. tularensis) (see section 2626 for additional reporting instructions)
Viral Hemorrhagic Fever agents, human (VHF), e.g., Crimean-Congo, Ebola, Lassa, and Marburg viruses (see section 2638 for additional reporting instructions)
Viral Hemorrhagic Fever agents, animal (VHF), e.g., Crimean-Congo, Ebola, Lassa, and Marburg viruses
(2) The diseases or agents specified shall be reported within one working day after the health care provider or other person authorized to receive the report has been notified. Laboratories shall transmit these reports to the local health officer by courier, mail, electronic facsimile or electronic mail. Within one year of the establishment of the state electronic reporting system, all List (e)(2) diseases shall be reported electronically to the state electronic reporting system within one working day of identification. Reporting to the state electronic reporting system substitutes reporting by courier, mail, electronic facsimile transmission or electronic mail. Laboratory findings for these diseases are those that satisfy the most recent communicable disease surveillance case definitions established by the CDC (unless otherwise specified in this Section). The diseases or agents reported pursuant to this requirement are:
Acid fast bacillus (AFB) (see (g) for additional reporting requirements)
Anaplasmosis/Ehrlichiosis
Bordetella pertussis acute infection, by culture or molecular identification
Borrelia burgdorferi infection
Brucellosis, animal (Brucella spp. except Brucella canis)
Campylobacteriosis (Campylobacter spp.) (detection or isolation a clinical specimen)
Chancroid (Haemophilus ducreyi) 
Chlamydia trachomatis infections, including lymphogranuloma venereum (LGV)
Coccidioidomycosis
Cryptosporidiosis
Cyclosporiasis (Cyclospora cayetanensis)
Dengue (dengue virus) 
Diphtheria
Encephalitis, arboviral
Escherichia coli: shiga toxin producing (STEC) including E. coli O157
Giardiasis (Giardia lamblia, intestinalis, or duodenalis)
Gonorrhea
Haemophilus influenzae (report an incident of less than 15 years of age, sterile site)
Hantavirus Infections 
Hepatitis A, acute infection
Hepatitis B, acute or chronic infection (specify gender)
Hepatitis C, acute or chronic infection 
Hepatitis D (Delta), acute or chronic infection 
Hepatitis E, acute infection (detection of hepatitis E virus RNA from a clinical specimen or positive serology) 
Legionellosis (Legionella spp.) (antigen or culture)
Leprosy (Hansen Disease) (Mycobacterium leprae) 
Leptospirosis (Leptospira spp.) 
Listeriosis (Listeria)
Malaria (see (h) for additional reporting requirements)
Measles (Rubeola), acute infection
Mumps (mumps virus), acute infection 
Mycobacterium tuberculosis (see (f) for additional reporting requirements)
Neisseria meningitidis (sterile site isolate)
Poliovirus
Psittacosis (Chlamydophila psittaci) 
Q Fever (Coxiella burnetii)
Rabies, animal or human
Relapsing Fever (Borrelia spp.) (identification of Borrelia spp. spirochetes on peripheral blood smear).
Rickettsia, any species, acute infection (detection from a clinical specimen or positive serology) 
Rocky Mountain Spotted Fever (Rickettsia rickettsii) 
Rubella, acute infection 
Salmonellosis (Salmonella spp.)
Shiga toxin (detected in feces)
Shigellosis (Shigella spp.)
Syphilis
Trichinosis (Trichinella) 
Tuberculosis
Tularemia, animal (F. tularensis)
Typhoid
Vibrio species infections
West Nile virus infection
Yellow Fever (yellow fever virus) 
Yersiniosis (Yersinia spp., non-pestis) (isolation from a clinical specimen)
(f) In addition to notifying the local health officer pursuant to subsection (a), any clinical laboratory or approved public health laboratory that isolates Mycobacterium tuberculosis from a patient specimen shall:
(1) Submit a culture as soon as available from the primary isolate on which a diagnosis of tuberculosis was established. Such a culture shall be submitted to the public health laboratory designated in Title 17 California Code of Regulations, Section 1075 for the local jurisdiction where the health care provider's office is located. The following information shall be submitted with the culture: the name, address, and the date of birth of the person from whom the specimen was obtained, the patient identification number, the specimen accession number or other unique specimen identifier, the date the specimen was obtained from the patient, and the name, address, and telephone number of the health care provider for whom such examination or test was performed. The public health laboratory shall retain the culture received (one culture from each culture-positive patient) in a viable condition for at least six months.
(2) Unless drug susceptibility testing has been performed by the clinical laboratory on a strain obtained from the same patient within the previous three months or the health care provider who submitted the specimen for laboratory examination informs the laboratory that such drug susceptibility testing has been performed by another laboratory on a culture obtained from that patient within the previous three months, the clinical laboratory shall:
(A) Perform or refer for drug susceptibility testing on at least one isolate from each patient from whom Mycobacterium tuberculosis was isolated; and
(B) Report the results of drug susceptibility testing to the local health officer of the city or county where the submitting physician's office is located within one working day from the time the health care provider or other authorized person who submitted the specimen is notified; and
(C) If the drug susceptibility testing determines the culture to be resistant to at least isoniazid and rifampin, in addition, submit one culture or subculture from each patient from whom multidrug-resistant Mycobacterium tuberculosis was isolated to the official public health laboratory designated in Title 17 California Code of Regulations Section 1075 for the local health jurisdiction in which the health care provider's office is located. The local public health laboratory shall forward such cultures to the Department's Microbial Diseases Laboratory. The following information shall be submitted with the culture: the name, address, and the date of birth of the person from whom the specimen was obtained, the patient identification number, the specimen accession number or other unique specimen identifier, the date the specimen was obtained from the patient, and the name, address, and telephone number of the health care provider for whom such examination or test was performed.
(g) Whenever a clinical laboratory finds that a specimen from a patient with known or suspected tuberculosis tests positive for acid fast bacillus (AFB) staining and the patient has not had a culture which identifies that acid fast organism within the past 30 days, the clinical laboratory shall culture and identify the acid fast bacteria or refer a subculture to another laboratory for those purposes.
(h) In addition to notifying the local health officer pursuant to subsection (a), any clinical laboratory that makes a finding of malaria parasites in the blood film of a patient shall immediately submit one or more such blood film slides for confirmation to the public health laboratory designated in Title 17 California Code of Regulations Section 1075 for the local health jurisdiction where the health care provider is located. When requested, all blood films shall be returned to the submitter.
(i) Whenever a laboratory receives a specimen for the laboratory diagnosis of influenza, novel strains in a human such laboratory shall communicate immediately by telephone with the Department's Viral and Rickettsial Disease Laboratory for instruction.
(j) All laboratory notifications herein required are acquired in confidence and shall not be disclosed by the local health officer except (1) as authorized by these regulations; (2) as required by state or federal law; or (3) with the written consent of the individual to whom the information pertains or the legal representative of that individual.
(k) The local health officer shall disclose any information, including personal information, contained in a laboratory notification to state, federal or local public health officials in order to determine the existence of the disease, its likely cause and the measures necessary to stop its spread.
NOTE

Authority cited: Sections 100180, 100275, 120130, 125095, 131050, 131051, 131052 and 131200, Health and Safety Code. Reference: Sections 100180, 120125, 120130, 120140, 120175, 120575, 121365 and 125100, Health and Safety Code; Sections 1209, 1246.5 and 1288, Business and Professions Code; Cal. Const., art. 1, Section 1; and Section 1040, Evidence Code.
HISTORY

1. New section filed 3-26-62; effective thirtieth day thereafter (Register 62, No.6).
2. Amendment of subsections (a) and (b) filed 6-25-72 as an emergency; effective upon filing (Register 72, No. 27).
3. Certificate of Compliance filed 10-24-72 (Register 72, No. 44).
4. Amendment of subsection (d) filed 3-30-89; operative 3-30-89 (Register 89, No. 14).
5. Amendment of section and Note filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section and Note refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-1-95 order, including amendment of section, transmitted to OAL 12-19-95 and filed 2-2-96 (Register 96, No. 5).
8. Change without regulatory effect amending subsection (c) filed 7-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 29).
9. Amendment of subsections (a)-(d), repealer of subsection (e) and new subsections (e)-(e)(2) and amendment of Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsections (a)-(d), repealer of subsection (e), new subsections (e)-(e)(2) and amendment of Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 3-1-2002 order, including further amendment of subsection (e)(1), transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
12. Amendment of subsection (e)(2) filed 6-30-2005; operative 6-30-2005. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2005, No. 32).
13. Amendment of subsection (e)(2) filed 10-26-2006; operative 10-26-2006. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130(a) and (d) (Register 2006, No. 43).
14. Amendment of subsections (e)(1)-(2), new subsections (i)-(j) and subsection relettering filed 6-12-2007; operative 6-12-2007. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2007, No. 31).
15. Amendment of subsection (e)(2) filed 7-30-2007; operative 7-30-2007. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2007, No. 31).
16. Amendment of subsections (e)(1) and (e)(2) and amendment of Note filed 9-22-2009; operative 9-22-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130(a) and (d) (Register 2009, No. 39).
17. Amendment of subsections (e)(1)-(2), repealer of subsections (i)-(i)(4)(B), subsection relettering and amendment of newly designated subsection (i) filed 6-30-2011; operative 6-30-2011. Submitted to OAL for printing only pursuant to Health and Safety Code sections 120130(a) and 120130(d) (Register 2011, No. 26).
18. Amendment of subsection (e)(2) filed 9-27-2011; operative 10-27-2011. Submitted to OAL for printing only pursuant to Health and Safety Code section 120130 (Register 2011, No. 39).
§2508. Reporting by Schools.

It shall be the duty of anyone in charge of a public or private school, kindergarten, boarding school, or day nursery to report at once to the local health officer the presence or suspected presence of any of the communicable diseases.
§2509. Records of Local Health Officer.

The local health officer shall maintain such records as he deems necessary in the performance of his duties, or as requested by the State Department of Health Services.
§2510. Outbreaks of Nonreportable Diseases. [Repealed]
History

HISTORY

1. Repealer filed 7-29-55; effective thirtieth day thereafter (Register 55, No. 11).
§2511. Determination of Morbidity Level.
History

It shall be the duty of the local health officer to determine the amount and kind of communicable disease occurring in his area by such methods as he deems necessary in order to obtain knowledge of the general level of morbidity in his jurisdiction.
HISTORY

1. New section filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
Article 2. General Instructions
§2512. Investigation of the Case. [Renumbered]
History

HISTORY

1. Renumbering and amendment of former section 2512 to subsection 2501(b)(1)-(2) filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former section 2512 to subsection 2501(b)(1)-(2) refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
§2514. Instructions to Household.
Note     •     History

It shall be the duty of the health care provider in attendance on a case or suspected case of any disease or condition listed in Sections 2500, or of any other disease considered to be communicable, to give detailed instructions to the members of the household in regard to precautionary measures to be taken for preventing the spread of the disease or condition. Such instructions shall conform to these regulations and local ordinances. It is the responsibility of each health care provider to be informed as to these regulations and the local ordinances which are in effect in the communities in which the health care provider practices.
NOTE

Authority cited: Sections 207, 208 and 3123, Health and Safety Code. Reference: Sections 207, 208, 3123 and 3285, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 5-1-95 as an emergency; operative 5-1-95 (Register 95, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-95 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section and Note refiled 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-19-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-1-95 order, including amendment of section, transmitted to OAL 12-19-95 and filed 2-2-96 (Register 96, No. 5).
§2515. Definition of Isolation.

Isolation is defined as separation of infected persons from other persons for the period of communicability in such places and under such conditions as will prevent the transmission of the infectious agent. Isolation will be applied as instructed below.
§2516. Strict Isolation.

If the disease is one requiring strict isolation, the health officer shall insure that instructions are given to the patient and members of the household, defining the area within which the patient is to be isolated and stating the measures to be taken to prevent the spread of the disease.
Strict isolation shall include the following measures:
(a) The patient shall have a separate bed in a room protected against flies.
(b) All persons, except those caring for the patient, shall be excluded from the sick room.
(c) The persons caring for the patient shall avoid coming in contact with any other persons within the household or elsewhere until every precaution has been taken to prevent the spread of infectious material from the patient's room.
(d) The persons caring for the patient shall wear a washable outer garment and shall thoroughly wash their hands with soap and hot water after handling the patient or any object he may have contaminated. On leaving the room in which the patient is isolated, the attendant shall take off the washable outer garment and hang it in the room until disinfected.
(e) All discharges from the nose and mouth shall be burned or disinfected. The discharges should be received in pieces of soft tissue or cloth and dropped into a paper bag which can be burned.
(f) Objects which may have been contaminated by the patient shall be thoroughly cleansed before being removed from the contaminated area.
(g) The feces and urine of patients suffering from diseases in which the infectious agent appears in the feces or urine shall be disposed of according to instructions given be the local health officer.
§2518. Modified Isolation.

If the disease is one in which only a modified isolation is required, the local health officer shall issue appropriate instructions, prescribing the isolation technique to be followed. The isolation technique will depend upon the disease.
§2520. Quarantine.

Quarantine is defined as the limitation of freedom of movement of persons or animals that have been exposed to a communicable disease for a period of time equal to the longest usual incubation period of the disease, in such manner as to prevent effective contact with those not so exposed. If the disease is one requiring quarantine of the contacts in addition to isolation of the case, the local health officer shall determine the contacts who are subject to quarantine, specify the place to which they shall be quarantined, and issue instructions accordingly. He shall insure that provisions are made for the medical observation of such contacts as frequently as necessary during the quarantine period.
§2522. Observation.

For the purposes of definition, the term “observation,” as used in these regulations, shall refer to a frequent check upon the person under observation to determine whether such person is free of the disease for which he has been placed under observation, or has contracted the disease. Unless otherwise specified, it does not mean the isolation or quarantine of the individual.
§2524. Terminal Disinfection.

Each person released from quarantine or isolation shall bathe and wash his hair with soap and hot water and put on clean clothes. The area of isolation shall be disinfected according to the instructions of the local health officer.
§2526. Exclusion and Readmission by School Authorities.
Note     •     History

It shall be the duty of the principal or other person in charge of any public, private or Sunday School to exclude therefrom any child or other person affected with a disease presumably communicable, until the expiration of the prescribed period of isolation for the particular communicable disease. If the attending physician, school physician, or health officer finds upon examination that the person is not suffering from a communicable disease, he may submit a certificate to this effect to the school authority who shall readmit the person.
NOTE

Authority cited: Sections 207, 208 and 3123, Health and Safety Code. Reference: Sections 200, 207, 3051, 3053, 3110, 3118 and 3123, Health and Safety Code.
HISTORY

1. Amendment filed 3-30-89; operative 3-30-89 (Register 89, No. 14).
§2528. Contamination by Pathogenic Organisms of Milk, Milk Products or Products Resembling Milk Products.
Note     •     History

(a) The State Department of Health Services finds that the presence of any of the following pathogenic organisms in milk, milk product, or product resembling milk products make such product unsafe for human consumption: Mycobacterium tuberculosis; Brucella spp.; Streptococcus pyogenes, group A hemolytic; Corynebacterium diphtheria; Salmonella paratyphi; Salmonella schottmuelleri; Salmonella hirschfeldi; Salmonella typhi; Salmoneela dublin; Salmonella typhimurium; Shigella spp. Whenever a health officer finds that milk, milk product, or product resembling milk products, is unsafe for human consumption because it contains any of the above named organisms, he shall issue a written order to the producer or distributor of the product (1) summarizing the laboratory findings, and (2) prohibiting the sale or disposal of such milk, milk product, or product resembling milk products, except by a method approved by him, until such time as he finds the product or products to be safe for human consumption.
(b) Whenever a health officer has evidence that milk, milk product, or product resembling milk products has caused human illness or contains toxins which make such product unsafe for human consumption, he may issue a written order to the producer or distributor of the product (1) stating the facts upon which his conclusions are based, and (2) prohibiting the use, sale, or disposal of such milk, milk product, or product resembling milk products, except by a method approved by him, until such time as he finds it to be safe for human consumption.
(c) The health officer shall immediately forward a copy of any order issued pursuant to this section to the State Director of Health Services.
(d) Any producer or distributor of milk, milk product, or product resembling milk products, subject to an order of a health officer pursuant to this section may appeal to the State Department of Health Services solely upon the question of whether such products are, in fact, safe for human consumption. Such appeal shall be made in writing, stating which of the facts set forth in the order are admitted and denied. Upon receipt of the written appeal, the State Director of Health Services, after such investigation of the matter as he deems necessary, may amend or rescind the order, or set the matter for hearing before a hearing officer designated by him. In the event the order is not rescinded or amended to the satisfaction of the appellant, the matter shall be set for hearing. The hearing shall, if possible, be set within 14 days from the date of receipt of the appeal, unless additional time is required by the appellant. Insofar as is practicable, the procedures of the Administrative Procedure Act (Ch. 5, Pt. 1, Div. 3, Title 2, of the Government Code) shall apply. The hearing officer shall submit a proposed decision to the State Department of Health Services which shall issue its decision in accordance with Section 11517 of the Administrative Procedure Act. The decision shall be subject to judicial review.
(e) The procedures of this section authorize a health officer to take immediate action to protect the public health in the event he finds that milk, milk products, or products resembling milk products constitutes the applicability of other provisions of law pertaining to the regulation of such products, including but not limited to, the provisions of the Agricultural Code and the California Pure Foods Act (Ch. 3, Div. 21, Health and Safety Code).
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Sections 3110-3125, Health and Safety Code.
HISTORY

1. Repealer and new section filed 12-22-69; effective thirtieth day thereafter (Register 69, No. 52).
§2530. Public Food Handlers.
Note     •     History

No person known to be infected with a communicable disease or suspected of being infected with a communicable disease shall engage in the commercial handling of food, or be employed on a dairy or on premises handling milk or milk products, until he is determined by the health officer to be free of such disease, or incapable of transmitting the infection. (See Chapter 7, Article 1, Section 28295, Health and Safety Code.)
NOTE

Authority cited: Sections 207, 208 and 3123, Health and Safety Code. Reference: Sections 200, 207, 3051, 3053, 3110, 3123, 3131, 3132 and 28295, Health and Safety Code
HISTORY

1. Amendment filed 3-30-89; operative 3-30-89 (Register 89, No. 14).
§2534. Laboratory Tests for the Release of Cases of Carriers of Communicable Diseases.

Whenever laboratory tests are required for the release of cases or carriers, the tests shall be taken by the health officer or his representatives and shall be submitted to a public health officer or his representatives and shall be submitted to a public health laboratory approved by the State Department of Health Services. Specimens may be sent to laboratories not  so approved, provided the specimens are divided and a portion of the specimens are sent to an approved laboratory. Release shall be considered on the basis of the report of the approved laboratory only.
§2536. Transportation of Communicable Disease Cases.
History

No person with a communicable disease subject to isolation not any contact subject to quarantine shall travel or be transported from one place to another within the local health jurisdiction, without the permissions of the local health officer, and no such person shall travel or be transported outside the area of jurisdiction of the health officer until the permission of the health officer into whose jurisdiction the patient is to be brought is obtained. An exception may be made in instances where the patient is to be admitted directly to a hospital for the treatment of the communicable disease,provided that the health officer from whose jurisdiction the case to be transported shall insure that adequate precautions are taken to prevent dissemination of the disease by the patient or his contacts en route to the hospital.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2538. Funerals.

Funeral services for individuals who have died of a communicable disease shall be conducted in accordance with instructions of the health officer. In diseases requiring quarantine of contacts, a public funeral service may be permitted only if the casket remains closed and those contacts subject to quarantine who attend the funeral are adequately segregated from the public.
§2540. General Clause.

In addition to the requirements stipulated in these regulations, the local health officer shall, after suitable investigation, take such additional steps as he deems necessary to prevent the spread of communicable disease or a disease suspected of being communicable in order to protect the public health.
Article 3. Specific Diseases and Conditions
§2550. Amebiasis.

(a) Under ordinary circumstances, isolation of cases and quarantine of contacts are not required.
(b) Persons who are found to be excreting Endamoeba histolytica in the feces shall be prohibited from public food handling until three feces specimens, taken at intervals of not less than three days, shall be proved negative for the organism by a public health laboratory approved by the State Department of Health Services.
§2551. Anthrax. Cases and Suspect Cases to Be Reported by Telephone.
Note     •     History

(See Section 2502(c).)
(a) Patient. The patient shall be isolated in accordance with Section 2518. Wound isolation precautions shall be instituted until lesions are free of anthrax bacilli.  There are no restrictions on contacts.
(b) Laboratory. Whenever a laboratory receives a specimen for the laboratory diagnosis of suspected human anthrax, such laboratory shall communicate immediately by telephone with the Microbial Diseases Laboratory of the State Department of Health Services for instruction.
NOTE

Authority cited: Sections 100180, 100275, 120130 and 120145, Health and Safety Code. Reference: Sections 120130, 120175, 120190, 120195 and 120215, Health and Safety Code.
HISTORY

1. Amendment of section heading and section and new Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
2. Amendment of section heading and section and new Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
§2552. Botulism. Cases and Suspect Cases to Be Reported by Telephone.
Note     •     History

(See Section 2502(c).) The health officer shall make an immediate investigation of every case or suspected case of botulism in an effort to establish the diagnosis and determine the source. In the event that a commercial food product is suspected as the source, special instructions will be given by the State Department of Health Services. The local health officer shall take all necessary steps to prevent distribution and consumption of the suspected food. There are no restrictions on case or contacts. Whenever a laboratory receives a specimen for the laboratory diagnosis of suspected human botulism, such laboratory shall communicate immediately by telephone with the Microbial Diseases Laboratory of the Department of Health Services for instruction.
NOTE

Authority cited: Sections 100180, 100275 and 120130, Health and Safety Code. Reference: Sections 100180, 100275, 120175, 120185 and 120190, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment of section heading and section and new Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section and new Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
§2553. Brucellosis (Undulant Fever). Cases and Suspect Cases to Be Reported by Telephone.
Note     •     History

(See Section 2502(c).) There are no restrictions on case or contacts. Whenever a laboratory receives a specimen for the laboratory diagnosis of suspected human brucellosis, such laboratory shall communicate immediately by telephone with the Microbial Diseases Laboratory of the Department of Health Services for instruction.
NOTE

Authority cited: Sections 100180, 100275 and 120130, Health and Safety Code. Reference: Sections 100180, 100275, 120185 and 120190, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment of section heading and section and new Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section and new Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
§2554. Chancroid.

(See Section 2636 on Venereal Diseases.)
§2555. Chickenpox.
History

HISTORY

1. Repealer filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2556. Cholera. Cases and Suspect Cases to Be Reported by Telephone or Telegraph.
History

(See Section 2501(c).) The case shall be isolated in accordance with Section 2516 and the intimate contacts quarantined pending receipt of instructions from the State Health Services Department.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2558. Coccidioidomycosis.
History

Report active cases only primary (including cavitary) or disseminated. There are no restrictions on case or contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2560. Conjunctivitis, Acute Infectious of the Newborn.
Note     •     History

(a) Acute infectious conjunctivitis of the newborn includes gonorrheal ophthalmia and ophthalmia neonatorum.
(b) Prophylaxis for acute infectious conjunctivitis of the newborn shall be administered to all infants within two hours after birth in accordance with Sections 551-556 of the Business and Professions Code.
(c) The approved prophylaxis for acute infectious conjunctivitis of the newborn shall be any one of the following.
(1) One percent silver nitrate in wax ampules administered without saline irrigation.
(2) Ophthalmic ointments or drops containing tetracycline or erythromycin.
(d) An infant with acute infectious conjunctivitis shall be isolated in accordance with Section 2516, Title 17, California Administrative Code, until clinical recovery occurs and negative laboratory tests are obtained.
NOTE

Authority cited: Section 555(b), Business and Professions Code. Reference: Sections 551 through 556, Business and Professions Code.
HISTORY

1. Amendment filed 5-28-53; effective thirtieth day thereafter (Register 53, No. 9).
2. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
3. Amendment filed 12-15-79; effective thirtieth day thereafter (Register 79, No. 50).
§2562. Dengue. Cases and Suspect Cases to Be Reported by Telephone or Telegraph.
History

(See Section 2501(c).) The case shall be confined during the clinical phase of the disease in a room or dwelling satisfactorily protected against mosquitos. There are no restrictions on contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2564. Diarrhea of the Newborn.
History

(a) Any infant under 1 month of age in a hospital or institution, or any infant hospitalized because of prematurity, who has two or more watery or otherwise apparently abnormal stools within a 24-hour period, with or without other signs of illness, shall be considered a suspicious case of diarrhea of the newborn and immediately isolated. Any newborn, who within four days after discharge from a hospital has two or more watery or otherwise apparently abnormal stools within a 24-hour period, with or without other signs of illness, shall be considered a suspicious case and kept under close observation. If the diarrhea continues for more than two days the infant shall be immediately reported as a case of diarrhea of the newborn to the local health officer by telephone or other equally prompt means. An exception may be made in the case of entirely breastfed infants who show no signs of illness and are gaining weight.
(b) Isolation of Case. The case shall be placed in strict isolation until discharged from the hospital.
(c) Quarantine of Infants in Nursery. If two or more cases occur, all infants in the nursery shall be quarantined and no infants shall be admitted until all exposed infants have been discharged and the nursery thoroughly cleaned, and personnel, equipment, and procedures involved have been investigated by the health officer and found adequate.
(d) Care of Noncontacts. Infants born subsequent to quarantine of infants in the newborn nursery for diarrhea of the newborn shall be cared for in a separate clean newborn nursery by a separate nursing staff.
(e) Closure of Hospital to Maternity Admissions. If cases of diarrhea of the newborn as defined above occur also in the temporary clean nursery, the hospital shall be closed to maternity admissions until all cases and contacts are discharged and all nursery rooms and equipment thoroughly cleaned.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2566. Diphtheria.
History

(a) Isolation of Patient. The patient shall be isolated in accordance with Section 2516 until 2 cultures from the throat and 2 from the nose, taken not less than 24 hours apart, fail to show the presence of diphtheria bacilli, except that upon clinical recovery and where antibiotics have been used as therapy, isolation may be modified in accordance with Section 2518. Release cultures may not be taken less than seven days after discontinuance of such therapy. Isolation may be terminated if the bacilli cultured from the case are proved to be virulent.
(b) Control of Household Contacts. All household contacts shall be kept under daily medical observation for clinical evidence of diphtheria for seven days after last exposure. These contacts shall be isolated if they are found to have sore throat or nasal discharge until proved by culture not to have diphtheria. All household contacts under the age of 15 shall be quarantined for at least seven days after the last exposure to the case. Nose and throat cultures for diphtheria should then be taken and the contacts may be released from quarantine if such cultures are negative. If the contact has received an antibiotic, release cultures may not be taken less than seven days after discontinuation of such medication.
(c) Release of Carriers From Isolation. Convalescent or healthy carriers of diphtheria bacilli may be released from quarantine if the bacilli are shown to be avirulent by appropriate laboratory tests. Any person who has been free from the symptoms of diphtheria for four weeks or longer and who harbors virulent diphtheria bacilli is defined as a chronic carrier. Efforts should be made to eliminate the carrier state in such persons by appropriate medical or surgical measures. If these measures are unsuccessful or are refused the health officer may release the carrier from isolation when, in his judgment, such release is not detrimental to the public health, except that the carrier may not be permitted to engage in any occupation which involves handling of foods of close association with children outside his own family.
(d) Laboratory Tests for the Release of Cases or Carriers. Cultures or virulence tests for the release of diphtheria cases or carriers shall be taken not less than seven days after discontinuation of antibiotic therapy and examined in accordance with the provisions of Section 2534.
(e) Cases on Dairies. When a case of diphtheria occurs or is confined on the premises where milk or milk products are handled, the health officer shall prohibit the use, sale or disposal of such milk or milk product, except by a method approved by him, until he is satisfied that such products are safe for human consumption.
(f) Immunization. The health officer shall take appropriate measures to encourage and facilitate a continuing program of active immunization against diphtheria for all children within his jurisdiction.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2570. Encephalitis, Acute (Including Arthropod-Borne Viral, Post-Infectious, and Others).
History

The patient shall be isolated in accordance with Section 2518 for seven days from the onset of the infection. There are no restrictions on contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2572. Disorders Characterized by Lapses of Consciousness, Alzheimer's Disease and Related Disorders.
Note     •     History

NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
2. Amendment filed 11-9-66; effective thirtieth day thereafter (Register 66, No. 39).
3. Amendment of subsection (a) and new subsections (b)-(d) filed 1-9-90; operative 1-9-90 pursuant to Government Code Section 11346.2(d) (Register 90, No. 4).
4. Repealer of section and amendment of Note filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
§2574. Food Poisoning.

(Excluding Botulism and Salmonella infections). A reportable case of food poisoning is defined as follows: any person with symptoms of acute gastroenteritis, vomiting, diarrhea, or neurologic symptoms whose illness occurs in association with a group of other persons who may have consumed a common food or beverage. The etiologic agents include:
(a) Organic poisons present in normal animal or plant tissues, including mushrooms, fish, and mussels.
(b) Mineral or organic poisons, including arsenic, lead, cadmium, and fluorine, introduced into food by accident, or with the intent to improve the appearance or as preservatives.
(c) Toxins preformed in food by the growth of microorganisms, including staphylococci. (Botulism is reported separately. See Section 2552.)
Upon receiving the report, the health officer shall make or cause to be made an investigation in an effort to determine the source and cause of the outbreak. If the responsible food is one distributed outside the area over which he has jurisdiction, he shall immediately report his findings to the Director of the State Department of Health Services and to those local health officers concerned. There are no restrictions on cases or contacts.
§2575. German Measles (Rubella).
History

The patient shall be isolated in accordance with Section 2518 until clinically recovered. There are no restrictions on contacts.
HISTORY

1. Repealer filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. New section filed 10-25-66; effective thirtieth day thereafter Register 66, No. 37). For history of former section see Register 55, No. 8.
§2577. Gonococcus Infection.

(See Section 2636 on Venereal Diseases.)
§2578. Granuloma Inguinale.

(See Section 2636 on Venereal Diseases.)
§2579. Hepatitis, Infectious.
History

(This term includes cases diagnosed as acute catarrhal jaundice, epidemic hepatitis and epidemic jaundice.) The patient shall be isolated in accordance with Section 2518 during the acute symptoms. There are no restrictions on contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2580. Influenza, Epidemic.
History

HISTORY

1. Repealer filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2581. Hepatitis, Serum (Homologous Serum Jaundice).
History

The patient shall be isolated in accordance with Section 2518 during the acute symptoms. There are no restrictions on contacts.
HISTORY

1. New section filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2582. Leprosy (Hansen's Disease).
History

The patient shall be isolated in accordance with Section 2518 if determined by clinical observation or by laboratory findings to be infectious. The degree of isolation shall be determined by the local health officer, who should, whenever possible, be advised by a physician specially qualified in this disease. If isolation of the patient is required and cannot be carried out at home or if adequate therapy is not available, the State Department of Public Health shall be notified and shall designate a hospital where the patient shall be isolated and treated. Apparently arrested or inactive cases, and persons who have been in close contact with a case for a prolonged period, shall be kept under observation as long as deemed necessary by the local health officer to determine if they have become infected or the disease reactivated.
All reports pertaining to cases of leprosy are confidential and the identity of patients shall not be divulged except as may be necessary for the protection of the public health.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment filed 7-19-55, as an emergency; effective upon filing (Register 55, No. 10).
§2584. Leptospirosis (Including Weil's Disease).
History

There are no restrictions on case or contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2585. Lymphogranuloma Venereum.

(See Section 2636 on Venereal Diseases.)
§2586. Malaria.

The patient shall be confined during the clinical phases of the disease in a room or dwelling satisfactorily protected against mosquitoes.
§2588. Measles.

The patient shall be isolated in accordance with Section 2518 during the period of catarrhal symptoms and for seven days after the appearance of the rash. Restriction on contacts is not required, except at the discretion of the local health officer.
§2590. Meningitis, Meningococcal or Meningococcemia.
History

(a) The patient shall be isolated in accordance with Section 2518 until the end of the febrile period and until all acute symptoms have subsided.
(b) Contacts. Quarantine of contacts is not required, except at the discretion of the local health officer, but intimate contacts should be kept under frequent medical observation for a minimum of three days subsequent to diagnosis of the case. Prophylactic treatment of household contacts under medical supervision may be required by the health officer prior to release.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2592. Mumps.
History

The patient shall be isolated in accordance with Section 2518 until the swelling of the salivary glands has subsided. There are no restrictions on contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2593. Neoplasm, Cancer.
Note     •     History

(a) Definitions.
(1) Department means Department of Health Services.
(2) Director means the Director of the Department of Health Services.
(3) Regional cancer registry means the organization authorized to receive and collect cancer data for a designated area of the state and which maintains the system by which the collected information is reported to the Department.
(4) Cancer means all malignant neoplasms, including carcinoa in situ, which are specified in Volume I of the 1986 California Cancer Reporting System Standards and as set forth in the International Classification of Diseases for Oncology Field Trial Edition 1986.
(5) Case means a cancer diagnosis for an individual who is either a resident of the designated area of the regional cancer registry, regardless of where the individual was treated or diagnosed, or seen at a cancer reporting facility, other facility or by a physician within the designated area of the regional cancer registry, regardless of where the individual resides.
(6) Active follow-up program means a system for determining the vital status of each reported case no later than twelve months after the date of the last reported contact. This date is defined in Volume I of the 1986 California Cancer Reporting System Standards.
(7) Cancer reporting facility means a hospital or other facility which treats or diagnoses cancer and is also one of the following:
(A) A facility currently licensed as a health facility under the provisions of Chapter 2, commencing with Section 1250, of Division 2 of the Health and Safety Code;
(B) A surgical clinic licensed under Chapter 1, Section 1204, of Division 2 of the Health and Safety Code;
(C) A facility covered by the provisions of Section 1206, except for subsection (f), of the Health and Safety Code which, while not licensed as a clinic, is operated for the predominant purpose of diagnosing or treating cancer or where a minimum of 100 or more cancer cases are diagnosed or treated in a year.
(8) Quality Control System means operational procedures by which the accuracy, completeness and timeliness of the information reported to the Department can be determined and verified. These criteria are defined in Volume I of the 1986 California Cancer Reporting System Standards.
(9) Certified Tumor Registrar (CTR) means the designation given to individuals who pass the certification examination given by the National Tumor Registrars Association (NTRA).
(10) Population-based means that all cases are drawn from a defined population of known size and characteristics, usually one within a defined geographic area.
(11) Cancer incidence data means information on new cases of cancer including the required data listed in the 1986 California Cancer Reporting System Standards and counts of these cases by their characteristics such as age, sex and ethnicity, and by anatomic site and morphology.
(12) Instance of cancer means case of cancer as defined in subsection (a)(5) above.
(13) Modeled after the Cancer Surveillance Program of Orange County means a population-based registry that collects treatment data, has a phased implementation, collects follow-up data, has a community advisory component and receives data in a machine-readable format from cancer reporting facilities as defined in subsection (a)(7) above.
(b) Reporting requirements. The Director shall designate cancer as a disease to be mandatorily reported for all counties within the State. All counties shall be assigned to a designated regional cancer registry. When the Director designates cancer as a disease to be mandatorily reported within an area, the Director shall designate the initial mandatory reporting period, which may be less than a full calendar year, for which the regional registry will submit cases to the Department.
(1) A regional cancer registry shall establish and maintain a cancer reporting system which is able to report 97 percent of the incident cases in the initial designated reporting period and each calendar year.
(2) The regional cancer registry shall have suitable arrangements to obtain data for reporting resident cases diagnosed or treated outside the designated area of the regional cancer registry.
(3) The regional cancer registry shall report to the Department all cases diagnosed or treated in a calendar year or initial reporting period within twelve months after the close of that calendar year or initial reporting period.
(4) The regional cancer registry shall submit, for each reportable case, the required data specified in Volume I, Section 13, of the 1986 California Cancer Reporting System Standards.
(5) The regional cancer registry shall report to the Department all follow-up information provided by cancer reporting facilities with an active follow-up program no later than six months after the cancer reporting facility provides the information to the regional registry. In addition, each regional registry shall implement within three years of the designation of mandatory cancer reporting for the region a program of active follow-up for all resident cases not otherwise being followed by a cancer reporting facility. The results of the active follow-up program of the regional registry shall be reported to the Department quarterly.
(6) Data submitted to the Department by the regional cancer registry shall be in machine-readable form. The format and codes used shall be as specified by the Department.
(7) The regional cancer registry shall maintain a system of quality control in accordance with procedures approved by the Department.
(8) Representatives of the Department shall have access to the source data and the stored data in the regional cancer registry for the purpose of quality control assessments. This includes access to all cancer records maintained by a reporting facility, physician, individual or agency providing diagnostic or treatment services to cancer patients within the region.
(9) The regional cancer registry shall maintain confidentiality of data as required in Section 211.5, Health and Safety Code, and shall maintain a security system for records which contain identifying data. This system shall be reviewed and approved by the Department.
(10) When cancer is designated a reportable disease in a region, the corresponding regional cancer registry shall inform the public that cancer has been designated as a disease required to be reported in that region and that each patient diagnosed or treated with a Reportable Neoplasm will be reported to the Department as required by law.
(11) Cancer reporting facilities within a reporting region shall report to the regional cancer registry the required data as listed in Volumes I and III of the 1986 California Cancer Reporting System Standards. These reports shall conform to Volumes I, II and III of the 1986 California Cancer Reporting System Standards. When a cancer reporting facility fails to produce reports meeting the standards cited above, the regional cancer registry may perform the data collection and collect compensation from the facility for the activity at cost.
(12) Cancer reporting facilities shall report to their regional cancer registry each reportable case within six months of the time the case comes under the care of, or is admitted to, the facility.
(13) Cancer reporting facilities with an active follow-up program shall report follow-up information to the regional cancer registry no less frequently than quarterly.
(14) A facility not already defined as a cancer reporting facility under these regulations which diagnoses or treats cancer and is a primary care clinic as defined in Section 1204, Health and Safety Code or an acute psychiatric hospital as defined in Section 1250, Health and Safety Code shall report each cancer case to its regional cancer registry, or to the local health department, the choice to be determined by the regional registry, using the Confidential Morbidity Report (Form PM-110), shown below, within 30 days of the date the patient is admitted to the facility or treated in the facility for the first time. These reports shall conform to California Cancer Reporting System Standards, Volume IV.

View Graphic
(15) Physicians and surgeons caring for cancer patients not referred to a facility defined as a cancer reporting facility under these regulations shall report each cancer case to the regional cancer registry or to the local health department, the choice to be determined by the regional registry, using the Confidential Morbidity Report (PM-110), within 30 days of seeing the patient for the cancer for the first time. These reports shall conform to California Cancer Reporting System Standards, Volume IV.
(16) Cancer reporting facilities shall submit their cancer cases and follow-up information to the regional cancer registry in machine-readable form. The format and codes used shall be as specified by the Department in the 1986 California Cancer Reporting System Standards Volume II.
(17) Cancer reporting facilities may elect to have the regional cancer registry staff do the cancer data collection. They may do so by a contract with the regional cancer registry to identify and report the cancer cases with the facility reimbursing the regional registry for that registry's expense.
(18) Cancer reporting facilities and physicians shall employ a mechanism to ensure that their patients are informed that cancer has been designated a reportable disease and that the facility will report each patient with cancer to the Department as required by law. Patient information sheets for this purpose will be supplied to physicians by the Department.
(c) Staffing. The identification and collection of cancer data in the regional cancer registries and cancer reporting facilities shall be performed by Certified Tumor Registrars (CTR) or staff eligible to take the certification examination.
(d) Training and Credentialing Period. Reporting facilities so requesting upon application to the regional registry, may be granted a credentialing period of up to 24 months for the purpose of obtaining training to meet the requirements set forth in subsection (c) above. No credentialing period may be granted to extend beyond 30 months from the effective date of mandatory cancer reporting for the region or beyond July 1, 1990. During a credentialing period the reporting facility must meet the quality and other reporting standards. It is the responsibility of the Department, which may be carried out by the regional cancer registries, to assure that adequate tumor registrar training resources are available for no less than 24 months following the initiation of mandatory reporting in a region.
(e) Designation of Agent. The Director may designate and contract with any agency to act as the Department's agent for the maintenance of the regional cancer registry. The designated agent shall comply with all regulations for the regional cancer registry.
(f) Revocation of Designation. The Director shall have the authority to revoke the designation as Departmental agent. Revocation shall be effective no sooner than 30 days after a written notice to revoke the designation has been served.
NOTE

Authority cited: Sections 208, 210 and 211.3, Health and Safety Code. Reference: Sections 210, 211.3 and 211.5, Health and Safety Code.
HISTORY

1. New section filed 3-20-81; effective thirtieth day thereafter (Register 81, No. 12).
2. Amendment filed 11-2-87; operative 12-2-87 (Register 87, No. 45).
§2594. Pertussis (Whooping Cough).

The patient shall be isolated in accordance with Section 2518 during the early catarrhal period and for 21 days after the appearance of the typical paroxysmal cough. The isolation provisions shall be adequate to prevent exposure of young children to the patient. Restrictions on contacts not required.
§2595. Physically Handicapped Children

(See subchapter 3).
§2596. Plague. Cases and Suspect Cases to Be Reported by Telephone.
Note     •     History

(See Section 2502(c).)
(a) All laboratory specimens submitted for the purpose of establishing a diagnosis shall be examined only in such laboratories as may be designated by the Director of the State Department of Health Services. Whenever a laboratory receives a specimen for the laboratory diagnosis of suspected human plague, such laboratory shall communicate immediately by telephone with the State Department of Health Services Microbial Diseases Laboratory for instruction.
(b) Isolation. The patient shall be confined in a dwelling free from rodents and fleas and shall be isolated in accordance with Section 2516. The period of isolation shall not be terminated until two days after all symptoms have subsided. In cases of pneumonic plague, strict precautions against respiratory transmission of the disease shall be enforced.
(c) Contacts. Contacts of cases of plague shall be kept under quarantine until the health officer is satisfied that they have not contracted the infection, except that contacts of cases of pneumonic plague shall be kept in quarantine for a period of at least seven days after last exposure.
NOTE

Authority cited: Sections 100180, 100275, 120130 and 120145, Health and Safety Code. Reference: Sections 100180, 100275, 120145, 120190, 120215 and 120240, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment of section heading and subsection (a) and new Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and subsection (a) and new Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
§2597. Q Fever.
History

No restrictions on cases or contacts.
HISTORY

1. New section filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2598. Pneumonia, Infectious (Except Pneumonic Plague).
History

HISTORY

1. Repealer filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2600. Poliomyelitis, Acute Anterior.

The case shall be isolated in accordance with Section 2518 for a period of seven days from the onset of illness or for the duration of fever if longer. Restrictions on contacts is not required, except at the discretion of the local health officer.
§2602. Psittacosis.

The patient shall be isolated in accordance with Section 2518 during the acute stages. There are no restrictions on contacts.
§2603. Control of Pet Birds.
Note     •     History

(a) The department or local health officers may quarantine any species of pet birds imported into this State from states and countries where psittacosis or other diseases transmitted by pet birds to human beings have been reported by an official agency to be currently prevalent in pet birds. Such quarantine shall remain in effect until removed by the department, or local health officers, following proof that the quarantined birds are not infected with psittacosis or other diseases transmissible by pet birds to human beings.
(b) Whenever a pet bird or birds are suspected to be a source of human disease or a pet bird or birds are infected with a disease which is a potential source of human disease and, in the opinion of the department or local health officers, it is deemed necessary for the protection of the public, the pet bird or birds shall be quarantined. Such quarantine shall remain in effect until the quarantine authority has evidence that the quarantined bird or birds are not a hazard to the public's health. Such evidence may be obtained by the following actions:
(1) A sufficient number of birds, such numbers to be specified by the quarantine authority, are to be provided for laboratory testing in a laboratory approved by the department.
(2) If, upon completion of the necessary laboratory test no evidence is found that the birds are infected with a disease hazardous to human health, they may be released from quarantine. Such release shall be made only by the quarantine authority.
(3) If upon completion of the necessary laboratory test there is evidence that the bird or birds are infected with a disease hazardous to human health, the bird or birds shall remain under quarantine until the hazard has been eliminated to the satisfaction of the quarantine authority.
(4) If, following treatment methods or other methods which may be used to eliminate the hazard in the quarantined bird or birds, the quarantine authority finds that the hazard to humans no longer exists, it may release the bird or birds from quarantine.
(5) The owner of the quarantined bird or birds shall have the option to destroy the quarantined bird or birds if he so desires. In such case the quarantine will be lifted following evidence that the infected premises are thoroughly disinfected.
NOTE

Authority cited: Sections 100275 and 121745, Health and Safety Code. Reference: Section 121745, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(3), (a)(4), (d) and (k) filed 12-15-67; effective thirtieth day thereafter (Register 67, No. 50). For prior history, see Register 65, No. 22.
2. Amendments of subsection (d) filed 8-10-70; effective thirtieth day thereafter (Register 70, No. 33).
3. Amendment of subsections (a) and (f) filed 11-20-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 47).
4. Change without regulatory effect of NOTE (Register 86, No. 32).
5. Change without regulatory effect repealing subsections (a)-(l), relettering subsections, and amending Note filed 1-28-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).
§2603.5. Control of Psittacine Birds.
Note     •     History

NOTE

Authority cited: Sections 208 and 2100, Health and Safety Code. 
HISTORY

1. New section filed 11-2-55 as an emergency; effective upon filing (Register 55,No. 16).
2. Repealer filed 12-19-55; effective thirtieth day thereafter (Register 55, No. 18).
§2604. Rabies, Human.
Note     •     History

The patient shall be isolated in accordance with Section 2518 during the course of the disease. There are no restrictions on contacts of a human case.
NOTE

Authority cited: Sections 102, 208 and 1900-2000, Health and Safety Code.
HISTORY

1. Amendment filed 12-19-57; effective thirtieth day thereafter (Register 57, No. 22).
§2606. Rabies, Animal.
Note     •     History

(a) Reporting. Any person having knowledge of the whereabouts of an animal known to have or suspected of having rabies shall report the facts immediately to the local health officer. The health officer shall likewise be notified of any person or animal bitten by a rabid or suspected rabid animal.
In those areas declared by the Director of the State Department of Health Services to be rabies areas (See Section 1901.2, California Health and Safety Code) the local health officer shall be notified when any person is bitten by an animal of a species subject to rabies, whether or not the animal is suspected of having rabies.
(b) Isolation. Any rabid animal, clinically suspected rabid animal, or biting animal shall be isolated in strict confinement as follows:
(1) Isolation of Rabid Animals or Clinically Suspected Rabid Animals. Any rabid animal or clinically suspected rabid animal shall be isolated in strict confinement under proper care and under the observation of a licensed veterinarian, in a pound, veterinary hospital, or other adequate facility in a manner approved by the local health officer, except where such responsibility has been delegated to a comparable officer by the governing body, and shall not be killed or released for at least 10 days after the onset of symptoms suggestive of rabies, with the exception that such animals may be sacrificed with permission of the local health officer for the purpose of laboratory examination for rabies using the fluorescent rabies antibody (FRA) test in an approved public health laboratory.
(2) Isolation of Biting Animals. At the discretion of the local health officer, any animal which bites or otherwise exposes a person shall be isolated in strict confinement in a place and manner approved by the local health officer and observed for at least 14 days (dogs and cats 10 days) after the day of infliction of the bite, with the exception that the following alternative to the 10 day isolation of dogs and cats is permitted--dogs or cats which have been isolated in strict confinement under proper care and under observation of a licensed veterinarian, in a pound, veterinary hospital, or other adequate facility in a manner approved by the local health officer, may be released from isolation by the local health officer after five days of veterinary observation if upon conducting a thorough physical examination on the fifth day or more after infliction of the bite, the observing veterinarian certifies that there are no clinical signs or symptoms of any disease. Notwithstanding the foregoing provisions, a local health officer may authorize, with permission of the owner and other legal restrictions permitting, the euthanasia of a biting animal for the purpose of laboratory examination for rabies using the fluorescent rabies antibody (FRA) test in an approved public health laboratory.
(3) Isolation of Biting Animals in Officially Declared Rabies Areas. In officially declared rabies areas (see Section 1901.2, California Health and Safety Code) the isolation described in paragraph (2) above shall be mandatory for any animal of a species subject to rabies that has bitten or otherwise exposed a person, with the exception of rodents (members of the order Rodentia) and rabbits and hares (members of the order Lagomorpha).
(4) Laboratory Examination of Rabid Animals, Clinically Suspected Rabid Animals or Biting Animals Which Die or Have Been Killed. If any rabid animal, clinically suspected rabid animal or biting animal dies or has been killed, adequate specimens shall be obtained and examined in a public health laboratory approved by the department. No person shall destroy or allow to be destroyed the brain of an animal of a species subject to rabies that has bitten or otherwise exposed a person before the destruction of such brain has been authorized by the local health department; provided, however, that the provisions of this paragraph (4) shall not apply to rodents (members of the order Rodentia ) and rabbits or hares (members of the order Lagomorpha ).
(c) Animal Contacts. Any animal of a species subject to rabies which has been bitten by a known rabid or suspected rabid animal or has been in intimate contact with a rabid or suspected rabid animal shall be quarantined in a place and manner approved by the local health officer, except where such responsibility has been delegated to a comparable officer by the local governing body, for a period of six months or destroyed, with the exception that the following alternatives are permitted in the case of dogs and cats as follows:
(1) If a dog over one year of age has been vaccinated against rabies within 36 months but not less than 30 days with a rabies vaccine of a type approved by the Department for a maximum immunity duration of at least 36 months, the dog may be revaccinated immediately (within 48 hours) in a manner prescribed by the Department and quarantined in a place and manner approved by the local health officer for a period of 30 days following revaccination.
(2) If a dog under one year of age has been vaccinated against rabies within 12 months but not less than 30 days with a rabies vaccine of a type approved by the Department, the dog may be revaccinated immediately (within 48 hours) in a manner prescribed by the Department and quarantined in a place and a manner approved by the local health officer for a period of 30 days.
(3) If a cat has been vaccinated within one year but not less than 30 days with an annual type feline rabies vaccine or if a cat has been vaccinated under one year of age with a 36-month type of feline rabies vaccine within 12 months but not less than 30 days, the cat may be revaccinated immediately (within 48 hours) in a manner prescribed by the Department and quarantined in a place and manner approved by the local health officer for a period of 30 days following revaccination.
(4) If a cat over one year of age has been vaccinated against rabies and has been vaccinated within 36 months and more than 30 days with a 36-month type feline rabies vaccine, the cat may be revaccinated immediately (within 48 hours) in a manner prescribed by the Department and quarantined in a place and manner approved by a local health officer for a 30-day period following revaccination.
NOTE

Authority cited: Sections 208, 1905 and 3123, Health and Safety Code. Reference: Sections 1901, 1903, 1905, 1907 and 3123, Health and Safety Code.
HISTORY

1. Amendment filed 5-5-71; effective thirtieth day thereafter (Register 71, No. 19). For prior history see Register 65, No. 8.
2. Amendment of subsection (c) filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
3. Amendment filed 1-27-86; effective thirtieth day thereafter (Register 86, No. 5).
§2606.2. Rabies Quarantine.
Note     •     History

If rabies is known to exist within an area, the local health officer may establish a rabies quarantine and shall define the boundaries of the quarantine area and specify the animals subject to quarantine, and all such animals within the quarantined area shall be kept in strict confinement upon the private premises of the owner, keeper or harborer at all times until the quarantine is terminated by the local health officer.
NOTE

Authority cited: Sections 102, 208 and 1900-2000, Health and Safety Code.
HISTORY

1. New section filed 12-19-57; effective thirtieth day thereafter (Register 57, No. 22).
2. Amendment filed 5-5-71; effective thirtieth day thereafter (Register 71, No. 19).
§2606.4. Officially Declared Rabies Areas.
Note     •     History

(a) Administration and Enforcement. For purposes of administration and enforcement of Section 1920, California Health and Safety Code, in officially declared rabies areas, the following shall apply:
(1) Licensing and Vaccination Procedure. The vaccination of dogs four months of age or older as required by subdivision (b), Section 1920, California Health and Safety Code, shall be held a requisite to licensing as required under subdivision (a) therein. Completion of the licensing procedure consists of issuance of a license tag or a vaccination tag bearing the license data and shall be carried out only after presentation of a current valid official vaccination certificate. Current copies of the Compendium of Canine Rabies Vaccines approved by the Department, together with the maximum immunity duration periods prescribed by the Department for each type product, are available upon request from the Veterinary Public Health Unit, Infectious Disease Section, California Department of Health Services, 2151 Berkeley Way, Berkeley, California, 94704, telephone (415) 540-2391.
(2) Vaccination Certificates. Official vaccination certificates must show:
(A) the name, address and telephone number of the dog's owner;
(B) the description of the dog, including breed, color, age, and sex;
(C) the date of immunization;
(D) the type of rabies vaccine administered;
(E) the name of the manufacturer; and
(F) the lot number of the vaccine used.
Such certificates shall bear the signature of the veterinarian administering the vaccine or a signature authorized by him, and in addition such certificate shall be stamped, printed, or typed with his name, address and telephone number for legibility, with the exception that at dog vaccination clinics conducted pursuant to Section 1920(f) of the Health and Safety Code, vaccination certificates approved by the local health officer may be used provided that the specific clinic is identified upon the vaccination certificate and records are maintained containing the information specified under items (E) and (F) above.
(3) Interval Permitted for Procurement of License. The vaccination of dogs four months of age against rabies as required under subdivision (b), Section 1920, California Health and Safety Code, and the license required by subdivision (a) of said section shall be procured not later than 30 days after the dog attains the age of four months. The license renewal shall be procured not later than 60 days after expiration of the previously issued license.
(4) Rabies Control Activities Reporting. During such time as a county is under official declaration as a rabies area, each local official responsible for the various phases of local dog or rabies control within each city, county and city or cities, or county shall make quarterly rabies control activities reports to and on forms furnished by the Department. Such reports shall be submitted to the Department by the local officials responsible for the various phases of local dog or rabies control through the local health officer so as to reach the Department not later than 30 days following each quarter.
(b) Vaccination of Dogs Against Rabies. Dogs shall be considered to be properly vaccinated for the purposes of Section 1920, California Health and Safety Code, when injected at four months of age or older with an approved canine rabies vaccine and revaccinated in accordance with the following conditions:
(1) Primary Immunization. Primary immunization shall be defined as the initial inoculation of an approved canine rabies vaccine administered to young dogs between the ages of 4 to 12 months.
(2) Minimum Age for Rabies Vaccination. The minimum age for which rabies immunization of dogs shall be accepted for purposes of dog-owner compliance with requirements for rabies vaccination and for purposes of issuance of dog licenses (See Section 2606.4(a)(1)) is 4 months.
(3) Revaccination Intervals. Dogs shall be revaccinated one year (12 months) after the primary immunization with an approved type of rabies vaccine. Dogs receiving vaccination after primary immunization or any dog receiving its initial rabies vaccination over 12 months of age shall be revaccinated thereafter at least once every three years (36 months) with an approved type rabies vaccine.
(c) Issuance of Dog Licenses. In no instances shall a dog license be issued for a period beyond the date upon which revaccination is due except, following primary immunization in a local jurisdiction which is on a fixed one-year licensing period, a license may be issued for a period beyond the revaccination date if early revaccination cannot be required in accordance with subdivision (d). 
(d) Notwithstanding the rabies revaccination intervals specified in Section 2606.4(b)(3) above, local authorities may require revaccination prior to issuance of a license provided that revaccination against rabies in no instance shall be required sooner than one year (12 months) following a primary immunization or sooner than 2 years (24 months) following a vaccination of dogs vaccinated over one year (12 months) of age.
NOTE

Authority cited: Sections 208 and 1905, Health and Safety Code. Reference: Sections 1905 and 1920, Health and Safety Code.
HISTORY

1. New section filed 12-19-57; effective thirtieth day thereafter (Register 57, No. 22).
2. Amendment filed 5-5-71; effective thirtieth day thereafter (Register 71, No. 19).
3. Amendment filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
4. Amendment filed 1-27-86; effective thirtieth day thereafter (Register 86, No. 5).
§2606.6. Importation of Dogs.
Note     •     History

All dogs four months of age or older imported into this State for any purpose shall be accompanied by a certificate issued by a licensed veterinarian, stating that the dog or dogs have been vaccinated against rabies within 30 months of the date of importation for dogs vaccinated over 12 months of age or within 12 months for dogs vaccinated under 12 months of age with a canine rabies vaccine of a type approved by the Department for an immunity duration of at least 36 months.
NOTE

Authority cited: Sections 208 and 1905, Health and Safety Code. Reference: Sections 1905 and 1920(b), Health and Safety Code.
HISTORY

1. New Section filed 12-19-57; effective thirtieth day thereafter (Register 57, No. 22).
2. Amendment filed 5-5-71; effective thirtieth day thereafter (Register 71, No. 19).
3. Amendment filed 5-20-77; effective thirtieth day thereafter (Register 77, No. 21).
4. Amendment filed 1-27-86; effective thirtieth day thereafter (Register 86, No. 5).
§2606.8. Skunk Rabies.
Note     •     History

(a) Due to the presence of rabies in skunks in California and in many other states and the resultant hazard to the public health of rabies developing in skunks kept as pets, no person shall:
(1) trap or capture skunks for pets,
(2) trap, capture or hold skunks in captivity for sale, barter, exchange or gift,
(3) transport skunks from or into the state except as provided under (b) below.
(b) The importation of skunks into California or the exportation of skunks from the State is prohibited except by permit from the California State Department of Health Services to a recognized zoological garden or a research institution.
NOTE

Authority cited: Sections 208 and 1905, Health and Safety Code. Reference: Section 1905, Health and Safety Code.
HISTORY

1. New section filed 10-1-62; effective thirtieth day thereafter (Register 62, No. 21).
2. Amendment filed 1-27-86; effective thirtieth day thereafter (Register 86, No. 5).
§2608. Relapsing Fever.
History

(a) (Tick-borne). There are no restrictions on case or contacts.
(b) (Louse-borne) Cases and Suspect Cases to Be Reported by Telephone or Telegraph. (See Section 2501(c).) The patient shall be confined during the clinical phase of the disease in a dwelling or room free of rodents or lice. There are no restrictions on contacts. All lice and louse eggs on the patient's body, hair, or clothing shall be destroyed. Household contacts shall be louse-free.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2610. Rheumatic Fever, Acute.
History

There are no restrictions on case or contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2611. Rocky Mountain Spotted Fever.
History

There are no restrictions on case or contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2612. Salmonella Infections (Other Than Typhoid Fever).
Note     •     History

(a) Any illness in which organisms of the genus Salmonella (except the typhoid bacillus) have been isolated from feces, blood, urine or pathological material shall be reported as a Salmonella infection. A culture of the organisms on which the diagnosis is established shall be submitted first to a local public health laboratory and then to the State Microbial Diseases Laboratory for definitive identification. The period of isolation in accordance with Section 2518 shall be until clinical recovery. The patient shall be subject to supervision by the local health officer who may require, at his discretion, release specimens of feces for testing in a laboratory approved by the State Department of Health Services.
However, no patient shall be released from supervision to engage in any occupation involving the preparation, serving or handling of food, including milk, to be consumed by individuals other than his immediate family, nor to engage in any occupation involving the direct care of children or of the elderly or of patients in hospitals or other institutional settings until two successive authentic specimens of feces taken at intervals of not less than 24 hours, beginning at least 48 hours after cessation of specific therapy, if any was administered, have been determined, by a public health laboratory approved by the State Department of Health Services to be negative for Salmonella organisms. (See Section 2534.)
(b) Carriers. Any person who harbors Salmonella organisms three months after onset is defined as a convalescent carrier and may be restricted at the discretion of the local health officer.
Any person continuing to harbor Salmonella organisms one year after onset is a chronic carrier. Any person who gives no history of having had Salmonellosis or who had the illness more than one year previously who is found to harbor Salmonella organisms on two successive specimens taken not less than 48 hours apart is also considered to be a chronic carrier.
Chronic carriers of Salmonella, other than S. typhosa, shall be restricted at the discretion of the local health officer.
(c) Contacts. Restrictions on contacts shall be at the discretion of the local health officer.
NOTE

Authority cited: Sections 208 and 3123, Health and Safety Code. Reference: Section 3123, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment filed 10-18-61; effective thirtieth day thereafter (Register 61, No. 21).
3. Amendment filed 11-25-83; effective thirtieth day thereafter (Register 83, No. 48).
§2612.1. Turtle Salmonellosis.
Note     •     History

(a) Except as otherwise provided in this section, it shall be unlawful to import, sell or offer for sale or distribution to the public any live turtle(s) with a carapace length of less than 4 inches.
(b) The Department or any authorized representative thereof, or any local health officer or his representative may order the humane destruction of any turtle(s) that are unlawful to import, sell or offer for sale or distribution to the public under subsection (a) above.
(c) The Department or any authorized representative thereof, or any local health officer or his representative may quarantine turtles, take samples of tank water or any other appropriate samples of or from turtles offered for sale or distribution for the purpose of testing for Salmonella and Arizona organisms. The Department or any local health officer may order the immediate humane destruction of any lot of turtles found contaminated with Salmonella, Arizona, or other organisms which may cause or have caused disease in humans. 
(d) Shipments of turtles under 4 inches in carapace length are permitted to a governmental agency, or to a recognized research or educational institution for research or teaching purposes or to a zoological garden for display.
(e) The following warning shall be posted conspicuously for buyer information at every display of turtles for retail sale or distribution or where the public may come in contact with turtles: 
CAUTION: Turtles may transmit bacteria causing disease in humans. It is important to wash the hands thoroughly after handling turtles or material that had contact with turtles. Do not allow water or any other substance that had contact with turtles to come in contact with food or areas where food is prepared. Make sure that these precautions are followed by children and others handling turtles.
(f) For each sale of turtle(s) at retail, a sales slip shall be issued by the seller to the purchaser at time of the sale. The sales slip shall include the name, address and telephone number of the purchaser and the seller, and the date of sale. The sales slip shall have printed legibly on its front the warning statement contained in subsection (e) above. The seller shall keep a copy of the sales slip, which shall include the name, address and telephone number of the purchaser for not less than one year, and keep a complete record of all purchases, losses and other dispositions of turtles.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Sections 205, 3051-3053, Health and Safety Code.
HISTORY

1. New section filed 10-5-72; effective thirtieth day thereafter (Register 72, No. 41).
2. Amendment filed 10-7-77; effective thirtieth day thereafter (Register 77, No. 41).
§2613. Shigella Infections (Dysentery, Bacillary).
Note     •     History

(a) The period of isolation in accordance with Section 2518 shall be until the acute symptoms have subsided.
The patient shall be subject to supervision by the local health officer who may require, at his discretion, release specimens of feces for testing in a laboratory approved by the State Department of Health Services. However, no patient shall be released from supervision to engage in any occupation involving the preparation, serving or handling of food, including milk, to be consumed by individuals other than his immediate family, nor to engage in any occupation involving the direct care of children or of the elderly or of patients in hospitals or other institutional settings until two successive authentic specimens of feces or of rectal swabs, taken at intervals of not less than 24 hours, beginning at least 48 hours after cessation of specific therapy, if any was administered, have been determined, by a public health laboratory approved by the State Department of Health Services, to be negative for Shigella organisms. (See Section 2534.)
(b) Contacts. Restrictions on contacts shall be at the discretion of the local health officer.
NOTE

Authority cited: Sections 208 and 3123, Health and Safety Code. Reference: Section 3123, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment filed 10-18-61; effective thirtieth day thereafter (Register 61, No. 21).
3. Amendment filed 11-25-83; effective thirtieth day thereafter (Register 83, No. 48).
§2614. Smallpox (Variola). Cases and Suspect Cases to Be Reported by Telephone.
Note     •     History

(See Section 2502(c).)
(a) Patient. The patient shall be isolated in accordance with Section 2516 until the scabs have separated and the scars have completely healed.
(b) Household Contacts. Household contacts shall be quarantined for at least 17 days after last exposure, except that the local health officer may, at his discretion, when the patient is properly isolated, release from quarantine persons who shall submit to vaccination against smallpox and prove to the satisfaction of the local health officer that the vaccination is successful. Such persons shall remain in quarantine until released by the local health officer.
(c) Casual Contacts. A person who has been exposed to the risk of contracting the disease by proximity to a case or to a suspected case of smallpox, shall be quarantined for a period not less than 17 days from the last date of exposure. Such persons may be released from quarantine if evidence of protection against smallpox is established to the satisfaction of the local health officer.
(d) Vaccination. The local health officer shall provide at public expense, as available, smallpox vaccination for persons who have been exposed to a case or suspected case of smallpox. 
(e) Laboratory. Whenever a laboratory receives a specimen for the laboratory diagnosis of smallpox (variola), such laboratory shall communicate immediately by telephone with the State Department of Health Services Viral Rickettsial Disease Laboratory for instruction.
NOTE

Authority cited: Sections 100180, 100275, 120130 and 120145, Health and Safety Code. Reference: Sections 100180, 100275, 120130, 120190, 120195 and 120215, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment of section heading and section and new Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section and new Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
§2616. Streptococcal Infections, Hemolytic (Including Scarlet Fever and Streptococcal Sore Throat).
History

(a) The patient shall be isolated in accordance with Section 2518 for not less than seven days from onset. Patients treated with an effective antibiotic may be released upon clinical recovery.
(b) Contacts. Household contacts should be kept under frequent medical observation for the development of streptococcal disease. Restriction on contacts is not required, except at the discretion of the local health officer.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2617. Syphilis.

(See Section 2636 on Venereal Diseases.)
§2618. Tetanus.
History

There are no restrictions on case or contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2620. Trachoma.

The patient shall be isolated in accordance with Section 2518 during the acute stages and when not under medical treatment satisfactory to the health officer. There are no restrictions on contacts.
§2622. Trichinosis.

The local health officer shall make an investigation to determine the source of infection. If the suspected source is a commercial food product, the health officer shall report the fact at once to the State Department of Public Health. There are no restrictions on case or contacts.
§2624. Tuberculosis.
History

A person having or suspected of having tuberculosis in a communicable stage shall be considered as fulfilling the requirements of modified isolation as long as he is under adequate medical supervision and observes the instructions issued by the local health officer. The isolation shall be adequate for the protection of persons residing within the household as well as the public.
A person having tuberculosis in a communicable stage, who refuses to observe the instructions of the local health officer and thereby needlessly exposes others to infection, shall be placed in strict isolation at home until such time as the local health officer feels that such isolation is no longer necessary for the protection of the public; and, in the event that such household isolation proves inadequate for the protection of members of the household or community, the patient shall be placed in isolation in quarters designated by the local health officer, until such time as such isolation is no longer necessary for the protection of the public.
The person officially in charge of a sanatorium or other place where tuberculosis patients are cared for shall be responsible for immediately notifying the health officer in whose territory a patient resides whenever such patient having tuberculosis in a communicable stage leaves the institution.
In every case in which a non-communicable tuberculous patient has been placed in a nursing home the local health officer or his deputy shall be responsible for the continued surveillance of such a patient to ensure that he remains non-communicable.
HISTORY

1. Amendment filed 12-22-69; effective thirtieth day thereafter (Register 69, No. 52).
§2626. Tularemia. Cases and Suspect Cases to Be Reported by Telephone.
Note     •     History

(See Section 2502(c).)
There are no restrictions on case or contacts. Whenever a laboratory receives a specimen for the laboratory diagnosis of suspected human tularemia, such laboratory shall communicate immediately by telephone with the State Department of Health Services Microbial Diseases Laboratory for instruction.
NOTE

Authority cited: Sections 100180, 100275 and 120130, Health and Safety Code. Reference: Sections 100180, 100275, 120130 and 120190, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment of section heading and section and new Note filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section and new Note refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
§2628. Typhoid Fever.
Note     •     History

(a) Case. A culture of the organism on which the diagnosis of typhoid fever is established shall be submitted first to a local public health laboratory and then to the State Microbial Diseases Laboratory for phage typing. The patient shall be isolated in accordance with Section 2518 until clinical recovery. The patient shall remain subject to supervision by the local health officer until three successive specimens of feces and urine taken at least 24 hours apart, beginning at least one week after discontinuation of specific therapy and not earlier than one month after onset of disease, have been found negative for typhoid bacilli at a public health laboratory approved by the State Department of Health Services. If any one of this series is positive, cultures of both urine and feces shall be repeated at intervals of 1 month during the 12-month period following onset, until at least three sets of negative cultures are obtained. The patient shall not take any part in the preparation, serving, or handling of milk or other food to be consumed by individuals other than his immediate family, or participate in the management of a dairy, milk distributing plant, boarding house, restaurant, food store, or any place where food is prepared or stored, or engage in any occupation involving the direct care of young children or the elderly or of patients in hospitals or other institutional settings until release specimens have been obtained, as described above, and are negative for typhoid organisms. (See Section 2534.)
(b) Contacts. There are no restrictions on contacts, except that any member of the patient's household shall not take part in the preparation, serving, or handling of milk or other food to be consumed by individuals, other than the immediate family except at the discretion and under the restrictions of the local health officer.
(c) Definition of Carriers. (1) Convalescent Carriers: Any person who harbors typhoid bacilli for three or more months after onset is defined as a convalescent carrier. Convalescent carriers may be released when three consecutive negative specimens of feces and urine taken at intervals of not less than one month, beginning at least one week after discontinuation of specific therapy are obtained. Such release may be granted at any time from 3-12 months after onset.
(2) Chronic Carriers: If the person continues to excrete typhoid bacilli for more than 12 months after onset of typhoid fever, he is defined as a chronic carrier. Any person who gives no history of having had typhoid fever or who had the disease more than one year previously, and whose feces or urine are found to contain typhoid bacilli on two separate examinations at least 48 hours apart, confirmed by State Microbial Diseases Laboratory, is also defined as a chronic carrier. All carriers shall be reported to the local health officer. Such reports shall be kept confidential and shall not be divulged to persons other than the carrier and his immediate family, except as may be required for the protection of the public health.
(3) Other Carriers: A person should be held under surveillance if typhoid bacilli are isolated from surgically removed tissues, organs, e.g., gallbladder, kidney, etc., or from draining lesions such as osteomyelitis. If the person continues to excrete typhoid bacilli for more than 12 months he is defined as a chronic carrier and may be released after satisfying the criteria for other chronic carriers.
(d) Carrier Restrictions and Supervision. When any known or suspected carrier of this disease is reported to the local health officer, he shall make an investigation and submit a report to the State Department of Health Services. He shall have performed laboratory work as defined in subsection (e) below. Any known or suspected carrier of this disease shall be subject to modified isolation and the provisions of this isolation shall be considered as fulfilled during such period as he complies with the instructions issued by the State Department of Health Services and the local health officer.
(1) Restrictions. Instructions shall be given to the carrier in writing by the local health officer.
(2) Supervision. The local health officer or his representative shall communicate with each carrier living within his jurisdiction at least twice a year to learn of any changes in the carrier's address, occupation or activities and to determine whether all instructions are being carried out. The local health officer shall submit a report to the State Department of Health Services every six months on each carrier in his jurisdiction. Any changes of address shall be reported immediately.
(e) Laboratory Tests. Whenever laboratory tests are required for the release of typhoid cases or carriers, the tests shall be taken by the local health officer or his representatives under such conditions that he can certify as to their being authentic specimens of the individual, and shall be submitted to a public health laboratory approved by the State Department of Health Services. Cultures from release specimens which are found positive by the approved laboratory shall be forwarded to the State Division of Laboratories for phage typing.
(f) Requirements for Release of Chronic Carriers. Authority for Release of Carriers. Any person ascertained to be a chronic typhoid carrier may be released from supervision by the Director of the State Department of Health Services or his designated representative provided the carrier applies for such release through his local health officer and fulfills the requirements specified by the Director of the State Health Department or his designated representative.
(1) Fecal Carriers. A person who has been determined to be a chronic fecal carrier may be released if six successive authentic stool and urine specimens taken at intervals of not less than one month are determined to be negative by a public health laboratory approved by the State Department of Health Services. If any one of these specimens is positive, he shall not be released unless the carrier condition has been cured by cholecystectomy, or by such other methods as are acceptable to the State Department of Health Services. The necessary requirements for such release will be submitted to the carrier and to the local health officer by the State Department of Health Services when application for the release is submitted.
(2) Cholecystectomy. The local health officer or, in areas not served by a local health department, the Director of the State Department of Health Services, shall be notified before a cholecystectomy is undertaken unless a specimen of duodenal contents, containing bile, has been found positive for typhoid bacilli, since in some cases the infection is not localized in the gall bladder. The patient shall be released under the same conditions as outlined for a fecal carrier.
(3) Urinary Carriers. A person who has been determined to be a chronic urinary carrier may be released if six successive authentic urine specimens taken at intervals of not less than one month are determined to be negative by a public health laboratory approved by the State Department of Health Services. If any one of these specimens is positive, he may be released following the surgical removal of the infected kidney or by such other methods as are acceptable to the State Department of Health Services. The necessary requirements for such release will be submitted to the carrier and to the local health officer by the State Department of Health Services when application for the release is submitted.
NOTE

Authority cited: Sections 208 and 3123, Health and Safety Code. Reference: Section 3123, Health and Safety Code.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
2. Amendment filed 10-18-61; effective thirtieth day thereafter (Register 61, No. 21).
3. Amendment filed 11-25-83; effective thirtieth day thereafter (Register 83, No. 48).
§2630. Typhus Fever (Flea-Borne, Endemic Type).
History

The patient shall be confined during the clinical phase of the disease in a dwelling or room free of rodents, fleas or lice. There are no restrictions on contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
§2632. Typhus Fever (Louse-Borne, Epidemic Type). Cases and Suspect Cases to Be Reported by Telephone or Telegraph.
History

(See Section 2501(c).) The patient shall be confined during the clinical phase of the disease in a dwelling or room free of rodents or lice. All lice and louse eggs on the patient's body, hair, or clothing shall be destroyed. Household contacts shall be louse-free. There are no other restrictions on contacts.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8.)
§2636. Venereal Diseases.
Note     •     History

(a) Sections 2636 to 2636(m) inclusive pertain to the venereal diseases and, unless otherwise specified, shall include syphilis, gonococcus infection, granuloma inguinale, lymphogranuloma venereum, and chancroid. (See Chapter 765, Statutes 1947; also Section 21100, Health and Safety Code.)
(b) Reports Confidential. Reports of examinations, cases, investigations and all records thereof made under the regulations for the control of venereal diseases shall be confidential and not open to public inspection and no part thereof divulged, except as may be necessary for the preservation of the public health.
(c) Report of Unusual Prevalence. When the local health officer, through investigation, becomes aware of unusual prevalence of venereal diseases, or of unusual local conditions favoring the spread of these diseases, he shall report the fact at once to the State Department of Health Services.
(d) Parents or Guardians Responsible for Compliance of Minors. The parents or guardians of minors suffering from a venereal disease shall be legally responsible for the compliance of such minors with the requirements of the regulations relating to the venereal diseases.
(e) Certification. Each local health officer shall take every proper means of repressing prostitution, inasmuch as it is the most prolific source of the venereal diseases. Health officers and physicians shall not issue certificates of freedom from venereal diseases to known prostitutes, as such certificates may be used for purposes of solicitation.
(f) Diagnosis. The local health officer may require the submission of such specimens as may be designated from cases of venereal disease for examination in a laboratory approved by the State Department of Health Services. The local health officer may require any physician in attendance on a person infected with a venereal disease or suspected of being infected with a venereal disease to submit such specimens as approved by the State Department of Health Services provided, however, nothing shall prevent the physician or individual from having additional examination made elsewhere.
(g) Instruction to the Patient. It shall be the duty of the physician in attendance on a person having a venereal disease, or suspected of having a venereal disease, to instruct such patient in precautionary measures for preventing the spread of the disease, the seriousness of the disease, and the necessity for treatment and prolonged medical supervision, and the physician shall, in addition, furnish approved literature on these subjects. Approved literature for distribution to patients may be secured from the State Department of Public Health and the local health departments free of charge.
(h) Investigation. All city, county and other local health officers are hereby directed to use every available means to ascertain the existence of, and immediately to investigate, all reported or suspected cases of venereal disease in the infectious stages within their several territorial jurisdictions, and to ascertain the sources of such infections. The attending physician, in every case of venereal disease coming to him for treatment, shall endeavor to discover the source of infection, as well as any sexual or other intimate contacts which the patient was in the communicable stage of the disease. The physician shall make an effort, through the cooperation of the patient, to bring these cases in for examination and, if necessary , treatment. If, within 10 days of identification, any such source of infection or any such contact has not given satisfactory evidence of being under the care of a physician, such person shall be reported to the health officer, the physician's name being kept confidential in any investigation by the health department. In cases in which prostitutes are named as sources of infection, all obtainable information as to name, description, residence, etc., shall be given to the health officer at once.
In carrying out such investigations, all health officers are hereby invested with full powers of inspection, examination and isolation of all persons known to be infected with a venereal disease in an infectious stage, or suspected of being infected with a venereal disease in an infectious stage and are hereby directed:
(1) To make such examinations as are deemed necessary of persons reasonably suspected of having a venereal disease in an infectious stage.
(2) When the individual to be examined is a woman, to provide the services of a woman physician if such physician is available, when so requested by the individual to be examined.
(3) To isolate such person, whenever deemed necessary for the protection of the public health. In establishing isolation the health officer shall proceed as provided in Sections 2636(i), 2636(j), 2636(l) and 2636(m).
(4) Pursuant to Section 3194.5 of the Health and Safety Code, a person employed by a Public Health Department shall meet the following training requirements as a prerequisite to the performance of venipuncture or skin puncture:
(A) Possess a statement signed by a licensed physician and surgeon stating that the individual named in such statement has received adequate training in the proper procedure to be employed in the performance of venipuncture and skin puncture.
(B) In order to receive such statement, the venereal disease case investigator shall be trained by a licensed physician and surgeon. The trainee shall observe and receive sufficient instruction and demonstration of the proper technique and procedure to be employed in the performance of venipunctures and skin punctures; in turn, the physician and surgeon shall then observe the procedure and technique of the trainee.
(C) When such training has been completed by the trainee to the satisfaction of the physician and surgeon, such physician and surgeon shall execute a statement that the venereal disease case investigator has received adequate training in the proper procedure to be employed in the performance of venipuncture and skin puncture.
Satisfaction of these training requirements shall be in addition to other requirements of Section 3194.5 of the Health and Safety Code.
(i) Isolation. Any person who presents himself (or herself) to any physician or person for treatment or diagnosis of any venereal disease except late syphilis shall be considered to be in modified isolation. The requirements of this isolation shall be considered fulfilled if the patient remains under adequate and proper treatment until the completion of the course of treatment, except in instances in which, because of occupation, suspicion of prostitution, or other reason, the health officer deems more strict isolation necessary to safeguard other persons.
(j) Violation of Isolation to be Reported. Whenever any person while in the infectious or potentially infectious stage of a venereal disease, lapses from treatment for a period of more than 10 days after the time appointed for such treatment, the said diseased person shall be deemed to have violated the requirements of isolation, and the physician or person in attendance upon such case shall report the same at once to the local health department, giving the person's name, address, and report number, together with such other information as requested on the card provided for this purpose, except that this shall not be required in instances in which a report has been received that the patient is under treatment elsewhere.
(k) If any person has knowledge that a person infected with a venereal disease is failing to observe adequate precautions to prevent spreading infection, he shall report the facts at once to the local health officer.
(l) Gonorrhea. A case of gonococcus infection of the genitourinary tract shall be regarded as subject to isolation until the local health officer is reasonable satisfied that the disease is no longer communicable.
(m) Syphilis. A case of syphilis shall be regarded as subject to isolation until, under treatment, all syphilitic lesions of the skin or mucous membrane are completely healed and a competent clinical examination fails to show the presence of any area from which infection may be spread. Any patient who refuses or otherwise fails to receive a full course of a currently accepted method of treatment, or who discontinues treatment prematurely, may be subjected to strict isolation if the health officer deems it necessary.
NOTE

Authority cited: Sections 102.208 and 3194.5, Health and Safety Code. Reference: Section 3194.5, Health and Safety Code.
HISTORY

1. New subsection (h)(4) filed 2-14-73; effective thirtieth day thereafter (Register 73, NO. 7).
§2638. Viral Hemorrhagic Fevers (e.g., Crimean-Congo, Ebola, Lassa and Marburg Viruses). Cases and Suspect Cases to Be Reported by Telephone.
Note     •     History

(See Section 2502(c).)
(a) Patient. The patient shall be isolated in accordance with Section 2516. Strict barrier isolation and patient blood, secretion and excreta precautions shall be enforced. The patient shall be instructed to refrain from unprotected sexual activity until secretions are free of virus or for 3 months after illness onset.
(b) Laboratory. Whenever a laboratory receives a specimen for laboratory diagnosis of suspected viral hemorrhagic fevers, such laboratory shall communicate immediately by telephone with the State Department of Health Services Viral and Rickettsial Disease Laboratory for instructions.
NOTE

Authority cited: Sections 100180, 100275, 120130, 120145 and 120175, Health and Safety Code. Reference: Sections 100180, 100275, 120130, 120185, 120190, 120195, 120215 and 120240, Health and Safety Code.
HISTORY

1. New section filed 11-5-2001 as an emergency; operative 11-5-2001 (Register 2001, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-5-2002 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-1-2002 as an emergency; operative 3-1-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-2002 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-1-2002 order transmitted to OAL 6-26-2002 and filed 7-16-2002 (Register 2002, No. 29).
§2640. Yellow Fever Cases and Suspect Cases to Be Reported by Telephone or Telegraph.
History

(See Section 2501(c).) The case shall be confined during the clinical phase of the disease in a room satisfactorily protected against mosquitoes. Contacts shall be kept under observation for a period of seven days after the date of last exposure.
HISTORY

1. Amendment filed 5-24-55; effective thirtieth day thereafter (Register 55, No. 8).
Article 3.5. Reporting of Human Immunodeficiency Virus (HIV) Infection
Subarticle 1. Definitions
§2641.5. Alternative Testing Site.
Note     •     History

“Alternative Testing Site” means an anonymous HIV testing site funded by the California Department of Public Health, administered by a county health department and operated pursuant to Health and Safety Code, Sections 120890-120895. 
NOTE

Authority cited: Sections 120125, 120130, 131080 and 131200, Health and Safety Code. Reference: Sections 120175, 120775, 120885-120895, 121025, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New article 3.5 (subarticles 1 and 4), subarticle 1 (sections 2641.5-2641.90) and section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Amendment of section and Note filed 2-6-2008; operative 2-6-2008 (Register 2008, No. 6).
§2641.10. Anonymous Counseling and Testing Program.
Note     •     History

“Anonymous Counseling and Testing Program” means a program offering HIV counseling and testing while maintaining anonymity of the patient. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.15. Anonymous HIV Test.
Note     •     History

“Anonymous HIV Test” means an HIV test that maintains the anonymity of the patient. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.20. Biological Specimen.
Note     •     History

“Biological specimen” means any material that is derived from the human body. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Section 1206, Business and Professions Code; and Sections 100180, 101160, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.25. Confidential HIV Test.
Note     •     History

“Confidential HIV Test” means an HIV test that links the test results to the patient in a restricted manner to protect against unauthorized disclosure of the identity of the patient. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.30. Confirmed HIV Test.
Note     •     History

“Confirmed HIV test” means: 
(a) a procedure which verifies the presence of HIV infection as determined by any clinical laboratory test or HIV Test Algorithm or examination used to detect the presence of HIV, a component of HIV, or antibodies to or antigens of HIV, including the HIV antibody (HIV-Ab), HIV p-24 antigen, Western blot (Wb), and immunofluorescence antibody tests; or 
(b) for the purpose of this Article, all tests used to monitor HIV infection, including HIV nucleic acid detection. 
NOTE

Authority cited: Sections 120125, 120130, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 1206, 1206.5, 1241, 1265 and 1281, Business and Professions Code; and Sections 101150, 101160, 120175, 120775, 120885-120895, 121025, 120917, 121022, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Amendment of subsection (a) and Note filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) and Note refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and Note refiled with further amendment of Note 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order, including further amendment of subsection (a), transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2641.35. Department.
Note     •     History

“Department” means the California Department of Public Health, Office of AIDS. 
NOTE

Authority cited: Sections 120125, 120130, 131080 and 131200, Health and Safety Code. Reference: Sections 120175, 120775, 120885-120895, 121025, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Amendment of section and Note filed 2-6-2008; operative 2-6-2008 (Register 2008, No. 6).
§2641.45. Health Care Provider.
Note     •     History

“Health care provider” means an individual who obtains the results of an HIV test or HIV test algorithm or submits a biological specimen to a laboratory for a test to detect the presence of HIV, a component of HIV or antibodies to or antigens of HIV, receives the test results and is; 
(a) licensed under the provisions of Business and Professions Code, Division 2 (Healing Arts) and acting within his or her scope of practice, or; 
(b) a designee of a physician and surgeon acting under the general supervision of that physician or surgeon, or; 
(c) a person working in a publicly-funded confidential counseling and testing program acting under the general supervision of, and following the protocols approved by, the local Health Officer for the local health department. 
NOTE

Authority cited: Sections 101160, 120125, 120130, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 1206, 1206.5, 1241, 1281 and 1285, Business and Professions Code; and Sections 120175, 120775, 120885-120895, 120917, 121022, 121025, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Amendment of first paragraph and Note filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment of first paragraph and Note refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of first paragraph and Note refiled with further amendment of Note 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order, including further amendment of first paragraph, transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2641.50. Health Officer and Local Health Officer.
Note     •     History

“Health Officer and Local Health Officer” means the officer appointed by the local governing body (county, city, and district), as defined in Section 2500. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.55. HIV/AIDS Case Report.
Note     •     History

“HIV/AIDS Case Report” means California Department of Public Health HIV/AIDS Confidential Case Report form, Adult (CDPH 8641A (05/07)) or Pediatric (CDPH 8641P (05/07)), hereby incorporated by reference in this Article and available from the local health department or the Department. 
NOTE

Authority cited: Sections 120125, 120130, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 120175, 120775, 120885-120895, 121022, 121025, 121035, 131019, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Amendment of section and Note filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled with further amendments 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled with further amendment of Note 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order, including further amendment of section, transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2641.56. HIV/AIDS Confidentiality Agreement.
Note     •     History

“HIV/AIDS Confidentiality Agreement” means California Department of Public Health HIV/AIDS Confidentiality Agreement form (CDPH 8689 (05/07)), hereby incorporated by reference and available from the Department.
NOTE

Authority cited: Sections 120125, 120130, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 120175, 120775, 120820, 120885-120895, 120975, 120980, 121022, 121025, 121035, 121110, 131019, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New section filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled with further amendment of Note 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-21-2007 order, including further amendment of section and Note, transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2641.57. HIV Test Algorithm.
Note     •     History

“HIV test algorithm” means any multi-test procedure that determines the presence of HIV infection using confirmation protocols published in the Centers for Disease Control and Prevention's Morbidity and Mortality Weekly Report (MMWR).
NOTE

Authority cited: Sections 120125, 120130, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 1206 and 1220, Business and Professions Code; and Sections 120917, 121022, 131051, 131052 and 131056, Health and Safety Code.
HISTORY

1. New section filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled with further amendment of Note 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-21-2007 order, including further amendment of section, transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2641.60. Laboratory.
Note     •     History

“Laboratory” means a `clinical laboratory,' a `physician office laboratory,' or a `public health laboratory,' as defined in Business and Professions Code, Section 1206, that is authorized to perform clinical laboratory tests or examinations in California, or a clinical laboratory located outside of the State of California that is licensed pursuant to Business and Professions Code Section 1241(a) and that tests specimens originating in California. 
NOTE

Authority cited: Sections 1224 and 1288, Business and Professions Code; and Sections 100180, 100275, 101160, 120125 and 120130, Health and Safety Code. Reference: Sections 1206, 1220, 1241, 1265 and 1281, Business and Professions Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.65. Laboratory Test.
Note     •     History

“Laboratory test” means a clinical laboratory test or examination as defined in Business and Professions Code, Section 1206(a)(4) and performed by a laboratory as defined in this Article. 
NOTE

Authority cited: Sections 1224 and 1288, Business and Professions Code; and Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 1202.5 and 1206, Business and Professions Code; and Section 101160, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.70. Local Health Department.
Note     •     History

“Local health department” means the governing body providing public health services to cities and/or counties, as identified in Health and Safety Code, Section 101185. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.75. Non-Name Code. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100180, 100275, 120125, 120130 and 120140, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Repealer filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2641.77. Partial Non-Name Code. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100180, 100275, 120125, 120130 and 120140 Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Repealer filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2641.80. Personal Information.
Note     •     History

“Personal information” means an individual's complete Social Security Number, complete name or surname, home address, California driver's license or identification number, electronic mail address or telephone number. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.85. Publicly-Funded Confidential Counseling and Testing Program.
Note     •     History

“Publicly-funded Confidential Counseling and Testing Program” means a program financed by federal, state or local governmental agencies that provides confidential HIV tests to patients. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
§2641.90. Soundex Code.
Note     •     History

“Soundex code” means a phonetic, alphanumerical formula which is used to convert the first letter and sequential consonants of an individual's surname into an algorithm. The Soundex code instructions are identified by the Department as form DHS 8641 SC (9/01), hereby incorporated by reference in this Article. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
Subarticle 4. Reporting Requirements
§2643.5. HIV Reporting by Health Care Providers.
Note     •     History

(a) Each health care provider that orders a laboratory test used to identify HIV, a component of HIV, or antibodies to or antigens of HIV shall submit to the laboratory performing the test a pre-printed laboratory requisition form which includes all documentation as specified in 42 CFR 493.1105 (57 FR 7162, Feb. 28, 1992, as amended at 58 FR 5229, Jan. 19, 1993) and adopted in Business and Professions Code, Section 1220.
(b) The person authorized to order the laboratory test shall include the following when submitting information to the laboratory: 
(1) Complete name of patient; and 
(2) Patient date of birth (2-digit month, 2-digit day, 4-digit year); and 
(3) Patient gender (male, female, transgender male-to-female, or transgender female-to-male); and 
(4) Date biological specimen was collected; and 
(5) Name, address, telephone number of the health care provider and the facility where services were rendered, if different. 
(c) Each health care provider shall, within seven calendar days of receipt from a laboratory of a patient's confirmed HIV test or determination by the health care provider of a patient's confirmed HIV test, report the confirmed HIV test to the local Health Officer for the jurisdiction where the health care provider facility is located. The report shall consist of a completed copy of the HIV/AIDS Case Report form. 
(1) All reports containing personal information, including HIV/AIDS Case Reports, shall be sent to the local Health Officer or his or her designee by:
(A) courier service, U.S. Postal Service Express or Registered mail, or other traceable mail; or
(B) person-to-person transfer with the local Health Officer or his or her designee.
(2) The health care provider shall not submit reports containing personal information to the local Health Officer or his or her designee by electronic facsimile transmission or by electronic mail or by non-traceable mail.
(d) HIV reporting by name to the local Health Officer, via submission of the HIV/AIDS Case Report, shall not supplant the reporting requirements in Article 1 of this Subchapter when a patient's medical condition progresses from HIV infection to an Acquired Immunodeficiency Syndrome (AIDS) diagnosis. 
(e) A health care provider who receives notification from an out-of-state laboratory of a confirmed HIV test for a California patient shall report the findings to the local Health Officer for the jurisdiction where the health care provider facility is located. 
(f) When a health care provider orders multiple HIV-related viral load tests for a patient, or receives multiple laboratory reports of a confirmed HIV test, the health care provider shall be required to submit only one HIV/AIDS Case Report, per patient, to the local Health Officer. 
(g) Nothing in this Subchapter shall prohibit the local health department from assisting health care providers to report HIV cases.
(h) Information reported pursuant to this Article is acquired in confidence and shall not be disclosed by the health care provider except as authorized by this Article, other state or federal law, or with the written consent of the individual to whom the information pertains or the legal representative of that individual. 
NOTE

Authority cited: Sections 120125, 120130, 120140, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 1202.5, 1206, 1206.5, 1220, 1241, 1265 and 1281, Business and Professions Code; and Sections 1603.1, 101160, 120175, 120250, 120775, 120885-120895, 120917, 120975, 120980, 121015, 121022, 121025, 121035, 121085, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New subarticle 4 (sections 2643.5-2643.20) and section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Amendment of section and Note filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 8-21-2007 with further amendment of Note as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order, including redesignation of former subsections (c)(1)A. and (c)(1)B. as subsections (c)(1)(A) and (c)(1)(B), transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2643.10. HIV Reporting by Laboratories.
Note     •     History

(a) The laboratory director or authorized designee shall, within seven calendar days of determining a confirmed HIV test, report the confirmed HIV test to the Health Officer for the local health jurisdiction where the health care provider facility is located. The report shall include the: 
(1) Complete name of patient; and 
(2) Patient date of birth (2-digit month, 2-digit day, 4-digit year); and
(3) Patient gender (male, female, transgender male-to-female, or transgender female-to-male); and
(4) Name, address, and telephone number of the health care provider and the facility that submitted the biological specimen to the laboratory, if different; and 
(5) Name, address, and telephone number of the laboratory; and 
(6) Laboratory report number as assigned by the laboratory; and 
(7) Laboratory results of the test performed; and 
(8) Date the biological specimen was tested in the laboratory; and
(9) Laboratory Clinical Laboratory Improvement Amendments (CLIA) number.
(b)(1) All reports containing personal information, including laboratory reports, shall be sent to the local Health Officer or his or her designee by:
(A) courier service, U.S. Postal Service Express or Registered mail, or other traceable mail; or
(B) person-to-person transfer with the local Health Officer or his or her designee.
(2) The laboratory shall not submit reports containing personal information to the local Health Officer or his or her designee by electronic facsimile transmission or by electronic mail or by non-traceable mail.
(c) A laboratory that receives incomplete patient data from a health care provider for a biological specimen with a confirmed HIV test, shall contact the submitting health care provider to obtain the information required pursuant to Section 2643.5(b)(1)-(5), prior to reporting the confirmed HIV test to the local Health Officer. 
(d) If a laboratory transfers a biological specimen to another laboratory for testing, the laboratory that first receives the biological specimen from the health care provider shall report confirmed HIV tests to the local Health Officer. 
(e) Laboratories shall not submit reports to the local health department for confirmed HIV tests for patients of an Alternative Testing Site or other anonymous HIV testing program, a blood bank, a plasma center, or for participants of a blinded and/or unlinked seroprevalence study. 
(f) When a California laboratory receives a biological specimen for testing from an out-of-state laboratory or health care provider, the California director of the laboratory shall ensure that a confirmed HIV test is reported to the state health department in the state where the biological specimen originated. 
(g) When a California laboratory receives a report from an out of state laboratory that indicates evidence of a confirmed HIV test for a California patient, the California laboratory shall notify the local Health Officer and health care provider in the same manner as if the findings had been made by the California laboratory. 
(h) Information reported pursuant to this Article is acquired in confidence and shall not be disclosed by the laboratory except as authorized by this Article, other state or federal law, or with the written consent of the individual to whom the information pertains or the legal representative of the individual. 
NOTE

Authority cited: Section 1224, Business and Professions Code; and Sections 120125, 120130, 120140, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 1206, 1206.5, 1209, 1220, 1241, 1265, 1281 and 1288, Business and Professions Code; and Sections 101150, 120175, 120775, 120885-120895, 120975, 120980, 121022, 121025, 121035, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. Amendment of section and Note filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled with further amendment of Note 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order, including redesignation of former subsections (b)(1)A. and (b)(1)B. as subsections (b)(1)(A) and (b)(1)(B), transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2643.15. HIV Reporting by Local Health Officers.
Note     •     History

(a) The local Health Officer or his or her authorized designee shall match and unduplicate laboratory reports of confirmed HIV tests with the local health department HIV/AIDS registry database and with HIV/AIDS Case Reports received from health care providers and not entered into the database. 
(b) The Health Officer or his or her authorized designee shall, within 45 calendar days of receipt of a laboratory report of a confirmed HIV test, submit unduplicated HIV/AIDS Case Reports to the Department. 
(1) HIV/AIDS Case Reports shall be sent by courier service, U.S. Postal Service Express or Registered mail, or other traceable mail to the California Department of Public Health, Office of AIDS, HIV/AIDS Case Registry. 
(2) The local Health Officer or his or her authorized designee shall not report confirmed HIV tests for patients of an Alternative Testing Site or other anonymous counseling and testing program, a blood bank, a plasma center, or for participants of a blinded and/or unlinked HIV seroprevalence study. 
(c) The local Health Officer or his or her authorized designee shall not submit an HIV/AIDS Case Report to the Department for an infant under the age of 18 months, unless the infant's HIV infection is confirmed. 
(d) All local health department employees and contractors shall sign the HIV/AIDS Confidentiality Agreement prior to accessing confidential HIV-related public health records. All HIV/AIDS Confidentiality Agreements shall be renewed at least once per year.
(e) Information reported pursuant to this Article is acquired in confidence and shall not be disclosed by the local Health Officer or his or her authorized designee except as authorized by this Article, other state or federal law, or with the written consent of the individual to whom the information pertains or the legal representative of the individual. 
NOTE

Authority cited: Sections 120125, 120130, 120140, 121022, 131080 and 131200, Health and Safety Code. Reference: Sections 120175, 120775, 120820, 120885-120895, 120975, 120980, 121015, 121022, 121025, 121035, 121085, 131019, 131051, 131052, 131056 and 131080, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
2. New subsection (d), subsection relettering and amendment of Note filed 1-8-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 1-8-2007 (Register 2007, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-8-2007 or emergency language will be repealed by operation of law on the following day.
3. New subsection (d), subsection relettering and amendment of Note refiled 4-18-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 5-9-2007 (Register 2007, No. 16). A Certificate of Compliance must be transmitted to OAL by 9-6-2007 or emergency language will be repealed by operation of law on the following day.
4. New subsection (d), subsection relettering and amendment of Note refiled with further amendment of Note 8-21-2007 as an emergency pursuant to Health and Safety Code section 121022, subdivision (c); operative 9-7-2007 (Register 2007, No. 35). A Certificate of Compliance must be transmitted to OAL by 1-7-2008 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-21-2007 order, including further amendment of subsection (b)(1), transmitted to OAL 12-21-2007 and filed 2-6-2008 (Register 2008, No. 6).
§2643.20. HIV Reporting Exemptions.
Note     •     History

Alternative Testing Sites; other anonymous or unlinked HIV testing programs; blood banks; plasma centers; and blinded and/or unlinked seroprevalence studies are exempt from these HIV reporting regulations. 
NOTE

Authority cited: Sections 100180, 100275, 120125 and 120130, Health and Safety Code. Reference: Sections 100180, 120175, 120775, 120885-120895 and 121025, Health and Safety Code. 
HISTORY

1. New section filed 5-2-2002; operative 7-1-2002 (Register 2002, No. 18).
Article 4. Approval Procedures for Canine Rabies Vaccines
§2650. Canine Rabies Vaccine Advisory Committee.
Note     •     History

The Director shall appoint a Canine Rabies Vaccine Advisory Committee consisting of 6 to 8 members. The Committee's responsibility shall be to assist the Department in evaluating the effectiveness of canine rabies vaccines. Membership shall include individuals with recognized professional expertise in at least one of the fields of immunology, virology, epidemiology, public health and veterinary medicine. Committee members shall serve without compensation but shall be reimbursed for actual and necessary expenses incurred during service on the committee. Canine rabies vaccines that have been approved by the Animal and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture, shall be evaluated for the degree of effectiveness by the Canine Rabies Vaccine Advisory Committee. In order to evaluate vaccine effectiveness the committee shall:
(a) Review test data submitted by canine rabies vaccine manufacturing firms, for approval of canine rabies vaccines.
(b) Make recommendations for Departmental approval or disapproval of canine rabies vaccines.
(c) Make recommendations concerning approval of any variances from the established standards for acceptance of canine rabies vaccines.
NOTE

Authority cited: Section 1920(b), Health and Safety Code. Reference: Section 1920(b), Health and Safety Code.
HISTORY

1. New section filed 09-07-90; operative 10-07-90 (Register 90, No. 44).
§2651. Approval of Canine Rabies Vaccines.
Note     •     History

(a) In order for a canine rabies vaccine to be approved for use in California, it shall adhere to the following requirements:
(1) Meet Animal and Plant Health Inspection Service (APHIS) standards for sterility and safety. Evidence of product conformance to APHIS Standards will be demonstrated by the United States Department of Agriculture (USDA) product licensing; and
(2) If an inactivated vaccine, it shall have a minimal relative potency (RP) at vaccination of at least 2.0 as determined by the National Institute of Health (NIH)Test for potency or if a modified live virus (MLV) vaccine it shall meet USDA potency Requirements; and
(3) Demonstrate an immunity duration of three or more years based on an immunity duration challenge study conducted in conformity with section 2652; and
(4) Comply with the origin and integrity of Rabies Vaccine Virus Requirements in section 2653.
NOTE

Authority cited: Section 1920(b), Health and Safety Code. Reference: Section 1920(b), Health and Safety Code.
HISTORY

1. New section filed 09-07-90; operative 10-07-90 (Register 90, No. 44).
§2652. Immunity Duration-Challenge Studies.
Note     •     History

(a) The demonstration of an acceptable immunity duration of three or more years, as shown by adequate challenge studies in dogs, shall be required. However, the above challenge study shall not suffice for acceptance of a subsequent multiple vaccine product that contains the same rabies vaccine as one of two or more component vaccines.
(b) Vaccine Trial Protocols. Vaccine trial protocols shall be submitted to the Department by vaccine manufacturers prior to beginning the immunity duration challenge study. The protocol shall include animals, materials, methods and procedures. The protocol shall include the identification number of each animal, its source and/or that of its mother, if applicable, sex, age, breed and the name, address, and telephone number of a contact person who can verify personal knowledge of the dog's vaccination history. Annual progress reports and a final report of the immunity-duration challenge study shall be submitted to the Department. The reports shall include by date for each dog its rabies antibody titers, other immunizations, medications, illnesses, unusual events and death, if applicable, as well as any changes or developments in reference to animals, materials, methods, and procedures. The Department shall supply firms with an outline to report the foregoing information. The outline will include the following items: 
(1) “Protocol for Proposed Rabies Vaccine Immunity Duration Challenge Study”; 
(2) “Procedures and Preliminary Data Attending Initiation of Canine Rabies Vaccine Immunity Duration Challenge Study”; 
(3) “Progress Report: One Year Postvaccination”; 
(4) “Progress Report: Two Years Postvaccination”; 
(5) “Final Report”; 
(6) “Results of Challenge”; and 
(7) “Progress Report for Three Years Postvaccination.”
The Veterinary Public Health Unit, 714 P Street, Room 760, Sacramento, California 95814 will provide this outline upon request.
(c) Dogs Used in Studies. No pound dogs or other dogs of undeterminable rabies vaccination history shall be used in the study. Dogs shall be obtained from the original owner since birth or have verifiable histories. Groups of vaccinates and control dogs shall be of approximately equal composition, according to numbers, sex ratio (approximately 50:50), age, and origin. As much as is possible, dogs of uniform size or conformation shall be used. No dog shall be used which has had prior rabies immunization or which has detectable serum rabies neutralizing antibodies. Dogs under 8 months of age used in studies shall not originate from rabies-immunized mothers. No dog shall be over 1 1/2 years of age at vaccination or when set aside as a control.
(d) Size of Challenge Groups. Challenge groups, both vaccinates and nonimmunized controls, shall each consist of 30 or more dogs at challenge. Any additional (extra or back-up) dogs, intended to replace vaccinates or controls that die prior to challenge, shall be included in either the vaccinate or the control group prior to the initiation of the study and subsequently treated, sampled and reported on as either a vaccinate dog or as a control dog. The use of additional sets of vaccinate and/or control dogs to be challenged simultaneously, or at an earlier or later date, shall not be recognized as representative of separate trials. Instead, the serological results subsequent to vaccination and the reactions to challenge of all groups, sets, and individual dogs shall be included in the overall analysis on a cumulative basis. Failed antibody response or failed reaction to challenge at any time shall disqualify subsequent trial phases.
(e) Route and Site of Vaccination. MLV vaccines shall be inoculated intramuscularly at one site in the thigh. Inactivated vaccines may be inoculated by any single route and single site which provides the required protection against challenge at least 3 years post vaccination and is shown to be safe. The exact site and route of inoculation shall be described.
(f) New Route and/or Site of Vaccination. If a firm changes its recommended route and/or site of vaccination of a previously approved vaccine, the vaccine shall be tested as a new product, and the firm shall complete another satisfactory immunity duration-challenge study of 3 years or greater duration before the new route and/or site of vaccination shall be approved.
(g) Additional Vaccinations. Excepting food and water, no vaccinate or control dog shall be exposed to any vaccine, drug, or other substance by any route within three weeks prior to any bleeding for antibody test or within three weeks prior to or at any time after challenge with rabies virus except at euthanasia.
(h) Serology. Standard serum virus-neutralization tests done in mice (MSNT) or the rapid rabies fluorescent focus inhibition test (RFFIT) shall be used in comparing the immunogenicity of different products. No substitute test reagents or substitute tests shall be accepted.
(1) Test results shall be reported for the vaccinate group and controls. Serum virus-neutralization titrations shall be performed on sera of (1) all dogs prior to vaccination; (2) vaccinates at the end of post vaccination months 1, 3, 6, 9, 12, 18, 24, 30 and 36 just prior to challenge; (3) controls at the end of month 36 just prior to challenge; and (4) survivors just prior to euthanasia.
(2) At years post vaccination, all vaccinate dogs shall have demonstrable serum rabies antibody titers, the median titer being equal to, or greater than, 1:15 by the MSNT or an equivalent test.
(3) At 3 years post vaccination, at least 90 per cent of vaccinates shall have demonstrable titers by the MSNT, the median titer being equal to, or greater than, 1:10 by the MSNT or an equivalent test.
(i) Incidental Deaths or Deletions. There shall be a complete accounting for all dogs used in the study, including any that die or are killed after the start of the study or any withdrawn from participation for any reason. Each such dog shall be accounted for by dates and details of illness, treatment and death, the cause of death with supportive diagnostic test results, and rabies serology records. Each such dog shall be tested for rabies infection by Fluorescent Rabies Antibody (FRA) test followed by the mouse inoculation test if the FRA test is negative.
(j) Challenge Virus and Dose. The challenge virus inoculum shall be infective carnivore salivary gland suspension supernate of a North American carnivore “street” rabies virus. The dose of challenge virus given shall be estimated by titration prior to challenge and confirmed by titration of residual challenge inoculum. The dose of challenge virus shall be as low as possible while still achieving a mortality of 80 - 100 per cent in controls. The dose given each dog shall not exceed 200,000 mouse intracranial 50 percent lethal doses (MICLD50), or a demonstrably equivalent dose as determined by an alternate method of titration.
(k) Challenge Route and Procedure. Only challenge virus inoculum shall be inoculated into the masseter muscles of vaccinate dogs or control dogs at any time. Challenge virus shall be inoculated intramuscularly into the masseter muscles, the viral dose being divided into two equal parts for bilateral inoculation. Should a challenge route or site other than the intramasseter route be used, the firm employing the route or site shall demonstrate in a trial previously approved by the Department, the effectiveness and appropriateness of the post challenge holding period and compensate for any related increase in incubation period and decrease in susceptibility. All animals, vaccinates and controls, shall be challenged at the same time, either on an alternate basis (i.e., a vaccinate, followed by a control, followed by a vaccinate, etc.) or the vaccinates shall be challenged first and the controls challenged immediately afterwards. A separate needle and a separate syringe shall be used for each dog.
(l) Individual Enclosure for Each Challenged Dog. Each dog shall be kept in an individual enclosure, preventing its contact with any other animal.
(m) Post challenge Observation Period. Challenged dogs, retained in isolation, shall be observed for a minimum of 90 days prior to final bleeding, euthanasia, and rabies testing of their brains.
(n) Mortality in Challenged Animals. With rare exceptions, all vaccinates shall survive challenge. Eighty to one hundred percent of challenged controls shall die of rabies.
(o) Confirmatory Rabies Diagnostic Tests on Brains of Dogs that Die and on Brains of Survivors. Brains of dogs that die and brains of dogs that survive challenge shall be tested by fluorescent rabies antibody (FRA) test, followed by mouse-inoculation test if the former is negative; dead mice shall be confirmed as rabies-infected by FRA test on their brains. Dogs that die at any time following administration of a live virus vaccine shall be tested for possible rabies vaccine virus infection, using tests suitable to disclose, recover, and identify the strain of vaccine virus.
NOTE

Authority cited: Section 1920(b), Health and Safety Code. Reference: Section 1920(b), Health and Safety Code.
HISTORY

1. New section filed 09-07-90; operative 10-07-90 (Register 90, No. 44).
§2653. Origin and Integrity of Rabies Vaccine Virus.
Note     •     History

The Department shall be provided with comprehensive information on the origin, passage level, and sub-passage history of rabies viruses used in the development and production of rabies vaccines being submitted for approval. The integrity of the rabies virus used in the production of the vaccine shall be maintained without further modification once the vaccine is approved for use in the Department's rabies control program.
NOTE

Authority cited: Section 1920(b), Health and Safety Code. Reference: Section 1920(b), Health and Safety Code.
HISTORY

1. New section filed 09-07-90; operative 10-07-90 (Register 90, No. 44).
Subchapter 2. Adult Health
HISTORY

1. Repealer of Subchapter 2 (Sections 2700, 2705, 2710 and 2711) filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39). For prior history, see Register 58, No. 10.
Subchapter 2.5. Disorders Characterized by Lapses of Consciousness
Article 1. Definitions
§2800. Activities of Daily Living.
Note     •     History

“Activities of daily living” means bathing, dressing, feeding oneself, brushing one's teeth, and performing more complex tasks such as grocery shopping, cooking, management of personal finances, and operating a motor vehicle.
NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. New subchapter 2.5 (articles 1-2, sections 2800-2812), article 1 (sections 2800-2808) and section filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
§2802. Alzheimer's Disease and Related Disorders.
Note     •     History

“Alzheimer's disease and related disorders” means those illnesses that damage the brain causing irreversible, progressive confusion, disorientation, loss of memory and judgment.
NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. New section filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
§2804. Diagnose.
Note     •     History

“Diagnose” means to identify the existence of a medical condition in a patient.
NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. New section filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
§2806. Disorders Characterized by Lapses of Consciousness.
Note     •     History

(a) “Disorders characterized by lapses of consciousness” means those medical conditions that involve:
(1) a loss of consciousness or a marked reduction of alertness or responsiveness to external stimuli; and
(2) the inability to perform one or more activities of daily living; and
(3) the impairment of the sensory motor functions used to operate a motor vehicle.
(b) Examples of medical conditions that do not always, but may progress to the level of functional severity described in subsection (a) of this section include Alzheimer's disease and related disorders, seizure disorders, brain tumors, narcolepsy, sleep apnea, and abnormal metabolic states, including hypo- and hyperglycemia associated with diabetes.
NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. New section filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
§2808. Sensory Motor Functions.
Note     •     History

“Sensory motor functions” means the ability to integrate seeing, hearing, smelling, feeling, and reacting with physical movement, such as depressing the brake pedal of the car to stop the car from entering an intersection with a green traffic light to avoid hitting a pedestrian crossing the street.
NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. New section filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
Article 2. Reporting
§2810. Reporting Requirements.
Note     •     History

(a) Except as provided in Section 2812, a physician and surgeon shall notify the local health officer within seven (7) calendar days of every patient 14 years of age or older, when a physician and surgeon has diagnosed a disorder characterized by lapses of consciousness (as defined in Section 2806) in a patient.
(b) The report prepared pursuant to subsection (a) of this section shall include:
(1) The name, address, date of birth, and diagnosis of the patient; and
(2) The name, address, and phone number of the physician and surgeon making the report.
NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. New article 2 (sections 2810-2812) and section filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
§2812. Exceptions to Reporting.
Note     •     History

A physician and surgeon shall not be required to notify the local health officer of a patient with a disorder characterized by lapses of consciousness if:
(a) The patient's sensory motor functions are impaired to the extent that the patient is unable to ever operate a motor vehicle, or
(b) The patient states that he or she does not drive and states that he or she never intends to drive, and the physician and surgeon believes these statements made by the patient are true, or
(c) The physician and surgeon previously reported the diagnosis and, since that report, the physician and surgeon believes the patient has not operated a motor vehicle, or
(d) There is documentation in the patient's medical record that another physician and surgeon reported the diagnosis and, since that report, the physician and surgeon believes the patient has not operated a motor vehicle.
NOTE

Authority cited: Sections 100275 and 103900, Health and Safety Code. Reference: Section 103900, Health and Safety Code.
HISTORY

1. New section filed 5-17-2000; operative 10-2-2000 (Register 2000, No. 20).
Subchapter 3. Services for Physically Handicapped Children
Group 1. Minimum Standards for the Care of Physically Handicapped Children for Local Communities in California
Article 1. General
§2890. Confidential Nature of Crippled Children's Records.
Note     •     History

NOTE

Authority cited: Sections 208, 249, 268, and 271, Health and Safety Code.
HISTORY

1. New section filed 6-22-50 as an emergency; effective upon filing (Register 20, No. 6). For history of Group 1, see note to § 2900.
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2900. Case Finding and Reporting.
Note     •     History

NOTE

Authority cited for § 2900 to 2904, inclusive: Sections 208 and 249, Health and Safety Code.
HISTORY

1. New Group 1 (§ 2900 to 2904, inclusive) filed 12-28-45; effective thirtieth day thereafter (Register 3).
2. Sections renumbered 2900 to 2905, inclusive, and new Section 2901 filed 3-4-47; effective thirtieth day thereafter (Register 7).
3. Amended Group 1 (§ 2900 to 2905, inclusive) filed 2-8-52; effective thirtieth day thereafter (Register 27, No. 3).
4. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2901. Definition.
Note     •     History

NOTE

Authority cited: Sections 208 and 429.35, Health and Safety Code. Reference: Section 429.35, Health and Safety Code.
HISTORY

1. Amendment filed 9-18-52; effective thirtieth day thereafter (Register 29, No. 6).
2. Repealer and new section filed 5-7-75; effective thirtieth day thereafter (Register 75, No. 19).
3. Amendment of subsection (a)(20) and new subsection (a)(21) filed 5-10-79 as an emergency; effective upon filing (Register 79, No. 19).
4. Certificate of Compliance transmitted to OAH 9-7-79 and filed 9-12-79 (Register 79, No. 37).
5. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2902. Records and Reports.
History

HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2903. Diagnostic Services.
Note     •     History

NOTE

Additional authority cited: Section 1509, Health and Safety Code.
HISTORY

1. Amendment filed 12-8-55; effective thirtieth day thereafter (Register 55, No. 18).
2. Amendment filed 2-9-67; effective thirtieth day thereafter (Register 67, No. 6).
3. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2904. Treatment.
History

HISTORY

1. Amendment filed 12-8-55; effective thirtieth day thereafter (Register 55, No. 18).
2. Amendment filed 2-9-67; effective thirtieth day thereafter (Register 67, No. 6).
3. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2905. After-Care Services.
History

HISTORY

1. Amendment filed 4-29-53; effective thirtieth day thereafter (Register 53, No. 8).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2906. Authorization for Services.
Note     •     History

NOTE

Authority cited: Sections 102 and 208, Health and Safety Code, Reference: Art. 2, Ch. 2, Pt. 1, Div. 1, Health and Safety Code.
HISTORY

1. New section filed 10-3-63; effective thirtieth day thereafter (Register 63, No. 17).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
Article 2. Immunization Adverse Reaction Fund
§2907. Bone Marrow Transplantation for Cancer.
Note     •     History

NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 273, Health and Safety Code.
HISTORY

1. New section filed 12-26-86; effective thirtieth day thereafter (Register 86, No. 52).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2910. Program Administration.
Note     •     History

NOTE

Authority cited: Sections 208 and 429.35, Health and Safety Code. Reference: Section 429.35, Health and Safety Code.
HISTORY

1. New Article 2 (Sections 2910-2914, not consecutive) filed 5-10-79 as an emergency; effective upon filing (Register 79, No. 19).
2. Certificate of Compliance transmitted to OAH 9-7-79 and filed 9-12-79 (Register 79, No. 37).
3. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2912. Use of Fund.
Note     •     History

NOTE

Authority cited: Sections 208 and 429.35, Health and Safety Code. Reference: Section 429.35, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2914. Extensive Medical Care.
Note     •     History

NOTE

Authority cited: Sections 208 and 429.35, Health and Safety Code. Reference: Section 429.35, Health and Safety Code.
HISTORY

1. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
Article 3. Podiatrist and Family Practice Physician Services
§2920. California Children Services (CCS).
Note     •     History

NOTE

Authority cited: Section 208 (a), Health and Safety Code. Reference: Section 255.5 and 255.6, Health and Safety Code.
HISTORY

1. New section filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2921. California Children Services (CCS) Panel.
Note     •     History

NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Sections 255.5 and 255.6, Health and Safety Code.
HISTORY

1. New section filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2922. Expertise in the Care of Children.
Note     •     History

NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 255.6, Health and Safety Code.
HISTORY

1. New section filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
§2923. General Supervision.
Note     •     History

NOTE

Authority cited: Section 208(a), Health and Safety Code. Reference: Section 255.5, 262 and 268, Health and Safety Code.
HISTORY

1. New section filed 6-3-87; operative 7-3-87 (Register 87, No. 24).
2. Change without regulatory effect pursuant to Section 100, Title 1, California Code of Regulations, repealing section filed 3-9-90 (Register 90, No. 13). (ED. NOTE: See Title 22, Division 2, Subdivision 7, Sections 41610-42801, not consecutive.)
Article 4. Genetically Handicapped Persons Program
§2930. Genetically Handicapped Persons Program.
Note     •     History

The Genetically Handicapped Persons Program (GHPP) is a health care program within the California Children Services (CCS) Branch which provides medical care and other related services for persons with the genetically handicapping conditions specified in Section 2932 of this chapter.
NOTE

Authority cited: Sections 208(a) and 341, Health and Safety Code. Reference: Section 341, Health and Safety Code.
HISTORY

1. New section filed 12-28-87 as an emergency; operative 12-28-87 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-27-88.
2. Certificate of Compliance transmitted to OAL 4-4-88 and filed 5-4-88 (Register 88, No. 19).
§2931. California Children Services/Genetically Handicapped Persons Program Special Care Center.
Note     •     History

(a) A California Children Services (CCS)/Genetically Handicapped Persons Program (GHPP) Special Care Center is a medical center which provides diagnostic and treatment services (inpatient, outpatient and home) to CCS clients under 21 years of age who have GHPP eligible conditions, and to GHPP clients over 21 years of age.
(b) California Children Services/Genetically Handicapped Persons Program Special Care Centers include the following:
(1) Hemophilia Center
(2) Cystic Fibrosis Center
(3) Sickle Cell Disease Center
(4) Specified Inherited Neurologic Disease Center
(5) Amniocentesis Center
(6) Metabolic Disease Center
NOTE

Authority cited: Sections 208(a) and 341, Health and Safety Code. Reference: Sections 340, 341 and 342, Health and Safety Code.
HISTORY

1. New section filed 12-28-87 as an emergency; operative 12-28-87 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-27-88.
2. Certificate of Compliance transmitted to OAL 4-4-88 and filed 5-4-88 (Register 88, No. 19).
§2932. Medical Eligibility--Conditions.
Note     •     History

(a) The following medical conditions are eligible for services through the GHPP program:
(1) Hemophilia, which includes any congenital hereditary hemorrhagic state due to a defect in the hemostatic mechanism resulting from a deficiency or abnormality in one of the plasma clotting factors or platelets including:
(A) Factor I deficiency
(B) Factor II deficiency
(C) Factor V deficiency
(D) Factor VII deficiency
(E) Factor VIII deficiency
(F) Factor IX deficiency
(G) Factor X deficiency
(H) Factor XI deficiency
(I) Factor XIII deficiency
(J) von Willebrand's Disease
(K) Congenital hereditary platelet deficiency diseases or dysfunction such as congenital thrombasthenia (Glanzman's thrombasthenia) and thrombocytopathia
(2) Cystic fibrosis
(3) Hemoglobinopathies with anemia including:
(A) Sickle Cell Disease, but not sickle cell trait
(B) Thalassemia
(4) Chronic degenerative neurological diseases:
(A) Huntington's Disease
(B) Joseph's Disease
(C) Friedreich's Ataxia, genetic ataxias due to spinocerebellar degeneration.
1. Hereditary spastic paraplegia
2. Roussy-Levy Syndrome
3. Olivopontocerebellar degeneration
4. Refsum's disease
5. Charcot-Marie-Tooth Syndrome
(5) The following metabolic diseases:
(A) Disorder of amino-acid transport and metabolism
1. Phenylketonuria
2. Other disturbances of armoatic amino-acid metabolism
a. Tyrosinemia
3. Disturbances of branched chain amino-acid metabolism
a. Disturbances of metabolism of leucine, isoleucine, valine
b. Hypervalinemia
c. Intermittent branched-chain ketonuria
d. Leucine-induced hypoglycemia
e. Leucinosis
f. Maple syrup urine disease
g. Propionic and methylmalonic acidemias
h. Lactic and pyruvate metabolism disorders
i. Hereditary orotic (pyrimidine acidemia)
4. Disturbances of sulphur bearing amino-acid metabolism
a. Homocystinuria
b. Hypermethioninemia
5. Urea cycle disorders
a. Argininosuccinic aciduria
b. Citrullinemia
c. Disorders of metabolism of ornithine, citrulline, argininossuccinic acid, arginine, and ammonia
d. Hyperammonemia
e. Hyperornithinemia
(B) Disorders of carbohydrate transport and metabolism
1. Galactosemia
a. Galactose-1-phosphate uridyl transferase deficiency
b. Galactosuria
(C) Disorders of copper metabolism
1. Wilson's disease
NOTE

Authority cited: Sections 208(a) and 341, Health and Safety Code. Reference: Sections 341 and 341.5, Health and Safety Code.
HISTORY

1. New section filed 12-28-87 as an emergency; operative 12-28-87 (Register 88, No. 2). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-27-88.
2. Certificate of Compliance transmitted to OAL 4-4-88 and filed 5-4-88 (Register 88, No. 19). 
Group 2. Registration as School Audiometrists
Article 1. General
§2950. Qualifications.
Note     •     History

The qualifications required for registration as school audiometrist shall be as follows:
(a) Satisfactory completion of required training in audiology, audiometry and hearing assessment at an accredited university or college. Such training must include a minimum of eight quarter hours, or equivalent, academic and practical preparation in audiology, identification audiometry and hearing assessment in courses approved by the Hearing Conservation Specialist of the State Department of Health Services. If the applicant completed the required training more than five years prior to the date of application for registration, the applicant must have had at least one year of verified supervised experience in the interim in the administration of hearing tests to school children in the public or parochial schools, or in other tax maintained educational institutions in this State. Verification will be documented in writing by the applicant's supervisor.
(b) Public health nurses and credentialed school nurses may either fulfill the requirements of subsection (a) or demonstrate satisfactory completion, at an accredited university or college, of a four quarter hours, or equivalent, hearing assessment course approved by the Hearing Conservation Specialist of the Department of Health Services.
(c) For purposes of subsections (a) and (b) accreditation of colleges or universities shall be by one of the following accrediting associations:
(1) New England Association of School and Colleges.
(2) Middle States Association of Colleges and Secondary Schools.
(3) North Central Association of Colleges and Secondary Schools.
(4) Northern Association of Schools and Colleges.
(5) Southern Association of Colleges and Schools.
(6) Western Association of Schools and Colleges.
(d) Applicants for registration as school audiometrists shall complete State Form Application for Registration as School Audiometrist PM 101 and submit the completed form to the State Department of Health Services, 714 P Street, Sacramento, CA 95814.
(e) A registration fee of $10.00 shall accompany each application.
(f) An applicant for registration as school audiometrist shall receive written notification informing the applicant that the application is complete and approved, or that the application is deficient and what specific information is required. Notification must occur within two weeks of receipt of the application by the State Department of Health Services. This two week time period is a median based on a minimum of one week and maximum of three weeks actual performance in 1985 and 1986.
(g) Within four weeks of receipt of an approved application, the State Department of Health Services shall issue a certification of registration to the applicant.
NOTE

Authority cited: Sections 208 and 1686, Health and Safety Code. Reference: Sections 1685 and 1686, Health and Safety Code; and Section 44879, Education Code, and Section 15374 et seq., Government Code.
HISTORY

1. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26). For prior history, see Register 69, No. 8.
2. Amendment of subsection (d) filed 6-25-86 as an emergency; effective upon filing (Register 86, No. 26). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-23-86.
3. Certificate of Compliance transmitted to OAL 10-17-86 and filed 11-17-86 (Register 86, No. 47).
4. Amendment filed 7-7-87; operative 8-6-87 (Register 87, No. 29).
§2951. Testing Standards.
Note     •     History

Schools conducting hearing testing shall comply with the following criteria:
(a) Equipment.
(1) Hearing threshold tests.
(A) Pure tone audiometers used for testing of hearing thresholds shall be those manufactured to meet or exceed specifications for wide range or limited range audiometers as defined by American National Standards Institute (ANSI) Specification Section 3.6-1969, Subsection 2.1.1 (published in 1969) and shall be maintained to meet such specifications. Such audiometers shall be designed to operate from alternating current supply voltages and meet the stability standards defined in Subsection 4.6 of American National Standards Institute (ANSI) Section 3.6-1969 Specifications.
(2) Hearing screening test.
(A) Pure tone audiometers used for hearing screening tests shall be those manufactured to meet or exceed specifications for wide range audiometers or limited range audiometers as defined by the American National Standards Institute (ANSI) Section 3.6-1969, Subsections 2.1.1 and 2.1.2 and shall be maintained to meet such specifications.
(B) Pure tone audiometers used for hearing screening tests shall not be battery powered. Audiometers in use on the effective date of the amendment to the regulations may be utilized until they no longer meet American National Standards Institute (ANSI) Section 3.6-1969 Specifications, Subsections 1 through 4.9.2.
(3) Care of equipment.
(A) Audiometric testing personnel shall be trained in the proper care of the testing equipment.
(B) Biological checks.
Audiometric testing personnel shall maintain continuous surveillance of the audiometer used, by performing biological checks as follows:
1. Daily. A brief biological check of the audiometer shall be made each day the audiometer is in use. The check shall consist of testing each earphone on a person with stable audiometric thresholds that do not exceed 25 decibel hearing level at any frequency tested between 500 Hertz and 4000 Hertz and comparing the test results with the subject's baseline audiogram. The subject may be the audiometrist.
2. Monthly. A detailed biological check of the audiometer which includes a careful listening test of earphones to insure that the audiometer displays no evidence of
a. Cross talk;
b. Signal distortion;
c. Transient clicks;
d. Abnormal noise; or,
e. Intermittent signal.
(C) Calibration.
1. An electroacoustic calibration check of audiometers shall be made at least every 12 months, or more frequently if indicated by the biological checks, and meet or exceed the specifications outlined in Subsections 1 through 4.9.2., American National Standards for Audiometers, published by the American National Standards Institute (ANSI), Inc. (published in 1969).
2. A calibration chart, showing proof of performance, shall be kept with the audiometer.
(b) Test environment.
(1) For audiometric threshold testing and screening testing, the environmental noise level shall not exceed 41.5 decibel sound pressure level in the 500 Hertz band, 49.5 decibel sound pressure level in the 1000 Hertz band, and 54.5 decibel sound pressure level in the 2000 Hertz band, and 62 decibel sound pressure level in the 4000 Hertz band; or,
(2) The test environment shall be considered adequate if the noise levels do not cause a threshold shift greater than 10 decibels at those frequencies which must be included in a pure tone conduction threshold test. This procedure may be performed on the audiometris.
(c) Testing procedures.
(1) Each pupil shall be given a hearing screening test in kindergarten or first grade and in second, fifth, eighth, tenth or eleventh grade and first entry into the California public school system.
(A) A school district may request a waiver of the hearing screening test for tenth and/or eleventh grade pupils once each school year. The request for a waiver must be in writing and addressed to the State Department of Health Services, Hearing Conservation Specialist. The waiver request must include the dates of the school year for which the waiver is requested and an alternative testing plan that will insure that each pupil at risk of hearing loss will receive testing services. Pupils at risk of hearing loss are: those exposed to loud noises, including loud music; pupils that have been referred for testing by a parent or teacher; repeat tests for those pupils for whom there was a previously documented problem, pupils who have not had a hearing test for three years; and any pupil who has enrolled for the first time in the school district. An approved waiver of the hearing screening test does not exempt a school district from reporting requirements contained in Section 2951, (e).
(B) Each pupil enrolled in a special education program (as described in Section 56001 of the Education Code), other than those pupils enrolled for a hearing problem, shall be given a hearing test when enrolled in the program and every third year thereafter. Hearing tests may be given more frequently as needed, based on the individual education program team's evaluation of each individual pupil.
(2) Pure tone audiometric screening tests shall be conducted at a level not to exceed 25 decibels and shall include the frequencies 1000, 2000 and 4000 Hertz. A pupil's failure to respond to any of the required frequencies constitutes a failure of the screening test. Individual tests may be used for pupils of all ages. Group tests may only be used for pupils who demonstrate reliable results.
(3) Pure tone air conduction threshold tests shall include the frequencies 500, 1000, 2000 and 4000 Hertz and shall be given to:
(A) All pupils who fail the screening tests;
(B) All pupils who are to be considered for further audiological or otological evaluation.
(d) Referral. The schools shall provide the parents or guardians of children who fail the hearing tests with a written notification of the test results and recommend that a medical and audiological evaluation be obtained whenever the test demonstrates:
(1) A hearing level of 30 decibels or greater for two or more frequencies in an ear at 500, 1000, 2000 or 4000 Hertz, or a hearing level of 40 decibels or greater for one of the frequencies tested, 500 through 4000 Hertz, on two threshold tests completed at an interval of at least two weeks; or
(2) There is evidence of pathology, such as an infection of the outer ear, chronic drainage, or a chronic earache.
(e) Reporting results.
(1) Dates and results of all screening hearing testing shall be recorded on each pupil's health record. Copies of all threshold tests shall be filed with the pupil's health records.
(2) Each school shall prepare an annual report of the school hearing testing program using Annual Report of Hearing Testing forms, PM 100, provided by the State Department of Health Services with copies to the district superintendent and the county superintendent of schools.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 1685 and 1686, Health and Safety Code; and Sections 44879 and 56001, Education Code.
HISTORY

1. New section filed 10-5-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Amendment filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
3. Repealer and new section filed 7-7-87; operative 8-6-87 (Register 87, No. 29).
4. New subsection (c)(1)(A) and newly designated subsection (c)(1)(B) filed 3-7-95; operative 4-6-95 (Register 95, No. 10).
Subchapter 4. The Infant Botulism Treatment and Prevention Program
Article 1. Definitions
§3000.2. Botulism Immune Globulin.
Note     •     History

“Botulism Immune Globulin” or “BIG” means the pharmaceutical product which consists of human-derived or human-gene-derived immunoglobulin (antibody) molecules or active fragments thereof and appropriate stabilizing agents that possesses the ability to neutralize botulinum or botulinum-like toxins.
NOTE

Authority cited: Section 123707(c), Health and Safety Code. Reference: Sections 123700-123709, Health and Safety Code.
HISTORY

1. New subchapter 4 (articles 1-4), article 1 (sections 3000.2-3000.4) and section filed 6-3-98 as an emergency; operative 6-3-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-1-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-3-98 order transmitted to OAL 9-23-98 and filed 11-4-98 (Register 98, No. 45).
§3000.4. Infant Botulism Treatment and Prevention Program.
Note     •     History

“Infant Botulism Treatment and Prevention Program” or “IBTPP” means the unit of the California Department of Health Services mandated by Health & Safety Code Section 123702.
NOTE

Authority cited: Section 123707(c), Health and Safety Code. Reference: Sections 123700-123709, Health and Safety Code.
HISTORY

1. New section filed 6-3-98 as an emergency; operative 6-3-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-1-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-3-98 order transmitted to OAL 9-23-98 and filed 11-4-98 (Register 98, No. 45).
Article 2. Distribution of Botulism Immune Globulin
§3010. Distribution of Botulism Immune Globulin.
Note     •     History

Only patients admitted to and treated in hospitals located in the United States, its territories and possessions, and the federal Centers for Disease Control and Prevention (CDC) shall be eligible recipients for the distribution of BIG.
NOTE

Authority cited: Section 123707(c), Health and Safety Code. Reference: Sections 123702, 123704(b), (c), (g) and 123705, Health and Safety Code.
HISTORY

1. New article 2 (section 3010) and section filed 6-3-98 as an emergency; operative 6-3-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-1-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-3-98 order transmitted to OAL 9-23-98 and filed 11-4-98 (Register 98, No. 45).
Article 3. Reporting Requirements for Hospitals Receiving BIG
§3020. Reporting Requirements for Hospitals.
Note     •     History

Within one week of discharge, the patient's hospital shall provide to the IBTPP the following information on the patient treated with BIG:
(a) Admission and discharge summaries, and
(b) A listing of hospital charges, costs, and reimbursements for the patient's hospital stay.
NOTE

Authority cited: Section 123707(c), Health and Safety Code. Reference: Sections 123704(b), (c), (e), (f) and 123705, Health and Safety Code.
HISTORY

1. New article 3 (section 3020) and section filed 6-3-98 as an emergency; operative 6-3-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-1-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-3-98 order transmitted to OAL 9-23-98 and filed 11-4-98 (Register 98, No. 45).
Article 4. Fees
§3030. Fee.
Note     •     History

The per patient fee for Botulism Immune Globulin shall be $45,300.
NOTE

Authority cited: Section 123707(d), Health and Safety Code. Reference: Sections 123702 and 123705, Health and Safety Code.
HISTORY

1. New article 4 (section 3030) and section filed 6-3-98 as an emergency; operative 6-3-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-1-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-3-98 order transmitted to OAL 9-23-98 and filed 11-4-98 (Register 98, No. 45).
3. Amendment of section and Note filed 4-26-2005; operative 5-1-2004. Submitted to OAL for printing only pursuant to Health and Safety Code section 123702(d) (Register 2005, No. 17).
Subchapter 5. Public Health Nursing [Repealed]
Group 1. Public Health Nursing [Renumbered]
Article 1. Issuance of Public Health Nursing Certificates [Renumbered]
HISTORY

1. Renumbering of former title 17, group 1, article 1 (sections 4500-4504) to title 16, division 14, article 9 (sections 1490-1494) filed 1-26-96; operative 2-28-96. Submitted to OAL for printing only (Register 96, No. 5). For prior history, see Register 87, No. 11.
Group 2. Trained Attendants [Repealed]
HISTORY

1. Originally published 7-15-45 (Title 17).
2. Repealer of §4600 to 4722, inclusive, filed 6-29-48 (Register 13, No. 1).
Subchapter 6. Tuberculosis Hospitals and Sanatoria Receiving State Subsidy [Repealed]

(Originally Printed 8-15-45)

Note: Authority cited for Subchapter 6: Sections 102 and 208, Health and Safety Code. Reference: Sections 3279, 3294, 3298 and 3299, Health and Safety Code.
HISTORY

1. Sections 5100 to 5176, inclusive, 4-12-48.
2. New Sections 5100 to 5199, inclusive, filed 4-22-48 (Register 12, No. 4).
3. Repealer of Subchapter 6 (Sections 5100-5199 and Appendix) and new Subchapter 6 (Sections 5100, 5105, 5106, 5107, 5108, 5115, 5120, 5125, 5126 and 5127) filed 2-28-66; effective thirtieth day thereafter (Register 66, No. 6).
4. Repealer of Subchapter 6 (Sections 5100-5127, not consecutive) filed 9-23-85; effective thirtieth day thereafter (Register 85, No. 39).
Subchapter 7. Venereal Diseases
Cross Reference: Sections 2636 (a) to (m), Title 17, Subchapter 1.7, Reportable Diseases and Conditions.
§5151. Sexually Transmitted Diseases in Minors.
Note     •     History

(a) A minor 12 years of age or older may give consent to the furnishing of hospital, medical and surgical care related to the diagnosis and/or treatment of any of the following non-reportable sexually transmissible diseases:
(1) Candida genitalis.
(2) Chlamydia trachomatous.
(3) Condyloma acuminata.
(4) Hemophilus vaginalis (Gardnerella vaginale).
(5) Cytomegalovirus infection.
(6) Herpes genitalis.
(7) Molluscum contagiosum.
(8) Non-gonococcal urethritis, vaginitis and cervicitis.
(9) Pediculosis (Phthirus pubis).
(10) Scabies (Sarcoptes scabiei).
(11) Trichomoniasis.
NOTE

Authority cited: Section 208 (a), Health and Safety Code; and Section 34.7, Civil Code. Reference: Section 34.7, Civil Code.
HISTORY

1. New section filed 3-4-82; effective thirtieth day thereafter (Register 82, No. 10).
Subchapter 8. Immunization Against Poliomyelitis, Diphtheria, Pertussis, Tetanus, Measles (Rubeola), Rubella, Haemophilus Influenzae Type B (Hib), Mumps, and Hepatitis B
Article 1. Definitions
§6000. Admission.
Note     •     History

“Admission” means a pupil's first entry in a given public or private elementary or secondary school, child care center, day nursery, nursery school, family day care home, or development center. “Admission” also denotes a pupil's re-entry to one of these institutions after withdrawing from a previous enrollment.
(a) “Unconditional admission” is admission based upon documentation of receipt of all required immunizations or upon documentation of a permanent medical exemption or of a personal beliefs exemption to immunization in accordance with Section 6051.
(b) “Conditional admission” is admission based upon either documentation of having received some but not all required immunizations and of not being due for any vaccine dose at the time of entry or upon documentation of a temporary medical exemption to immunization in accordance with Section 6050. Continued attendance after conditional admission is contingent upon receipt of the remaining required immunizations in accordance with Sections 6020 and 6035.
NOTE

Authority cited: Sections 3381(c) (120335(c)), 100275 and 120330, Health and Safety Code. Reference: Sections 3381 (120335), 120340, 120365, 120370 and 120375, Health and Safety Code.
HISTORY

1. Repealer and new Subchapter 8 (Sections 6000-6075) filed 3-22-78 as an emergency; effective upon filing (Register 78, No. 12). For history of former Subchapter 8, see Registers 61, No. 25; 62, No. 16; 63, No. 17; 66, No. 7; and 72, No. 11.
2. Repealer and new Subchapter 8 (Sections 6000-6075) filed 7-28-78; effective thirtieth day thereafter (Register 78, No. 30).
3. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
4. Amendment of subchapter 8 heading, section and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
5. Editorial correction amending subchapter 8 heading (Register 97, No. 42).
§6010. Immunizing Agent. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 3390, Health and Safety Code. Reference: Section 3381, Health and Safety Code.
HISTORY

1. Amendment filed 4-15-80 as an emergency; effective upon filing (Register 80, No. 16). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 8-14-80.
2. Certificate of Compliance transmitted to OAL 7-29-80 and filed 8-20-80 (Register 80, No. 34).
3. Repealer filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
§6015. Pupil.
Note     •     History

“Pupil” means a person under age 18 years admitted to or seeking admission to any private or public elementary or secondary school, child care center, day nursery, nursery school, family day care home, or development center.
NOTE

Authority cited: Sections 3381(c) (120335(c)), 100275 and 120330, Health and Safety Code. Reference: Sections 3381 (120335) and 120360, Health and Safety Code.
HISTORY

1. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
2. Amendment of section and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
Article 2. Required Immunizations
§6020. Required Immunizations.
Note     •     History

(a) The required immunizations for admission to and attendance at a public or private elementary or secondary school, child care center, day nursery, nursery school, family day care home, or developmental center shall be those set forth, according to age, in Table 1.
(b) In Table 1 of Section 6020 and in Table 2 of Section 6035, DTP (or DPT) means diphtheria and tetanus toxoids and pertussis vaccine, including DTaP vaccine. Tdap means tetanus toxoid, reduced diphtheria toxoid, and acellular pertussis vaccine. DT (or TD) and Td (or dT) means diphtheria and tetanus toxoids.
(c) For pupils who have reached their seventh birthday, a history of any preparations containing diphtheria and tetanus toxoids and pertussis vaccine (DTP, DT, Td, Tdap, etc.) shall be acceptable as meeting the requirement for tetanus and diphtheria toxoids and pertussis vaccine that is set forth in Table 1.
(d) Pupils who have reached their seventh birthday shall be exempt from the mumps immunization requirements.
(e) Combination vaccines that include measles, mumps, and rubella components shall be acceptable as meeting the requirements for these vaccines that are set forth in Table 1.
(f) For pupils entering or advancing to the seventh grade, immunization requirements are set forth in Table 1.
(g) Pupils already admitted to California public and private schools at the Kindergarten level or above before July 1, 2001 are exempt from the Varicella (chickenpox) requirement as set forth in Table 1.
(h) For pupils entering or advancing into the eighth through twelfth grades, the immunization requirement is set forth in Table 1 of Section 6020.

Table 1: Immunization Requirements

Institution	Age	Vaccine			Total Doses Received

Child care center, day	Less than 2 months	None
nursery, nursery school,
family day care home,
development center
						
Same as above	2-3 months	1. Polio1			1 dose
		2. DTP			1 dose
		3. Hib			1 dose
		4. Hepatitis B			1 dose
						
Same as above	4-5 months	1. Polio1			2 doses
		2. DTP, or combination of DTP and diphtheria-tetanus
		 toxoids			2 doses
		3. Hib			2 doses
		4. Hepatitis B			2 doses
						
Same as above	6-14 months	1. Polio1			2 doses
		2. DTP, or combination of DTP and diphtheria-tetanus
		 toxoids			3 doses
		3. Hib			2 doses
		4. Hepatitis B			2 doses
						
Same as above	15-17 months	1. Polio1			3 doses
		2. DTP, or combination of DTP and diphtheria-tetanus
		 toxoids			3 doses
		3. Measles, rubella, and mumps			1 dose of each separately
					or combined on or after the
					1st birthday
		4. Hib			1 dose on or after the 
					1st birthday
		5. Hepatitis B			2 doses
						
Same as above	18 months-5 years	1. Polio1			3 doses
		2. DTP, or combination of DTP and diphtheria-tetanus
		 toxoids			4 doses
		3. Measles, rubella, and mumps			1 dose of each separately
					or combined on or after the
					1st birthday
		4. Hib3			1 dose on or after the 
					1st birthday
		5. Hepatitis B2			3 doses
		6. Varicella			1 dose
						
Elementary school at	4-6 years	1. Polio1			4 doses, except that a total of
kindergarten level and					3 doses is acceptable if at
above					least one dose was given on
					or after the 4th birthday
		2. DTP, or combination of DTP and diphtheria-tetanus
		 toxoids			5 doses, except that a total of
					4 doses is acceptable if at
					least one dose was given on
					or after the 4th birthday.
		3. Measles, rubella, and mumps			1 dose of each, separately
					or combined, on or after the
					1st birthday. Pupils entering
					a kindergarten (or first grade
					if kindergarten skipped) are
					required to have 2 doses of
					measles-containing 
					vaccine, both given on or
					 after the first birthday
		4. Hepatitis B2			3 doses
		5. Varicella			1 dose
						
Elementary school,	7-17 years	1. Polio1			4 doses, except that a total of
secondary school					3 doses is acceptable if at
					least one dose was given on
					or after the 2nd birthday
		2. Diphtheria and tetanus toxoids and pertussis vaccine
		  given as DTP, DT, Td, or Tdap		At least 3 doses. One more
					dose is required if the
					last dose was given before 
					the 2nd birthday. 
		3. Measles and rubella (mumps not required)		1 dose of each, separately
					or combined, on or after the
					1st birthday. (See below for
					additional requirements for
					7th grade enrollment,
					effective 7/1/99.)

Institution	Age	Vaccine			Total Doses Received

		4. Varicella5			1 dose aged 7 through 12
					years for students not
					admitted to California
					 schools before July 1, 2001.
					2 doses for students aged 13
					through 17 years not 
					admitted to California 
					schools before July 1, 2001.

Seventh Grade	Any	1. Tdap6,7			1 dose on or after the 7th
 					birthday
		2. Measles4			2 doses of measles 
					-containing vaccine, both
					given on or after the first
					birthday.
						
Eighth through Twelfth 	Any pupil under 18 years	1. Tdap6,7			1 dose on or after the 7th
Grades8					birthday
						
Any	18 years and older	None

1 Oral polio vaccine (OPV) or inactivated polio vaccine (IPV) or any combination of these vaccines is acceptable.

2 Applies only to children entering at kindergarten level (or at first grade level if kindergarten skipped) or below on or after August 1, 1997.

3 Required only for children who have not reached the age of 4 years 6 months.

4 Applies only to children (of any age) entering or advancing to the seventh grade on or after July 1, 1999.
5 Children admitted to California schools at the Kindergarten level or above before July 1, 2001 are exempt from this requirement.

6Pupils must have received at least one dose of Tdap prior to admission or advancement into the 7th through 12th grades.

7If DTP was given on or after age 7 years instead of Tdap, this dose may also be counted as a valid dose for this requirement.

8This requirement is effective July 1, 2011, through June 30, 2012.
NOTE

Authority cited: Sections 120330, 120335 and 131200, Health and Safety Code. Reference: Sections 120325, 120335, 120370 and 120375, Health and Safety Code.
HISTORY

1. Amendment filed 8-30-79; effective thirtieth day thereafter (Register 79, No. 35).
2. Amendment filed 4-15-80 as an emergency; effective upon filing (Register 80, No. 16). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 8-14-80.
3. Certificate of Compliance transmitted to OAL 7-29-80 and filed 8-20-80 (Register 80, No. 34).
4. Amendment of subsections (c), (d), and (e) filed 10-3-80; effective thirtieth day thereafter (Register 80, No. 40).
5. Repealer and new section filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
6. Amendment of subsection (a), repealer of subsection (f) and subsection relettering, and amendment of Table 1 and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
7. Repealer of subsection (b), subsection relettering, amendment of newly designated subsection (b), and amendment of Table 1 and Note filed 5-22-97 as an emergency; operative 5-22-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-97 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction of subsection (b) (Register 97, No. 37).
9. Certificate of Compliance as to 5-22-97 order transmitted to OAL 9-5-97 and filed 9-26-97 (Register 97, No. 39).
10. New subsection (f), amendment of Table 1 and amendment of Note filed 2-18-99 as an emergency; operative 2-18-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-18-99 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of table (Register 99, No. 27).
12. Certificate of Compliance as to 2-18-99 order transmitted to OAL 5-26-99 and filed 6-30-99 (Register 99, No. 27).
13. New subsection (g), amendment of Table 1 and amendment of Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
15. Amendment of subsections (b)-(d), new subsection (h) and amendment of Table 1 and Note filed 6-30-2011 as an emergency; operative 7-1-2011 (Register 2011, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-2011 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsections (b)-(d), new subsection (h) and amendment of Table 1 and Note refiled 12-15-2011 as an emergency; operative 12-28-2011 (Register 2011, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-27-2012 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 12-15-2011 order transmitted to OAL 2-3-2012 and filed 3-15-2012 (Register 2012, No. 11).
Article 3. Admission to School, Child Care Center, Day Nursery, Nursery School, Family Day Care Home, or Development Center
§6025. Unconditional Admission.
Note     •     History

Any pupil age 18 months or older who has received all the immunizations against poliomyelitis, diphtheria, tetanus, pertussis, measles (rubeola), rubella, Haemophilus influenzae type B, mumps, hepatitis B and varicella (chickenpox) required for his or her age, as defined in Table 1, Section 6020, or who has documented a permanent medical exemption or a personal beliefs exemption to immunization in accordance with Section 6051, shall be admitted unconditionally as a pupil to a given public or private elementary or secondary school, child care center, day nursery, nursery school, family day care home, or development center. However, for some pupils admitted unconditionally to a child care center, day nursery, nursery school, family day care home, or development center, an additional dose of DTP and/or polio vaccine will be required for admission to school at kindergarten level and above, as indicated in Table 1, Section 6020.
NOTE

Authority cited: Sections 100275, 120330 and 120335, Health and Safety Code. Reference: Sections 120325, 120335, 120370 and 120375, Health and Safety Code.
HISTORY

1. Amendment filed 4-15-80 as an emergency; effective upon filing (Register 80, No. 16). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 8-14-80.
2. Certificate of Compliance transmitted to OAL 7-29-80 and filed 8-20-80 (Register 80, No. 34).
3. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
4. Amendment of article 3 heading, section and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
5. Amendment of section and Note filed 5-22-97 as an emergency; operative 5-22-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 5-22-97 order transmitted to OAL 9-5-97 and filed 9-26-97 (Register 97, No. 39).
7. Amendment of section and Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
§6030. Conditional Admission to Prekindergarten Level. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 3390, Health and Safety Code. Reference: Section 3381, Health and Safety Code.
HISTORY

1. Repealer filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
§6035. Conditional Admission.
Note     •     History

(a) Any pupil seeking admission to a given public or private elementary or secondary school, child care center, day nursery, nursery school, family day care home, or development center who lacks documentation of having received all the required vaccine doses against poliomyelitis, diphtheria, tetanus, pertussis, measles, rubella, Haemophilus influenzae type B, mumps, hepatitis B and varicella (chickenpox) as specified in Table 1, Section 6020, and has not obtained a permanent medical exemption or a personal beliefs exemption to immunization in accordance with Section 6051, may be admitted conditionally if:
(1) he or she has not received all the immunizations required for his or her age group but has commenced receiving doses of all the vaccines in accordance with Table 2, is not currently due for any doses at the time of admission (if he or she is due for any doses at this time they must be obtained before admission), and the pupil's parent or guardian is notified of the date by which the pupil must complete all the required immunizations in accordance with Table 2; or
(2) he or she is under age 18 months and has received all the immunizations required for his or her age group but will require additional vaccine doses at an older age, and the pupil's parent or guardian is notified of the date by which the pupil must complete all the remaining doses when they become due in accordance with Table 1, Section 6020; or
(3) he or she has obtained a temporary medical exemption from immunization in accordance with Section 6050, and the pupil's parent or guardian is notified of the date by which the pupil must complete all the required immunizations when the temporary exemption terminates; or
(4) he or she is a pupil entering a child care center governed by Education Code Section 8263(c), where a different deadline for obtaining all required immunizations may apply.
(b) The public or private elementary or secondary school, child care center, day nursery, nursery school, family day care home, or development center shall not allow the admission of any pupil seeking entry who does not meet the requirements for admission under Section 6025 or 6035. The principal or administrator shall advise the pupil, or the parent or guardian, to contact a physician or agency that provides immunizations. 

Table 2: Conditional Admission Immunization Schedule

Vaccine	Dose		Time Intervals
				
Polio1	1st dose		Before admission
	2nd dose		As early as 6 weeks but no later than 10 weeks after the 1st
			dose. Before admission if 10 or more weeks have elapsed
			since the 1st dose at the time of admission.
	3rd dose		As early as 6 weeks but no later than 12 months after the
			2nd dose. Before admission if 12 or more months have
			elapsed since the 2nd dose at the time of admission.
	4th dose (Required only for		
	entry to kindergarten level		
	or above)		Age 4-6 years: If the 3rd dose was given before the 4th
			birthday one more dose is required before admission.
			Age 7-17 years: If the 3rd dose was given before the
			2nd birthday, one more dose is required before admission.
				
Diphtheria, Tetanus, and Pertussis
	1st dose		Before admission.
	2nd dose		As early as 4 weeks but no later than 8 weeks after the
FOR PUPILS UNDER AGE 7 YEARS:			1st dose. Before admission if 8 or more weeks have
			elapsed since the 1st dose at the time of admission.
	3rd dose		As early as 4 weeks but no later than 8 weeks after the
Diphtheria-tetanus-pertussis (DTP) or combination			2nd dose. Before admission if 8 or more weeks have
of DTP and diphtheria-tetanus toxoids			elapsed since the 2nd dose at the time of admission.
	4th dose		As early as 6 months but no later than 12 months after
			the 3rd dose. Before admission if 12 or more months
			have elapsed since the 3rd dose at the time of admission.
	5th dose (Required only for
	pupils ages 4-6 years
	for entry to kindergarten
	level and above)		If the 4th dose was given before the 4th birthday, one
          OR			more dose is required before admission.

FOR PUPILS AGE 7 YEARS AND OLDER:	1st dose		Before admission.
	2nd dose		As early as 4 weeks but no later than 8 weeks after the
			1st dose. Before admission if 8 or more weeks have
  Diphtheria-tetanus-pertussis (DTP, Tdap)			elapsed since the 1st dose at the time of admission.
      and diphtheria-tetanus toxoids	3rd dose		As early as 6 months but no later than 12 months after the
			2nd dose. Before admission if 12 or more months have
			elapsed since the 2nd dose at the time of admission.
	4th dose		If the 3rd dose was given before the 2nd birthday, one
			more dose is required before admission.
	---------------------------	---------------------------------------------
	One Tdap dose		Before 7th through 12th grade entry.
				
Measles	One dose only		Before admission. If the pupil is under age 15 months, this
			dose is required when age 15 months is reached.
Note: For children entering kindergarten (or first grade	1st dose		Before admission.
if kindergarten is skipped) on or after August 1, 1997,	2nd dose		As early as 1 month but no later than 3 months after
two doses are required. For children entering 7th grade			the 1st dose.
on or after July 1, 1999, the series shall be in process
or completed.
				
Rubella	One dose only		Before admission. If the pupil is under age 15 months, this
			dose is required when age 15 months is reached.
				
Mumps (Not required for pupils age 7 years and older)	One dose only		Before admission. If the pupil is under age 15 months, this
			dose is required when age 15 months is reached.
				
Hib
Children 2-14 months old	Two doses		1st dose before admission. 2nd dose as early as 2 months
			but no later than 3 months after the 1st dose.
Children 15 months-4 1/2 years old	One dose		Before admission.
				
Hepatitis B--For children entering at	1st dose		Before admission.
kindergarten level (or first grade if kindergarten skipped)	2nd dose		As early as 1 month but no later than 2 months after the first
or below on or after August 1, 1997. 			dose.
	3rd dose		Infants and children under age 18 months: As early as 2 
			months but no later than 12 months after the 2nd dose. 
			Also, no earlier than 4 months after the 1st dose.
			Children age 18 months and older: As early as 2 months but
			no later than 6 months after the 2nd dose. Also, no earlier
			than 4 months after the 1st dose.
				
Varicella2 -- For children aged 13 through 17 years	1st dose		Before admission
not admitted to California schools before July 1, 2001.	2nd dose		As early as 4 weeks but no longer than 3 months after first
			dose

1Oral polio vaccine (OPV) or inactivated polio vaccine (IPV) or any combination of these vaccines is acceptable.

2Children admitted to California schools at the Kindergarten level or above before July 1, 2001 are exempt from this requirement.
NOTE

Authority cited: Sections 120330, 120335 and 131200, Health and Safety Code. Reference: Sections 120325, 120335, 120370 and 120375, Health and Safety Code.
HISTORY

1. Amendment filed 8-30-79; effective thirtieth day thereafter (Register 79, No. 35).
2. Amendment of subsection (a) filed 4-15-80 as an emergency; effective upon filing (Register 80, No. 16). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 8-14-80.
3. Certificate of Compliance transmitted to OAL 7-29-80 and filed 8-20-80 (Register 80, No. 34).
4. Repealer and new section filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
5. Amendment of subsections (a), (b), Table 2 and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
6. Amendment of subsection (a), Table 2 and Note filed 5-22-97 as an emergency; operative 5-22-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 5-22-97 order transmitted to OAL 9-5-97 and filed 9-26-97 (Register 97, No. 39).
8. Amendment of Table 2 filed 2-18-99 as an emergency; operative 2-18-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-18-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-18-99 order transmitted to OAL 5-26-99 and filed 6-30-99 (Register 99, No. 27).
10. Editorial correction of Table 2 (Register 99, No. 39).
11. Amendment of subsection (a), Table 2 and Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
13. Amendment of Table 2 and Note filed 6-30-2011 as an emergency; operative 7-1-2011 (Register 2011, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-2011 or emergency language will be repealed by operation of law on the following day.
14. Editorial correction renumbering footnote reference (Register 2011, No. 28).
15. Amendment of Table 2 and Note refiled 12-15-2011 as an emergency; operative 12-28-2011 (Register 2011, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-27-2012 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 12-15-2011 order transmitted to OAL 2-3-2012 and filed 3-15-2012 (Register 2012, No. 11).
§6040. Requirements for Continued Attendance.
Note     •     History

An already admitted pupil who is subsequently discovered not to have received all the immunizations which were required before admission or who is subsequently discovered not to have complied with the requirements for conditional admission specified in Section 6035 shall continue in attendance only if he or she receives all vaccine doses for which he or she is currently due and provides documentation of having received such doses no later than 10 school days after he or she or the parent or guardian is notified. The school, child care center, day nursery, nursery school, family day care home, or development center shall notify the pupil or the parent or guardian of the time period (no longer than 10 school days) within which the doses must be received.
NOTE

Authority cited: Sections 3381(c) (120335(c)), 100275 and 120330, Health and Safety Code. Reference: Sections 3381 (120335), 120340 and 120375 (a) and (b), Health and Safety Code.
HISTORY

1. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
2. Amendment of section and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
§6045. Special Immunization Schedules.
Note     •     History

(a) Immunization schedules not conforming to those specified in Sections 6020 and 6035 may be approved by the State Department of Health Services when substantial medical or other conditions warrant, such as during an outbreak or epidemic of a particular disease.
NOTE

Authority cited: Sections 208 and 3390, Health and Safety Code. Reference: Section 3381, Health and Safety Code.
HISTORY

1. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
§6050. Conditional Admission with Temporary Medical Exemption.
Note     •     History

A pupil who is temporarily exempt from immunization for medical reasons shall be admitted on condition that required immunizations are obtained at the termination of the exemption; the fact of the temporary medical exemption shall be recorded on the California School Immunization Record, PM 286 (1/02) as provided in Section 6070. A pupil with a temporary medical exemption may be subject to exclusion pursuant to Section 6060.
NOTE

Authority cited: Sections 100275, 120330 and 120335, Health and Safety Code. Reference: Sections 120325, 120335, 120365, 120370 and 102375, Health and Safety Code.
HISTORY

1. Amendment filed 4-15-80 as an emergency; effective upon filing (Register 80, No. 16). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 8-14-80.
2. Certificate of Compliance transmitted to OAL 7-29-80 and filed 8-20-80 (Register 80, No. 34).
3. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
4. Amendment of section and Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
§6051. Unconditional Admission with Permanent Medical Exemption or Personal Beliefs Exemption.
Note     •     History

A pupil with a permanent medical exemption or a personal beliefs exemption to immunization shall be admitted unconditionally. A pupil with an exemption which is not based on pre-existing immunity to disease may be subject to exclusion pursuant to Section 6060.
(a) A permanent medical exemption shall be granted upon the filing with the governing authority of a written statement from a licensed physician to the effect that the physical condition of the pupil or medical circumstances relating to the pupil are such that immunization is permanently not indicated. The fact of the permanent medical exemption shall be recorded on the California School Immunization Record, PM 286 (01/02) as provided in Section 6070. A permanent medical exemption may be provided for one or more vaccines. A physician may provide a written statement that the pupil is medically exempt from the measles (rubeola) and/or varicella (chickenpox) requirements as a result of having had measles (rubeola) and/or varicella (chickenpox) disease, respectively. A physician may provide a written statement that the pupil is medically exempt from the rubella and/or mumps requirement as a result of having had laboratory confirmed illness with the corresponding disease. 
(b) A personal beliefs exemption shall be granted upon the filing with the governing authority of a letter or affidavit from the pupil's parent or guardian or adult who has assumed responsibility for his or her care and custody in the case of a minor, or the person seeking admission if an emancipated minor, that such immunization is contrary to his or her beliefs. The fact of the personal beliefs exemption shall be recorded on the California School Immunization Record, PM 286 (01/02). If a personal beliefs exemption letter or affidavit for some or all immunizations was filed with the governing authority prior to July 1, 2011, a personal beliefs exemption letter or affidavit for the pertussis booster immunization must be filed with the governing authority. The Personal Beliefs Exemption form, CDPH 8261 (03/11), hereby incorporated by reference, is to be made available at the school as a means for exercising a personal belief exemption to the pertussis booster immunization requirement in Section 120335(d), Health and Safety Code. The fact of a personal beliefs exemption for the pertussis booster immunization requirement in Section 120335(d), Health and Safety Code, shall be recorded on the Tdap (Pertussis Booster) Requirement sticker, PM 286 S (01/11).
NOTE

Authority cited: Sections 120330, 120335 and 131200, Health and Safety Code. Reference: Sections 120325, 120335, 120365, 120370 and 120375, Health and Safety Code.
HISTORY

1. Renumbering and amendment of a portion of former Section 6050 to Section 6051 filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
2. Amendment of section and Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
4. Amendment of section and Note filed 6-30-2011 as an emergency; operative 7-1-2011 (Register 2011, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 12-15-2011 as an emergency; operative 12-28-2011 (Register 2011, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-27-2012 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-15-2011 order transmitted to OAL 2-3-2012 and filed 3-15-2012 (Register 2012, No. 11).
Article 4. Exclusion
§6055. Conditions for Admission Not Fulfilled.
Note     •     History

The governing authority of the school, child care center, day nursery, nursery school, family day care home, or development center shall exclude from further attendance any pupil who fails to obtain the required immunizations within no more than 10 school days following receipt of the notice provided pursuant to Section 6040, unless the pupil is exempt for medical reasons or personal beliefs, until the pupil provides written evidence that he or she has received another dose of each required vaccine due at that time. Any pupil so excluded shall be reported to the attendance supervisor or to the building administrator.
NOTE

Authority cited: Sections 3381(c) (120335(c)), 100275 and 120330, Health and Safety Code. Reference: Sections 3381 (120335), 120340, 120365, 120370 and 120375, Health and Safety Code.
HISTORY

1. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
2. Amendment of section and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
§6060. Pupil Not Completely Immunized and Exposed to Communicable Disease.
Note     •     History

Whenever the governing authority has good cause to believe that a pupil who is not completely immunized against a particular communicable disease may have been exposed to that disease, that information shall be reported by the governing authority immediately by telephone to the local health officer. The local health officer shall determine whether the pupil is at risk of developing the disease and, if so, may require the exclusion of the pupil from that school, child care center, day nursery, nursery school, family day care home, or development center until the completion of the incubation period and the period of communicability of the disease.
NOTE

Authority cited: Sections 3381(c) (120335(c)), 100275 and 120330, Health and Safety Code. Reference: Sections 3381 (120335) and 120375(c), Health and Safety Code.
HISTORY

1. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
2. Amendment of section and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
Article 5. Records As Evidence of Immunization
§6065. Documentary Proof.
Note     •     History

(a) There shall be a written record given to the person immunized or to his or her parent or guardian, by the physician or agency performing the immunization which shall contain the following information:
(1) Name of the person.
(2) Birthdate.
(3) Type of vaccine administered.
(4) Month, day, and year of each immunization.
(5) Name of the physician or agency administering the vaccine.
(b) The written record shall be shown by the parent, guardian or person immunized to the governing authority of the school, child care center, day nursery, nursery school, family day care home, or development center at the time of the pupil's admission and at subsequent times when required by the governing authority to determine the pupil's immunization status. For the pupil to be admitted, the written record shall show at least the month and year of each required vaccine dose. For doses of measles, rubella and mumps vaccine given during the month of the first birthday the record shall also show the specific date (i.e., month, day and year) of immunization. For a dose of Tdap given during the month of the pupil's 7th birthday, the record shall also show the specific date (i.e., month, day and year) of immunization.
(c) When such written records are not available, the pupil shall not be admitted and the parent or guardian shall be referred to a physician or nurse for review of his or her immunization history and provision of immunizations as needed.
NOTE

Authority cited: Sections 120330, 120335 and 131200, Health and Safety Code. Reference: Sections 120325, 120335, 120370 and 120375, Health and Safety Code.
HISTORY

1. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
2. Amendment of subsection (b) and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
3. Amendment of section and Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
5. Amendment of subsection (b), repealer of subsection (d) and amendment of Note filed 6-30-2011 as an emergency; operative 7-1-2011 (Register 2011, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-2011 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b), repealer of subsection (d) and amendment of Note refiled 12-15-2011 as an emergency; operative 12-28-2011 (Register 2011, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-27-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-15-2011 order transmitted to OAL 2-3-2012 and filed 3-15-2012 (Register 2012, No. 11).
§6070. School/Child Care Facility Immunization Record.
Note     •     History

(a) The governing authority of each school, child care center, day nursery, nursery school, family day care home, or development center shall record each pupil's immunizations on the California School Immunization Record, PM 286 (1/02) and is in its entirety, incorporated by reference which, at kindergarten level and above, shall be part of the mandatory permanent pupil record as defined in Section 430 of Title 5, California Code of Regulations.
(b) Each pupil's immunization record shall contain:
(1) Name of pupil.
(2) Birthdate (month, day and year).
(3) Date of unconditional or conditional admission (month, day, and year).
(4) Type of vaccine and date (month, day, and year) each dose was administered. Although month, day and year of vaccine administration should be recorded, a California Immunization Record, PM 286 (01/02), showing only month and year of vaccine dose(s) shall be allowed, except that for records showing measles, rubella, and/or mumps vaccine doses given during the month of the first birthday or Tdap dose given during the month of the 7th birthday, the date of immunization shall also be recorded.
(5) Date and type of exemption, if any.
(c) The immunization record shall be transferred with the mandatory permanent pupil record.
(d) For pupils at kindergarten level and above transferring between school campuses within California or from a school in another state to a school in California, if the mandatory permanent pupil record or other immunization record has not been received at the time of entry to the new school, the governing authority of the school may admit the pupil for a period of up to 30 school days. If the mandatory permanent record or other immunization record has not arrived by the end of this period, the governing authority shall require the parent or guardian to present a written immunization record, as described in Section 6065, documenting that all currently due required immunizations have been received. If such a record is not presented, the pupil shall be excluded from further attendance until he or she comes into compliance with the immunization requirements, as outlined in Sections 6020, 6035, and 6065.
(e) The governing authority shall see that the immunization record of each pupil admitted conditionally is reviewed every 30 days until that pupil has received all the required immunizations. Any immunizations received subsequent to conditional admission shall be entered in the pupil's immunization record.
(f) For pupils who are being admitted or are advancing into the 7th through 12th grades beginning July 1, 2011, the governing authority shall record each pupil's Tdap dose, given on or after the 7th birthday, on the supplemental sticker form Tdap (Pertussis Booster) Requirement [PM 286 S (01/11)]. This form is hereby incorporated by reference. The governing authority shall affix the PM 286 S (01/11) to the front of the pupil's California School Immunization Record, PM 286 (01/02).
NOTE

Authority cited: Sections 120330, 120335 and 131200, Health and Safety Code. Reference: Sections 120325, 120335, 120370 and 120375, Health and Safety Code.
HISTORY

1. Amendment filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
2. Amendment of section heading, subsection (a) and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
3. Amendment of section and Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
5. Amendment of subsection (b)(4), new subsection (f) and amendment of Note filed 6-30-2011 as an emergency; operative 7-1-2011 (Register 2011, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-2011 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b)(4), new subsection (f) and amendment of Note refiled 12-15-2011 as an emergency; operative 12-28-2011 (Register 2011, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-27-2012 or emergency language will be repealed by operation of law on the following day.
7. Editorial correction of subsection (f) (Register 2012, No. 10).
8. Certificate of Compliance as to 12-15-2011 order transmitted to OAL 2-3-2012 and filed 3-15-2012 (Register 2012, No. 11).
§6075. Reporting.
Note     •     History

(a) The governing authority of each school, child care center, day nursery, nursery school, family day care home, or development center shall file a report with the state and local health departments on the immunization status of new entrants annually or when needed to determine immunization status such as during an epidemic or potential epidemic. The forms to be used for these reports are:
(1) Schools with kindergartens: IMMUNIZATION ASSESSMENT OF KINDERGARTEN STUDENTS--ANNUAL REPORT [PM 236 (3/01)] and this form in its entirety is incorporated by reference.
(2) Schools with seventh grades: PERTUSSIS BOOSTER IMMUNIZATION ASSESSMENT OF SEVENTH GRADE STUDENTS [CDPH 8259 (9/11)]. This form is hereby incorporated by reference.
(3) Child care centers, day nurseries, nursery schools and development centers: ANNUAL IMMUNIZATION REPORT ON CHILDREN ENROLLED IN CHILD CARE CENTERS [DHS 8018 (3/01)] and this form is in its entirety incorporated by reference or ANNUAL IMMUNIZATION ASSESSMENT REPORT OF CHILDREN ENROLLED IN CHILD CARE CENTERS--LINE LISTING [DHS 8387 (3/94)]. The Department of Health Services or the local health department will provide the appropriate reporting form.
(4) Family day care homes: ANNUAL FAMILY DAY CARE HOME IMMUNIZATION SURVEY [DHS 8529 (10/00)] and this form is in its entirety incorporated by reference.
(5) Schools with any grade from the 7th through 12th grade shall report data on Tdap immunization: PERTUSSIS (Tdap) ASSESSMENT OF 7-12th GRADE STUDENTS 2011-2012 SCHOOL SUMMARY SHEET [CDPH 8260 (01/11)]. This form is hereby incorporated by reference.
(b) The annual report shall contain at least the following information on new entrants in kindergarten or lower level classes only:
(1) Enrollment as of date of report.
(2) Number of new entrants admitted unconditionally specifying the number who have received all immunizations, the number who are medically exempt and the number who are exempt for personal beliefs. 
(3) Number of new entrants admitted conditionally specifying the number of doses received of poliomyelitis, diphtheria, tetanus, pertussis, measles, rubella, Haemophilus influenza type b (Hib), mumps, hepatitis B, and varicella (chickenpox) vaccines.
(4) Other information requested by the State Department of Health Services.
(c) Additional reports which include new entrants in all grades may be requested during an epidemic or potential epidemic.
NOTE

Authority cited: Sections 120330 and 120335, Health and Safety Code. Reference: Sections 120325, 120335, 120370 and 120375, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(3) filed 4-15-80 as an emergency; effective upon filing (Register 80, No. 16). A Certificate of Compliance must be transmitted to OAH within 120 days or emergency language will be repealed on 8-14-80.
2. Certificate of Compliance transmitted to OAL 7-29-80 and filed 8-20-80 (Register 80, No. 34).
3. Amendment of subsection (a), new subsections (a)(1)-(3), and amendment of subsection (b)(3) and Note filed 3-29-96; operative 4-28-96 (Register 96, No. 13).
4. Editorial correction of subsection (b)(3) (Register 97, No. 12).
5. Amendment of subsection (b)(3) and Note filed 5-22-97 as an emergency; operative 5-22-97 (Register 97, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-19-97 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of Note (Register 97, No. 37).
7. Certificate of Compliance as to 5-22-97 order transmitted to OAL 9-5-97 and filed 9-26-97 (Register 97, No. 39).
8. Amendment of subsection (a)(1), new subsection (a)(2) and subsection renumbering filed 2-18-99 as an emergency; operative 2-18-99 (Register 99, No. 8). A Certificate of Compliance must be transmitted to OAL by 6-18-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-18-99 order transmitted to OAL 5-26-99 and filed 6-30-99 (Register 99, No. 27).
10. Amendment of subsections (a)(1), (a)(3)-(4) and (b)(3) and amendment of Note filed 9-24-2002 as an emergency; operative 9-24-2002 (Register 2002, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-22-2003 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 9-24-2002 order transmitted to OAL 1-17-2003 and filed 2-27-2003 (Register 2003, No. 9).
12. New subsection (a)(5) filed 6-30-2011 as an emergency; operative 7-1-2011 (Register 2011, No. 26). A Certificate of Compliance must be transmitted to OAL by 12-28-2011 or emergency language will be repealed by operation of law on the following day.
13. New subsection (a)(5) refiled with additional amendment of subsection (a)(2) and Note 12-15-2011 as an emergency; operative 12-28-2011 (Register 2011, No. 50). A Certificate of Compliance must be transmitted to OAL by 3-27-2012 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-15-2011 order transmitted to OAL 2-3-2012 and filed 3-15-2012 (Register 2012, No. 11).
Subchapter 8.1. Immunization Against Measles (Rubeola) [Repealed]
HISTORY

1. Repealer filed 3-22-78 as an emergency; effective upon filing (Register 78, No. 12). For prior history, see Registers 67, No. 43; 67, No. 48; and 72, No. 11.
Subchapter 8.2. Immunization Against Diphtheria, Tetanus, and Pertussis [Repealed]
HISTORY

1. Repealer filed 3-22-78 as an emergency; effective upon filing (Register 78, No. 12). For prior history, see Register 72, No. 11.
Subchapter 9. Testing for Heritable Disorders
Group 3. Newborn Screening Program
Article 1. Definitions
§6500. Birth Attendant.
Note     •     History

“Birth attendant” means any person licensed or certified by the State to provide maternity care and to deliver pregnant women or to practice medicine.
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code.
HISTORY

1. New subchapter 9 (section 6500) filed 12-1-65; designated effective 1-1-66 (Register 65, No. 23).
2. Amendment filed 10-5-66; effective thirtieth day thereafter (Register 66, No. 34)
3. Repealer filed 4-11-80; designated effective 9-1-80 (Register 80, No. 15).
4. Renumbering and amendment of former section 6500.5 to section 6500 filed 11-21-86; effective thirtieth day thereafter (Register 86, No. 47).
5. Amendment of subsection (r) and new subsections (s) and (t) filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g) (Register 90, No. 4).
6. Amendment of subsection (t) filed by the Department of Health Services with the Secretary of State on 5-30-90 as an emergency; operative 5-30-90. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g)(Register 90, No. 30).
7. Editorial correction of printing error in subsection (r) restoring History 5. and renumbering previous History 5. to 6. (Register 91, No. 32).
8. Change without regulatory effect amending subchapter heading, adding group 3 heading, and amending article heading, section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.1. Days of Age.
Note     •     History

“Days of age” means the measurement of the age of a newborn in 24-hour periods so that a newborn is one day of age 24 hours following the hour of birth. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41). For prior history, see Register 87, No. 47.
§6500.5. Discharge.
Note     •     History

“Discharge” means release of the newborn from care and custody of the perinatal licensed health facility to the parents or into the community. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41). For prior history, see Register 87, No. 47.
§6500.19. Inadequate Specimen.
Note     •     History

“Inadequate specimen” means a newborn's blood specimen which is not suitable in quality or quantity to perform newborn screening for one or more of the disorders covered by this Group. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.25. Initial Positive Test.
Note     •     History

“Initial positive test” means a newborn's blood specimen which identified as positive for reporting purposes. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.28. Initial Specimen.
Note     •     History

“Initial specimen” means the first specimen collected subsequent to birth, pursuant to this Group. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.31. Initial Test.
Note     •     History

“Initial test” means the first valid newborn screening test or combination of tests of a newborn for each disorder covered by this Group. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.35. Newborn.
Note     •     History

“Newborn” means an infant 30 days of age and under. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.39. Newborn's Physician.
Note     •     History

“Newborn's physician” means the physician responsible for the care of the newborn after discharge from the hospital. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.45. Newborn Screening Area Service Center.
Note     •     History

“Newborn Screening Area Service Center” means an institution, corporation, hospital or university medical center: 
(a) Having specialized expertise; 
(b) Designated by the Department to serve a specific geographic area of the State: and 
(c) Contracted with the Department to provide follow-up, referral and diagnosis of a preventable heritable or congenital disorder. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.46. Newborn Screening Laboratory.
Note     •     History

“Newborn screening laboratory” means a laboratory operated by the Department or a laboratory contracting with the Department to conduct tests required by this Group. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.57. Perinatal Licensed Health Facility.
Note     •     History

“Perinatal licensed health facility” means any health facility licensed by the State and approved to provide perinatal, delivery, newborn intensive care, newborn nursery or pediatric services. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.59. Preventable Heritable or Congenital Disorder.
Note     •     History

“Preventable heritable or congenital disorder” means any disorder or abnormality present at birth which is detectable by testing a newborn and for which effective means of prevention or amelioration exists. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.65. Recall Specimen.
Note     •     History

“Recall specimen” means a specimen collected from a newborn because the initial test or combination of tests was positive for any of the disorders covered by this Group. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.67. Recall Test.
Note     •     History

“Recall test” means a test ordered collected from a newborn because the initial test or combination of tests was positive for any of the disorders covered by this Group. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.69. Repeat Specimen.
Note     •     History

“Repeat specimen” means a specimen collected from a newborn following the newborn screening laboratory's report that a previously collected specimen was either inadequate or that test results were inconclusive. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.70. Repeat Test.
Note     •     History

“Repeat test” means a test required by this Group to be repeated for a newborn because the previous specimen or test results were inadequate or test results were not complete. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6500.74. Sickle Cell Counselor.
Note     •     History

“Sickle cell counselor” means a person who: 
(a) Is a physician, or has a master's degree in genetic counseling and is board eligible or board certified by the American Board of Genetic Counseling, or is certified by the Department of Public Health as having successfully completed an approved sickle cell counselor training program; and 
(b) Provides face-to-face information on the medical, social, and genetic consequences of sickle cell disease and trait. 
NOTE

Authority cited: Sections 124980, 125000 and 131200, Health and Safety Code. Reference: Sections 124980, 125000, 125025, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
2. Change without regulatory effect amending subsection (a) and Note filed 8-13-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 33).
§6500.77. Sickle Cell Education and Counseling Program.
Note     •     History

“Sickle cell education and counseling program” means an educational and counseling program in which the disease orientation is, in whole or in major part, sickle cell disease. 
NOTE

Authority cited: Sections 124980, 125000 and 131200, Health and Safety Code. Reference: Sections 124980, 125000, 125025, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
2. Change without regulatory effect amending section and Note filed 8-13-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 33).
§6500.80. Transfer.
Note     •     History

“Transfer” means release of the newborn from care and custody of one perinatal licensed health facility to care and custody of another perinatal licensed health facility, or admission to another perinatal licensed health facility of a newborn from an out-of-state facility. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
Article 2. Testing and Follow-Up Program Requirements
§6501. Scope of Newborn Testing.
Note     •     History

Each newborn born in California shall be tested for galactosemia, hereditary hemoglobinopathies, phenylketonuria and primary congenital hypothyroidism in accordance with procedures in this Group.
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980, 125000, 125001 and 125025, Health and Safety Code. 
HISTORY

1. New section filed 4-11-80; designated effective 9-1-80 (Register 80, No. 15). 
2. Amendment filed 11-21-86; effective thirtieth day thereafter (Register 86, No. 47). 
3. Amendment of subsections (a) and (c) filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code Section 309(g) (Register 90, No. 4). 
4. Change without regulatory effect adding article 2 heading and amending section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6501.2. Religious Objection.
Note     •     History

(a) The provisions of Section 6501 shall not apply if a parent or legally appointed guardian objects to a test on the ground that it conflicts with his or her religious beliefs or practices. If the parent or legal guardian refuses to allow the collection of a blood specimen, such refusal shall be: (1) made in writing, (2) signed by a parent or legally appointed guardian, and (3) included in the newborn's medical or hospital record. 
(b) Birth attendants or physicians shall provide to parent(s) or legally appointed guardian(s) who object to the test on the basis it is in conflict with their religious beliefs or practices, a refusal form approved by the Department and shall obtain the appropriate signature(s) upon the form. If the parent(s) or legally appointed guardian(s) is unable to read such material, it shall be translated or read to such person(s) in a language understood by such persons. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6502. Fatal Condition.
Note     •     History

The provisions of Section 6501 shall not apply if the newborn has a condition almost certain to be fatal in the first 30 days of life. The prognosis shall be documented in the medical record. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Section 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41). For prior history, see Register 87, No. 47.
§6502.1. Confidentiality.
Note     •     History

(a) All information, records of interview, written reports, statements, notes, memoranda, or other data procured by an individual, group or research team in the course of any testing under this Group shall be confidential and shall be used solely for the purposes of medical intervention, counseling, or specific research project approved by the Department.
(b) Except as provided by law, such information shall not be exhibited nor disclosed in any way, in whole or in part, by any individual, group, or research team except with the written consent of the person or his/her legally authorized representative unless such data can be made available in a manner which preserves anonymity of the persons tested.
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 5-30-90 as an emergency; operative 5-30-90. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g) (Register 90, No. 30).
2. Change without regulatory effect amending subsection (a) and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6503. Newborn Screening Laboratory Requirements.
Note     •     History

(a) The Department shall designate laboratories and tests to be used for Department required newborn tests. Such laboratories shall be either laboratories operated by the Department for quality control confirmatory and emergency testing or contractor laboratories licensed as clinical laboratories under the Business and Professions Code. 
(b) Perinatal licensed health facilities and birth attendants shall submit required specimens to the newborn screening laboratory designated by the Department. 
(c) Contract newborn screening laboratories shall be limited to laboratories that shall have submitted a bid acceptable to the Department on a competitive contract to provide laboratory services in sufficient volume to cover all of the newborns born in a geographical area, as defined by the Department, plus an appropriate emergency capacity. The Department will define not more than six areas and may combine areas if necessary to reduce costs or assure statewide coverage. 
(d) Notwithstanding (c) above a comprehensive prepaid group practice direct health care service plan with 20,000 or more births in the last completed calendar year for which complete statistics are available may have a laboratory serving a comprehensive prepaid group practice health care service plan designated a newborn screening laboratory under terms of a written agreement as defined in Section 6508(b) or may provide services in conformity with the terms of a mutually acceptable contract for services. 
(e) Newborn screening laboratories shall participate in a proficiency testing program conducted by the Department's laboratory and shall maintain levels of performance acceptable to the Department. 
(f) Newborn screening laboratories contracting with the Department shall be subject to on-site inspections and review of laboratory performance of tests and laboratory records. 
NOTE

Authority cited: Sections 124980 and 125000 , Health and Safety Code. Reference: Sections 124980, 125000 and 125001, Health and Safety Code. 
HISTORY

1. New section filed 4-11-80; designated effective 9-1-80 (Register 80, No. 15). 
2. Amendment filed 8-29-80 as an emergency; effective upon filing (Register 80, No. 35). A certificate of compliance must be filed within 120 days or emergency language will be repealed 12-28-80. 
3. Certificate of Compliance transmitted to OAL 12-15-80 and filed 1-12-81 (Register 81, No. 3). 
4. Amendment filed 11-21-86; effective thirtieth day thereafter (Register 86, No. 47). 
5. Amendment of subsections (d) and (e) filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code Section 309(g) (Register 90, No. 4). 
6. Change without regulatory effect amending section heading and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6504. Parent Education: Birth Attendants.
Note     •     History

All birth attendants engaged in providing perinatal care shall provide pregnant women, prior to the estimated date of delivery, with a copy of the informational material, entitled “Important Information for Parents,” provided by the Department.
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980, 125000 and 125001, Health and Safety Code. 
HISTORY

1. New section filed 4-11-80; designated effective 9-1-80 (Register 80, No. 15).
2. Amendment of subsection (f) filed 8-29-80 as an emergency (Register 80, No. 35). A certificate of compliance must be filed within 120 days or emergency language will be repealed on 12-28-80.
3. Certificate of Compliance transmitted to OAL 12-15-80 and filed 1-12-81 (Register 81, No. 3).
4. Repealer and new section filed 11-21-86; effective thirtieth day thereafter (Register 86, No. 47).
5. Change without regulatory effect amending section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6504.2. Parent Education: Perinatal Licensed Health Facilities.
Note     •     History

Perinatal licensed health facilities shall provide each pregnant woman admitted for delivery with a copy of the informational material provided by the Department, entitled “Important Information for Parents” prior to collection of the blood specimen if such information has not been provided pursuant to Section 6504. If a woman is unable to read such material, it shall be translated or read to her in a language she understands. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980, 125000 and 125001, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6504.4. Specimen Collection Forms.
Note     •     History

(a) Department approved specimen collection forms shall not be copied, printed, reproduced, acquired, purchased or distributed other than as provided for in this Group. 
(b) Such Department approved specimen collection forms shall be fully and accurately completed by birth attendants, perinatal licensed health facilities and laboratories; and a copy shall be filed in each newborn's medical record. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980, 125000 and 125001, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6504.6. Record Maintenance.
Note     •     History

Perinatal licensed health facilities shall maintain such records as are necessary to assure compliance with this Group and provide the Department with such data as may be periodically required including, but not limited to, information on all newborns discharged or transferred from the facility without collection of a blood specimen. All such information and records shall be confidential, but shall be open to examination by the Department personnel or its designated agents for any purpose directly connected with the administration of the newborn screening program. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980, 125000 and 125001, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6505. Collection of Specimens.
Note     •     History

(a) Birth attendants, laboratories and hospitals shall collect specimens using the technique for blood collection distributed by the Department.
(b) Physicians or birth attendants who are caring for newborns born in perinatal licensed health facilities shall have blood specimens collected using Department-approved specimen collection forms in accordance with criteria distributed by the Department including the following: 
(1) A specimen must be collected from any untested infant prior to blood transfusion. 
(2) For newborns discharged before six days of age, a blood specimen shall be obtained as close to the time of discharge from the perinatal licensed health facility as is practical regardless of age or feeding history, unless the newborn is transferred for continuing care to another perinatal licensed health facility on or before the sixth day of age. Perinatal licensed health facilities which discharge infants before 24 hours of age may request a waiver from this requirement documenting how such newborns will be tested on or before 6 days of age. Such alternative testing schedules must be approved in writing by the Department. 
(3) For newborns remaining in perinatal licensed health facilities beyond five days of age, a blood specimen shall be obtained from the newborn on the sixth day of age regardless of feeding history. 
(4) For newborns received by transfer on or before six days of age, the receiving hospital shall obtain a blood specimen as close to discharge as possible, and if not discharged by the sixth day, a blood specimen shall be obtained on the sixth day of life. 
(c) For newborns not born in a perinatal licensed health facility but admitted to a perinatal licensed health facility within the first six days of age, a specimen shall be obtained as close to discharge as possible, and if not discharged by the sixth day of life, a blood specimen shall be obtained on the sixth day of life unless the newborn's physician has evidence that the specimen was previously obtained and records the results of the test in the newborn's medical record. 
(d) For newborns not born in a perinatal licensed health facility but admitted to a perinatal licensed health facility after six days of age but within the first 30 days of age, a blood specimen shall be obtained within 48 hours after admission unless the newborn's physician has evidence that the specimen was previously obtained and records the results of the test in the newborn's medical record. 
(e) Physicians attending sick newborns who exhibit symptoms suggestive of galactosemia, hypothyroidism or phenylketonuria (PKU), in addition to immediate diagnostic tests from local laboratory sources, shall have a blood specimen collected from the newborn and submitted to a newborn screening laboratory using forms purchased from the Department. 
(f) Physicians attending critically ill newborns who require special care may postpone collection of a blood specimen until the newborn's emergency life threatening condition is stabilized. 
(g) Birth attendants or physicians attending newborns not born in a perinatal licensed health facility and not subsequently admitted to a licensed health facility during the first six days of age, shall have a blood specimen collected from the newborn between the second and sixth days of age and submitted to a newborn screening laboratory using forms obtained from the Department. 
(h) If a newborn is born outside of a perinatal licensed health facility and the birth is not attended by a birth attendant and the newborn is not subsequently admitted to a perinatal licensed health facility within the first ten days of age, the person required to register the birth shall arrange for a blood specimen to be collected and submitted to a newborn screening laboratory between the second and tenth day of age. 
(i) Initial specimens shall be collected using a Department-approved form and shall be placed in the United States mail or other approved channel of transmittal to the assigned Department-approved laboratory as soon as possible, but not later than 12 hours after they are obtained. 
(j) The blood specimen and information obtained during the testing process becomes the property of the State and may be used for program evaluation or research by the Department or Department-approved scientific researchers without identifying the person or persons from whom these results were obtained, unless the person or his/her legally authorized representative specifically prohibits such use in writing. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. New section filed 4-11-80; designated effective 9-1-80 (Register 80, No. 15). For history of former section, see Registers 78, No. 34 and 74, No. 18. 
2. Amendment of subsection (i) filed 8-29-80 as an emergency; effective upon filing (Register 80, No. 35). A certificate of compliance must be filed within 120 days or emergency language will be repealed on 12-28-80. 
3. Certificate of Compliance transmitted to OAL 12-15-80 and filed 1-12-81 (Register 81, No. 3). 
4. Repealer and new section filed 11-21-86; effective thirtieth day thereafter (Register 86, No. 47). 
5. Amendment of subsections (b), (c), (f) and (i), and new subsection (j) filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code Section 309(g) (Register 90, No. 4). 
6. Change without regulatory effect amending Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6506. Medical Record Review.
Note     •     History

(a) Perinatal licensed health facilities shall review each newborn's medical record within 14 days from the date of discharge to determine that the results of required tests are filed in the newborn's medical record, or that a parent's or legal guardian's signed refusal has been filed in the newborn's medical record.
(b) Whenever a perinatal licensed health facility determines that a specimen has been obtained, but there are no results available in the newborn's medical record the facility shall send written notification within five days to the Department.
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. New Section filed 4-11-80; designated effective 9-1-80 (Register 80, No. 15).
2. Repealer and new section filed 11-21-86; effective thirtieth day thereafter (Register 86, No. 47).
3. Change without regulatory effect amending section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6506.2. Newborns Discharged from a Perinatal Licensed Health Facility Without Testing.
Note     •     History

(a) Whenever a perinatal licensed health facility determines that a discharged newborn has not received the mandated tests, the facility shall contact the newborn's physician by telephone to inform him/her that a specimen must be obtained and immediately send written notification to the newborn's physician and the Department. If the newborn's physician cannot be contacted or will not obtain a specimen, the perinatal licensed health facility shall notify the Department-approved Newborn Screening Area Service Center by telephone and shall send written notification within five days to the Newborn Screening Area Service Center and the Department. 
(b) When the newborn's physician is notified by telephone by the perinatal licensed health facility that a newborn was discharged from the perinatal licensed health facility before a specimen was taken, the newborn's physician shall make every reasonable effort to have a specimen obtained within five days of notification. If the newborn's physician cannot obtain the specimen, the Newborn Screening Area Service Center shall be notified by the newborn's physician by telephone. Such telephone notification shall be noted in the newborn's physician's records, specifying the date of notification, the person notified and the information provided. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6506.6. Follow-Up to Reports of Inadequate Specimen.
Note     •     History

When the newborn's physician is notified by the laboratory by telephone that a specimen is inadequate, the physician so notified shall make every reasonable effort to have an adequate specimen obtained within five days of notification. If the newborn's physician so notified, cannot obtain the repeat specimen, the physician shall notify the Newborn Screening Area Service Center as soon as possible by telephone. Such telephone notification shall be noted in the newborn's physician's records specifying the date of notification, the person notified and the information provided. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6506.8. Follow-Up to Reports of Initial Positive Result.
Note     •     History

When the newborn's physician is notified by telephone by the Department-approved Newborn Screening Area Service Center of an initial positive test result, the newborn's physician shall obtain an adequate recall blood specimen from the newborn and submit it to the designated laboratory within 48 hours. If the recall blood specimen cannot be obtained within 48 hours, the newborn's physician shall notify the Newborn Screening Area Service Center by telephone. Such telephone notification shall be noted in the newborn's physician's records, specifying the date of notification, the person notified and the information provided. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6506.10. Repeat and Recall Specimen Collection and Transmittal.
Note     •     History

Repeat and recall specimens required by this Group shall be collected on Department approved forms, placed in appropriate containers, and shall be placed in the United States mail or other approved channel of transmittal to the assigned Department-approved laboratory as soon as possible, but not later than 12 hours after they have been obtained. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6506.12. Diagnosis Reporting.
Note     •     History

All physicians making an initial diagnosis of a preventable heritable disorder for which testing is required under this Group shall report such diagnosis and provide the information necessary for follow-up and investigation to the Department. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6507. Failure to Comply.
Note     •     History

Willful or repeated failure to comply with this Group shall be referred by any person having knowledge of non-compliance to the appropriate licensing authority. Failure to report may constitute grounds for disciplinary action including revocation of license. 
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980, 124985 and 125000, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41). For prior history, see Register 90, No. 4.
§6507.1. Local Agency Responsibilities.
Note     •     History

(a) The county registrar of births shall provide a copy of the informational material prepared and provided by the Department to each person registering the birth of a newborn that occurred outside of a perinatal licensed health facility when the said newborn was not admitted to a perinatal licensed health facility within the first 30 days of age. The local health officer and the Department shall be notified of each such registration by the county registrar.
(b) Each local health department in the county where a newborn resides shall be responsible for making every reasonable effort to obtain specimens when requested by the Department-approved Newborn Screening Area Service Center or the Department. If after every reasonable effort a specimen cannot be obtained, the local health department may, after 30 days, with approval from the Department, terminate efforts.
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980 and 125000, Health and Safety Code. 
HISTORY

1. Renumbering of former Section 6507 to Section 6507.1 filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code Section 309(g) (Register 90, No. 4). For prior history, see Register 86, No. 47.
2. Change without regulatory effect amending section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
3. Editorial correction of section heading (Register 2006, No. 44).
Article 3. Sickle Cell Programs
§6507.2. Sickle Cell Education and Counseling Program Requirements.
Note     •     History

(a) Each sickle cell education and counseling program shall apply for and obtain written approval from the Department of Health Services. Such approval shall be contingent upon compliance with all sections of this Group. 
(b) Each sickle cell education and counseling program shall: 
(1) Provide counseling services to the clients. 
(2) Employ State-approved sickle cell counselors to perform all of the counseling following, or relating to, any abnormal hemoglobinopathy finding. 
(3) Demonstrate, upon request by the Department of Health Services, that each of its counselors successfully participates in State-approved educational programs which serve to update the knowledge and enhance the proficiency of such counselors. 
(4) Have a physician with special training and experience in pediatric hematology to serve as medical director or consultant to order and interpret laboratory tests used in counseling. 
(5) Have written protocols to protect the confidentiality and security of all records containing personal information. 
(6) Use only State-approved educational materials. 
(7) Use any laboratory that meets the Department's standards for sickle cell hemoglobin testing. 
NOTE

Authority cited: Sections 124980, 125000 and 125025, Health and Safety Code. Reference: Sections 124980, 125000, 125025 and 125030, Health and Safety Code. 
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code Section 309(g) (Register 90, No. 4). 
2. Change without regulatory effect adding article 3 heading and amending section heading, subsection (a) and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6507.3. Certification of a Sickle Cell Counselor.
Note     •     History

(a) A sickle cell counselor shall obtain a certificate of approval from the Department of Health Services upon presentation of written evidence that he or she has: 
(1) Completed a course at a sickle cell counselor training center approved by the Department with such center's endorsement of his or her ability to function as a sickle cell counselor, and/or 
(2) Successfully completed an examination or examinations which demonstrate his or her knowledge or expertise in the field, and one or more personal interviews to demonstrate an understanding of, and ability to communicate with persons who have sickle cell disease or sickle cell trait. 
(b) All sickle cell counselors must provide documentation of completion of State-approved training to update skills and knowledge on an annual basis. 
(c) This section shall not apply to physicians. 
NOTE

Authority cited: Sections 124980, 125000 and 125025, Health and Safety Code. Reference: Sections 125000, 125025 and 125030, Health and Safety Code. 
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g) (Register 90, No. 4). 
2. Repealer of section 6507.3 and renumbering of section 6507.4 to section 6507.3  filed 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by  operation of law on the following day.
3. Certificate of Compliance as to 4-20-92 order transmitted to OAL 8-17-92 and filed 9-28-92 (Register 92, No. 40).
4. Change without regulatory effect amending section heading and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6507.4. Voluntary Participation.
Note     •     History

Participation by any person in a sickle cell education and counseling program in which medical information is obtained through interview, test or other ascertainment procedure shall be wholly voluntary and shall not be a prerequisite to eligibility for, or receipt of, any other services or assistance from, or to participation in any other program. 
NOTE

Authority cited: Sections 124980, 125000 and 125025, Health and Safety Code. Reference: Sections 124980, 125000, 125025 and 125030, Health and Safety Code. 
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g) (Register 90, No. 4). 
2. Renumbering of section 6507.4 to section 6507.3 and renumbering of section 6507.5 to section 6507.4 filed 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by  operation of law on the following day.
3. Certificate of Compliance as to 4-20-92 order transmitted to OAL 8-17-92 and filed 9-28-92 (Register 92, No. 40).
4. Change without regulatory effect amending Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6507.5. Informed Consent.
Note     •     History

(a) A sickle cell education and counseling program shall obtain informed consent from each adult upon whom testing or any other screening procedure is to be performed. If the person is a minor other than a newborn, informed consent shall be obtained from such child's parent or guardian. An informed consent shall be obtained from an emancipated minor without the need for parent or guardian consent. 
(b) The informed consent shall be in writing in format approved by the Department and shall be signed by the person, by his or her guardian or, except in the case of an emancipated minor, by his or her parent. 
NOTE

Authority cited: Section 124980, 125000 and 125025, Health and Safety Code. Reference: Sections 124980, 125000, 125025 and 125030, Health and Safety Code. 
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g) (Register 90, No. 4). 
2. Renumbering of section 6507.5 to section 6507.4 and renumbering of section 6507.6 to section 6507.5 filed 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by  operation of law on the following day.
3. Certificate of Compliance as to 4-20-92 order transmitted to OAL 8-17-92 and filed 9-28-92 (Register 92, No. 40).
4. Editorial correction of History 2 (Register 95, No. 18).
5. Change without regulatory effect amending Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6507.6. Approval of Hemoglobin Testing Laboratories.
Note     •     History

(a) All laboratories that accept specimens from an approved sickle cell counseling program shall be in compliance with the Business and Professions Code governing licensed clinical laboratory operations and personnel (commencing with Section 1200 of the Business and Professions Code) or be an approved public health laboratory operated in accordance with the California Health and Safety Code, Section 101150 et seq. 
(b) All laboratories involved in sickle cell screening as specified in this Article shall use a test or combination of tests with demonstrated ability to distinguish hemoglobins including F, A, S, C, D, and E, as well as the thalassemias. 
(c) The State Department of Health Services shall have the responsibility of monitoring sickle cell screening laboratories coming under the scope of this Article. Such monitoring may be accomplished by on-site inspections and proficiency testing, or any other effective method. The Department may deny, revoke, or suspend the approval of any laboratory which does not comply or continue to comply with the above qualifications. 
NOTE

Authority cited: Sections 124980, 125000 and 125025, Health and Safety Code. Reference: Sections 124980, 125000, 125025 and 125030, Health and Safety Code. 
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 12-22-89 as an emergency; operative 12-22-89. Submitted to OAL for printing only pursuant to Health and Safety Code section 309(g) (Register 90, No. 4). 
2. Renumbering of section 6507.6 to section 6507.5 and renumbering of section 6507.7 to section 6507.6 filed 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by  operation of law on the following day.
3. Certificate of Compliance as to 4-20-92 order transmitted to OAL 8-17-92 and filed 9-28-92 (Register 92, No. 40).
4. Change without regulatory effect amending section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6507.7. Sickle Cell Trait Carrier Follow-Up Vendor.
Note     •     History

(a) A sickle cell trait follow-up vendor shall mean any sickle cell education and counseling program that:
(1) Is approved under this Group, and
(2) Signs a vendor agreement to provide services in accordance with Department policies, including a fee schedule provided by the Department. The Department may obtain and provide reimbursements for any or all follow-up services authorized as a result of newborn sickle cell screening from such approved vendors.
NOTE

Authority cited: Sections 124980, 125000 and 125025, Health and Safety Code. Reference: Sections 124980, 125000, 125025 and 125030, Health and Safety Code. 
HISTORY

1. Renumbering of section 6507.7 to section 6507.6 and new section filed 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by  operation of law on the following day.
2. Certificate of Compliance as to 4-20-92 order transmitted to OAL 8-17-92 and filed 9-28-92 (Register 92, No. 40).
3. Change without regulatory effect amending section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
Article 4. Newborn Screening Participation Fee
§6508. Newborn Screening Fee Collection.
Note     •     History

(a) Perinatal licensed health facilities and birth attendants shall obtain from the Department a sufficient supply of specimen collection forms to permit collection of a blood specimen from each newborn required to be tested under this Group.
(b) The Department shall collect a fee for each specimen record form provided and a program participation fee for all services provided. The fee for a specimen form shall be $1 and for program services shall be $111.70 except for a comprehensive prepaid group practice direct health care service plan with 20,000 or more births in the last completed calendar year for which complete statistics are available, which elects to provide testing, follow-up and/or counseling services to its members. The fee for such plans shall be equal to the Department's cost of administration of the newborn screening program, to be determined by reducing the $111.70 program service fee by the annual statewide average per infant contracted cost of laboratory testing, follow-up and/or counseling services rendered during the previous fiscal year. In order to qualify for this special fee a medical group serving a comprehensive prepaid group practice direct care service plan with 20,000 or more births shall sign a written agreement which contains the same standards and conditions, except as to payment or where specifically waived, as are applicable to the newborn screening laboratories and Newborn Screening Area Service Centers, adhere to the regulations governing the program, and to submit to monitoring and evaluation of compliance. Failure to comply with these conditions after being given written notification and 30 days to correct deviations shall result in loss of the option. In the event the option is lost the State shall designate appropriate contractors to provide services.
The provisions of this section shall apply even if the newborn is part of a State-approved demonstration project.
(c) Birth attendants and physicians attending newborns who are under six days of age and who were not born in perinatal licensed health facilities and not subsequently admitted to perinatal licensed health facilities shall obtain a sufficient supply of specimen record forms to permit collection or shall arrange for a collection of a blood specimen from each such newborn attended.
(d) Birth attendants and physicians attending newborns and perinatal licensed health facilities shall not charge parents or third parties responsible for medical care coverage fees for participation in the newborn screening program in addition to those specified in this section, except for reasonable fees for costs of blood specimen collection and handling which shall not exceed $6.
(e) The perinatal licensed health facility shall make available to the responsible physician, at no additional charge, specimen collection services or a specimen record form for obtaining either a repeat specimen for an inadequate specimen or a specimen on a newborn discharged without the test having been obtained.
NOTE

Authority cited: Sections 124977, 124996, 125000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 124977, 124996, 125000 and 125001, Health and Safety Code.
HISTORY

1. New section filed 11-21-86; effective thirtieth day thereafter (Register 86, No. 47).
2. Amendment filed 12-6-90 as an emergency print only; operative 12-6-90 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by April 5, 1991, or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-6-90 order transmitted to OAL 3-19-91 and filed 4-8-91 (Register 91, No. 19).
4. Amendment filed 8-7-91 by the Department of Health Services with the Secretary of  State, operative 8-7-91. Submitted to OAL as an emergency for printing only pursuant to Health and Safety Code section 309 (Register 91, No. 50).
5. Amendment of subsection (b) filed 6-30-92 with Secretary of State by the Department of Health Services; operative 7-1-92. Submitted to OAL as an  emergency for printing only pursuant to Health and Safety Code sections 289.7(b) and 309(h) (Register 92, No. 27).
6. Certificate of Compliance as to 6-30-92 order transmitted to OAL 10-20-92 and filed 11-20-92 (Register 92, No. 47).
7. Editorial correction of History 5. (Register 92, No. 47).
8. Amendment of subsections (b) and (f) and amendment of Note filed 6-6-97 as an emergency; operative 6-6-97 (Register 97, No. 24). This regulatory action is deemed an emergency exempt from OAL review and was filed directly with the Secretary of State pursuant to Health and Safety Code section 125000(h). These amendments shall remain in effect until revised or repealed by DHS pursuant to Health and Safety Code section 125000(j).
9. Amendment of subsection (b) and Note filed 12-28-2001 as an emergency; operative 12-28-2001 (Register 2001, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-29-2002 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-28-2001 order transmitted to OAL 4-9-2002 and filed 5-16-2002 (Register 2002, No. 20).
11. Amendment of subsection (b) and amendment of Note filed 6-28-2002 as an emergency; operative 6-28-2002 (Register 2002, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-2002 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 6-28-2002 order transmitted to OAL 10-25-2002 and filed 12-2-2002 (Register 2002, No. 49). 
13. Amendment of subsection (b) and Note filed by the Department of Health Services with the Secretary of State 12-31-2004 as an emergency; operative 12-31-2004 (Register 2005, No. 1). Compliance with Health and Safety Code section 124977 must be completed by 5-2-2005. Pursuant to Health and Safety Code section 124977, this amendment is exempt from OAL review and was submitted for printing only. 
14. Compliance with Health and Safety Code section 124977(d)(1) as to 12-31-2004 order filed 4-29-2005. Exempt from OAL review pursuant to Health and Safety Code section 124977(d)(2). Submitted to OAL for filing pursuant to Government Code section 11343.8 (Register 2005, No. 20). 
15. Change without regulatory effect adding article 4 heading and amending section heading and section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
16. Amendment of subsection (b) and amendment of Note filed as an emergency by the Department 9-7-2007; operative 9-7-2007. Submitted to OAL for printing only pursuant to Health and Safety Code section 124977 (Register 2007, No. 42). 
17. Statement of Compliance pursuant to Health and Safety Code section 124977(d)(1) as to 9-7-2007 order filed 4-2-2008. Exempt from OAL review pursuant to Health and Safety Code section 124977(d)(2). Submitted to OAL for filing pursuant to Government Code section 11343.8 (Register 2008, No. 14). 
18. Editorial correction of Histories 13 and 14 (Register 2008, No. 15). 
19. Amendment of subsection (b) and repealer of subsection (f) filed 6-15-2012 as an emergency; operative 6-15-2012. Exempt from OAL review pursuant to Health and Safety Code section 124977(d). Submitted to OAL for filing and printing only pursuant to Government Code section 11343.8 (Register 2012, No. 24).
§6510. Rhesus (Rh) Hemolytic Disease of the Newborn.
Note     •     History

NOTE

Authority cited: Sections 151, 208 and 306(b), Health and Safety Code. Reference: Sections 304, 305 and 306, Health and Safety Code.
HISTORY

1. New section filed 3-16-70; effective thirtieth day thereafter (Register 70, No. 12).
2. Amendment of subsection (a)(1) filed 2-2-71; effective thirtieth day thereafter (Register 71, No. 6).
3. Editorial correction filed 11-5-84 (Register 84, No. 45).
4. Change without regulatory effect renumbering former section 6510 to section 6529 filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
Group 5. Prenatal (Multiple Marker) Testing Program
Article 1. Definitions
§6521. Alpha-Fetoprotein.
Note     •     History

“Alpha-fetoprotein” means the protein substance in maternal serum and amniotic fluid, the concentration of which is tested to determine the probability that the fetus has a neural tube defect. For the purpose of this Group, alpha-fetoprotein may be abbreviated and referred to as “AFP,” maternal serum alpha-fetoprotein may be abbreviated and referred to as “MS-AFP,” and amniotic fluid alpha-fetoprotein may be abbreviated and referred to as “AF-AFP.”
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050 and 125070, Health and Safety Code. 
HISTORY

1. New article 2 (sections 6521-6529, not consecutive) filed by the Department of Health Services with the Secretary of State on 4-7-86 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 86, No. 16).
2. Amendment of subsection (h) filed by the Department of Health Services with the Secretary of State on 6-16-88 as an emergency; effective 7-1-88. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 88, No. 27).
3. Certificate of Compliance as to 6-16-88 order transmitted to OAL 10-19-88 and filed 11-18-88 (Register 88, No. 48).
4. New subsections (n)-(n)(3) and amendment of Note filed 4-20-92 as an emergency; operative 4-20-92 (Register 92, No. 18). A Certificate of Compliance must be transmitted to OAL 8-18-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 4-20-92 order transmitted to OAL 8-17-92 and filed 9-28-92 (Register 92, No. 40).
6. Amendment of subsection (n)(1), new subsections (n)(2) and (n)(4), subsection renumbering and amendment of Note filed 10-1-92 as an emergency; operative 10-1-92 (Register 92, No. 40). Submitted to OAL for printing only pursuant to Government Code section 11343.8.
7. Certificate of Compliance as to 10-1-92 order filed 3-3-92 (Register 93, No. 10).
8. Amendment of section and Note filed 6-14-96 as an emergency; operative 6-14-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 96, No. 24).
9. Editorial correction of History 8 (Register 97, No. 12).
10. Amendment of subsection (p)(1) filed 3-14-97 by the Department of Health Services with the Secretary of State; operative 3-14-97. Submitted to OAL as an emergency for printing only pursuant to Health and Safety Code section 125000 (Register 97, No. 12).
11. Amendment of subsection (e) filed 9-25-97; operative 9-25-97. Submitted to OAL for printing only pursuant to Health and Safety Code section 125000 (Register 97, No. 39).
12. Change without regulatory effect adding group 5 heading, renumbering former article 2 to new article 1, and amending section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.3. Analyte.
Note     •     History

“Analyte” means any constituent or substance the concentration of which is related to the presence of a birth defect and is analyzed and reported by prenatal screening laboratories as part of a Departmentally provided or administered prenatal screening program including alpha-fetoprotein, human chorionic gonadotrophin and estriol. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.5. Birth Defect.
Note     •     History

“Birth defect” means any functional or structural defect caused by failure or error in the development of a fetus that is capable of being prenatally detected and for which the Department has provided a surveillance or screening program including neural tube defects, ventral wall defects, and chromosomal defects. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.7. Clinician.
Note     •     History

“Clinician” means physician, physician assistant, nurse midwife, nurse practitioner or any other person licensed or certified by the State to provide prenatal care to pregnant women or to practice medicine. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.9. Differential Diagnostic Screening Tests and Procedures.
Note     •     History

“Differential diagnostic screening tests and procedures” means those additional screening tests, methods, examinations or activities which are performed consequent to a positive blood screening test and which are used to distinguish between the presence of a birth defect of the fetus and other causes of positive blood screening tests. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.11. Expanded AFP Follow-Up Vendor.
Note     •     History

“Expanded AFP follow-up vendor” means any facility, clinic, institution, health maintenance organization, or physician that: 
(a) Submits documentation verifying that it meets the standards published by the Department for approval as a comprehensive prenatal diagnosis center entitled: Prenatal Diagnosis Center Standards and Definitions 1997. This document in its entirety is hereby incorporated by reference in this section; 
(b) Has had the documentation verified by a state visit; or 
(c) Has had experience in the provision of follow-up of women with abnormal MS-AFP results as defined by California's MS-AFP Program prior to April 1, 1992; and 
(d) Receives notification of approval as a Prenatal Diagnosis Center; and 
(e) Signs a vendor agreement to provide such services in accordance with Department policies including a fee schedule published by the Department entitled: Vendor Agreement March 1, 1996, and incorporated by reference herein. The Department may obtain and provide reimbursement for any or all follow-up services authorized as the result of MS-AFP screening from any or all such approved vendors. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.13. Expanded AFP Prenatal Birth Defects Screening Laboratory.
Note     •     History

“Expanded AFP prenatal birth defects screening laboratory” means a laboratory approved by the Department to conduct prenatal screening laboratory tests to determine the concentration of analytes and perform other analysis related to birth defects specified as part of state administered testing. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.15. Expanded AFP Prenatal Screening for Birth Defects.
Note     •     History

“Expanded AFP prenatal screening for birth defects” means the sequence of screening tests of initial and repeat blood tests and, where medically indicated, differential diagnostic screening tests and procedures authorized by the Department and provided by Department-approved vendors. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.17. Gestational Age.
Note     •     History

“Gestational age” means the number of days elapsed since the first day of the last normal menstrual period. Gestational age may be calculated as the number of days from known or suspected conception plus 14 days or estimated by ultrasound examination and measurements. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.19. Inadequate Specimen.
Note     •     History

“Inadequate specimen” means a blood specimen collected from a pregnant woman which is not suitable in quality or quantity, was collected before the 105th or after the 140th day of gestation, or was not documented with the clinical information necessary for test result interpretation to perform valid prenatal screening for birth defects of the fetus. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.21. Initial Screening Positive Test.
Note     •     History

“Initial screening positive test” means an initial screening test of a specimen which gives a positive result for reporting purposes pursuant to this Group. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.23. Initial Specimen.
Note     •     History

“Initial specimen” means the first adequate specimen collected from a pregnant woman pursuant to this Group. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.25. Method.
Note     •     History

“Method” means the instruments, devices, reagents, steps and procedures used in a laboratory to measure the concentration of analytes in samples of maternal serum or amniotic fluid. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.27. Neural Tube Defect.
Note     •     History

“Neural tube defect” means any malformation caused by failure of the developing spine and skull to properly close. Examples are spina bifida and anencephaly. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.29. Prenatal Diagnosis Center.
Note     •     History

“Prenatal diagnosis center” means any facility in California which is approved by the Department to provide differential diagnostic tests and procedures for the prenatal evaluation or detection of genetic diseases, disorders, and birth defects of the fetus. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6521.31. Repeat Specimen.
Note     •     History

“Repeat specimen” means a blood specimen collected from a pregnant woman following the screening laboratory report that a previously collected blood specimen was either an inadequate specimen or that the screening test results were positive or inconclusive. 
NOTE

Authority cited: Sections 124980, 125000 and 125070, Health and Safety Code. Reference: Sections 124975, 124980, 124990, 125000, 125001, 125050, 125065 and 125070, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
Article 3. Testing and Follow Up Program Requirements
§6523. Expanded AFP Prenatal Birth Defects Screening Laboratories and Analytical Methods.
Note     •     History

(a) The Department shall approve Expanded AFP prenatal birth defects screening laboratories. Such laboratories shall be licensed as clinical laboratories under Division 2, Chapter 3 (commencing with Section 1200) of the Business and Professions Code.
(b) Approved Expanded AFP prenatal birth defects screening laboratories shall be limited to the following:
(1) A laboratory that shall have obtained a contract from the Department under applicable laws and regulations to provide laboratory services in sufficient volume to provide the prenatal birth defects screening test to all pregnant women in a designated geographic area defined by the Department, plus an emergency testing capacity that will be specified by contract. The Department will define not more than 6 geographic areas and may combine geographic areas if necessary to reduce costs or assure statewide coverage.
(2) A laboratory exclusively serving a comprehensive prepaid group practice or health care service plan with 20,000 or more births in the last completed calendar year for which complete statistics are available may be approved for testing consistent with the terms of a mutually acceptable contract for services.
(c) Expanded AFP prenatal birth defects screening laboratories approved by the Department shall comply with all laboratory standards for quality assurance issued by the Department and shall participate in a proficiency testing program approved and/or conducted by the Department and shall maintain levels of performance acceptable to the Department.
(d) Analytical methods to be used in the measurement of each analyte concentration in maternal serum shall be designated and/or approved by the Department.
(e) Analytical methods to be used in the measurement of the analyte concentration in amniotic fluid, and other adjunctive tests performed on amniotic fluid shall be designated and/or approved by the Department.
NOTE

Authority cited: Sections 125000(e) and 125070, Health and Safety Code. Reference: Sections 124980, 125000(e) and 125070, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 4-7-86 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 86, No. 16).
2. Amendment of section heading, section and Note filed 6-14-96 as an emergency; operative 6-14-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 96, No. 24).
3. Editorial correction of History 2 (Register 97, No. 12).
4. Repeal of subsections (b)(3) and (f) filed 3-14-97 by the Department of Health Services with the Secretary of State; operative 3-14-97. Submitted to OAL as an emergency for printing only pursuant to Health and Safety Code section 125000 (Register 97, No. 12).
5. Amendment of subsection (b)(2) filed 9-25-97; operative 9-25-97. Submitted to OAL for printing only pursuant to Health and Safety Code section 125000 (Register 97, No. 39).
6. Change without regulatory effect adding article 3 heading filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6525. Prenatal Diagnosis Centers and Laboratories.
Note     •     History

The Department shall approve prenatal diagnosis centers and prenatal diagnosis methods and Expanded AFP Birth Defect Screening Laboratories and laboratory methods and shall institute such quality control and proficiency testing as is necessary to assure the accuracy of testing. No laboratory shall offer or provide prenatal birth defect screening diagnostic tests on California residents without having obtained prior approval from the Department.
NOTE

Authority cited: Sections 125050, 125055 and 125070, Health and Safety Code. Reference: Sections 124980, 125000 and 125070, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 4-7-86 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 86, No. 16).
2. Amendment of section heading, section and Note filed 6-14-96 as an emergency; operative 6-14-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 96, No. 24).
3. Editorial correction of History 2 (Register 97, No. 12).
§6527. Clinician Requirements.
Note     •     History

(a) Clinicians shall provide or cause to be provided to all pregnant women in their care before the 140th day of gestation, or before the 126th day from conception, as estimated by medical history or clinical testing, information regarding the use and availability of prenatal screening for birth defects of the fetus. This information shall be in a format to be provided or approved by the Department and shall be given at the first prenatal visit and discussed with each pregnant woman.
(b) The provisions of subsection (a) shall not apply if the pregnant woman has completed more than 140 days of gestation or 126 days post conception, as estimated by medical history or clinical testing, and this fact is entered in the medical record.
(c) Clinicians shall cause to be provided to all pregnant women who, after being provided with the information pursuant to subsection (a), voluntarily request prenatal screening for birth defects of the fetus, the opportunity, the circumstances of which are to be documented in the medical record, to read and sign an informed consent document in a format provided or approved by the Department.
(d) If the pregnant woman consents to testing, the clinician shall arrange for prenatal screening directly or by referral to another clinician by:
(1) Fully and accurately completing all required specimen collection forms provided by the Department for this purpose;
(2) Collecting or arranging for the collection of an initial specimen following state directions for collection provided;
(3) As soon as possible, but within 24 hours of collection, place or cause to be placed all initial and repeat specimens in the channel of transmittal to the designated Expanded AFP prenatal birth defects screening laboratory.
(e) Blood collection forms and blood collection and mailing kits supplied by the Department shall not be copied, printed, reproduced, acquired, purchased, substituted or distributed other than as specified for use in the Expanded AFP Prenatal Birth Defects Screening Program administered by the Department.
(f) When notified that a blood specimen is inadequate for testing, the clinician shall make a reasonable effort to have an adequate specimen obtained as soon as possible but not more than five (5) days after such notification.
(g) For each woman in their care who was prenatally screened for birth defects of the fetus and who has an initial screening positive test, the clinician shall: 
(1) Inform the woman that authorized follow-up services are available at Expanded AFP Follow-up Vendors, and that the program participation fees or laboratory test fee covers the authorized services. 
(2) Report on the form provided by the Department for this purpose, within 30 calendar days of the end of the pregnancy, the outcome of pregnancy and status of each fetus, or infant resulting therefrom.
(h) The test results shall be confidential so that such information shall only be released with the knowledge and specific written consent of the woman tested. Persons authorized by the Department to conduct and monitor screening and/or to provide and monitor differential diagnostic follow-up services shall be provided information without necessity of specific written consent.
(i) Recognizing the strict gestational and time limits wherein prenatal detection of birth defects of the fetus is feasible, clinicians shall make every reasonable effort to schedule screening and differential diagnostic tests and procedures appropriately with respect to the gestational dates of the pregnant woman.
(j) Willful or repeated failure to comply with these regulations shall be referred by any person having knowledge of noncompliance to the appropriate licensing authority.
NOTE

Authority cited: Sections 125000 and 125070, Health and Safety Code. Reference: Sections 124980 (b), (c), (d), (h), (j) and 125070, Health Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 4-7-86 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 86, No. 16).
2. New subsection (j) filed by the Department of Health Services with the Secretary of State on 6-16-88 as an emergency; effective 7-1-88. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 88, No. 27).
3. Certificate of Compliance as to 6-16-88 order transmitted to OAL 10-19-88 and filed 11-18-88 (Register 88, No. 48).
4. Amendment filed 8-7-91 by the Department of Health Services with the Secretary of State, operative 8-7-91. Submitted to OAL as an emergency for printing only pursuant to Health and Safety Code section 309 (Register 91, No. 50).
5. Amendment of section and Note filed 6-14-96 as an emergency; operative 6-14-96. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 96, No. 24).
6. Editorial correction of History 5 (Register 97, No. 12).
7. Amendment of subsections (a), (c), (d)(1) and (d)(2), repealer of subsection (e), subsection relettering, and amendment of newly designated subsection (g)(1) filed 3-14-97 by the Department of Health Services with the Secretary of State; operative 3-14-97. Submitted to OAL as an emergency for printing only pursuant to Health and Safety Code section 125000 (Register 97, No. 12).
8. Editorial correction of subsection (g) and Note (Register 97, No. 41).
9. Change without regulatory effect amending section heading filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6529. Rhesus (Rh) Hemolytic Disease.
Note     •     History

(a) Medical staffs of hospitals and physicians thereof shall in providing for the care of pregnant women determine that a blood specimen has been obtained for the determination of rhesus (Rh) blood type or shall obtain or cause to be obtained a blood specimen within 24 hours of termination of pregnancy whether by delivery or by spontaneous or therapeutic abortion for this purpose.
(b) All cases, or suspected cases of rhesus (Rh) hemolytic disease of the newborn, shall be reported to the Department of Health Services. Every patient diagnosed in any licensed hospital as having such condition shall be reported by the hospital on the form provided by the Department for this purpose. The hospital shall notify the physician making the diagnosis that such a report has been filed.
NOTE

Authority cited: Sections 124980 and 125000, Health and Safety Code. Reference: Sections 124980, 125075 and 125085, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services on 4-7-86 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 86, No. 16).
2. Amendment of subsection (a) filed by the Department of Health Services with the Secretary of State on 6-16-88 as an emergency; effective 7-1-88. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 88, No. 27).
3. Certificate of Compliance as to 6-16-88 order transmitted to OAL 10-19-88 and filed 11-18-88 (Register 88, No. 48).
4. Amendment filed 8-7-91 by the Department of Health Services with the Secretary of State; operative 8-7-91. Submitted to OAL as an emergency for printing only pursuant to Health and Safety Code section 309 (Register 91, No. 50).
5. Amendment of subsection (a) filed 6-30-92 with Secretary of State by the Department of Health Services; operative 7-1-92.  Submitted to OAL as an emergency for printing only pursuant to Health and Safety Code sections 289.7(b) and 309(h) (Register 92, No. 27).
6. Certificate of Compliance as to 6-30-92 order transmitted to OAL 10-20-92 and filed 11-20-92 (Register 92, No. 47).
7. Editorial correction of History 5. (Register 92, No. 47).
8. Amendment of subsections (a) and (b) and amendment of Note filed 6-6-97 as an emergency; operative 6-6-97 (Register 97, No. 24). This regulatory action is deemed an emergency exempt from OAL review and was filed directly with the Secretary of State pursuant to Health and Safety Code sections 125000(h) and 125070(b). These amendments shall remain in effect until revised or repealed by DHS pursuant to Health and Safety Code sections 125000(j) and 125070(c).
9. Amendment of subsection (a) and amendment of Note filed 2-26-98 as an emergency; operative 2-26-98 (Register 98, No. 10). Submitted to OAL for printing only pursuant to Health and Safety Code section 125000.
10. Change without regulatory effect repealing former section 6529 and renumbering former section 6510 to new section 6529, including amendment of section heading, section and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6531. Reporting of Neural Tube Defects.
Note     •     History

(a) All cases of neural tube defect in a fetus or an infant under one year of age shall be reported to the Department.
(b) This report shall be made:
(1) By the health facility in which the case is initially diagnosed;
(2) By the physician making the initial diagnosis if the case is not diagnosed in a health facility;
(3) Within 30 calendar days of the initial diagnosis;
(4) On the form to be provided by the Department for this purpose. 
NOTE

Authority cited: Section 125070, Health and Safety Code. Reference: Section 125070, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 10-9-85 as an emergency; effective upon filing. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 85, No. 45).
2. Change without regulatory effect amending subsection (a) and Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
§6532. Reporting of Chromosomal Disorders.
Note     •     History

(a) All cases of Down's syndrome or other chromosomal defects in a fetus or an infant under one year of age shall be reported to the Department. Chromosomal defects shall mean any abnormality in structure or number of chromosomes.
(b) This report shall be made:
(1) by the cytogenic laboratory performing the chromosomal analysis or by the physician making the diagnosis;
(2) within 30 calendar days of the initial diagnosis;
(3) on a form to be provided by the Department for this purpose.
NOTE

Authority cited: Section 125000, Health and Safety Code. Reference: Section 125000, Health and Safety Code.
HISTORY

1. New section filed by the Department of Health Services with the Secretary of State on 2-24-89 as an emergency; operative on 3-1-89. Submitted to OAL for printing only pursuant to Government Code Section 11343.8 (Register 89, No. 10).
2. Change without regulatory effect amending Note filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
Article 4. Prenatal Screening Fee Collection
§6540. Program Participation Fee.
Note     •     History

The all-inclusive program participation fee for maternal serum alpha fetoprotein, used as a single marker to screen neural tube defects only, shall be $57. The all-inclusive program participation fee for maternal serum alpha fetoprotein and one or more additional markers used for screening for NTD and Down Syndrome, shall be $162. The fee shall be paid to the Department by the woman being tested or by any third party which is legally responsible for her care including any health care service plan, managed health care plan, managed care plan, prepaid health plan or prepaid group practice health care service plan as defined in or licensed in accordance with Health and Safety Code Section 1340 et seq. 
NOTE

Authority cited: Sections 124977, 124996, 125000(h), 125055, 125070 and 131200, Health and Safety Code. Reference: Sections 124996, 125000(b) and (f), 125001, 125050, 125060, 125065 and 131052, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting article 4 (sections 6540-6540.1) and section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
2. Change without regulatory effect amending section and Note filed 2-16-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 7).
3. Amendment of section and Note filed 9-23-2011 as an emergency; operative 9-23-2011 (Register 2011, No. 38). Pursuant to Health and Safety Code section 124977(d)(1), this regulation was submitted to OAL as a file and print only and was not subject to OAL review. Health and Safety Code section 124977(d)(2) provides this emergency amendment shall not be repealed by OAL and shall remain in effect until revised or repealed by the Department.
4. Statement of Compliance pursuant to Health and Safety Code section 124977(d)(1) as to 9-23-2011 order filed 1-26-2012. Exempt from OAL review pursuant to Health and Safety Code section 124977(d)(2). Submitted to OAL for filing pursuant to Government Code section 11343.8 (Register 2012, No. 4).
§6540.1. Prepaid Group Practice Plan.
Note     •     History

Health care providers which contract with a prepaid group practice health care service plan that annually has at least 20,000 births among its membership may provide, without contracting with the Department, any or all of the testing and counseling services required to be provided under this Group, if the services meet quality standards established by the Department and the plan pays that portion of a fee established under Section 6540 which is directly attributable to the Department's cost of administering the testing or counseling service and any required testing or counseling services provided by the state for plan members during the previous fiscal year. This option must be executed under terms of a written agreement. Payment by the plan shall be deemed to fulfill any obligation the provider or the provider's patient may have to the Department to pay a fee in connection with the testing or counseling service. 
NOTE

Authority cited: Sections 124996, 125070 and 125000(h) and (j), Health and Safety Code. Reference: Sections 124996, 125000(b) and (f), 125001, 125050, 125055, 125060 and 125065, Health and Safety Code. 
HISTORY

1. Change without regulatory effect adopting section filed 10-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 41).
Subchapter 10. Tuberculosis Screening of Employees and Volunteers in Private, Parochial and Nursery Schools
Article 1. Definitions
§6600. Employee.
Note     •     History

An employee of the school is a person on the school's payroll, part time or full time.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Sections 3450-3455, Health and Safety Code.
HISTORY

1. New Subchapter 10 (Sections 6600 through 6608) filed 4-3-68; effective thirtieth day thereafter (Register 68, No. 14).
§6601. Volunteer.

A volunteer is a person not on the school's payroll who meets the following criteria: (a) contributes time and services in support of the school's operation, (b) whose work is regularly scheduled by the school on a continuing basis at least once monthly, and (c) who works on the school premises during school hours.
§6602. Private and Parochial Schools.

Private and parochial schools are schools offering elementary and secondary daily education in any of the grades, kindergarten through twelfth.
§6603. Nursery School.

Nursery school is any school receiving and caring for one or more children of preschool age on a partial or full time basis.
§6604. Elementary School.

Elementary school is any school offering instruction in any of the grades kindergarten through eighth.
§6605. Secondary School.

Secondary school is any school offering instruction in any of the grades, ninth through twelfth.
§6606. Minimum Examination.

Minimum examination required is a chest X-ray or the approved skin test. If the tuberculin test is positive (10 mm. or over), it must be followed by a chest X-ray. Private physicians, local health departments or local Tuberculosis and Health Associations may provide these tests and X-rays.
§6607. Approved Skin Test.

Approved skin test is the intradermal Mantoux 5 TU (.0001 mgm) PPD.
Article 2. Records as Evidence of Compliance
§6608. Records as Evidence of Compliance.

A school will have satisfactorily complied with the requirements of the law if by two weeks after the opening of the school year the school administrator provides the local health officer with a statement certifying (a) the number of persons employed, (b) the number of volunteers, and (c) that the required certificate for each, signed by a physician licensed to practice medicine in California, or a notice from a public health agency or unit of the Tuberculosis and Health Association indicating freedom from active tuberculosis is on file and available for verification. Thereafter, the legal requirements will be met by obtaining the certificate prior to or within two weeks of date of employment, or acceptance of a volunteer, and repeating every two years.
Subchapter 11. First Aid and Cardiopulmonary Resuscitation Training Standards for Public Safety Personnel [Repealed]
HISTORY

1. Change without regulatory effect repealing subchapter 11 (articles 1-4, sections 6701-6722) filed 6-21-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 34).
Subchapter 12. Ambulance Personnel* [Repealed]
NOTE

Authority cited: Sections 208 and 1760, Health and Safety Code. Additional authority cited: Section 1760.5, Health and Safety Code. Reference: Sections 1760 and 1760.5, Health and Safety Code.
HISTORY

1. New subsection (c) filed 8-19-76 as an emergency; effective upon filing (Register 76, No. 34). For prior history, see Register 74, No. 52.
2. Certificate of Compliance filed 12-15-76 (Register 76, No. 51). 
3. Repealer of Article 1 (Sections 6750-6752) and new Article 1 (Sections 6750-6752) filed 2-17-78; effective thirtieth day thereafter (Register 78, No. 7).
4. Repealer of Subchapter 12 (Sections 6750-6760, not consecutive) filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 39). For prior history, see Registers 78, No. 7, and 74, No. 52. 

* Renumbered from Subchapter 11 (Register 74, No. 52).
Subchapter 13. Child Health and Disability Prevention Program
Article 1. Definitions
§6800. Health Assessment.
Note     •     History

(a) “Health assessment” means the following:
(1) A comprehensive health and developmental history, and a physical examination.
(2) Appropriate health screening procedures and immunizations.
(3) Evaluation of results in terms of needed diagnosis and treatment.
(4) Providing the person screened with a copy of the results and an explanation of their meaning.
(5) Health education appropriate to the person's age and health status, including anti-tobacco use education.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; and Section 12, Assembly Bill 75 (Chapter 1331, Statutes of 1989). Reference: Sections 321.2, 324 and 24165.3, Health and Safety Code.
HISTORY

1. Repealer of Subchapter 13 (Sections 6800-6984, not consecutive) and new Subchapter 13 (Sections 6800-6874, not consecutive) filed 3-29-79; designated effective 5-1-79 (Register 79, No. 15). For history of prior subchapter, see Registers 75, No. 9; 75, No. 14; 75, No. 15; 75, No. 31; 76, No. 11; 76, No. 14; 76, No. 21; 76, No. 29; 76, No. 44; 76, No. 46; 76, No. 49.
2. Repealer and new section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
3. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
4. Amendment of subsection (a)(2) filed 2-27-90 as an emergency pursuant to Section 12, Chapter 1331, Statutes of 1989; operative 2-27-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-27-90.
5. Certificate of Compliance as to 2-27-90 order transmitted to OAL 6-19-90 and filed 7-18-90 (Register 90, No. 38).
§6801. Community.
Note     •     History

“Community” means an individual county, or a city and county, or counties acting jointly, or a city which operates an independent health agency. In the instance of a city providing the services described in this subchapter, the powers granted a governing body of a county to operate a child health and disability prevention program shall be vested in the governing body of that city.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
HISTORY

1. New section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6802. Community Child Health and Disability Prevention Program.
Note     •     History

(a) “Community child health and disability prevention (CHDP) program” means a community based and operated program of activities, approved and funded by the Department, necessary to comply with federal and state legislation and regulations that require: 
(1) CHDP services to be made available to Medi-Cal beneficiaries from birth to 21 years of age, and to be reimbursed by the State. 
(2) Health assessment and referral to diagnosis and treatment services to be made available to (1) children who are not Medi-Cal beneficiaries from birth until 90 days after entrance into the first grade, and (2) all persons under 19 years of age whose family income is not more than 200% of the federal poverty level. State reimbursement of the costs of health assessment and referral to diagnostic and treatment services for these children is limited by the amount of funds appropriated by the Legislature, and is made available only for those children who meet the age and family income criteria defined by the State Department of Health Services' Child Health and Disability Prevention Program. 
(3) Children entering first grade to present a certificate within 90 days after entrance that they have received health assessment within the prior 18 months. A waiver signed by the child's parent or guardian indicating that they do not want or are unable to obtain such health assessment and evaluation services for their children shall be accepted in lieu of the certificate. 
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; and Section 12, Assembly Bill 75 (Chapter 1331, Statutes of 1989). Reference: Sections 320 and 24165.3, Health and Safety Code. 
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80. 
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
3. Amendment of subsection (a)(2) filed 2-27-90 as an emergency pursuant to Section 12, Chapter 1331, Statutes of 1989; operative 2-27-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-27-90.
4. Certificate of Compliance as to 2-27-90 order transmitted to OAL 6-19-90 and filed 7-18-90 (Register 90, No. 38).
§6804. Contract Counties.
Note

“Contract counties” means those counties which contract with the Department for health services and which have not elected to provide the services themselves. The Department is responsible for the child health and disability prevention programs in those counties.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
§6806. Department.
Note

“Department” means the State Department of Health Services.
NOTE

Authority cited: Sections 208, 320.2 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
§6808. Diagnosis.
Note     •     History

NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
HISTORY

1. Repealer filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6810. Director.
Note

“Director” means the Director of the State Department of Health Services, unless otherwise specified.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
§6812. Governing Body.
Note

“Governing Body” means, except where indicated otherwise in this subchapter, the county board of supervisors, or boards of supervisors in the case of counties acting jointly or the city council in the case of a city.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320 et seq., Health and Safety Code.
§6813. Initiation of Treatment.
Note     •     History

“Initiation of treatment” means the first encounter for treatment of the medical and the dental problems disclosed during the health assessment.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 323.7, Health and Safety Code.
HISTORY

1. New section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6814. Medi-Cal Beneficiary.
Note     •     History

(a) “Medi-Cal beneficiary” means an individual under 21 years of age who is eligible for and certified to receive services under provisions of the California Medical Assistance Program (Chapter 7 of Part 3 of Division 9 of the Welfare and Institutions Code, beginning with Section 14000). Medi-Cal beneficiaries include:
(1) Persons who are certified eligible to receive cash grants under one of the public assistance programs.
(2) Persons who are certified eligible to receive medically needy or medically indigent Medi-Cal benefits.
(3) Other persons who are certified eligible to receive noncash grant Medi-Cal benefits. Other persons include the following:
(A) Children not in school and not in training.
(B) Persons receiving in-home supportive services.
(C) Persons who have lost AFDC eligibility, but are continuing to receive Medi-Cal benefits for four months from the date of lost eligibility.
(D) Persons who were discontinued from cash grants solely due to a 20 percent Social Security increase in 1977.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
3. Amendment of subsection (a)(3)(C) filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§6816. Person.
Note

“Person” means anyone from birth to 21 years of age eligible to receive services specified in this subchapter. Persons include newborns, infants, children, youth, emancipated minors, young adults and adults. In those instances where the person is not an adult or an emancipated minor, “person” means the person, or his/her parent(s) or guardian(s).
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
§6817. Clinical Laboratory.
Note     •     History

“Clinical Laboratory” means a facility for examining and testing specimens for the purpose of obtaining scientific data which may be used to ascertain the presence, progress, and source of disease in human beings.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; Section 14105, Welfare and Institutions Code. Reference: Section 320, Health and Safety Code; Section 14132, Welfare and Institutions Code; and Section 655.6, Business and Professions Code.
HISTORY

1. New section filed 2-23-93; operative 3-25-93 (Register 93, No. 9).
§6818. Screening.
Note     •     History

NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
HISTORY

1. Repealer filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6819. Child Health and Disability Prevention Services in Contract Counties.
Note     •     History

The organizational unit within the Department which is responsible for health services in contract counties shall develop annual plans and budgets, and shall conduct a program which is acceptable to the Child Health and Disability Prevention Program, and which is in accordance with the provisions of this subchapter.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 321.2, Health and Safety Code.
HISTORY

1. New section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
Article 2. Program Administration
§6820. Advisory Boards.
Note

(a) Membership. Membership in an advisory board shall be as follows:
(1) Members appointed to the local advisory board by the local governing body shall include, but not be limited to, individuals who, at the time of their appointment, are representatives of health professions concerned with child health, school health personnel and parents of children eligible to receive services under provisions of this subchapter, whether or not the services are eligible for state reimbursement.
(2) The governing body may recognize individuals as alternates who have professional or parent qualifications equivalent to that of the member.
(3) The governing body shall not appoint any employee of the local health department to the advisory board, except that the director and deputy director of the community child health and disability prevention program shall be ex officio, nonvoting members of the board.
(4) Individuals appointed to the advisory board as parents of children eligible to receive services shall neither be employed by an individual or an agency providing health services to the public for fee, nor be a provider of health services to the public for fee. 
(b) Responsibilities. The local advisory board shall be responsible for the reviewing, advising and reporting functions related to the community child health and disability prevention program as specified in Section 321.7, Health and Safety Code. The advisory board may also advise the local governing body and appropriate governmental agencies on health matters additional to the community child health and disability prevention program, such as maternal and child health in general.
(c) Tenure. Members of the advisory board shall serve at the pleasure of the appointing authority for a term of three years, except that one-third of the members first appointed in each jurisdiction shall serve for three years, one-third of the members for two years and one-third of the members for one year.
(d) Meetings. The advisory board shall meet at least twice each year, once before March 1, and once after March 1 but before September 1. In addition, the board shall meet on the call of the chairperson of the board or on the call of one-third of its members. Public notice shall be given of the date, time and location of each meeting in advance of the meeting. Meetings shall be open to the public.
(e) Reimbursement. Advisory board members and alternates shall serve without compensation, except that members, and alternates when acting in lieu of members, shall be reimbursed under the approved community plan for actual and necessary expenses incurred in connection with the performance of their duties. Parent members may additionally be reimbursed for their actual and necessary costs of child care and lost wages.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 321.7, Health and Safety Code.
§6822. Director and Deputy Director.
Note     •     History

(a) Designation. Each governing body, except those in contract counties whose programs are administered by the Department, shall appoint a physician, licensed to practice medicine in California, as Director, Child Health and Disability Prevention Program. The director shall have administrative responsibility for the organizational unit concerned with child health in the local health department as defined in Section 1102, Health and Safety Code. If the director is an existing health official, the director or local appointing authority shall also appoint a Deputy Director, Child Health and Disability Prevention Program, with experience in the delivery of health services to children and youth who is assigned to the organizational unit for which the Director, Child Health and Disability Prevention Program, has direct administrative responsibility.
(b) Responsibilities. The responsibilities of the director shall include, but not be limited to:
(1) Developing and implementing the community child health and disability prevention program plan and assuring its compliance with federal and state regulations. To the extent possible, this plan should relate to all community health services for children and youth, and to the integration and coordination of these services with the community's child health and disability prevention program. 
(2) Managing funds granted under the state-approved community plan.
(3) Completing all reports and maintaining all records required by the Department.
(4) Providing support staff and services to the community child health and disability prevention advisory board.
(5) Preparing an annual report to the governing body.
(c) Reimbursement. The salary and necessary expenses of the community child health and disability prevention program director or deputy director may be reimbursed by the State under the approved community plan to the extent that the services are directly related to the community child health and disability prevention program. However, if the director is a health officer as defined in Sections 451, 502 or 940 of the Health and Safety Code, no funds from this program shall be used directly or indirectly for reimbursement of the health officer's services rendered to the program. If the director is an existing health official other than the health officer, the official's salary may be reimbursed to the extent the official renders services to the program as indicated in the program's approved annual plan and budget.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 321(a) and 322, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6824. State and Local Responsibilities.
Note     •     History

(a) Annual plan and budget. On or before March 15 of each year, each governing body shall submit to the Department's Child Health and Disability Prevention Program the following: 
(1) A summary of the previous fiscal year's activity ending the previous June 30. 
(2) A summary of the current fiscal year's activity from the previous July 1 to the date of the revised budget submittal. A projection of activities from the date of the revised budget submittal through June 30 of the current fiscal year is desirable, but optional. 
(3) A description of the community program to be offered the next fiscal year, including expected program performance goals and activities. Descriptive material submitted as part of a previously state-approved plan need not be repeated. If the community child health and disability prevention program plan is part of the community's more comprehensive child health plan, the more comprehensive plan may be submitted in lieu of a separate community child health and disability prevention program plan. 
(4) A budget for the next fiscal year beginning July 1. 
(A) The community child health and disability prevention program budget for the budget year shall be limited to those items, including equipment and remodeling, required to implement the plan approved by the Department's Child Health and Disability Prevention Program. 
(B) If the amount appropriated in the State Budget Act and enacted into law for the budget year differs from the amount in the budget submitted by the Governor, each local governing body shall submit to the Department's Child Health and Disability Prevention Program an additional revised plan and budget that reflects the share of the reduction determined by the Director to be applicable to that community child health and disability prevention plan. 
(5) A preliminary budget estimate for the following fiscal year beginning the following July 1. 
(6) A current agreement between the community child health and disability prevention program and the county welfare department relating to the provision and documentation of child health and disability prevention services to Medi-Cal beneficiaries and setting forth the responsibilities of the community program and the county welfare department to assure adequate informing, outreach, referral and follow-up. 
(7) Other information which may be required by the Department's Child Health and Disability Prevention Program. 
(b) Informing Medi-Cal beneficiaries. Medi-Cal beneficiaries shall be informed as follows: 
(1) No later than 60 days following the date of a family's initial Medi-Cal eligibility determination or of determination after a period of ineligibility, the family must be informed of the availability of CHDP services including dental services. This must be done in writing and using face-to-face contact by a person who can explain these services and benefits. A family who loses and regains eligibility more than twice within a twelve-month period need not be informed more than twice in that twelve-month period. Informing includes the offer of services, assistance with scheduling appointments and transportation, and documenting responses. 
(2) If no member of an eligible family participates in the program, the family must be informed in writing at least once each year beginning October 1, 1980. Informing includes offering CHDP services, offering assistance with transportation and scheduling appointments, and documenting responses. 
(3) Each of the following must be used to inform an eligible family:
(A) Clear, nontechnical materials for those families who are to be informed in writing. 
(B) Procedures suitable for informing persons who are illiterate, blind, deaf, or cannot understand the English language. 
(4) A family being informed about the program must be given the following information: 
(A) The benefits of preventive health and dental services. 
(B) How medical and dental services can be obtained. 
(C) How specific information can be obtained on the location of the nearest providers participating in the program. 
(D) The health assessment and dental services that are offered. 
(E) A summary of the State's periodicity schedule. 
(F) That recipients can receive both initial and periodic health assessments and dental services according to the State's periodicity schedule.
(G) That treatment services shall be provided for problems disclosed during screening. 
(H) That assistance in referral shall be provided. 
(I) That assistance with transportation shall be provided if the person requests it. 
(J) That assistance in scheduling appointments shall be provided if the person requests this assistance. 
(K) That as long as the person remains eligible for Medi-Cal, he or she may request these services at any time in the future if the decision is postponed at the time of initial informing. 
(L) That the person may choose to receive CHDP services from a provider of the person's choice, and that if the provider does not offer the full range of CHDP services specified in this subchapter, the person can receive the services not offered if the person makes a request to the community CHDP program or welfare department. If such request is made, assistance in scheduling appointments and transportation shall be offered, and the responses documented. 
(M) That these CHDP services are available from approved providers at no cost to the family. 
(c) Information and training for county welfare employees. Information and training for county welfare department personnel shall be as follows: 
(1) The State Departments of Health Services and Social Services shall provide information, training and materials necessary to ensure that county social services and welfare eligibility personnel, and other appropriate welfare department employees, are fully informed as to the purpose, nature, scope and benefits of CHDP services. 
(2) Such employees shall be trained in methods of information dissemination that will encourage and motivate eligible individuals to make use of such preventive medical programs. 
(3) The provision of such training shall be verified in appropriate sections of the annual plans submitted to the Department's Child Health and Disability Prevention Program by community child health and disability prevention programs. 
(d) Information and training for local health department personnel. Information and training for local health department personnel shall be as follows: 
(1) The Department shall provide such information, training and materials necessary to ensure that appropriate local health department personnel and other appropriate county and municipal employees are informed as to the purpose, nature, scope and benefits of CHDP services. 
(2) Such employees shall be trained in methods of information dissemination that will encourage and motivate eligible individuals to make use of such preventive medical programs. 
(3) The provision of such training shall be verified in appropriate sections of the annual plans submitted to the Department's Child Health and Disability Prevention Program by community child health and disability prevention programs. 
(e) Required services. Each community child health and disability prevention program shall provide, in accordance with this subchapter, at least the following services: 
(1) Outreach and health education, including anti-tobacco use education. 
(2) Referral to dentist. 
(3) Referral to a health assessment. 
(4) Health assessment. 
(5) Certification for school entry. 
(6) Referral to diagnosis and treatment. 
(7) Diagnosis and treatment. 
(f) Records and information. Each community child health and disability prevention program shall keep records and provide information on the results of health assessments and follow-up to diagnosis and treatment, and other data about the persons served as may be required by the Department's Child Health and Disability Prevention Program. 
(g) Other responsibilities. The Department shall provide the following: 
(1) Regulations and minimum standards for quality preventive health services for children and youth, including anti-tobacco use education guidelines. 
(2) Consultation services on all aspects of community program development. 
(3) Appropriate data collection and reporting forms. 
(4) Documentation and data, made available at the state or local level, on all aspects of the program including: 
(A) The results of informing services. 
(B) The results of screening services. 
(C) The results of diagnosis and treatment services. 
(D) The results of anti-tobacco education services. 
(5) Management reports for state and local program use. 
(6) Reports required by the federal Early Periodic Screening Diagnosis and Treatment Program. 
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; and Section 12, Assembly Bill 75 (Chapter 1331, Statutes of 1989). Reference: Sections 320, 321.2, 322.5, 324 and 24165.3, Health and Safety Code. 
HISTORY

1. Repealer and new section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80. 
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
3. Amendment of subsection (b)(1) filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21). 
4. Amendment of subsections (e)(1) and (g) filed 2-27-90 as an emergency pursuant to Section 12, Chapter 1331, Statutes of 1989; operative 2-27-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-27-90. 
5. Certificate of Compliance as to 2-27-90 order transmitted to OAL 6-19-90 and filed 7-18-90 (Register 90, No. 38).
§6826. State and Local Information and Training Responsibilities.
Note     •     History

NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
HISTORY

1. Repealer filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6828. Sanctions for Noncompliance.
Note

(a) If the Chief of the State Child Health and Disability Prevention Program determines that a reasonable period of technical consultation and assistance has been provided or arranged for by the State Child Health and Disability Prevention Program, and further determines that a community child health and disability prevention program director fails to comply with any state or federal law or regulation governing child health and disability prevention services, or with the approved community plan, the Chief of the State Child Health and Disability Prevention Program shall notify the local governing body in writing of the specific areas of noncompliance. A copy of the notice shall be sent to the community program director, the county welfare department director, and to the local child health and disability prevention program advisory board. 
(b) If the local governing body fails to provide substantial evidence to the Chief of the State Child Health and Disability Prevention Program within 30 days that the community program director is complying and shall continue to comply with the laws, regulations and the approved community plan, the Director shall convene a hearing for the community program to show cause why the Director should not take action to secure compliance. The Director shall invite the community child health and disability prevention program's advisory board and other persons or organizations interested in the community's child health and disability prevention program to present comments at such hearing. The Department shall give the community program, concerned individuals and organizations, and the general public at least 15 days notice of such hearing.
(c) The Director shall consider the case on the record established at the hearing and render findings and decision on the issues within 30 days following the hearing. The findings and decision shall be submitted in writing by the Director to the local governing body. A copy of the notice shall be sent to the community program director, the county welfare department director, and to the local child health and disability prevention program advisory board.
(d) If the Director determines that there is a failure on the part of the community child health and disability prevention program to comply with any state or federal law or regulation governing child health and disability prevention services, or the approved community plan, the Department may invoke any of the following sanctions:
(1) Consistent with federal and state law, withhold part or all of state and federal funds from such community until the local governing body provides written documentation of compliance to the Director.
(2) Bring an action in mandamus or such other action in court as may be appropriate to compel compliance.
(e) Nothing in this section shall be construed as relieving the local governing body of the responsibility to provide funds necessary to continue the child health and disability prevention services required by Sections 320, et seq., Health and Safety Code.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
Article 3. Eligibility for Services and Reimbursement
§6830. Eligibility for Services.
Note     •     History

(a) Medi-Cal beneficiaries shall be eligible for periodic health assessments, and for diagnosis and treatment, if necessary, in accordance with the provisions of this subchapter. 
(b) Any child 
(1) between birth and 90 days after entrance into the first grade who is not a Medi-Cal beneficiary and 
(2) all persons under 19 years of age whose family income is not more than 200 percent of the federal poverty level shall be eligible for health assessments in accordance with the provisions of this subchapter. Availability of services and reimbursement for these services shall depend on the amount of funds appropriated by the Legislature for the services as specified in section 6832(b). 
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; and Section 12, Assembly Bill 75 (Chapter 1331, Statutes of 1989). Reference: Sections 322.5, 323.7 and 24165.3, Health and Safety Code. 
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80. 
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
3. Amendment of subsection (b) filed 2-27-90 as an emergency pursuant to Section 12, Chapter 1331, Statutes of 1989; operative 2-27-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-27-90. 
4. Certificate of Compliance as to 2-27-90 order transmitted to OAL 6-19-90 and filed 7-18-90 (Register 90, No. 38).
§6832. Eligibility for Reimbursement.
Note     •     History

(a) The costs of periodic health assessments provided to Medi-Cal beneficiaries shall be reimbursed by the State in accordance with the schedule of maximum allowances specified in section 6868. 
(b) If the amount of funds appropriated in the State Budget Act are sufficient, the costs of health assessments provided to (1) children between birth and 90 days after entrance into the first grade, who are not Medi-Cal beneficiaries, and (2) all persons under 19 years of age whose family income is not more than 200 percent of federal poverty level shall be reimbursed by the State. To the extent that funds are not sufficient, these costs shall be reimbursed only for those children who meet the age and family income criteria defined by the Department's Child Health and Disability Prevention Program. 
(c) The costs of diagnosis and treatment services provided to Medi-Cal beneficiaries as a result of health assessments shall be reimbursed by the State in accordance with the Medi-Cal fee schedules, subject to any applicable Medi-Cal program limitations. 
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; and Section 12, Assembly Bill 75 (Chapter 1331, Statutes of 1989). Reference: Sections 322.5, 323.2 and 24165.3, Health and Safety Code. 
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80. 
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
3. Amendment of subsection (b) filed 2-27-90 as an emergency pursuant to Section 12, Chapter 1331, Statutes of 1989; operative 2-27-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-27-90. 
4. Certificate of Compliance as to 2-27-90 order transmitted to OAL 6-19-90 and filed 7-18-90 (Register 90, No. 38).
Article 4. Required Services
§6840. Required Services.
Note     •     History

NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 321.2 (a)-(e), Health and Safety Code.
HISTORY

1. Repealer filed 12-1-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6842. Outreach and Health Education.
Note     •     History

(a) Plan. Each community child health and disability prevention program shall develop, plan and implement community outreach and health education activities which are related to the community's needs and resources. Activities may include, but are not limited to, community organization, staff training, consultation with children and families, staff services to community child health and disability prevention program advisory boards, and the development and dissemination of informational and educational material for the public, potential users and providers of the program's services, advisory board members, local agencies and community groups. 
(b) Outreach. An outreach program shall be as follows: 
(1) Community child health and disability prevention programs shall develop outreach programs to involve persons in the use of preventive health services. Outreach and health education services shall be designed to ensure that the only reason eligible persons do not participate in the health assessment and referral for diagnosis and treatment portions of the program is because they intelligently and knowingly decline such participation for reasons unrelated to availability and accessibility of the health assessment, diagnosis and treatment services. 
(2) In cooperation with the community child health and disability prevention program, the governing body of every school district or private school which has children enrolled in kindergarten shall, at the time the parent or guardian registers a child in kindergarten, inform the parents or guardians as follows: 
(A) It is statutorily required that children provide, within 90 days after entrance into the first grade, either a certificate to the school documenting that within the prior 18 months the child has received the appropriate health assessment required by law, or a waiver signed by the parent or guardian indicating that they do not want or are unable to obtain such health assessments for their children. 
(B) The health assessment that is required is available from the child's usual source of health care, the local health department, some schools and other places in the community. 
(C) Rather than wait until the child actually enters first grade, it is advisable to get the health assessment as early as possible, preferably within six months prior to kindergarten entrance, at which time it is also required that the child's immunizations (a part of the total health assessment) be brought up to date. 
(3) The parents or guardians of children entering the first grade who do not have documentation that the appropriate health assessment has been done or waived shall be informed by the school at that time as follows: 
(A) It is statutorily required that children provide, within 90 days after entrance into the first grade, either a certificate to the school documenting that within the prior 18 months the child has received the appropriate health assessment required by law, or a waiver signed by the parent or guardian indicating that they do not want or are unable to obtain such health assessments for their children. 
(B) The health assessment that is required is available from the child's usual source of health care, the local health department, some schools and other places in the community. 
(c) Informing. Persons eligible to receive CHDP services shall be informed, using effective methods to involve them and in a language understandable to them, about the following: 
(1) The value of preventive health services. 
(2) Health assessments. 
(3) The need for prompt diagnosis and appropriate treatment of suspected disabilities. 
(4) The nature, scope and benefits of the Child Health and Disability Prevention Program. 
(d) Health Education. Health education, including anti-tobacco use education, shall be an integral part of the health assessment. 
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; and Section 12, Assembly Bill 75 (Chapter 1331, Statutes of 1989). Reference: Sections 321.2, 323.5, 324.2 and 24165.3, Health and Safety Code. 
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80. 
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
3. Amendment of subsection (d) filed 2-27-90 as an emergency pursuant to Section 12, Chapter 1331, Statutes of 1989; operative 2-27-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-27-90. 
4. Certificate of Compliance as to 2-27-90 order transmitted to OAL 6-19-90 and filed 7-18-90 (Register 90, No. 38).
§6843. Referral to Dentist.
Note     •     History

(a) Availability.
(1) A direct referral to a dentist shall be made for eligible Medi-Cal beneficiaries three years of age and older unless dental services have been declined. The dental referral is for the purpose of diagnosis and treatment. Dental treatment consists of dental care needed for relief of pain and infections, restoration of teeth and maintenance of dental health.
(2) An inspection of the teeth, gums and mouth is part of the health assessment, and referral to a dentist shall be made if appropriate.
(b) Informing and training responsibilities. The provisions of Section 6824 also apply to the information and training responsibilities of the state and community child health and disability prevention programs regarding informing Medi-Cal beneficiaries of the availability of dental services, how the services may be obtained, and of the assistance available with transportation and scheduling appointments.
(c) Frequency. An annual referral to a dentist for dental services shall be offered each eligible Medi-Cal recipient three years of age and older. Dental providers, approved for participation in the Medi-Cal program, shall be reimbursed for diagnosis resulting from this annual referral, and for dental care needed for relief of pain and infections, restoration of teeth and maintenance of dental health. 
(d) Offer of assistance with transportation and scheduling appointments. Medi-Cal beneficiaries shall be offered assistance with transportation and scheduling appointments for initial and periodic dental examinations. The response to this offer shall be recorded, and this assistance shall be provided if requested by the beneficiary.
(e) Completion of referral. All reasonable steps shall be taken to ensure that Medi-Cal beneficiaries eligible to receive an initial or a periodic dental examination, and who request a referral, complete the referral. An initial dental examination shall normally be completed within 120 days from either the date the beneficiary requests the referral, or the date the beneficiary was certified eligible to receive Medi-Cal benefits, whichever occurs later. A periodic dental examination shall normally be completed within 120 days from either the date the beneficiary requests the referral, or the last day of the month in which the annual dental examination was due, whichever occurs earlier.
(f) Referral sources. The first source of referral for dental services shall be the person's usual source of licensed dental care. If no usual source of licensed dental care can be identified, the person shall be given, without prejudice for or against any one source, the names and locations of at least three sources of dental care, when available, which have been approved as providers of dental services by the California Medical Assistance Program. Although the family or recipient may choose to receive dental diagnostic and treatment services from a provider of its choice, to be eligible for state reimbursement, these services shall be provided by Medi-Cal approved providers and in accordance with the provisions of the California Administrative Code, Title 22, Division 3 and subject to any applicable Medi-Cal program limitations.
(g) Documentation. If initial or periodic dental services were not provided to a Medi-Cal beneficiary who had requested such services and who also had requested assistance with transportation or scheduling appointments for services, documentation must exist showing that the family or person lost eligibility, could not be located despite a good faith effort to do so, or the person's failure to receive the services was due to an action or decision by the family or person, rather than a failure by the community child health and disability prevention program to meet requirements of this subchapter, including the requirement to offer and provide assistance with transportation and scheduling appointments for services.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 321.2, 322.7 and 323.7, Health and Safety Code.
HISTORY

1. New section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 3. Amendment of subsection (a)(1) filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
3. Amendment of subsection (a) (1) filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§6844. Referral to Health Assessment.
Note     •     History

(a) The following shall apply to all persons eligible to receive health assessments under the provisions of this subchapter:
(1) All reasonable steps, including assistance in scheduling and completing appointments if requested, and in following up initial efforts, shall be taken to ensure that persons eligible to receive health assessments, and who request a health assessment, receive it. 
(2) Appointments for requested health assessments shall be completed in a reasonable period of time, normally not to exceed 60 days.
(3) The first source of referral for a health assessment shall be the person's usual source of health care. Preference should be given to the comprehensive care provider. If no usual source of health care can be identified, the person shall be given, without prejudice for or against any one provider, the names and locations of at least three providers, when available, who have been approved as providers of health assessments by the community child health and disability prevention program director. The availability of health assessments directly from the clinic operated by the community program may also be made known to the person.
(4) Although a person may choose to receive a health assessment from a provider of the person's choice, to be eligible for state reimbursement, the health assessment shall be provided by providers who have been approved to bill the Department for these services.
(b) Additional to (a), above, the following shall apply to Medi-Cal beneficiaries who request health assessments:
(1) Medi-Cal beneficiaries shall be offered assistance with transportation and scheduling health assessment appointments. The response to this offer shall be recorded, and this assistance shall be provided if requested by the beneficiary.
(2) If a person chooses to receive a health assessment from a provider that does not furnish the full range of services as specified in this subchapter, the community child health and disability prevention program shall, if requested, provide or arrange for provision of all such services that are not offered by that provider. At the time of the request, the person must be offered assistance with transportation and scheduling appointments. The response to this offer shall be recorded, and this assistance shall be provided if requested.
(3) If an initial or a periodic health assessment is not provided to a Medi-Cal beneficiary who requests such services and who also requests assistance with transportation or scheduling appointments for services, documentation must exist showing that the family or person lost eligibility, could not be located despite a good faith effort to do so, or the person's failure to receive the services was due to an action or decision by the family or person, rather than a failure by the community child health and disability prevention program to meet requirements of this subchapter, including the requirement to offer and provide assistance with transportation and scheduling appointments for services.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 321.2 (d) and 323.7, Health and Safety Code.
HISTORY

1. Repealer and new section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6846. Health Assessment.
Note     •     History

(a) Conditions. The following conditions apply to health assessments provided to eligible persons:
(1) A health assessment shall not be provided without the voluntary consent of the patient.
(2) A health assessment shall not be provided to minors without the prior and written consent of the minor's parent or guardian unless one or more of the following circumstances exist:
(A) The minor is emancipated.
(B) The minor is married.
(C) The minor is a member of the military forces.
(D) Provision of the service is exempted from parental consent by federal or state statute or regulation.
(b) Required screening procedures. Unless medically contraindicated or deemed inappropriate by the health assessment provider, or refused by the person, health assessments shall include the following procedures:
(1) Health and developmental history.
(2) Unclothed physical examination including assessment of physical growth.
(3) Assessment of nutritional status.
(4) Inspection of ears, nose, mouth, throat, teeth and gums.
(5) Vision screening.
(6) Hearing screening.
(7) Tuberculin testing and laboratory tests appropriate to age and sex, including tests for anemia, diabetes and urinary tract infections.
(8) Testing for sickle cell trait and lead poisoning where appropriate.
(9) Immunizations appropriate to age and health history necessary to make status current. (Patient shall also receive, subsequent to the health assessment, any immunizations which could not be given during the assessment, and any immunizations necessary to complete a series which could not be completed during the assessment.)
(10) Health education and anticipatory guidance appropriate to age and health status.
(c) Additional screening procedures. A community child health and disability prevention program may include screening procedures in its program, additional to the ones included in this section, if these procedures are approved by the Department and the State Child Health Board.
(d) Rechecks. In those instances where a person is eligible for state reimbursement of health assessment costs, reimbursement may be made for one recheck of those screening procedures (excluding the Health History and Physical Examination) and laboratory tests where such a recheck is medically indicated because questionable or marginal results were obtained during the prior screening.
(e) Results of health assessment. The results of the health assessment shall be handled as follows:
(1) Health assessment providers shall provide the person with a copy of the results of the screening tests, with an appropriate explanation of the results. Such notification and discussion of screening test results, unless provided by a licensed or certified practitioner of the healing arts, shall be free of diagnostic statements or suggestions that the person needs any particular treatment. Specifically, no medical care or special education plan shall be instituted solely on the basis of the health screening results.
(2) The results of the health assessment shall be recorded on forms provided by the Department.
(f) Concurrent diagnosis and treatment. Nothing in these regulations shall be interpreted to mean that a licensed or certified practitioner of the healing arts may not provide diagnosis and treatment, in conjunction with the health assessment, if medically indicated.
(g) Nonspecified procedures. Health screening procedures that are approved for reimbursement by the Department are specified, together with their maximum allowable reimbursements, in Section 6868. Reimbursement for procedures not specified in Section 6868 shall not be made without written approval of the Department.
NOTE

Authority cited: Sections 208, 321 and 323.7, Health and Safety Code. Reference: Sections 321.2 and 324, Health and Safety Code.
HISTORY

1. New NOTE filed 4-16-79, correcting inadvertent omission from 3-29-79 filing of Subchapter 3 (Register 79, No. 15).
2. Repealer and new section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
3. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6847. Periodicity of Health Assessments.
Note     •     History

(a) Eligibility. Medi-Cal beneficiaries who have received an initial health assessment are also eligible for subsequent, periodic health assessments.
(b) Notifying and Offering Assistance. Persons eligible for periodic assessments shall be notified before each assessment is due of their entitlement to the assessment, and of the availability of assistance with transportation and scheduling appointments. The informing may be in writing. The response to this offer shall be recorded, and this assistance shall be provided if requested by the beneficiary.
(c) Frequency. Persons eligible for periodic health assessments shall receive one assessment during each age period listed below. The first age at which the next health assessment is due is the age of the person at the previous assessment plus the interval indicated in the parenthesis after that age period in the table shown in this subsection. However, a periodic assessment may be done at any time from the beginning to the end of each age period. Persons will be considered overdue for an assessment on the first day he or she enters a new age period without assessment having been performed in the previous age period.
For example, a child receiving an assessment at two and one-half years of age is first due for the next assessment at three and one-half years of age (the age at the time of previous assessment, two and one-half plus the time interval between assessments for that age group, one year). The assessment is overdue when the child is four years old. There is no time interval in the 17-20 age period because no additional assessments will be given after that assessment. Initial and periodic assessments, and the initiation of any needed treatment, shall normally be completed within 120 days from either the last day the person is eligible for assessment in any age period or the day the person is notified that the next assessment is due, whichever occurs first.
The following table is a guide for the minimum frequency at which health assessments shall be provided to persons eligible for periodic assessments:

Under 1 month old 	 (1 month)
1 through 2 months old 	 (2 months)
3 through 4 months old 	 (2 months)
5 through 6 months old 	 (2 months)
7 through 9 months old 	 (3 months)
10 through 12 months old 	 (3 months)
13 through 17 months old 	 (5 months)
18 through 23 months old 	 (6 months)
2 years old 	 (1 year)
3 years old 	 (1 year)
4 through 5 years old 	 (2 years)
6 through 8 years old 	 (3 years)
9 through 12 years old 	 (4 years)
13 through 16 years old 	 (4 years)
17 through 20 years old
(d) Additional Health Assessments. The frequency indicated in this section is considered a minimum for preventive health care. More frequent health assessments will be reimbursed when the additional assessment is deemed appropriate by the health assessment provider. Circumstances which may indicate the need for more frequent assessments include the following:
(1) The parents have or the person has a particular need for education and guidance.
(2) There is the presence or possibility of perinatal disorders (such as low birth weight, low Apgar scores at birth, prolonged labor).
(3) The person is or will be exposed to a potentially stressful environment--for example, camp or contact sports--before the next periodic health assessment indicated by the periodicity schedule is due.
(e) Limitations. Reimbursement at more frequent intervals will not be made for a health assessment of an individual for the purpose of monitoring or treating a specific disease or disorder previously diagnosed, or for a person whose overall health status requires ongoing treatment care. Such individuals are still eligible for regular assessments if they are otherwise eligible for CHDP services.
NOTE

Authority cited: Sections 208, 321 and 323.7, Health and Safety Code. Reference: Sections 320 and 323.7, Health and Safety Code.
HISTORY

1. New section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
3. Amendment of subsections (c) and (d)(2) filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§6848. Certification for School Entry.
Note     •     History

(a) If a child receives a health assessment under provisions of this subchapter, and must present documentation to the school in which the child is to enroll that the appropriate health screening procedures specified in Section 6846 have been performed, the physician, certified pediatric nurse practitioner or certified family nurse practitioner providing or supervising such screening shall give the child or parent or guardian a certificate documenting that the child has received the appropriate health screening procedures. The certificate shall be provided whether the cost of the health assessment is reimbursed by the State or paid on behalf of the child.
(b) A child may be certified for school entry by the child's personal physician, certified pediatric nurse practitioner or certified family nurse practitioner without receiving a further health assessment if the child has received a physical examination and ongoing comprehensive medical care from that physician, certified pediatric nurse practitioner or certified family nurse practitioner during the 18 months preceding entry into the first grade, or within 90 days thereafter, and that care has included all the applicable health screening procedures outlined in Section 6846.
(c) The health certification for school entry shall be on the form provided by the Department, Report of Health Examination For School Entry, PM171A(6/84).
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 323.5, Health and Safety Code; Section 14132.41, Welfare and Institutions Code; and Sections 2834, 2835, 2835.5 and 2836, Business and Professions Code.
HISTORY

1. New section filed 4-16-79, correcting inadvertent omission of section 6848 from 3-29-79 filing of subchapter 3; effective 5-16-79 (Register 79, No. 15).
2. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
3. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
4. Amendment of subsections (a), (b), and Note filed 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of  law on the following day.
5. Certificate of Compliance as to 10-27-93 order with amendment of subsection (c) transmitted to OAL 2-23-94 and filed 4-6-94 (Register 94, No. 14).
§6850. Referral to Diagnosis and Treatment.
Note     •     History

(a) The following shall apply to all persons for whom diagnosis and treatment is indicated as a result of initial or periodic health assessments received under the provisions of this subchapter:
(1) All reasonable steps, including assistance in scheduling and completing appointments shall be taken to ensure that persons receive needed diagnosis and treatment services. This referral assistance shall include giving the family or person the names, address and telephone numbers of providers who have expressed a willingness to furnish, at little or no expense to the family, those treatment services which are not reimbursable by the Department.
(2) Appointments for diagnostic and treatment services shall be completed in a reasonable period of time, normally not to exceed 60 days from the time of the health assessment.
(3) The health assessment provider shall be responsible for assisting the person in completing diagnosis and treatment. Such assistance may be rendered directly by the provider or through the provider's agreements with the community child health and disability prevention program, appropriate agency or individual.
(4) The first source of referral for diagnosis and treatment shall be the person's usual source of licensed or certified health care. If a referral is required and no regular source of licensed or certified health care can be identified, the provider shall provide a list of at least three appropriate sources of care, when available, without prejudice for or against any specific source or licensed profession. One of the referral sources may be the health assessment provider. State reimbursement for diagnostic and treatment services provided to Medi-Cal beneficiaries can be made only to providers who have been approved for participation in the Medi-Cal program.
(5) The community child health and disability prevention program shall:
(A) Identify those persons eligible for CHDP services who can obtain needed medical or remedial services through a grantee under Title V of the Social Security Act (Maternal and Child Health and Crippled Children's Services).
(B) Ensure that persons eligible for Title V services are informed of available services, and referred, if they desire, to Title V grantees that offer services appropriate to the persons' needs.
(6) The source of health care selected by the person shall be indicated on the CHDP assessment form. If that source is other than the assessment provider, a copy of the CHDP referral form or equivalent shall be provided, with the person's written permission, to the identified source of healthcare.
(b) Additional to (a), above, the following shall apply to Medi-Cal beneficiaries for whom diagnosis and treatment is indicated as a result of initial or periodic health assessments:
(1) Medi-Cal beneficiaries, who requested assistance with transportation or scheduling the appointment for the health assessment, shall be offered assistance with transportation and scheduling appointments for diagnosis and treatment. The response to this offer shall be recorded, and this assistance shall be provided if requested by the beneficiary.
(2) Medi-Cal beneficiaries, who did not request assistance with transportation or scheduling the appointment for the health assessment, may request assistance with transportation and scheduling appointments for diagnosis and treatment. If the beneficiary requests such assistance, the request shall be documented and the assistance shall be provided.
(3) Treatment needed as a result of an initial health assessment shall normally be initiated within 120 days from either the date the beneficiary requested the health assessment, or the date the beneficiary was certified eligible to receive Medi-Cal benefits, whichever occurs later. Treatment needed as a result of a periodic health assessment shall normally be initiated within 120 days from either the date the beneficiary requested the health assessment, or the last day of the month in which the beneficiary's age exceeds the oldest allowable age for the health assessment according to the periodicity schedule specified in Section 6847, whichever occurs earlier.
(4) If diagnostic and treatment services are not provided to a Medi-Cal beneficiary who requests such services and who also requests assistance with transportation or scheduling appointments for such services, documentation must exist showing that the family or recipient declined the services, lost eligibility, could not be located despite a good faith effort to do so, or the recipient's failure to receive the services was due to an action or decision by the family or recipient, rather than a failure by the community child health and disability prevention program to meet requirements of this subchapter, including the requirement to offer and provide assistance with transportation and scheduling appointments for services.
(c) Each community child health and disability prevention program shall be responsible for developing and maintaining a referral and follow-up system for diagnosis and treatment, and for ensuring that referral is carried out. The referral and follow-up system shall be specified in the community's child health and disability prevention program plan. Agreements between the community program and providers, and between the community program and other appropriate individuals and agencies participating in the community program, may be part of the referral and follow-up system.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 321.2, 323.7 and 324, Health and Safety Code.
HISTORY

1. New section filed 4-16-79, correcting inadvertent omission of Section 6850 from 3-29-79 filing of Subchapter 3; effective 5-16-79 (Register 79, No. 15).
2. Repealer and new section filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
3. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
4. Amendment of subsections (a)(4) and (6) filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
§6852. Diagnosis and Treatment.
Note     •     History

(a) To be eligible for state reimbursement, diagnostic and treatment services, which may be required by Medi-Cal beneficiaries as a result of a health assessment received, shall be provided by providers approved for participation in the California Medical Assistance Program. The diagnostic and treatment services shall be in accordance with the provisions of the California Administrative Code, Title 22, Division 3 and subject to any applicable Medi-Cal program limitations.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 323, Health and Safety Code.
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
3. Amendment filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
Article 5. Providers of Health Screening and Evaluation Services
§6860. Conditions of Participation.
Note     •     History

(a) Dental diagnostic and treatment services shall be provided by or under the supervision of a dentist licensed to practice dentistry in California. To be eligible for state reimbursement, billing for dental services shall be in accordance with the regulations governing the California Medical Assistance Program.
(b) Health assessments shall be performed  in accordance with the provisions of this subchapter as follows:
(1) By, or under the supervision and/or responsibility of, a physician licensed to practice medicine in California.
(2) By a certified family nurse practitioner or certified pediatric nurse practitioner, as defined in Title 22, Section 51170.3(b) and (c), respectively.
(c) Each individual, partnership, clinic, group, association, institution, or public or private agency desiring to participate in a community child health and disability prevention program as a provider of health assessments only, or as a provider of comprehensive health care, shall notify the director of that program of such intent. Notification shall be made to the director of each community child health and disability prevention program in which it is desired to provide service. Notification shall be in the manner established by the community program director.
(d) Physicians, medical clinics, medical groups, certified pediatric nurse practitioners or certified family nurse practitioners may be approved for participation as providers in the community program by the community program director on receipt by the director of written notification stating the following:
(1) The physician, certified pediatric nurse practitioner, certified family nurse practitioner, medical clinic, or medical group understands the requirements of the Child Health and Disability Prevention Program, and desires to participate in it as either a comprehensive care provider or as a provider of health assessments only.
(2) If parts of the required health assessment are not available through the physician, certified pediatric nurse practitioner or certified family nurse practitioner, the physician or certified family nurse practitioner or certified pediatric nurse practitioner shall refer the person to other providers approved by the community program for completion of those parts.
(e) Agencies and organizations (other than physicians and physician groups) desiring to participate in the community program, where physicians or other persons under physician supervision will be employed to do parts of the health assessment, shall state in writing the qualifications of the screening personnel when notifying the community program director of their intent to participate as providers. Participation of such agencies and organizations shall require the written approval of the community program director, and compliance with the provisions of this subchapter and with any standards that may be established by the community program director. 
(f) If the community child health and disability prevention program director determines that a provider, previously approved for participation in the community program, is not providing services in accordance with provisions of this subchapter or the standards established by the community program, the community program director may withdraw the approval.
(g) Prepaid health plans, their subcontractors or sub-subcontractors, under contract to the Department to provide medical care to Medi-Cal enrollees are exempted from the provisions of this section only for CHDP services that are provided to their Medi-Cal enrollees. If such a prepaid health plan wishes to provide CHDP services to persons other than their Medi-Cal enrollees, full compliance with this section is required.
(h) Health assessments may be conducted in public and private school facilities provided that, with respect to private school facilities, no services provided thereon pursuant to this subchapter and financed by public funds shall result in any material benefit to, or be conducted in a manner which furthers any educational or other mission of, such a school or any person or entity maintaining the school.
(i) Health assessments shall be made available to eligible persons as defined in this subchapter without regard to race, religion, sex, national origin, citizenship, marital status, parenthood or source of payment.
(j) Clinical laboratories, may be approved for participation as providers in the community program by the community program director on receipt by the director of written notification stating that the clinical laboratory understands the requirements of the Child Health and Disability Prevention Program, and desires to participate in it as a provider of laboratory services.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 321(c), Health and Safety Code;  Sections 655.6, 2834, 2835, 2835.5 and 2836, Business and Professions Code; Section 14132.41, Welfare and Institutions Code; and  42 U.S.C. Section 1396d(a).
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
3. New subsection (a) filed and existing subsections (a) through (h) relettered to (b) through (i) filed 5-22-80; effective thirtieth day thereafter (Register 80, No. 21).
4. New subsection (j) and amendment of Note filed 2-23-93; operative 3-25-93 (Register 93, No. 9).
5. New subsections (b)(1)-(3), amendment of subsection (b) and (d)-(d)(2) and Note filed 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of law on the following  day.
6. Certificate of Compliance as to 10-27-93 order with amendment of subsections (b)-(b)(2) transmitted to OAL 2-23-94 and filed 4-6-94 (Register 94, No. 14).
§6862. Types of Providers.
Note     •     History

(a) A health assessment provider shall be a physician, physician group, certified family nurse practitioner, certified pediatric nurse practitioner, or public or private agency or organization that provides the services specified in this subchapter to persons eligible to receive those services. 
(b) A provider may agree to provide health assessments only, or may agree to be a comprehensive care provider, that is, to provide health assessments and diagnosis and follow-up services. 
(c) A health assessment-only provider shall meet the following conditions unless failure to meet any of them is due to circumstances other than the provider's inaction: 
(1) Assure completion of the full range of health assessment services appropriate to the individual as defined in section 6846, including anti-tobacco use education and the completion of immunizations and immunization series which could not be given during the health assessment, but which are necessary to make the immunization status current. 
(2) Provide referral for diagnosis and treatment, as specified in section 6850, for all persons identified as needing such services as a result of health assessments. 
(d) A comprehensive care provider shall be certified by the Department for participation in the California Medical Assistance program and shall meet the following conditions unless failure to meet any of them is due to circumstances other than the provider's inaction: 
(1) Assure completion of the full range of health assessment services appropriate to the person as defined in section 6846, including anti-tobacco use education and the completion of immunizations and immunization series which could not be given during the health assessment, but which are necessary to make the immunization status current. 
(2) Initiate diagnosis and treatment, or referral for diagnosis and treatment, for all persons identified as needing such services as a result of the health assessment. 
(3) Assume overall case management of the person in the event of subsequent referrals which may be part of the needed diagnosis and treatment program. 
(4) Assure the provision of subsequent, periodic health assessment at the frequency indicated in section 6847. 
(5) Be available as a source of primary care on a continuing basis to the person in the event subsequent medical services are requested. 
(6) Maintain a health record for each person. 
(e) A clinical laboratory provider shall be a clinical laboratory that meets the definition of the Medi-Cal program in Title 22, California Code of Regulations (CCR), Section 51211.2.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code; and Section 12, Assembly Bill 75 (Chapter 1331, Statutes of 1989). Reference: Sections 321, 323 and 24165.3, Health and Safety Code;  Sections 655.6, 2834, 2835, 2835.5 and 2836, Business and Professions Code; Section 14132.41, Welfare and Institutions Code; and 42 U.S.C. Section 1396d(a). 
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80. 
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
3. Amendment of subsections (c) and (d) filed 2-27-90 as an emergency pursuant to Section 12, Chapter 1331, Statutes of 1989; operative 2-27-90 (Register 90, No. 9). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 6-27-90.
4. Certificate of Compliance as to 2-27-90 order transmitted to OAL 6-19-90 and filed 7-18-90 (Register 90, No. 38).
5. New subsection (e) and amendment of Note filed 2-23-93; operative 3-25-93 (Register 93, No. 9).
6. Amendment of subsection (a)  and Note filed 10-27-93 as an emergency; operative 10-27-93 (Register 93, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-25-94 or emergency language will be repealed by operation of law on the following  day.
7. Certificate of Compliance as to 10-27-93 order transmitted to OAL 2-23-94 and filed 4-6-94 (Register 94, No. 14).
Article 6. Claiming for Services
§6866. Procedures.
Note     •     History

(a) The health assessment provider shall inquire of all persons receiving health assessments under provisions of this subchapter as to the person's entitlement to third-party reimbursement for such services. Where such entitlement exists, it shall be billed as follows:
(1) Insurance carriers shall be billed where such entitlement exists.
(2) The Department's Child Health and Disability Prevention Program shall be billed, in the manner specified by the program, for health assessments provided to the following persons: 
(A) Medi-Cal beneficiaries if those services are not reimbursable under (1), above.
(B) Persons who are not Medi-Cal beneficiaries and for whom services are not reimbursable under (1), above, but who meet the age and family income criteria specified by the Department's Child Health and Disability Prevention Program.
(3) Persons enrolled in prepaid health plans that contract with the Department shall receive CHDP services from the prepaid health plan in which they are enrolled in accordance with the contract existing between the prepaid health plan and the Department.
(4) Persons may be billed directly for health assessments which are not reimbursable under (1) or (2), above, or the services may be provided at no cost to the person if the provider chooses.
(b) Eligibility for state-subvened health assessments shall be determined by the screening provider prior to the provision of such services.
(c) Each provider who bills the Department's Child Health and Disability Prevention Program for health assessments rendered pursuant to the provisions of this subchapter shall accept as total reimbursement for those services the amount reimbursed by the Department, and shall make no additional charges to any individual or to the Department's Child Health and Disability Prevention Program for such services.
(d) Providers' reimbursement claims for health assessments rendered under the provisions of this subchapter shall be subject to audit by the State anytime within three years beginning with the year in which the claim was filed.
(e) A clinical laboratory may bill the Department's Child Health and Disability Prevention Program for cytologic examinations of gynecologic slides taken during the course of a CHDP health assessment, or other laboratory services resulting from a CHDP health assessment as follows:
(1) The clinical laboratory shall accept as total reimbursement for the services rendered the amount reimbursed by the Department, and shall make no additional charge to any individual, provider, or to the Department's Child Health and Disability Prevention Program.
(2) Each claim for reimbursement must be accompanied by a legible copy of the CHDP health assessment provider's claim form, the Confidential Screening/Billing Report (PM 160) (revision 10/91), which indicates the name, address, and CHDP provider number of the clinical laboratory that will bill the CHDP program for the examination of gynecologic slides or other laboratory services.
(3) Clinical laboratories claims for reimbursement will not be processed for payment without the cross-reference information required in (2) above.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 323.2 (a), Health and Safety Code; and Section 655.6, Business and Professions Code.
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
3. New subsections (e)-(e)(3) and amendment of Note filed 2-23-93; operative 3-25-93 (Register 93, No. 9).
§6868. Schedule of Maximum Allowances.
Note     •     History

(a) Health screening procedures. Reimbursement for the procedures listed in this subsection, when billed in accordance with this subchapter, shall be the amount billed by the provider for the procedures performed, up to the maximum allowances specified in this subsection. For purposes of this subsection: new patient means a person who has not previously received a health assessment from the examiner, and there is no health assessment record for the person established with the provider; extended visit means a visit in which the patient requires as much or more time to be given a health assessment as does a new patient; routine visit means a visit in which the patient requires less time than ordinarily needed with a new patient or an extended visit. 

		MAXIMUM
HEALTH SCREENING PROCEDURE 	ALLOWANCE
History and Physical Examination by Comprehensive Care Provider
 New Patient or Extended Visit
  Adolescent	(age 12 through 20 years) 	 $49.51
  Late childhood	(age 5 through 11 years) 	 43.32
  Early childhood	(age 1 through 4 years) 	 40.84
  Infant	(birth through 11 months) 	 38.37
 Routine Visit
  Adolescent	(age 12 through 20 years) 	 39.60
  Late childhood	(age 5 through 11 years) 	 33.43
  Early childhood	(age 1 through 4 years) 	 30.95
  Infant	(birth through 11 months) 	 28.46
By Health Assessment--Only Provider
 New Patient or Extended Visit
  Adolescent	(age 12 through 20 years) 	 43.32
  Late childhood	(age 5 through 11 years) 	 37.13
  Early childhood	(age 1 through 4 years) 	 34.65
  Infant	(birth through 11 months) 	 32.18
 Routine Visit
  Adolescent	(age 12 through 20 years) 	 37.13
  Late childhood	(age 5 through 11 years) 	 30.95
  Early childhood	(age 1 through 4 years) 	 28.46
  Infant	(birth through 11 months) 	 25.99
Pelvic Exam		10.00
Vision Screening

		MAXIMUM
HEALTH SCREENING PROCEDURE 	ALLOWANCE
 Snellen eye test or equivalent visual acuity test
  Age 7 years and older 		 $ 2.02
  Age 3 through 6 years 		 4.00
Hearing Screening
 Pure Tone Audiometry 		 9.21
Tuberculin Testing
 Multiple Puncture 		 4.54
 Mantoux (intracutaneous) 		 7.53
(b) Laboratory Tests. For laboratory tests listed in this subsection that the provider performs, reimbursement shall be either the provider's usual charge to the general public for the test or the maximum allowance specified in this subsection, whichever is less. If a laboratory test is performed by other than the screening provider, for instance by an outside laboratory, the screening provider may bill the Department's Child Health and Disability Prevention Program for the charge made to the provider by the laboratory (except for cytologic examination of a gynecologic slide as described below), plus a charge not to exceed $4.63 for the provider's collection and handling of the specimen. The total shall not exceed the maximum allowance specified in this subsection for the laboratory test.
If a clinical laboratory performs a cytologic examination of a gynecologic slide taken during the course of a CHDP health assessment, or other laboratory services resulting from a CHDP health assessment, the clinical laboratory may bill the Department's Child Health and Disability Prevention Program the clinical laboratory's usual charge to the general public not to exceed the maximum allowance specified in this subsection. The health assessment provider may bill the program a charge not to exceed $4.63 for the provider's collection and handling of the specimen. The total charge from the clinical laboratory and the health assessment provider shall not exceed the maximum allowance specified in this subsection for cytologic tests. Clinical laboratory tests shall be performed in the manner and by persons and laboratories that meet the relevant standards established in the Health and Safety Code, the Business and Professions Code and Title 17 of the California Code of Regulations.

	MAXIMUM
LABORATORY TEST 	ALLOWANCE
Blood Tests
 Hematocrit 	 $3.01
 Hemoglobin 	 3.01
 Sickle Cell Status (Electrophoresis) 	 30.11
 Blood Lead Screening
  Blood Lead Level Determination 	 22.45
Phenylalanine (PKU) Blood 	 4.54
Urine Tests
 Urinalysis, routine, complete 	 4.54
 Urine “Dipstick” 	 2.87
Tests for Microorganisms
 Culture for Neisseria Gonorrhea 	 6.02
Cytologic Tests
 Papanicolaou (Pap) Smear 	 11.22
Ova and Parasites, direct smears, concentration and identification	12.39
VDRL, RPR or ART	4.56
Chlamydia Test	19.25

(c) Immunizations. Reimbursement for the immunizations listed in this subsection, when billed in accordance with this subchapter, shall be the amount billed by the provider for the immunizations given, up to the maximum allowances specified in this subsection. However, if the provider uses vaccine supplied at no cost to the provider by the Department's Immunization Assistance Program, the maximum reimbursement for administration of the vaccine shall be the amount determined by the Department rather than the amount specified in this subsection. The maximum reimbursement rate for the professional component of administering an immunization under this subsection shall be $4.52. The maximum allowable reimbursement for the ingredient component of an immunization shall be based on prevailing market acquisition costs as determined by the Department's fiscal intermediary. 
IMMUNIZATION 
DPT (diphtheria and tetanus toxoids with pertussis vaccine) First, second, third of series; booster. 
Td (combined tetanus and diphtheria toxoids, adult type) 
Dd (combined tetanus and diphtheria toxoids, pediatric type)
Hib (Haemophillus Influenza Type b) vaccine
Hib (Haemophillus Influenza Type b) conjugate vaccine
HibTITER
Polio: IPV (inactivated trivalent poliovirus vaccine) First, second, third of series, or booster
TOPV (trivalent oral polio virus vaccine) First, second, third of series;   booster. 
Measles vaccine 
Rubella vaccine 
Mumps vaccine 
MR (measles, rubella) vaccine 
MMR (measles, mumps, rubella) vaccine 
MuR (mumps, rubella) vaccine
HBVAC (hepatitis B vaccine) (Pre-exposure)
HBIG (hepatitis B immune globulin) (Post exposure)
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code, and Sections 14105 and 14124.5, Welfare and Institutions Code. Reference: Sections 323 and 323.2 (a), Health and Safety Code; and Section 14105, Welfare and Institutions Code; Items 4260-111-001, Chapter 258, Statutes of 1984, and Statutes of 1985, Chapter 111, Items 4260-111-001 and 890; and Section 655.6, Business and Professions Code.
HISTORY

1. Amendment filed 8-1-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-84. For prior history, see Register 81, No. 52.
2. Certificate of Compliance transmitted to OAL 11-27-84 and filed 12-27-84 (Register 84, No. 52).
3. Amendment filed 8-1-85 as an emergency; effective on filing (Register 85, No. 32). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-29-85.
4. Certificate of Compliance transmitted to OAL 11-20-85 and filed 12-27-85 (Register 85, No. 52).
5. Amendment of section and Note filed 2-23-93; operative 3-25-93 (Register 93, No. 9).
Article 7. Records, Reporting and Confidentiality
§6870. Records.
Note

Records shall be maintained by the community child health and disability prevention program, and those participating in it, for the purposes and in the manner specified by the Department's Child Health and Disability Prevention Program.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 321.2 (c) and 321.2 (h), Health and Safety Code.
§6872. Reporting.
Note     •     History

NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Sections 320, et seq., Health and Safety Code.
HISTORY

1. Repealer filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13).
§6874. Confidentiality.
Note     •     History

(a) All information and results of the health assessments of each person shall be confidential and shall not be released without the informed consent of the person or parent or guardian.
(b) The results of the health assessment shall not be released to any public or private agency, even with the consent of the person or parent or guardian, unless accompanied by a professional interpretation of what the results mean.
NOTE

Authority cited: Sections 208 and 321, Health and Safety Code. Reference: Section 324.5, Health and Safety Code.
HISTORY

1. Amendment filed 11-28-79 as an emergency; effective upon filing (Register 79, No. 48). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 3-28-80.
2. Certificate of Compliance filed 3-27-80 (Register 80, No. 13). 
Subchapter 14. Stop Tobacco Access to Kids Enforcement (STAKE) Act Program
§6901. Definitions.
Note     •     History

(a) “Decoy” means a 15 or 16 year old individual participating in an inspection carried out by the Department to determine compliance with California law prohibiting the sale of a tobacco product to a minor.
(b) “Department” means the Department of Health Services or a local law enforcement agency that has entered into an enforcement delegation contract with the Department of Health Services.
(c) “Inspection” means a law enforcement activity conducted by the Department in which a decoy, under the direct supervision of a regularly employed peace officer, attempts to purchase a tobacco product at a retail site.
(d) “Minor” means any individual under 18 years of age.
(e) “Person” means any individual, partnership, company, estate, public or private institution, association, organization, group, city, county, city and county, political subdivision of this state, other governmental agency within the state, and any representative agent, or agency of any of the foregoing.
(f) “Retail site” means any outlet that provides tobacco products for sale to consumers including, but not limited to, an establishment, vending machine, vehicle, mobile unit, stationary mobile unit, booth, stand, or concession.
(g) “Sale” means the transfer or exchange for consideration or otherwise furnishing of a tobacco product to a consumer for the purpose of consumption or use, and not for re-sale.
(h) “Seller” means the owner of any retail business or any employee of the retail business authorized to make sales of tobacco products to consumers.
(i) “Tobacco product” means any substance containing tobacco leaf, including, but not limited to, cigarettes, cigars, pipe tobacco, snuff, chewing tobacco, or dipping tobacco.
(j) “Valid identification” means a document issued by a federal, state, county, or municipal government, or subdivision or agency thereof, including, but not limited to, a motor vehicle operator's license or an identification card issued to a member of the Armed Forces, which contains the name, date of birth, description, and photograph of the individual.
(k) “Vending machine” means any mechanical device, the operation of which depends upon the insertion of money, trade checks, tokens or other things representative of value and which dispenses or vends tobacco products.
NOTE

Authority cited: Sections 22952(b) and 22952(d), Business and Professions Code; and Section 208, Health and Safety Code. Reference: Sections 22951, 22952(b), 22952(c), 22952(d)(1)-(7), 22954, 22956, 22957 and 22958 Business and Professions Code.
HISTORY

1. New section filed 12-20-89 as an emergency; operative 12-20-89 (Register 89, No. 52). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 4-19-90.
2. Repealed by operation of Government Code 11346.1(g) filed 1-22-91 (Register 91, No. 19).
3. Amendment of subchapter 14 heading, deletion of article 1 heading and new section filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subchapter 14 heading, deletion of article 1 heading and new section refiled 4-17-96 as an emergency, including amendment of Note; operative 4-17-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-19-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subchapter 14 heading, deletion of article 1 heading and new section refiled  8-12-96 as an emergency; operative 8-12-96 (Register 96, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-10-96 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of Note and of History 4 and History 5 (Register 96, No. 50).
7. Amendment of subchapter 14 heading, deletion of article 1 heading and new section refiled  12-10-96 as an emergency, including amendment of Note; operative 12-10-96 (Register 96, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-10-96 order, including amendment of subchapter heading and subsection (b), transmitted to OAL 1-8-97 and filed 2-3-97 (Register 97, No. 6).
§6902. Warning Sign; Identification.
Note     •     History

(a) At each retail site that sells or furnishes tobacco products a sign shall be conspicuously posted so that it is likely to be read by a consumer during a sale at each cash register, vending machine or any other point at which sales occur. The sign shall meet the following specifications:
(1) Contain the following words with initial letters capitalized in the following manner: The Sale of Tobacco Products to Persons Under 18 Years of Age Is Prohibited by Law and Subject to Penalties. Valid Identification May Be Required. To Report an Unlawful Tobacco Sale Call 1-800-5ASK-4-ID. Business and Professions Code Section 22952.
(2) Be square in shape and no smaller than 5.5 inches high by 5.5 inches wide (30.25 square inches) or be rectangular in shape and no smaller than 3.66 inches high by 8.5 inches wide (31.11 square inches). A sign may be larger; however, the sign shall be proportionate to one set of the dimensions set forth in this subdivision.
(3) Be printed in ink that is of high contrast from the color of the background material. (Examples are black ink on white paper or dark blue ink on yellow paper.)
(4) Located at least one-third inch from the top and sides, the following required words shall be no smaller than 20 point medium or bold Helvetica or Futura type face: “The Sale of Tobacco Products to Persons Under 18 Years of Age Is Prohibited by Law and Subject to Penalties. Valid Identification May Be Required.” Located at least one-third inch from the sides, the following required words shall be no smaller than 30 point medium or bold Helvetica or Futura type face and in all cases 6 point size larger than all other text: “To Report an Unlawful Tobacco Sale Call 1-800-5ASK-4-ID.” Located at least one-quarter inch from the sides and bottom, the required legal citation “Business and Professions Code Section 22952” shall be no smaller than 12 point medium or bold Helvetica or Futura type face.
(b) The seller shall request valid identification from any individual who attempts to purchase a tobacco product if that individual reasonably appears to the seller to be under 18 years of age.
NOTE

Authority cited: Section 22952(b), Business and Professions Code. Reference: Sections 22952(b) and 22956, Business and Professions Code.
HISTORY

1. New section filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-17-96 as an emergency; operative 4-20-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-19-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-12-96 as an emergency; operative 8-12-96 (Register 96, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-10-96 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of subsection (a)(1) (Register 96, No. 50).
5. New section refiled 12-10-96 as an emergency; operative 12-10-96 (Register 96, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-10-96 order transmitted to OAL 1-8-97 and filed 2-3-97 (Register 97, No. 6).
§6903. Inspections; Decoys.
Note     •     History

(a) The Department shall conduct inspections using decoys who shall present the appearance of an individual under 18 years of age. For purposes of verifying that a decoy appears to be under 18 years of age at the time of the inspection, a photograph or video recording of the decoy shall be taken prior to and on the same day as the inspection and shall be retained by the Department.
(b) A decoy, if requested, shall present valid identification.
(c) A decoy shall be supervised by a regularly employed peace officer at all times during the inspection.
(d) Within 2 working days of a sale of tobacco to a decoy during an inspection, the peace officer who originally accompanied and supervised the decoy during the inspection, shall return to the retail site, advise the seller of the inspection and violation, and identify the decoy to the seller by means of a photograph taken the same day as the inspection.
(e) The Department may use video recording equipment, including video, audio, photographic and other audio/visual recording equipment, to record and document an inspection.
(f) Inspections of retail sites may be conducted: (1) on the basis of random selection in a given geographic area; or (2) in response to reports of violations of Penal Code section 308 subsection (a) or of Business and Professions Code section 22958; or (3) in response to reports of unlawful sales over the toll-free telephone number authorized by subdivision (b) of section 22952 of the Business and Professions Code.
NOTE

Authority cited: Section 22952(d), Business and Professions Code. Reference: Sections 22952(b), 22952(c), 22952(d)(1)-(7) and 22958, Business and Professions Code; and Section 308, Penal Code.
HISTORY

1. New section filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (f) (Register 96, No. 16).
3. New section refiled 4-17-96 as an emergency; operative 4-20-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-19-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-12-96 as an emergency; operative 8-12-96 (Register 96, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-10-96 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of subsection (e) (Register 96, No. 50).
6. New section refiled 12-10-96 as an emergency; operative 12-10-96 (Register 96, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 12-10-96 order, including amendment of subsection (d), transmitted to OAL 1-8-97 and filed 2-3-97 (Register 97, No. 6).
8. Change without regulatory effect amending subsection (b) filed 2-25-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 9).
§6904. Defenses.
Note     •     History

Failure to comply with the procedures set forth in Subdivision (d) of Section 22952 of the Business and Professions Code and Title 17, California Code of Regulations, Section 6903 shall be a defense to any action brought pursuant to the STAKE Act (Division 8.5 of the Business and Professions Code).
NOTE

Authority cited: Section 22952(d), Business and Professions Code. Reference: Sections 22952(d)(1)-(8), Business and Professions Code.
HISTORY

1. New section filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-17-96 as an emergency; operative 4-20-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-19-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-12-96 as an emergency; operative 8-12-96 (Register 96, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-10-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 12-10-96 as an emergency; operative 12-10-96 (Register 96, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-10-96 order, including amendment of section, transmitted to OAL 1-8-97 and filed 2-3-97 (Register 97, No. 6).
§6905. Annual Report of Tobacco Retail Sites.
Note     •     History

(a) Each cigarette or tobacco products distributor or wholesaler and each cigarette vending machine operator as required in Business and Professions Code section 22954 shall, within 45 days after the end of the calendar year, annually file a report listing the retail sites, including dealers as defined in Revenue and Taxation Code section 30012, to which it provided tobacco products during the calendar year just ended. This report of retail sites shall be filed with the Department of Health Services, Tobacco Control Section, 601 North 7th Street, M.S. 555, P.O. Box 942732, Sacramento, CA 94234-7320. The first report shall be submitted for the calendar year beginning January 1, 1995. The annual report shall contain the following:
(1) The name of the cigarette or tobacco products distributor or wholesaler or cigarette vending machine operator company.
(2) The address and telephone number of the company's principal executive office.
(3) The name, title, and address of the representative of the company to whom correspondence regarding this report should be addressed.
(4) The name, title and signature of the official authorized to sign the report on behalf of the company.
(5) A certification made pursuant to Code of Civil Procedure Section 2015.5 by the authorized person whose signature appears on the report as follows:
“I certify under penalty of perjury under the laws of the State of California that the information contained in the report is true and correct:

			”
(Date)		(Signature)
(6) A list of each retail site's name and the physical location of the retail site to which the company supplied tobacco products or vending machines for the preceding calendar year. The list shall include, on separate lines, the full name, street address, city and zip code of each retail site. For those companies with computer capability, the list of the retail sites is also required to be submitted on a computer diskette as a flat ASCII file, or other format to be specified by the Department of Health Services, on one or more 3 1/2 inch or 5 1/4 inch floppy diskette(s). For those companies without computer capability, submission of the list on a computer diskette is not required. For the second and subsequent year that the company files this report, the company is required to either submit the information required by this subsection or report only changes to the first report. Where a company opts in the second or subsequent year to report only changes to the first or previous report, such second or subsequent report shall include and clearly identify name or address changes of the retail sites, additional retail sites to which it supplies tobacco products or vending machines and retail sites to which it no longer supplies tobacco products or a vending machine.
NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Section 22954, Business and Professions Code; Section 30012, Revenue and Taxation Code; and Section 2015.5, Code of Civil Procedure.
HISTORY

1. New section filed 12-22-95 as an emergency; operative 12-22-95 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-20-96 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-17-96 as an emergency, including amendment of Note; operative 4-17-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-19-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-12-96 as an emergency; operative 8-12-96 (Register 96, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-10-96 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 2 and History 3 (Register 96, No. 50).
5. New section refiled 12-10-96 as an emergency; operative 12-10-96 (Register 96, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-9-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-10-96 order transmitted to OAL 1-8-97 and filed 2-3-97 (Register 97, No. 6).
Chapter 5. Sanitation (Environmental)

(Originally Printed 8-15-45)
Subchapter 1. Engineering (Sanitary)
Group 1. Domestic Water Supplies Quality and Monitoring [Repealed]
NOTE

Authority cited: Section 4026, Health and Safety Code. Reference: Sections 4010-4037, Health and Safety Code.
HISTORY

1. Repealer of Group I (Articles 1-5, Sections 7001-7025, not consecutive) filed 11-4-77; effective thirtieth day thereafter (Register 77, No. 45).
Group 1.1. Waterworks Standards [Repealed]
NOTE

Authority cited: Sections 208 and 4010.1(h), Health and Safety Code. Reference: Sections 4010.1(h), 4012, 4013, and 4019, Health and Safety Code. 
HISTORY

1. New Group 1.1 (Sections 7050-7081, not consecutive) filed 2-1-74; effective thirtieth day thereafter (Register 74, No. 5).
2. Repealer of Group 1.1 (Sections 7050-7081, not consecutive) filed 12-6-79; effective thirtieth day thereafter (Register 79, No. 49). 
Group 2. Certification of Water Treatment Facility Operators [Repealed]
HISTORY

1. Certificate of Compliance as to 4-25-2001 order repealing group 2 (articles 1-8, sections 7100-7134) transmitted to OAL 7-12-2001 and filed 8-13-2001 (Register 2001, No. 33). For prior history of group 2, see Register 2001, No. 17.
Group 3. Drain Wells [Repealed]
HISTORY

1. Repealer of group 3 (article 1, section 7557) filed 2-21-85; effective on filing pursuant to Government Code section 11346.2(d) (Register 85, No. 8). 
Group 4. Drinking Water Supplies
Article 1. General
§7583. Definitions.
Note     •     History

In addition to the definitions in Section 116275 of the Health and Safety Code, the following terms are defined for the purpose of this Chapter:
(a) “Approved Water Supply” is a water supply whose potability is regulated by a State of local health agency.
(b) “Auxiliary Water Supply” is any water supply other than that received from a public water system.
(c) “Air-gap Separation (AG)” is a physical break between the supply line and a receiving vessel.
(d) “AWWA Standard” is an official standard developed and approved by the American Water Works Association (AWWA).
(e) “Cross-Connection” is an unprotected actual or potential connection between a potable water system used to supply water for drinking purposes and any source or system containing unapproved water or a substance that is not or cannot be approved as safe, wholesome, and potable. By-pass arrangements, jumper connections, removable sections, swivel or changeover devices, or other devices through which backflow could occur, shall be considered to be cross-connections.
(f) “Double Check Valve Assembly (DC)” is an assembly of at least two independently acting check valves including tightly closing shut-off valves on each side of the check valve assembly and test cocks available for testing the watertightness of each check valve.
(g) “Health Agency” means the California Department of Health Services, or the local health officer with respect to a small water system.
(h) “Local Health Agency” means the county or city health authority.
(i) “Reclaimed Water” is a wastewater which as a result of treatment is suitable for uses other than potable use.
(j) “Reduced Pressure Principle Backflow Prevention Device (RP)” is a backflow preventer incorporating not less than two check valves, an automatically operated differential relief valve located between the two check valves, a tightly closing shut-off valve on each side of the check valve assembly, and equipped with necessary test cocks for testing.
(k) “User Connection” is the point of connection of a user's piping to the water supplier's facilities.
(l) “Water Supplier” is the person who owns or operates the public water system.
(m) “Water User” is any person obtaining water from a public water supply.
NOTE

Authority cited: Sections 116350, 116375, 116555 and 131200, Health and Safety Code. Reference: Sections 116325, 116350 and 116555, Health and Safety Code.
HISTORY

1. Repealer of Articles 1 through 10 and New Articles 1 through 4 (Sections 7583, 7588 through 7594, 7603 through 7605, and 7615 through 7622) filed 5-8-53; effective thirtieth day thereafter (Register 53, no. 8).
2. New section filed 5-26-87; operative 6-25-87 (register 87, No. 23).
3. Change without regulatory effect amending first paragraph and Note filed 4-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 16).
§T17-7583. Purpose. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§7584. Responsibility and Scope of Program.
Note     •     History

The water supplier shall protect the public water supply from contamination by implementation of a cross-connection control program. The program, or any portion thereof, may be implemented directly by the water supplier or by means of a contract with the local health agency, or with another agency approved by the health agency. The water supplier's cross-connection control program shall for the purpose of addressing the requirements of Sections 7585 through 7605 include, but not be limited to, the following elements:
(a) The adoption of operating rules or ordinances to implement the cross-connection program.
(b) The conducting of surveys to identify water user premises where cross-connections are likely to occur,
(c) The provisions of backflow protection by the water user at the user's connection or within the user's premises or both,
(d) The provision of at least one person trained in cross-connection control to carry out the cross-connection program,
(e) The establishment of a procedure or system for testing backflow preventers, and
(f) The maintenance of records of locations, tests, and repairs of backflow preventers.
NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. New section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§7585. Evaluation of Hazard.
Note     •     History

The water supplier shall evaluate the degree of potential health hazard to the public water supply which may be created as a result of conditions existing on a user's premises. The water supplier, however, shall not be responsible for abatement of cross-connections which may exist within a user's premises. As a minimum, the evaluation should consider: the existence of cross-connections, the nature of materials handled on the property, the probability of a backflow occurring, the degree of piping system complexity and the potential for piping system modification. Special consideration shall be given to the premises of the following types of water users:
(a) Premises where substances harmful to health are handled under pressure in a manner which could permit their entry into the public water system. This includes chemical or biological process waters and water from public water supplies which have deteriorated in sanitary quality.
(b) Premises having an auxiliary water supply, unless the auxiliary supply is accepted as an additional source by the water supplier and is approved by the health agency.
(c) Premises that have internal cross-connections that are not abated to the satisfaction of the water supplier or the health agency
(d) Premises where cross-connections are likely to occur and entry is restricted so that cross-connection inspections cannot be made with sufficient frequency or at sufficiently short notice to assure that cross-connections do not exist.
(e) Premises having a repeated history of cross-connections being established or re-established.
NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. New section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§7586. User Supervisor.
Note     •     History

The health agency and water supplier may, at their discretion, require an industrial water user to designate a user supervisor when the water user's premises has a multipiping system that convey various types of fluids, some of which may be hazardous and where changes in the piping system are frequently made. The user supervisor shall be responsible for the avoidance of cross-connections during the installation, operation and maintenance of the water user's pipelines and equipment.
NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. New section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7588. Cross-Connection. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7589. Approved Water Supply. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7590. Auxiliary Supply. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7591. Approved Check Valve. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7592. Approved Double Check Valve Assembly. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7593. Air-Gap Separation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7594. Approved Reduced Pressure Principle Backflow Prevention Device. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
Article 2. Protection of Water System
§7601. Approval of Backflow Preventers.
Note     •     History

Backflow preventers required by this Chapter shall have passed laboratory and field evaluation tests performed by a recognized testing organization which has demonstrated their competency to perform such tests to the Department.
NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. New section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§7602. Construction of Backflow Preventers.
Note     •     History

(a) Air-gap Separation. An Air-gap separation (AG) shall be at least double the diameter of the supply pipe, measured vertically from the flood rim of the receiving vessel to the supply pipe; however, in no case shall this separation be less than one inch.
(b) Double Check Valve Assembly. A required double check valve assembly (DC) shall, as a minimum, conform to the AWWA Standard C506-78 (R83) adopted on January 28, 1978 for Double Check Valve Type Backflow Preventive Devices which is herein incorporated by reference.
(c) Reduced Pressure Principle Backflow Prevention Device. A required reduced pressure principle backflow prevention device (RP) shall, as a minimum, conform to the AWWA Standard C506-78 (R83) adopted on January 28, 1978 for Reduced Pressure Principle Type Backflow Prevention Devices which is herein incorporated by reference.
NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. New section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§7603. Location of Backflow Preventers.
Note     •     History

(a) Air-gap Separation. An air-gap separation shall be located as close as practical to the user's connection and all piping between the user's connection and the receiving tank shall be entirely visible unless otherwise approved in writing by the water supplier and the health agency.
(b) Double Check Valve Assembly. A double check valve assembly shall be located as close as practical to the user's connection and shall be installed above grade, if possible, and in a manner where it is readily accessible for testing and maintenance.
(c) Reduced Pressure Principle Backflow Prevention Device. A reduced pressure principle backflow prevention device shall be located as close as practical to the user's connection and shall be installed a minimum of twelve inches (12”) above grade and not more than thirty-six inches (36”) above grade measured from the bottom of the device and with a minimum of twelve inches (12”) side clearance.
NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. New section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§7604. Type of Protection Required.
Note     •     History

The type of protection that shall be provided to prevent backflow into the public water supply shall be commensurate with the degree of hazard that exists on the consumer's premises. The type of protective device that may be required (listed in an increasing level of protection) includes: Double Check Valve Assembly-(DC), Reduced Pressure Principle Backflow Prevention Device-(RP), and an Air-gap Separation-(AG). The water user may choose a higher level of protection than required by the water supplier. The minimum types of backflow protection required to protect the public water supply, at the water user's connection to premises with various degrees of hazard are given in Table 1. Situations which are not covered in Table 1 shall be evaluated on a case-by-case basis and the appropriate backflow protection shall be determined by the water supplier or health agency.

TABLE 1
TYPE OF BACKFLOW PROTECTION REQUIRED

	Minimum Type
	of Backflow
                               Degree of Hazard	Prevention

(a) Sewage and Hazardous Substances 

(1) Premises where there are waste water pumping and/or 	AG
treatment plants and there is no interconnection 
with the potable water system. This does not include a 
single-family residence that has a sewage lift pump. A RP may 
be provided in lieu of an AG if approved by the health 
agency and water supplier. 

(2) Premises where hazardous substances are handled in any manner 	AG
in which the substances may enter the potable water system.
This does not include a single-family residence that  has a sewage
lift pump. A RP may be provided in lieu of an AG if approved by the
health agency and water supplier. 

(3) Premises where there are irrigation systems into which fertilizers, 	RP
herbicides, or pesticides are, or can be, injected. 

(b) Auxiliary Water Supplies 

(1) Premises where there is an unapproved auxiliary water supply	AG
which is interconnected with the public water system. A RP or DC
may be provided in lieu of an AG if approved by the health agency and
water supplier. 

(2) Premises where there is an unapproved auxiliary water supply and 	RP
there are no interconnections with the public water system. A DC may
be provided in lieu of a RP if approved by the health agency and
water supplier. 

(c) Recycled Water 

(1) Premises where the public water system is used to 	AG
supplement the recycled water supply. 

(2) Premises where recycled water is used, other than as allowed in 	RP
paragraph (3), and there is no interconnection with the potable water 
system. 

(3) Residences using recycled water for landscape irrigation as 	DC
part of an approved dual plumbed use area established pursuant to 
sections 60313 through 60316 unless the recycled water supplier 
obtains approval of the local public water supplier, or the Department 
if the water supplier is also the supplier of the recycled water, to utilize 
an alternative backflow protection plan that includes an annual 
inspection and annual shutdown test of the recycled water and potable 
water systems pursuant to subsection 60316(a). 

(d) Fire Protection Systems 

(1) Premises where the fire system is directly supplied from the 	DC
public water system and there is an unapproved auxiliary water supply 
on or to the premises (not interconnected). 

(2) Premises where the fire system is supplied from the public water 	AG
system and interconnected with an unapproved auxiliary water supply. 
A RP may be provided in lieu of an AG if approved by the health agency 
and water supplier. 

(3) Premises where the fire system is supplied from the public water 	DC
system and where either elevated storage tanks or fire pumps which take 
suction from private reservoirs or tanks are used. 

(4) Buildings where the fire system is supplied from the public water	DC 
system and where recycled water is used in a separate piping system 
within the same building. 

(e) Dockside Watering Points and Marine Facilities 

(1) Pier hydrants for supplying water to vessels for any purpose. 	RP

(2) Premises where there are marine facilities. 	RP 

(f) Premises where entry is restricted so that inspections for 	RP
cross-connections cannot be made with sufficient frequency or at 
sufficiently short notice to assure that they do not exist. 

(g) Premises where there is a repeated history of cross-connections 	RP
being established or re-established. 
NOTE

Authority cited: Section 116375, Health and Safety Code; and Section 13521, Water Code. Reference: Section 116375, Health and Safety Code; and Sections 13520, 13521 and 13554(a)(3), Water Code.
HISTORY

1. New section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
2. Editorial correction of first paragraph and Table 1, subsection (d)(1) (Register 95, No. 49).
3. Amendment of section and Note filed 11-2-2000; operative 12-2-2000 (Register 2000, No. 44).
§7605. Testing and Maintenance of Backflow Preventers.
Note     •     History

(a) The water supplier shall assure that adequate maintenance and periodic testing are provided by the water user to ensure their proper operation.
(b) Backflow preventers shall be tested by persons who have demonstrated their competency in testing of these devices to the water supplier or health agency.
(c) Backflow preventers shall be tested at least annually or more frequently if determined to be necessary by the health agency or water supplier. When devices are found to be defective, they shall be repaired or replaced in accordance with the provisions of this Chapter.
(d) Backflow preventers shall be tested immediately after they are installed, relocated or repaired and not placed in service unless they are functioning as required.
(e) The water supplier shall notify the water user when testing of backflow preventers is needed. The notice shall contain the date when the test must be completed.
(f) Reports of testing and maintenance shall be maintained by the water supplier for a minimum of three years.
NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer and new section filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
Article 3. Protection of Public Water System at Service Connection
§T17-7603. Where Protection Is Required.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7604. Type of Protection.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
Article 4. Protection of Potable Water System Within Premises
§T17-7615. Separate Drinking Water Systems.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7616. Fire System.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 208, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7617. Process Waters.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 208, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7618. Sewage Treatment Plants and Pumping Stations.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 208, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7619. Plumbing Connections.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7620. Pier and Dock Hydrants.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7621. Marking Safe and Unsafe Water Lines.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
§T17-7622. Water Supervisor.
Note     •     History

NOTE

Authority cited: Sections 208 and 4026, Health and Safety Code. Reference: Section 4026, Health and Safety Code.
HISTORY

1. Repealer filed 5-26-87; operative 6-25-87 (Register 87, No. 23).
Article 5. Domestic Water Supply Reservoirs
§7623. Intent of Regulations.
Note     •     History

NOTE

Authority cited: Sections 208 and 4051, Health and Safety Code. Reference: Sections 4012-4015, 4051, 4463 and 4470.1, Health and Safety Code.
HISTORY

1. New Article 5 (7623 through 7630) filed 12-14-56; effective thirtieth day thereafter (Register 56, No. 22).
2. Repealer filed 9-10-87; operative 10-10-87 (Register 87, No. 37).
§7624. Application of Regulations.
Note     •     History

NOTE

Authority cited: Sections 208 and 4051, Health and Safety Code. Reference: Sections 4012-4015, 4051, 4463 and 4470.1, Health and Safety Code.
HISTORY

1. Repealer filed 9-10-87; operative 10-10-87 (Register 87, No. 37).
§7625. Definitions.
Note     •     History

(a) “Domestic water supply reservoir” as used herein means a reservoir used to impound or store water intended solely or primarily for domestic purposes.
(b) “Distribution reservoir” as used herein means a reservoir, directly connected with the distribution system of the domestic water supply project, used primarily to care for fluctuations in demand which occur over short periods of from several hours to several days, or as local storage in case of emergency such as a break in a main supply line or failure of pumping plant.
NOTE

Authority cited: Sections 208 and 4051, Health and Safety Code. Reference: Sections 4012-4015, 4050, 4051, 4463 and 4470.1, Health and Safety Code.
HISTORY

1. Amendment filed 9-10-87; operative 10-10-87 (Register 87, No. 37).
§7626. Application for Permit.
Note     •     History

(a) Recreational use on and around a domestic water supply reservoir is prohibited unless specifically authorized in a water supply permit.
(b) Within 30 calendar days of receipt of an application for a permit or petition for permit modification pursuant to Section 4011 or 4019, Health and Safety Code, the Department shall inform the applicant in writing that it is either complete and accepted for filing or that it is deficient and what specific information or documentation is required to complete the application. An application is considered complete if it is in compliance with the requirements of Section 4012, Health and Safety Code. For proposed water system improvements, new water systems or a “project” as defined in Section 15378, Title 14, California Administrative Code where environmental documentation is required, a copy of such documentation shall be included in the application.
(c) Within 90 calendar days from the date of filing of a completed application, the Department shall inform the applicant in writing of its decision regarding an application.
(d) The Department's time periods for processing an application from the receipt of the initial application to the final decision regarding issuance or denial of a water permit based on the Department's actual performance during the two years preceding the proposal of this section, were as follows:
(1) The median time was--7.5 months
(2) The minimum time was--1.5 months
(3) The maximum time was--85.5 months
NOTE

Authority cited: Sections 208, 4011, 4012, 4019 and 4051, Health and Safety Code; and Section 15376, Government Code. Reference: Sections 4012, 4019, 4050, 4051, 4463 and 4470.1, Health and Safety Code; Section 15376, Government Code; and Sections 21000-21176, Public Resources Code.
HISTORY

1. Amendment filed 9-10-87; operative 10-10-87 (Register 87, No. 37).
§7627. Data to Accompany Application.
Note     •     History

(a) The application for a permit to allow recreational use shall be accompanied by detailed information, including but not limited to, the following:
(1) Maps showing the reservoir area, including location of water works facilities, area to be open for recreational use and location of sanitary facilities to be provided for the public.
(2) Data on the size of the reservoir, length of time of water storage in the reservoir, topography of the reservoir site, prevalence of wind-induced currents and other factors that may affect the quality of the stored water and movement of possible contaminants to the water intake.
(3) Data on the size of the protective zone to be provided between the area of recreational use and point of water withdrawal for the water supply.
(4) A statement describing the type of recreational use proposed and the maximum number of persons, cars, vehicles and boats allowed in the area.
(5) A description of the water supplier's program, personnel and financing to control the recreational use, including maintenance and operations of recreational and sanitary facilities, and supervision of the people permitted in the area.
NOTE

Authority cited: Sections 208 and 4051, Health and Safety Code. Reference: Sections 4012, 4019, 4050, 4051, 4463 and 4470.1, Health and Safety Code.
HISTORY

1. Amendment filed 9-10-87; operative 10-10-87 (Register 87, No. 37).
§7628. Guides to Evaluating Application.
Note     •     History

NOTE

Authority cited: Sections 208 and 4051, Health and Safety Code. Reference: Sections 4012-4015, 4051, 4463 and 4470.1, Health and Safety Code.
HISTORY

1. Repealer filed 9-10-87; operative 10-10-87 (Register 87, No. 37).
§7629. Reservoirs for Which Permits May Be Granted.

When the department finds that the intended recreational use will not render the water supply as delivered to the consumers impure, unwholesome or unpotable, permit for such use will be issued. Subject to the department findings the following types of domestic water supply reservoirs may be used for recreational purposes: 
(1) Reservoirs from which water is continuously and reliably treated by filtration and chlorination; provided that for smaller water systems, under special circumstances satisfactory to the State Department of Public Health, approved dual chlorination may be acceptable; 
(2) Reservoirs from which water is withdrawn by open channels or other conduits and subsequently stored again in reservoirs falling in the category of Section 7629(1) before reaching a distribution reservoir, or before entering the distribution system or a consumer's premises.
§7630. Kinds of Recreational Use Allowed or Prohibited.
Note     •     History

NOTE

Authority cited: Sections 208 and 4051, Health and Safety Code. Reference: Sections 4012-4015, 4051, 4463 and 4470.1, Health and Safety Code.
HISTORY

1. Repealer filed 9-10-87; operative 10-10-87 (Register 87, No. 37).
Article 11. Delegation of Authority Pursuant to Section 4025 of the Health and Safety Code (Permits for Small Water Systems)
NOTE

Authority cited: Sections 208 and 4025, Health and Safety Code. Reference: Sections 4010-4035, Health and Safety Code.
HISTORY

1. New Article 11 (Sections 7690, 7691 and 7692) filed 4-19-50 (Register 20, No. 1).
2. Repealer of Article 11(Sections 7690-7692) filed 8-19-85; effective thirtieth day thereafter (Register 85, No. 34).
Article 12. Production and Distribution of Bottled Water
HISTORY

1. Repealer of Article 12 (Sections 7695-7701) filed 1-31-74; effective thirtieth day thereafter (Register 74, No. 5). For history of prior Article, see Register 53, No. 10. 
Group 5. Sanitary Control of Shellfish

Introduction 
All regulations in this group with section numbers preceded by T17- contain building standards which appear in the California Administrative Code, Title 24, Part 6, Division T17 and, to the extent that they are building standards, are included here for convenience and continuity.
Article 1. Shellfish Certificates
§7706. Shellfish Bed Certificate Issuable by the State Board of Public Health.
Note     •     History

Any person, firm, or corporation engaged in the cultivating or harvesting of oysters, clams, or mussels for sale to the public for human consumption shall possess a valid certificate issued by the State Board of Public Health.
NOTE

Authority cited: Section 208, Health and Safety Code.
HISTORY

1. Repealer of Group 5 (Sections 7706 through 7749) and new Group 5 (Sections 7706 through 7714, 7719, 7720, 7725, 7730 through 7733, 7738 through 7762) filed 12-19-55; effective thirtieth day thereafter (Register 55, No. 18).
§7707. Shellfish Plant Certificate Issuable by the State Board of Public Health.

Any person, firm, or corporation operating a plant engaged in culling, shucking, packing or repacking fresh oysters, clams or mussels for sale to the public for human consumption shall hold a valid certificate issued by the State Board of Public Health.
§7708. Authority of State Board of Public Health to Revoke or Suspend Certificate.

Each certificate so issued shall be revocable or subject to suspension by the State Board of Public Health if for any reason the safety of the shellfish as an article of food is not assured or if the standards set forth herewith are not maintained at all times.
§7709. Expiration and Renewal of Certificates.

A certificate issued under these regulations shall be valid for a period not to exceed one year and shall expire on February 15th of each year. An application for renewal of a certificate shall be made by January 1st of each year if an applicant desires to continue to hold a certificate. No certificate can be transferred.
§7710. Definition.

For purpose of these regulations, the term “shellfish” is hereby declared to mean and include all varieties of oysters, clams, and mussels.
§7711. Types of Certificates.

Shellfish certificates issued hereunder shall be of the following classifications:
A. Shellfish beds and shellfish stock derived therefrom for human consumption.
B. Shellfish culling, shucking, packing, and repacking plants and shucked shellfish produced therefrom for human consumption.
C. A “limited” certificate may be granted as provided under Section 7744.
§7712. Application for Certificate.

The applicant for a certificate to operate in either of the classifications described above shall file with the State Department of Public Health a written request accompanied by a detailed description of the shellfish beds or shellfish handling plants and a map showing the location of the beds or facilities. With the application shall be filed a description of the proposed source or sources of shell or shucked stock. He shall also file with the State Department of Public Health an agreement to comply with each and all of these regulations.
§7713. No Shellfish Grown in the State of California to Be Sold or Distributed Unless Certified.

No shellfish grown in the State of California shall be sold or distributed except from growing areas that have been approved and have been granted a valid certificate by the State Board of Public Health under these regulations. Shellfish shall not be sold or distributed from growing areas in other states unless each lot of shellfish obtained therefrom bears a certificate number designating a certificate of cleanliness and safety issued by the State Department of Health of the state in which the shipment originates acceptable to the California State Department of Public Health.
§7714. No Shucked Shellfish to Be Sold or Distributed Unless Certified.

No shucked shellfish shall be sold or distributed except where such shellfish have been handled in plants for which a certificate has been issued by the State Board of Public Health under these regulations. Shucked shellfish from other states shall not be sold or distributed unless each lot of shucked shellfish obtained therefrom bears a certificate number designating a certificate of cleanliness and safety issued by the State Department of Health of the state in which the shipment originates acceptable to the California State Department of Public Health.
Article 2. Safety of Shellfish and Health of Employees
§7719. Safety of Shellfish for Human Consumption.

No shellfish shall be sold or distributed for human consumption unless it is safe as an article of food and is free from filth.
§7720. Persons Infected With Communicable Diseases.

Persons who are infected with or are carriers of organisms of typhoid fever, dysentery, septic sore throat, or certain other communicable diseases which might be transmitted through shellfish or who have infected wounds or open lesions on exposed portions of the body shall not be employed in the growing beds or shucking, packing, or repacking plant. If the owner or manager has reason to suspect that any employee has contracted such a communicable disease, he shall immediately exclude said employee from the growing beds or plant.
Article 3. Records
§7725. Record of Operations.

A daily record of shellfish received and shipped shall be kept showing kinds of shellfish, designation of the beds from which derived, name of grower, name of shipper, and name of consignee. These records shall be available for inspection by the State Department of Public Health or its agents during all reasonable hours. Upon request these records shall be submitted to the State Department of Public Health.
Article 4. Shellfish Beds
§7730. Cleanliness of Shellfish Growing Areas.

Shellfish beds shall be located in growing areas not adversely affected by sewage, other wastes, or human and recreational activity. All operation of the beds shall be such as not to adversely affect the cleanliness of the growing area.
§7731. Boat Sanitation.

All boats, scows, and appurtenances thereto used in the taking of shellfish or used in the transportation of shellfish from the beds to plants or used in the water over the shellfish beds shall be kept in such a state of cleanliness and repair that shellfish growing on the bed and handled and stored thereon shall not be subject to contamination. Decks, holds, or bins used for storage and/or transporting of shellfish on boats shall not be washed with polluted water. Persons in boats over the shellfish beds shall not discharge human wastes to the waters. Adequate facilities shall be provided for disposal of human wastes from persons working on the shellfish beds.
§7732. Shellfish from Uncertified Areas Brought into Certified Beds.

Shellfish growing in uncertified areas may not be brought into a bed for which a certificate has been issued unless special approval is first granted by the State Department of Public Health. Such approval shall be in writing and granted only on condition that the method of transplanting and timing of arrival of the shellfish will insure that the transplanted shellfish remain in the approved growing area at least 30 days before harvesting for sale for human consumption. This translating area must be in separate portions of the bed and one in which no other shellfish are held.
§7733. Water Quality.

Shell stock shall not be cleaned, stored, floated, or conditioned in water, the standard of which is not as rigid as that required at certified shellfish beds.
Article 5. Plants and Operations
§T17-7738. Culling Plants.

Culling plants shall be located in areas free from insanitary conditions and faulty sewage disposal. They shall be provided with an ample supply of water under adequate pressure from a source approved by the State Department of Public Health for the purpose of hosing down floor and benches and cleaning the shellfish. Floors and premises shall be kept in a clean and sanitary condition.
§7739. Storage.

Shellstock in storage shall be adequately protected from contamination at all times. Dry shellstock shall not be stored on floors. Storage areas must be kept clean at all times. Containers shall be clean and in good condition.
§7740. Cleanliness of Shellstock.

Only shellstock that is reasonably clean and reasonably free of mud shall be shipped or marketed. Oysters, clams, or mussels which are dead or do not have tight shells shall not be shipped or marketed.
§7741. Shipping.

Shellstock shall be handled and shipped under such temperature as will keep them alive. Each lot of shellstock shall be shipped in clean containers such as bags, boxes, or barrels so as to prevent spoilage or contamination during shipping. Each lot shall be plainly marked with the name and address of the shipper, the certificate number of the bed from which the oysters, clams, or mussels were obtained, and the date of harvest.
§7742. Shucking and Packing Plants and Equipment.

Shellfish shall be shucked and packed in such a manner that they are not subject to contamination. Shellstock shall be free of mud when they are shucked. Only live shellfish shall be shucked. Shucked shellfish shall not remain on the shucking table for more than one hour unless refrigerated at .50 degrees Fahrenheit or less.
§7743. Washing.
History

All shucked shellfish shall be properly washed and shall be free of sand, mud and other foreign material. Methods and equipment used for washing the shucked shellfish shall be adequate to accomplish this purpose and shall be approved by the State Health Department. All water used for washing the shellfish shall meet the requirements of Section T17-7753 of these regulations.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
§T17-7744. Plant Arrangement.

Unless shellfish are shucked directly into packing containers with no further processing, the shucking and packing processes shall be done in separate rooms. There shall be installed in the partition between the two rooms a delivery window through which the shucked stock is passed to the packing room. Provision shall be made for storing the employees' outer garments, aprons, gloves, etc., in a separate room.
* In special instances where shucking is done on a small scale for local retail sales, shucking and packing may be permitted in a single room if approved by the State Department of Public Health. This single room and all operations shall conform to all requirements of these regulations except that of separate shucking and packing rooms. “Limited” certificates shall be issued in these instances and all containers of shucked shellfish shall be clearly labeled or marked with the words “limited certificate” and the appropriate certificate number.

* Not a building standard.
§7745. Floors.

The floors of all rooms in which shellfish are stored, shucked, washed, packed, or otherwise processed shall be constructed of concrete or other equally impervious material, graded to drain quickly, free from cracks or uneven surfaces that might interfere with proper cleaning or drainage, and maintained in a clean and satisfactory condition.
§T17-7746. Walls and Ceilings.

Walls and ceilings shall be maintained in a smooth, clean, washable, light-colored condition. They shall be impervious to moisture and shall be kept in good repair. Walls contiguous to benches shall, to a height of two feet above the bench top, be of smooth concrete, metal or equally nonabsorbent material. 
§T17-7747. Screening.

The plant shall have all openings effectively screened with not less than 16-mesh screening, unless other effective means are provided to prevent the entrance of flies and other insects.
§T17-7748. Light.

Ample light to work by shall be provided in all working rooms. A light intensity of not less than 10 foot-candles shall be maintained on all working surfaces when workers are at their working positions.
§T17-7749. Ventilation.

Adequate ventilation shall be provided to prevent condensation on ceilings or other surfaces.
§T17-7750. Toilet Facilities.

Every shellfish culling, shucking, packing, or repacking plant shall be provided with clean and adequate toilet facilities conveniently located.* No toilet room shall be used for the storage of garments, food products, containers, or equipment. Construction and maintenance of toilets shall comply with all local and state regulations. 

* Not a building standard.
§T17-7751. Handwashing Facilities.

An adequate number of lavatories shall be provided at locations conveniently to toilet rooms and shellfish handling operations, including running hot and cold water, soap, and individual disposal towels. The use of a common towel is prohibited.
All employees shall wash their hands thoroughly with running water and soap on beginning work and after each visit to the toilet. Signs to this effect shall be posted in conspicuous places in the plant and in the toilet rooms.
§T17-7752. Sewers and Drains.

Sewage and other liquid wastes shall be discharged into public sewers wherever possible. Where private sewage or waste disposal systems must be utilized they shall be constructed in accordance with state and local regulations pertaining thereto. Plant waste systems shall be properly trapped and vented. Waste liquids shall be disposed of in a manner that will not adversely affect the quality of the water in which shellfish are grown or stored. Waste lines from washing machines shall have suitable protection against the possibility of sewage or wastes entering these machines.
§7753. Water Supply.

Shucking, packing, or repacking plants shall be provided with an ample supply of water under adequate pressure from a source approved by the State Department of Public Health. The supply shall be accessible to all parts of the plant, adequate in quantity, and of a safe sanitary quality. No cross-connections with unapproved supplies or other possible sources of contamination shall be permitted.
§7754. Benches and Stands.

All benches and stands shall be of smooth concrete, metal, or other nonabsorbent material, free from cracks or crevices, and so constructed that drainage is complete and rapid. Shucking blocks shall be removable unless an integral part of the bench and shall be of solid one-piece construction.
§7755. Construction of Utensils and Equipment.

All shucking pails, opening knives, blowers, skimmers, tanks, tubs, trays, measures, colanders, paddles, or other equipment or utensils which may come in contact with shucked shellfish shall be made of not readily corrodible, smooth, impervious material and shall be constructed in such a manner as to eliminate grooves, seams, and cracks where foreign particles, dirt, and slime might collect. Perforations in the skimmers, colanders, and blower trays shall be smooth to facilitate cleaning. Skimmers, ladles, and colanders of wire-mesh construction are not permitted. The top rim of every tank, tub, and tray shall be at least 30 inches above the floor.
§7756. Aprons and Finger Cots.

All persons who handle shucked shellfish shall wear clean aprons and coats of washable and waterproof material. If finger cots or similar shields for protecting the palm of the hand are worn, they shall be of clean, washable and waterproof material.
§7757. Refrigeration.

Unless shellfish are delivered to the consumer immediately upon completion of shucking, refrigeration facilities shall be provided capable of cooling the shucked shellfish to a temperature below 50 degrees Fahrenheit within two hours after the shellfish are shucked, and keeping them at this temperature until delivered to the consumer. If shucked shellfish are frozen, they shall be kept in a frozen condition until delivered to the consumer. The refrigerator or icebox shall have an impervious lining. The floor shall be graded to drain quickly. An accurate thermometer shall be kept in the refrigerator or icebox. Refrigerators shall be kept clean and sanitary at all times.
§7758. Ice.

Ice used for the processing of shucked shellfish shall be obtained from an approved source and shall be stored and handled in a sanitary manner. No ice shall be allowed to come in contact with shucked shellfish.
§7759. Cleaning.

The floors, walls, and, if necessary, ceilings in the plant shall be cleaned at the end of each day's operations and flushed with water. All equipment, utensils, benches, etc., which come in contact with shucked shellfish shall be thoroughly scoured at the end of each day's operations. The premises shall be kept clean and free of litter and rubbish. Equipment and articles not required in the processing of the shellfish shall be excluded from the plant.
§7760. Sterilization of Equipment.

All utensils, equipment, or working surfaces coming in contact with shucked shellfish after being thoroughly cleansed shall be sterilized by methods approved by the State Department of Public Health. Sterilized equipment shall be protected from recontamination between usages.
§7761. Packing and Shipping.
Note     •     History

Shucked shellfish shall be packed and shipped either in single-service containers made of clean impervious materials or in properly designed, returnable containers* which have received adequate cleansing and bactericidal treatment. All containers shall be stored in a manner that will protect them from contamination. Containers holding one gallon or more must be positively sealed or so sealed that tampering with the container can easily be detected. Each can, container, or package shall bear the name of the shipper, certificate number of the shucking, packing, or repacking plant, and date packed. The date may be in code if the code is registered with the State Department of Public Health.
NOTE

Authority cited: Sections 202, 205(d) and 208, Health and Safety Code. Reference: Sections 26542, 28312-28315 and 28440, Health and Safety Code.
HISTORY

1. Amendment filed 5-3-67; effective thirtieth day thereafter (Register 67, No. 18).

* Returnable containers will be accepted only for interplant shipment of shucked shellfish. 
§7762. Repacking Shucked Stock.

Repacking of shucked shellfish shall only be done if contamination of the shellfish will not occur. Repacking of shucked stock shall be in conformance with all sections of these regulations dealing with shucking and packing of shellfish. 
Group 6. Public Swimming Pools
NOTE

Authority cited for Group 6: Sections 102 and 208, Health and Safety Code. Reference: Sections 24100 through 24109, Health and Safety Code.
HISTORY

1. Originally printed 8-15-45 (Title 17).
2. Repealer of Group 6 (Sections 7774 through 7872) and new Group 6 (Sections 7774, 7775, 7780 through 7810, 7820 through 7833) filed 9-30-60; effective thirtieth day thereafter (Register 60, No. 21).
3. Group 6 repealer and adoption refiled 11-15-60; effective thirtieth day thereafter (Register 60, No. 23).
4. Amendment filed 6-7-74; effective thirtieth day thereafter (Register 74, No. 23).
5. Repealer of Group 6 (Articles 1, 2-2.1 and 3, Sections 7774-T17-7833) filed 10-16-80; designated effective 10-1-81 (Register 80, No. 42).
6. Editorial correction of effective date of History Note No. 5 (Register 80, No. 52).
7. Editorial change filed 9-4-81 redesignating effective date of 10-16-80 order from 10-1-81 to 12-30-81 (Register 81, No. 36).
8. Deletion of Group 6 text (Sections 7774-T17-7833) which was repealed effective 12-30-81 (Register 89, No. 37).
Group 7. Bottled Water and Water Vending Machines
Article 1. Water Bottler and Water Vendor Responsibilities
§7861. General.
Note     •     History

(a) Each water bottler shall:
(1) Exercise due care and diligence to protect water sources under his control;
(2) Provide and effectively operate and maintain water treatment, bottling, capping, bottle washing and product storage facilities;
(3) Maintain adequate water quality monitoring;
(4) Take whatever investigative or corrective action is necessary to assure that a pure, wholesome and potable water is supplied to consumers.
(b) Each water vending machine operator shall:
(1) Operate and maintain all water vending machines under his control in a sanitary manner;
(2) Maintain adequate water quality monitoring;
(3) Take whatever investigative or corrective action is necessary to assure that a pure, wholesome and potable water is supplied to consumers.
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, inclusive, Health and Safety Code.
HISTORY

1. New Group 7 (Sections 7861-7883) filed 1-31-74; effective thirtieth day thereafter (Register 74, No. 5). For history of former Group 7, see Register 68, No. 49.
2. Amendment filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
Article 2. Definitions
§7862. Definitions.
Note     •     History

(a) “Department” means the California Department of Health.
(b) “Approved” means approved in writing by the Department.
(c) “Bottler” means a person, firm, partnership, or corporation, or other business organization owning and/or operating a water bottling plant.
(d) “Vended Water” means water dispensed by way of a water vending machine.
(e) “Water-vending machine” means any self-service device which upon insertion of a coin, coins, or token, or upon receipt of payment by other means, dispenses unit servings of water in bulk into a customer's container, without the necessity of refilling the machine between each operation.
(f) “Mineral Water” means bottled drinking water containing more than 500 milligrams per liter of total dissolved solids and/or one or more chemical constituents in excess of the concentrations listed in the Federal Bottled Water Quality Standards, 21 CFR, Section 103.35 (d).
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, Health and Safety Code.
HISTORY

1. Amendment filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Editorial correction of NOTE (Register 97, No. 37).
Article 3. Water Quality
§7863. Bottled and Vending Machine Water Quality.
Note     •     History

(a) Quality standards for bottled water withdrawn from sealed bottles, and water from vending machines at point of discharge to customer's container, shall conform to Federal Water Quality Standards for Bottled Water, 21 CFR, Section 103.35 except:
(1) Mineral water shall be exempt from chemical quality standards of 21 CFR, Section 103.35 (d);
(2) Bottled fluoridated water shall contain 1.0 + 0.1 milligrams per liter fluoride ion.
NOTE

Authority cited: Sections 208 and 4041, Health and Safety Code. Reference: Section 4041, Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Editorial correction of NOTE filed 7-12-84 (Register 84, No. 28).
Article 4. Good Manufacturing Practices
§7864. Water Bottling Plants.
Note     •     History

(a) Bottlers shall comply with the following Good Manufacturing Practices:
(1) Federal standards relating to Processing and Bottling of Bottled Drinking Water, 21 CFR, Section 129.
(2) Federal Standards Relating to Human Foods; Current Good Manufacturing Practice in manufacture, processing, packing or holding, 21 CFR, Section 110.
(3) Regulations for Sanitation in Food Plants, 17 CAC 12235-12285.
(b) Prior to bottling, bottled water shall be subject to effective treatment by ozonation, ultraviolet or other treatment approved by the Department.
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043 Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7865. Water Vending Machines.
Note     •     History

(a) Products from each water vending machine shall be sampled by the vending machine operator once every six months or coliform organisms.
(b) Prior to discharge to the customer's container, water vended by machine shall be subject to effective treatment by ultraviolet or other treatment approved by the Department.
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7866. Cleaning and Sanitizing of Containers.
Note     •     History

(a) Bottler shall utilize at least one of the following cleaning/sanitizing processes for multi-use bottles or containers:
(1) Any of the federal sanitizing procedures listed in 21 CFR, Section 129.80 (d). 
(2) Exposing all interior surfaces to not less than two and one-half percent caustic solution at a minimum temperature of 120F for not less than one minute where high velocity jets are used or for not less than three minutes where soaker type bottle washers are used.
A final rinsing of the bottle inside, using operations or product water shall be used to remove traces of any caustic sanitizing agent.
(3) Any other method approved in writing by the Department.
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7867. Water Dispensers.
Note     •     History

(a) Dispensers for bottled water, furnished by the water bottler or distributor, shall be delivered to the consumer's premise in a clean, sanitary condition, protected from dust, dirt or other contamination.
(b) Ollas or other water-holding dispensers, both refrigerated and nonrefrigerated, shall be checked for cleanliness each time the dispenser is serviced by the bottler or distributor's representative and when necessary returned to the bottler or distributor for cleaning and sanitizing before reuse.
(c) Only methods and procedures approved by the Department shall be used to clean and sanitize water dispensers.
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7868. Labels and Advertising.
Note     •     History

(a) Mineral water shall be plainly labeled “Mineral Water,” and the label shall show amounts of any mineral substance which exceed bottled water standards, 21 CFR, Section 103.35, and the source of the water.
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
Article 5. Out-of-State Bottler or Distributor
§7869. Applications.
Note     •     History

Application for a license by an out-of-state bottler or by a distributor of water bottled out of state shall be submitted with sufficient information to demonstrate that the water is pure, wholesome and potable. This information shall be included in a report prepared by the agency having authority over bottled water in the state where the water is bottled. If no agency has specific authority over bottled water, the report shall be prepared by a registered civil engineer with recognized experience and competence in the field of water sanitation and/or food production. The applicant may contract with the Department for out-of-state inspections and preparation of the report necessary to support issuance of the license. The report shall include, but not be limited to, the following:
(a) Where applicable, a copy of the out-of-state laws and regulations on bottled water and the license issued.
(b) A report on compliance or noncompliance with all water quality and sampling and water bottling requirements specified in this chapter.
(c) A statement from the out-of-state regulatory agency and the applicant that they will inform the Department of contamination or illness associated with the bottled water shipped into the State.
(d) Information on type and quantity of bottled water shipped into the State and how the bottled water is packaged, transported and stored upon arrival before distribution in the State.
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
Article 6. Licenses and Fees
§7870. Licenses.
Note     •     History

a) Water Bottling Plants.
The owners or operators of each water bottling plant shall make application for license on forms provided by the Department. The application and license fee shall be submitted for a calendar year. License fees payable are due on or before January 1 and shall be in accordance with Table 1. For new bottling operations, the fee shall be $500.00 for the first calendar year's operation. For water bottled out of state, license fees shall be in accordance with Table 1. Average weekly production shall be determined by dividing the number of gallons shipped into California during the previous year by 52. 

TABLE 1
WATER BOTTLING PLANT LICENSE FEE SCHEDULE

  Last Year's Average	Current  
   Weekly Production	Annual   
Bottled Water (in Gallons)	License Fee

	2,500 or less	 $100
	2,501 to 10,000	 $200
	10,001 to 25,000	 $300
	25,001 to 50,000	 $400
	Over 50,000	 $500

(b) Water Vending Machines.
Each water vending machine owner or operator shall make application and obtain a license for each machine operated under his control. The annual license fee for each approved machine shall be $5 per calendar year. A decal or seal provided by the Department indicating a license fee has been paid shall be affixed in a prominent place to each vending machine in service.
(c) Water Vending Machine Approval.
Each model of a water vending machine shall be approved by the Department. For newly designed machines or existing machines with modifications, adequate data shall be submitted regarding ability of the machine to comply with the standards of design and to continuously and reliably deliver water complying with water quality standards prescribed in Section 7863. The evaluation fee for each model of a new machine and existing machines with modifications affecting the quality of the water produced shall be in accordance with Table 2. The Department may accept, without payment of a fee, the evaluation of a new or modified model by a recognized independent laboratory. 

TABLE 2
WATER VENDING MACHINE EVALUATION FEE SCHEDULE 

New machine 	 $500
Existing machine with major modifications 	 $200
Existing machine with minor modifications 	 $50
NOTE

Authority cited: Sections 102, 208 and 4041, Health and Safety Code. Reference: Sections 4040-4043, Health and Safety Code.
HISTORY

1. Repealer and new section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7871. Doors and Windows.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7872. Toilet--Handwashing Facilities.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7873. Plant Maintenance.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7874. Personnel--Cleanliness.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7875. Cleaning and Sanitizing of Containers.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7876. Filling and Closures.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7877. Dry Storage.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7878. Water Dispensers.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7879. Water Vending Machines.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7880. Records.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7881. Labels and Signs.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7882. Applications.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
§7883. Licenses.
History

HISTORY

1. Repealer filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
Group 8. Sanitary Inspections
Article 1. Sale of Rat Exterminators
§7925. Sale of Rat Exterminators.

The sale or exposure for sale of alleged rodent exterminators, the manufacture of which is based upon the use of cultures of bacteria which may contaminate human food supplies, is hereby prohibited.
Article 2. Capture, Holding, Shipment and Sale of Wild Rodents
§7933. Definitions.
History

(a) Vector Management Unit.
“Vector management unit” means the organizational entity within the Department of Health with primary responsibility for the surveillance, prevention and control of insects and other animals of public health significance.
(b) Wild Rodent.
“Wild rodent” means wild ground squirrels, chipmunks, rats, mice or any other members of the order Rodentia occurring in nature in California except muskrats and beavers.
HISTORY

1. New section filed 1-20-78; effective thirtieth day thereafter (Register 78, No. 3).
§7934. Registration.
Note     •     History

(a) Each person holding a valid scientific collecting permit issued by the Department of Fish and Game pursuant to Fish and Game Code Section 2576, who captures or holds in quarantine wild rodents with the intent to sell them shall register annually with the health officer of each jurisdiction in which the wild rodents are captured or quarantined.
(b) The local health officer shall notify the vector management unit, within seven days, of each person registered.
NOTE

Authority cited for Article 2: Sections 102 and 208, Health and Safety Code. Reference: Sections 205, 3053 and 3114, Health and Safety Code.
HISTORY

1. Amendment of Article 2 ( 7934 added, 7935-7937 amended) filed 7-1-66 as an emergency; effective upon filing (Register 66, No. 20). 2. Certificate of Compliance--Section 11422.1, Government Code, filed 10-25-66 (Register 66, No. 37).
3. Amendment filed 1-20-78; effective thirtieth day thereafter (Register 78, No. 3).
§7935. Disinfestation, Quarantine and Shipment of Wild Rodents.
History

(a) No person shall sell any wild rodent which has not been disinfected of ectoparasites and quarantined pursuant to the provisions of this Section.
(b) Disinfestation of rodents shall be as follows:
(1) Any person capturing wild rodents with the intent to sell shall, in the locality of capture, disinfest each rodent of ectoparasites using the 1977 “Specifications for disinfestation of wild rodents captured and held for sale” issued by the vector management unit.
(2) Upon release from quarantine and prior to shipment, each rodent shall again be disinfected using the 1977 “Specifications for disinfestation of wild rodents captured and held for sale” issued by the vector management unit.
(c) Quarantine of rodents shall be as follows:
(1) The rodents shall be segregated and confined in cages by species, and date and locality of capture, with the date and specific locality of capture clearly designated on the cages.
(2) The rodents shall be held in quarantine for a period of two weeks prior to the date of shipment.
(3) If a rodent dies, the quarantine of all remaining rodents in that cage shall be extended two weeks from the date of that death or any later death.
(4) Each rodent death shall be reported to the local health officer within two working days of the rodent's death.
(5) Rodent carcasses shall be promptly frozen pending collection by the local health officer.
(d) Shipment of rodents shall be as follows:
(1) A statement shall accompany the shipment and shall bear the names and addresses of the shipper and receiver, the date of shipment, the location and dates of capture, and certification that the rodents have been quarantined and disinfested of ectoparasites.
(2) Such statement shall be retained by the receiver for a period of one year.
(3) On the date of shipment, the shipper shall submit two copies of the shipment statement to the local health officer, who shall forward, within seven days, one copy to the vector management unit.
HISTORY

1. Amendment filed 1-20-78; effective thirtieth day thereafter (Register 78, No. 3).
§7936. Reports.
History

The local health officer shall report all deaths of wild rodents held in quarantine to the vector management unit and ship the carcasses of such rodents to the State laboratory for examination as directed by the vector management unit.
HISTORY

1. Amendment filed 1-20-78; effective thirtieth day thereafter (Register 78, No. 3).
§7937. Disposition of Trapped Wild Rodents.
History

All wild rodents trapped in the same general area within which a rodent or other animal has been found to be infected with plague or other disease communicable to man shall be subjected to such quarantine, isolation, disinfestation or other procedure which the vector management unit finds necessary for the protection of the public health.
HISTORY

1. Amendment file 1-20-78; effective thirtieth day thereafter (Register 78, No. 3). 
Group 9. Registered Sanitarians GTP
Article 1. Internship Program
§7941.1. Internship Program.
Note     •     History

An internship program shall include field training equivalent to 600 hours of supervised field experience or completion of six months of supervised field experience in a local environmental health jurisdiction during the formal undergraduate or graduate course studies for the degree in environmental health and shall include experience in at least six environmental program areas. Three of the areas of field experience shall be selected from the following six basic environmental program areas: food protection, waste management (liquid, solid, and hazardous), water sanitation, housing and institutions, recreational swimming areas and waters, and vector control. Experience in the three remaining environmental program areas shall be selected from the following: air sanitation, safety and accident prevention, land development and use, disaster sanitation, electromagnetic radiation, milk and dairy products sanitation, noise control, occupational health, rabies and animal disease control, and any of those from the six basic program areas above not previously selected.
NOTE

Authority cited: Section 520, Health and Safety Code. Reference: Section 520, Health and Safety Code.
HISTORY

1. Repealer of former Article 1 (Sections 7941 and 7941.5) and new Article 1 (Section 7941.1) filed 5-3-85; effective thirtieth day thereafter (Register 85, No. 18). For prior history, see Register 73, No. 26.
2. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
Article 2. Approval of Educational Institutions
§7941.2. Approved Educational Institution.
Note     •     History

In order to be approved by the Department, an institution shall be on the list of accredited colleges or universities maintained by the U.S. Office of Education and shall meet the curriculum requirements specified in Section 7941.5(b) if providing course work leading to a degree in environmental health.
NOTE

Authority cited: Section 520, Health and Safety Code. Reference: Section 520, Health and Safety Code.
HISTORY

1. Repealer of former Article 2 (Section 7942) and new Article 2 (Sections 7941.2 and 7941.3) filed 5-3-85; effective thirtieth day thereafter (Register 85, No. 18). For prior history, see Register 68, No. 29.
2. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
§7941.3. Review of Curriculum.
Note     •     History

Institutions requesting approval of their environmental health degree program shall first submit their curriculum to the Sanitarian Registration Certification Committee for review and if it meets the prescribed curricula as specified in Section 7941.5(b) it shall be submitted to the Department for approval.
NOTE

Authority cited: Section 520, Health and Safety Code. Reference: Section 520, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
Article 3. Registration Procedures
§7941.4. Certification of Registration.
Note     •     History

NOTE

Authority cited: Section 520, Health and Safety Code. Reference: Section 522, Health and Safety Code.
HISTORY

1. New Article 3 (Section 7941.4) filed 5-3-85; effective thirtieth day thereafter (Register 85, No. 18). For prior history, see Register 58, Nos. 5 and 11 and No. 4.
2. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
Article 4. Minimum Educational and Experience Qualifications for Admission to the Examination for Registered Sanitarians
§7941.5. Educational and Experience Requirements.
Note     •     History

NOTE

Authority cited: Section 520, Health and Safety Code. Reference: Section 520, Health and Safety Code.
HISTORY

1. Renumbering of former Section 7941.5 to Section 7942 and new Article 4 (Sections 7941.5, 7941.6 and 7942) filed 5-3-85; effective thirtieth day thereafter (Register 85, No. 18). For prior history, see Register 73, No. 26.
2. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
§7941.6. Cross-Certification with Department of Food and Agriculture.
Note     •     History

NOTE

Authority cited: Section 520, Health and Safety Code. Reference: Section 517, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
§7942. Exceptions.
Note     •     History

NOTE

Authority cited: Section 542(b), Health and Safety Code.
HISTORY

1. Repealer of former Section 7492 and renumbering of former Section 7941.5 to Section 7942 filed 5-3-85; effective thirtieth day thereafter (Register 85, No. 18).
2. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49).
Article 5. Application Procedures for Sanitarian Registration
§7943. Application Submission, Completion and Notification.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code; and Section 15376, Government Code. Reference: Section 520, Health and Safety Code; and Sections 15376 and 15378, Government Code.
HISTORY

1. New Article 5 (Sections 7943-7946) filed 5-3-85; effective thirtieth day thereafter (Register 85, No. 18). For history of former Section 7944, see Register 58, No. 5.
2. Change without regulatory effect repeating Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
§7944. Application Review Period.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code; and Section 15376, Government Code. Reference: Section 520, Health and Safety Code; and Sections 15376 and 15378, Government Code.
HISTORY

1. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
§7945. Application Decision Period.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code; and Section 15376, Government Code. Reference: Section 520, Health and Safety Code; and Sections 15376 and 15378, Government Code.
HISTORY

1. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
§7946. Median, Minimum, and Maximum Application Processing Times.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code; and Section 15376, Government Code. Reference: Section 520, Health and Safety Code; and Sections 15376 and 15378, Government Code. 
HISTORY

1. Change without regulatory effect repealing Group 9 (Articles 1-5, Sections 7941.1--7941.6 and 7942-7946) pursuant to Section 100, Title 1, California Code of Regulations filed 10-20-89 (Register 89, No. 49). 
Group 10. Sanitation, Healthfulness and Safety of Ocean Water-Contact Sports Areas
Article 1. Intent of Regulations
NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Sections 24156 and 24157, Health and Safety Code.
HISTORY

1. New Group 10 (§ 7950 through 7961) filed 2-18-58; effective thirtieth day thereafter (Register 58, No. 3).
2. Repealer of Article 1 (Sections 7950 and 7951) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
Article 2. Definitions
§7952. Public Water-Contact Sports Area Defined.
Note     •     History

Public water-contact sports area means any area so designated (1) by a regional water pollution control board, or (2) by any other authorized and responsible public agency.
NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Section 24156, Health and Safety Code.
HISTORY

1. New NOTE filed 3-20-84 (Register 84, No. 12).
§7953. Public Beach Defined.
Note     •     History

NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Section 24156, Health and Safety Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§7954. Safety Program Defined.
Note     •     History

NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Section 24156, Health and Safety Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§7955. Refuse Defined.
Note     •     History

NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Section 24156, Health and Safety Code.
HISTORY

1. Repealer filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§7956. Storm Drain.
Note     •     History

“Storm drain” means a conveyance through which water flows onto or adjacent to a public beach and includes rivers, creeks, and streams, whether in natural or in man-made channels.
NOTE

Authority cited: Sections 100275, 115880 and 116075, Health and Safety Code. Reference: Sections 115880, 116075 and 116080, Health and Safety Code.
HISTORY

1. New section filed 7-26-99 as an emergency; operative 7-26-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-23-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-26-99 order transmitted to OAL 10-15-99 and filed 11-30-99 (Register 99, No. 49).
Article 3. Sanitation
NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Section 24156, Health and Safety Code.
HISTORY

1. Repealer of Article 3 (Section 7956) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
Article 4. Healthfulness
§7957. Physical Standard.
Note     •     History

No sewage, sludge, grease, or other physical evidence of sewage discharge shall be visible at any time on any public beaches or water-contact sports areas.
NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Section 24156, Health and Safety Code.
HISTORY

1. New NOTE filed 3-20-84 (Register 84, No. 12).
§7958. Bacteriological Standards.
Note     •     History

(a) The minimum protective bacteriological standards for waters adjacent to public beaches and public water-contact sports areas shall be as follows:
(1) Based on a single sample, the density of bacteria in water from each sampling station at a public beach or public water contact sports area shall not exceed:
(A) 1,000 total coliform bacteria per 100 milliliters, if the ratio of fecal/total coliform bacteria exceeds 0.1; or
(B) 10,000 total coliform bacteria per 100 milliliters; or
(C) 400 fecal coliform bacteria per 100 milliliters; or
(D) 104 enterococcus bacteria per 100 milliliters.
(2) Based on the mean of the logarithms of the results of at least five weekly samples during any 30-day sampling period, the density of bacteria in water from any sampling station at a public beach or public water contact sports area, shall not exceed:
(A) 1,000 total coliform bacteria per 100 milliliters; or
(B) 200 fecal coliform bacteria per 100 milliliters; or
(C) 35 enterococcus bacteria per 100 milliliters.
(b) Water samples shall be submitted for bacteriological analyses to a laboratory certified by the Environmental Laboratory Accreditation Program, California Department of Health Services in microbiology for methods for the analysis of the sample type.
NOTE

Authority cited: Sections 100275, 115880 and 116075, Health and Safety Code. Reference: Sections 115880, 116075 and 116080, Health and Safety Code.
HISTORY

1. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
2. Repealer and new section and amendment of Note filed 7-26-99 as an emergency; operative 7-26-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-23-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-26-99 order transmitted to OAL 10-15-99 and filed 11-30-99 (Register 99, No. 49).
§7959. Bacteriological Sampling.
Note     •     History

(a) In order to determine that the bacteriological standards specified in 7958 above are being met in a water-contact sports area designated by a Regional Water Quality Control Board in waters affected by a waste discharge, water samples shall be collected at such sampling stations and at such frequencies as may be specified by said board in its waste discharge requirements.
(b) In waters of a public beach or water-contact sports area that has not been so designated by a Regional Water Quality Control Board, water samples shall be collected at such sampling stations and at such frequencies as may be determined by the local health officer or the Department. Local health officers shall be responsible for the proper collection and analysis of water samples in such areas.
NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Sections 24156 and 24157, Health and Safety Code.
HISTORY

1. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§7960. Corrective Action.
Note     •     History

When a public beach or public water-contact sports area fails to meet the standards as set forth in 7957 or 7958 above, the local health officer or the Department, after taking into consideration the causes therefor, may at his or its discretion close, post with warning signs, or otherwise restrict use of said public beach or public water-contact sports area until such time as corrective action has been taken and the standards as set forth in 7957 and 7958 above are met.
NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Sections 24156 and 24157, Health and Safety Code.
HISTORY

1. Amendment filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§7961. Public Beaches Visited by More Than 50,000 People Annually and Adjacent to Storm Drains.
Note     •     History

(a) Waters adjacent to a public beach shall be tested for bacteria identified in Section 7958 on at least a weekly basis from April 1 to October 31, inclusive, if the beach is
(1) Visited by more than 50,000 people annually, and 
(2) Located adjacent to a storm drain that flows in the summer.
(b) Water samples shall be taken from locations that include areas affected by storm drains. Samples shall be taken in ankle- to knee-deep water, approximately 4 to 24 inches below the water surface.
(c) When testing reveals that the waters adjacent to a public beach fail to meet any of the standards set forth in Section 7958(a)(1) the local health officer shall post the beach pursuant to Health and Safety Code Section 115915, and shall use the standards of Section 7958(a)(1) and (2) in determining the necessity to restrict the use of or close the public beach or portion thereof.
(d) In the event of a known release of untreated sewage into waters adjacent to a public beach, the local health officer shall:
(1) Immediately post and close the beach or a portion thereof, or otherwise restrict its use until the source of the sewage release is eliminated;
(2) Sample the affected waters; and
(3) Continue closure or restriction of the beach or a portion thereof and posting the beach until testing results establish that the standards of Section 7958(a)(1) are satisfied.
NOTE

Authority cited: Sections 100275, 115880 and 116075, Health and Safety Code. Reference: Sections 115880, 116075 and 116080, Health and Safety Code.
HISTORY

1. New section filed 7-26-99 as an emergency; operative 7-26-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-23-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-26-99 order transmitted to OAL 10-15-99 and filed 11-30-99 (Register 99, No. 49).
§7962. Duties Imposed on a Local Public Officer or Agency.
Note     •     History

Pursuant to Health and Safety Code Sections 115880(h), 115885(g), and 115915(c), any duty imposed upon a local public officer or agency by Section 7961 shall be mandatory only during a fiscal year in which the Legislature has appropriated sufficient funds, as determined by the State Director of Health Services, in the annual Budget Act or otherwise for local agencies to cover the costs to those agencies associated with performance of these duties.
NOTE

Authority cited: Section 100275, Health and Safety Code. Reference: Sections 115880, 115885 and 115915, Health and Safety Code.
HISTORY

1. New section filed 7-26-99 as an emergency; operative 7-26-99 (Register 99, No. 31). A Certificate of Compliance must be transmitted to OAL by 11-23-99 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-26-99 order transmitted to OAL 10-15-99 and filed 11-30-99 (Register 99, No. 49).
Article 5. Safety
NOTE

Authority cited: Sections 208 and 24156, Health and Safety Code. Reference: Section 24156, Health and Safety Code.
HISTORY

1. Repealer of Article 5 (Section 7961) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29). 
Group 10.1. Sanitation of Public Beaches
Article 1. Intent of Regulations
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Sections 427.3, 427.5, 427.6 and 427.9, Health and Safety Code.
HISTORY

1. New Group 10.1 (Sections 7970 through 7994) filed 8-30-72; effective thirtieth day thereafter (Register 72, No. 36). Sections 7982, 7990 and 7993 approved by Buildings Standards Commission 7-28-72.
2. Repealer of Article 1 (Section 7970) filed 3-4-85; effective thirtieth day thereafter (Register 85, No. 10).
Article 2. Definitions and Exemptions
§7971. Beach.
Note     •     History

NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Sections 427.3, 427.5, 427.6 and 427.9, Health and Safety Code.
HISTORY

1. Repealer filed 3-4-85; effective thirtieth day thereafter (Register 85, No. 10).
§7972. Saltwater Body.
Note     •     History

Saltwater Body means the ocean, a marine bay, estuary or lagoon.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427, Health and Safety Code.
HISTORY

1. Editorial correction filed 8-9-84 (Register 84, No. 32).
§7973. Freshwater Body.
Note     •     History

Freshwater Body means a natural or artificial lake, river, reservoir, stream or canal.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7974. Refuse.
Note     •     History

Refuse means domestic or industrial garbage, rubbish, or other debris adversely affecting public health and safety as specified by the Health Officer.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7975. Sanitation.
Note     •     History

Sanitation means the maintenance of a safe and healthful environment by means of removal of refuse; provision of sanitary toilet and handwashing facilities; disposal of sewage and liquid wastes; protection of bathing water quality; provision of pure, wholesome and potable drinking water; and control of harmful insects, rodents and animals.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7976. Recreational Purposes.
Note     •     History

Recreational purposes include but are not limited to, swimming, camping, scenic enjoyment, fishing, shellfish gathering, surfing, scuba or snorkel diving, boating, equestrianship, use of recreational vehicles, jogging, walking, and beachcombing.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7977. Public Health and Safety.
Note     •     History

Public health and safety means the maintenance of an environment that contributes to human well being, and in which there is an absence of human disease, ill health or injury.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7978. Health Officer.
Note     •     History

Health Officer means the legally appointed Health Officer of the county or city having jurisdiction of the area in which a public beach is located.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.5, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7979. Exemption.
Note     •     History

Sections 7981 through 7991 of Title 17 shall not apply when the Health Officer determines that the beach is maintained primarily as an open space. The criteria, among others, that may be evidence of open space is lack of developed access, lack of parking facilities, lack of lifeguard services, or where casual use normally does not exceed 50 people per mile of shoreline.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. Amendment filed 3-4-85; effective thirtieth day thereafter (Register 85, No. 10).
§7980. Review by Health Officer.
Note     •     History

No persons shall begin construction, reconstruction or alteration of any public beach sanitation facility without first submitting plans, specifications and other such information, as may be required, to the Health Officer for his review and written approval. If no action is taken within fifteen (15) days of submission of plans, the project shall be deemed approved. If the Health Officer disapproves, the reason shall be so stated in writing.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
Article 3. Day Use Beaches
§7981. Application.
Note     •     History

The provisions of this article shall be applicable to public beaches where overnight camping is not permitted.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7982. Toilets.
Note     •     History

Toilets shall conform to the State Plumbing Code, Part 5, Title 24, California Administrative Code. Portable toilets may be substituted for plumbed toilets.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Sections 427.3, Health and Safety Code.
HISTORY

1. Amendment filed 3-4-85; effective thirtieth day thereafter (Register 85, No. 10).
§7983. Water Supply.
Note     •     History

Water when provided for drinking, showers, or handwashing shall be from a source approved by the Health Officer.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7984. Maintenance.
Note     •     History

Toilets shall be available to the public at all times the beach is officially open for use. All facilities must be maintained in a clean and sanitary condition at all times.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7985. Refuse Handling.
Note     •     History

(a) Refuse containers approved by the Health Officer shall be provided at all public beaches.
(b) All refuse shall be stored in the container in a manner which will not create a nuisance.
(c) Containers shall be emptied at frequencies sufficient to prevent overflow and to be maintained in a sanitary condition.
(d) Every public beach shall be maintained in a clean condition free of refuse.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7985.1. Animals.
Note     •     History

No person shall bring onto or allow any animal, except guide dogs used by the blind, to remain on any beach which has been designated a public swimming beach by the state, or any city, county, or city and county and where lifeguards are provided, except that horses may be ridden on designated equestrian trails and areas.
This regulation is not intended to prohibit or supersede any local ordinance now in effect or which may be enacted.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New section filed 8-3-73; effective thirtieth day thereafter (Register 73, No. 31).
2. Editorial correction of NOTE filed 8-9-84 (Register 84, No. 32).
§7986. Implementation.
Note     •     History

NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. Repealer filed 3-4-85; effective thirtieth day thereafter (Register 85, No. 10).
Article 4. Beaches Allowing Overnight Camping
§7987. Application.
Note     •     History

The provisions of this article shall be applicable to public beaches used for overnight camping.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7988. Refuse Handling.
Note     •     History

(a) Refuse containers approved by the Health Officer shall be provided in every camping area.
(b) All refuse shall be stored and removed in a manner that will not create a nuisance.
(c) Beach areas and areas set aside for camping shall, at all times, be maintained in a clean and safe condition.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7988.1. Animals.
Note     •     History

No person shall bring onto or allow any animal, except guide dogs used by the blind, to remain on any beach which has been designated a public swimming beach by the state, or any city, county, or city and county and where lifeguards are provided, except that horses may be ridden on designated equestrian trails and areas.
This regulation is not intended to prohibit or supersede any local ordinance now in effect or which may be enacted.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New section filed 8-3-73; effective thirtieth day thereafter (Register 73, No. 31).
2. Editorial correction of NOTE filed 8-9-84 (Register 84, No. 32).
§7989. Campsites.
Note     •     History

(a) No travel trailer, camp car, recreational vehicle or tent shall be located closer than six feet from any building or other travel trailer, camp car, recreational vehicle or tent on an adjacent lot or campsite.
(b) Each vehicular lot or campsite in a camping area shall have direct access.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. Editorial correction of NOTE filed 8-9-84 (Register 84, No. 32).
§7990. Sanitary Facilities.
Note     •     History

(a) Toilets shall conform to the State Plumbing Code, Part 5, Title 24, California Administrative Code.
(b) Shower baths or other bathing facilities are not required; however, when provided, they shall conform to the State Plumbing Code, Part 5, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. Amendment filed 3-4-85; effective thirtieth day thereafter (Register 85, No. 10).
§7991. Maintenance.
Note     •     History

All sanitary facilities shall be maintained in a clean and safe condition.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7992. Disposal of Sewage Wastes.
Note     •     History

(a) Wastewater or material from plumbing fixtures shall not be permitted to be deposited upon the ground.
(b) Campsites not provided with a drain inlet shall not be occupied by a travel trailer, camp car, or recreational vehicle equipped with plumbing unless the drain outlet of the vehicle is capped or as otherwise provided by part (c) of this section. Each campsite for use by vehicles equipped with toilets, unless self-contained shall be provided with a three-inch drain inlet.
(c) Other means of disposing of liquid wastes, not including human wastes, may be approved by the Health Officer.
(d) Trailer sanitation stations approved by the Health Officer and designed to receive the discharge of sewage holding tanks of self-contained vehicles shall be installed or available in an accessible location to every public beach campground area in which there are campsites not provided with drain inlets designed to receive the discharge of sewage wastes. Trailer sanitation stations shall be provided on the basis of one station for each 100 such campsites or portion thereof.
(e) Trailer sanitation stations shall be designed and constructed as required by Sections 5570 through 5580, Title 25, California Administrative Code.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§7993. Laundry Facilities.
Note     •     History

Laundry facilities are not required; however, when provided they shall conform to the State Plumbing Code, Part 5, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. Amendment filed 3-4-85; effective thirtieth day thereafter (Register 85, No. 10).
§7994. Water Supply.
Note     •     History

When provided, potable water shall be from a source approved by the Health Officer and obtainable from faucets installed not more than 400 feet from each campsite. Potable water shall be adequate for all the requirements of the camping area.
NOTE

Authority cited: Sections 208 and 427.3, Health and Safety Code. Reference: Section 427.3, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32). 
Group 11. Food Crop Growing and Harvesting Sanitation
Article 1. Intent of Regulations
§T17-8000. Intent of Regulations.
Note     •     History

NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.20, Health and Safety Code.
HISTORY

1. New Group 11 (Sections 8000 through 8013) filed 4-13-66; effective thirtieth day thereafter (Register 66, No. 9).
2. Repealer of Article 1 (Section T17-8000) filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
Article 2. Definitions
§T17-8001. Food Crop.
Note     •     History

NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.21, Health and Safety Code.
HISTORY

1. Amendment filed 6-12-70; effective thirtieth day thereafter (Register 70, No. 24).
2. Repealer filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
§T17-8002. Privacy.
Note     •     History

NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.25, Health and Safety Code.
HISTORY

1. Repealer filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
§8003. Toilet Facilities.
Note     •     History

Toilet facilities include water flush toilets, chemical toilets, or sanitary privies where lawful, in portable or fixed form.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.23, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
2. Editorial renumbering of former Section T17-8003 to Section 8003 (Register 85, No. 32).
Article 3. Toilet Facilities
§8004. General Standards.
Note     •     History

Toilet facilities shall meet the following standards:
(a) Toilet facilities shall provide a minimum area of eight (8) square feet, with a minimum width of two and one-half (2 1/2) feet for each toilet seat. A minimum area of ten (10) square feet, with a minimum width of two and one-half (2 1/2) feet, shall be required when a urinal is included. Sufficient additional space shall be included if handwashing facilities are within the facility.
(b) Units housing toilet and handwashing facilities shall be rigidly constructed and their inside surfaces shall be of nonabsorbent material, smooth, readily cleanable, and finished in a light color.
(c) Units housing toilet and handwashing facilities shall be ventilated and provided with self-closing doors, lockable from the inside.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.25, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section T17-8004 to Section 8004 filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
§8005. Chemical Toilet Standards.
Note     •     History

The wastewater tank on chemical toilets shall be constructed of durable, easily cleanable material and have a minimum tank capacity of forty gallons. Construction shall be such as to prevent splashing on the occupant, field, or road.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Sections 5474.23 and 547.29, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section T17-8005 to Section 8005 filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
Article 4. Servicing of Units
§8006. Suitable Chemicals.
Note     •     History

Odor control and solid liquefying chemicals that are effective at all times shall be used in chemical toilet waste holding tanks.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.29, Health and Safety Code.
HISTORY

1. Amendment filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32.)
§8007. Disposal of Contents of Chemical Tanks.
Note     •     History

Contents of chemical tanks shall be disposed of by draining or pumping into a sanitary sewer, an approved septic tank of sufficient capacity to handle the wastes, a suitably sized and constructed holding tank, approved by the local health department, or by any other method approved by the local health department.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.25, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§8008. Standards.
Note     •     History

Handwashing facilities shall meet the following standards:
(a) Pure, wholesome, and potable water shall be available for handwashing.
(b) Signs shall be posted, indicating that the water is only for handwashing purposes.
(c) The water tank shall provide a minimum capacity of fifteen gallons.
(d) Handwashing facilities shall be provided at the unit or in the immediate vicinity.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.26, Health and Safety Code.
HISTORY

1. Repealer of former Section 8008, and renumbering and amendment of former Section 8012 to Section 8008 filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
§8009. Privies.
Note     •     History

Privies shall be moved to a new site or taken out of service when the pit is filled to within two feet of the adjacent ground surface. The pit contents shall be covered with at least two feet of well-compacted dirt when the privy is moved.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.25, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
§8010. Toilets.
Note     •     History

It shall be the responsibility of the employer to insure that toilets are serviced and maintained in a clean, sanitary condition and kept in good repair at all times.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.25, Health and Safety Code.
HISTORY

1. New NOTE filed 8-9-84 (Register 84, No. 32).
Article 5. Supplies
§8011. Toilet Paperholder.
Note     •     History

Toilet paper shall be provided in a suitable holder in each toilet unit.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.25, Health and Safety Code.
HISTORY

1. Amendment filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
Article 6. Handwashing Facilities
§8012. Standards.
Note     •     History

NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.26, Health and Safety Code.
HISTORY

1. Renumbering and amendment of Section T17-8012 to Section 8008 filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32).
Article 7. Waste Wash Water Disposal
§8013. Water Flush Toilets and Handwashing Facilities.
Note     •     History

Water flush toilets and handwashing facilities shall conform to the (Compiled) State Building Standards Code, Part 5, Title 24, California Administrative Code.
NOTE

Authority cited: Sections 208 and 5474.29, Health and Safety Code. Reference: Section 5474.25, Health and Safety Code.
HISTORY

1. Repealer and new section filed 8-6-85; effective thirtieth day thereafter (Register 85, No. 32). 
Group 12. Reclaimed Waste Water
§8025. Intent.
Note     •     History

NOTE

Authority cited for Group 12: Section 102, Health and Safety Code. Reference: Section 13521, Water Code.
HISTORY

1. New Group 12 (Sections 8025 through 8050) filed 5-20-68; effective thirtieth day thereafter (Register 68, No. 20).
2. Repealer of Group 12 (Sections 8025-8050) filed 4-2-75; effective thirtieth day thereafter (Register 75, No. 14).
Subchapter 1.5. Regulations for Implementation of the California Environmental Quality Act of 1970

(Originally Printed 7-21-73)
NOTE

Authority cited: Section 208, Health and Safety Code, and Section 21082, Public Resources Code. Reference: Section 21000 et seq., Public Resources Code.
HISTORY

1. New Subchapter 1.5 (Sections 8100-8113.5) filed 7-20-73; effective thirtieth day thereafter (Register 73, No. 29).
2. Amendment filed 11-21-79; effective thirtieth day thereafter (Register 79, No. 47).
3. Repealer of Subchapter 1.5 (Sections 8100-8113.5) filed 10-12-83; effective thirtieth day thereafter (Register 83, No. 42).
Subchapter 2. Foods and Drugs
Group 1. Rules and Regulations
§10101. Order Promulgating Regulations.
Note     •     History

Under the authority of Sections 200 through 208, 26321, 26542, 28013, 28153, 28182, 28243, 28339, 28440, 28508, 28663.5 and 28709 of the Health and Safety Code, and Section 1147 of the Agricultural Code, the following regulations for the enforcement of Division 21 of the Health and Safety Code are hereby promulgated.
These regulations shall take effect on September 1, 1954.
The regulations now in force are hereby repealed as of the date the new regulations herein promulgated shall become effective.
NOTE

Authority cited for subchapter 2 filed 7-29-54: Sections 200 through 208, 26321, 26542, 28013, 28153, 28182, 28243, 28339, 28440, 28508, 28663.5, 28709, Health and Safety Code, and Section 1147, Agricultural Code.
HISTORY

1. Originally printed August 15, 1945 (Title 17).
2. For repealers, added sections, amendments and revisions of former subchapter 2, refer to Registers 8, No. 3; 10, No. 6; 13, No. 2; 16, No. 5; 17, No. 2; 18, No. 4; 19, No. 2; 20, No. 1; and 26, No. 3.
3. Repealer and new subchapter 2 filed 7-29-54; designated effective 9-1-54 (Register 54, No. 16).
§10102. General Regulations.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10103. Constitutionality.

If any section, subsection, clause, sentence, or phrase of these regulations or standards is for any reason held to be invalid or unconstitutional, such decision shall not affect the remaining portions of these regulations or standards. The State Board of Public Health hereby declares that it would have adopted the remaining portions of these regulations or standards irrespective of the fact, that any such section, subsection, clause, sentence, or phrase of these regulations or standards be declared invalid or unconstitutional.
§10150. Cosmetic Regulations.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
Article 1. Definitions
§10200. Dietary Supplement.
Note     •     History

(a) “Dietary supplement”
(1) Means an article (other than tobacco) intended to supplement the diet that bears or contains one or more of the following dietary ingredients:
(A) A vitamin,
(B) A mineral,
(C) An herb or other botanical,
(D) An amino acid,
(E) A dietary substance for use by humans to supplement the diet by increasing the total dietary intake, or
(F) A concentrate, metabolite, constituent, extract, or combination of any ingredient described in clause (A), (B), (C), (D), or (E);
(2) Means a product that
(A) Is labeled as a dietary supplement and
(B) Is intended for ingestion in tablet, capsule, powder, softgel, gelcap, or liquid form, or if not intended for ingestion in such a form
(C) Is not represented for use as a conventional food, or as a sole item of a meal or the diet; and
(3) Does
(A) Include an article that is approved as a new drug in compliance with Health and Safety Code section 111550, subdivision (a) or (b), certified as an antibiotic under the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. section 357, and/or licensed as a biologic under the Public Health and Safety Act, 42 U.S.C. section 262 and was, prior to such approval, certification, or license, marketed as a dietary supplement or as a food, unless the article, when used as or in a dietary supplement under the conditions of use set forth in the labeling for such dietary supplement is adulterated under California Health and Safety Code section 110545, and
(B) Not include
1. An article that is approved as a new drug in compliance with Health and Safety Code section 111550, subdivision (a) or (b), certified as an antibiotic under the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. section 357, and/or licensed as a biologic under the Public Health and Safety Act, 42 U.S.C., section 262, or
2. An article authorized for investigation as a new drug, antibiotic, or biologic for which substantial clinical investigations have been instituted and for which the existence of such investigations has been made public, and which was not, before its approval, certification, licensing, or authorization, marketed as a dietary supplement.
(b) A dietary supplement may be a food or a drug, or both a food and a drug, as these terms are defined in Health and Safety code sections 109935 and 109925.
NOTE

Authority cited: Sections 100275, 110065 and 110100, Health and Safety Code. Reference: Sections 110175, 110290, 110545, 110620, 110625, 110630, 110660, 110705, 110760, 110765 and 110770, Health and Safety Code.
HISTORY

1. New article 1 (section 10200) and section filed 10-15-96; operative 1-1-97 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 5-1-97 or emergency language will be repealed by operation of law on the following day.
2. New article 1 (section 10200) and section refiled 4-29-97 as an emergency; operative 5-2-97 (Register 97, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-2-97 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-29-97 order transmitted to OAL 8-28-97 and filed 10-9-97 (Register 97, No. 41).
Article 2. Drugs and Devices Regulations

DRUGS AND DEVICES
§10350. Labeling Defined (26207).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10355. Truth of Labeling (26208).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10360. New Drugs--Definition.
Note     •     History

Newness of a drug may arise by reason (among other reasons) of:
(a) The newness for drug use of any substance which composes such drug, in whole or in part, whether it be an active substance or a menstruum, excipient, carrier, coating, or other component;
(b) The newness for drug use of a combination of two or more substances, none of which is a new drug;
(c) The newness for drug use of the proportion of a substance in a combination, even though such combination containing such substance in other proportion is not a new drug;
(d) The newness of use of such drug in diagnosing, curing, mitigating, treating, or preventing a disease, or to affect a structure or function of the body, even though such drug is not a new drug when used in another disease or to affect another structure or function of the body; or
(e) The newness of a dosage, or method or duration of administration or application, or other condition of use prescribed, recommended, or suggested in the labeling of such drug, even though such drug when used in other dosage, or other method or duration of administration or application, or different condition, is not a new drug.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26021, Health and Safety Code.
HISTORY

1. Amendment filed 6-27-60; effective thirtieth day thereafter (Register 60, No. 15).
2. Amendment of section heading and repealer of subsection (f) filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10365. Drugs--Name (26230).
History

HISTORY

1. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10370. Poisonous Insecticides and Rodenticides, Use of (26234(2)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10371. Drugs: Current Good Manufacturing Practice in Manufacture, Processing, Packaging, Labeling or Holding (26234(3)).
Note     •     History

NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 26234(3), Health and Safety Code.
HISTORY

1. New section filed 1-3-66; effective thirtieth day thereafter (Register 66, No. 1).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10375. Blending of Certified Coal Tar Colors (26235 (2)).
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10376. Drug and Device Manufacturing Licenses.
Note     •     History

(a) The fee for a manufacturer's license as required by Sections 26685 and 26688 of the Health and Safety Code is $200.00 and will cover a period of 12 months. The license is not transferable and will not be prorated.
(b) Manufacturers of human prescription drugs shall pay an additional license fee of $100.00 per year, plus the fingerprint processing fee charged by the California Department of Justice.
(c) Application for Drug Manufacturing License shall be made on State Department of Health form #EH-52 (Rev. 4/93). Applications for a Device Manufacturing License shall be made on State Department of Health form #EH-72.
(d) Applications for a Drug Manufacturing License shall include the following information on or attached to the application form:
(1) The name of the license applicant, and the full business address and telephone number of the manufacturing facility;
(2) All trade or business names used by the license applicant;
(3) Name(s) of the person(s) in charge of manufacturing;
(4) Name, address and telephone number of the person responsible for correspondence;
(5) The type of ownership or operation (for example, partnership, association, corporation, or individual/sole proprietorship);
(6) The name(s) of the owner and/or operator of the license applicant, including:
(A) If an individual, the name of the individual; if a sole proprietorship, the name of the sole proprietor and the name of the business entity;
(B) If a partnership or other unincorporated association, the name of each partner or member, and name of the partnership or association;
(C) If a corporation, the corporate name, and the state of incorporation, the name and title of each corporate officer and director; and
(D) The name of each person holding more than 5 percent equity, or debt liability of the applicant.
(7) Types of products to be manufactured;
(8) Type of processing to be utilized;
(9) Signature of license applicant under penalty of perjury affirming that the information in the application is true and accurate;
(10) Printed name and title of the individual signing the application;
(11) Date application was signed; and
(12) For human prescription drug manufacturers only:
(A) properly completed Disclosure Statement (form #EH-53 (rev. 4/93)), two properly completed fingerprint cards, and fingerprint processing fee for each person in charge of manufacturing and each person whose name is required to be included in the license application under Paragraphs (d)(6)(A) through (d)(6)(C). However, where the license applicant is a corporation, partnership, or other business association and the total number of partners, members, or corporate officers, directors, and shareholders (as the case may be) exceeds five, the application shall so state, and the documents and fee described in this Paragraph shall only be submitted for each person in charge of manufacturing, and
1. For corporations: of the corporate officers who reside in California, or who reside outside California, but are involved in the routine operations of the manufacturing facility, the documents and fee shall be submitted for each of the five highest ranking officers in this group, and
2. For partnerships, joint ventures, and similar business association: of the partners or members who reside in California, or who reside outside California, but are involved in the routine operations of the manufacturing facility, the documents and fee shall be submitted for each of the five persons in this group who own the largest interests in the applicant entity.
(B) Fingerprint cards and fingerprint processing fee shall only be submitted once for each person. If there is a change of any person in charge of manufacturing or any person occupying a position listed in Paragraphs (d)(6)(A) through (d)(6)(C), fingerprint cards and processing fee shall be submitted for each new or additional person.
(C) Other persons listed in Paragraph (d)(6) may be required by the Department to submit the documents described in this Paragraph as necessary to determine the qualifications of the applicant.
(e) Within 30 calendar days of receipt of a drug manufacturing license application, the Department shall inform the applicant in writing that it is either complete and accepted for filing or that the application is deficient and what specific information or documentation is required to complete the application. An application is considered complete when all information, documents, and fees required in this Section have been received by the Department.
(f) Within 240 calendar days from the date of filing of a completed drug manufacturing license application, the Department shall inform the applicant in writing of its decision regarding a drug manufacturing license application. The median time for the Department to process a drug manufacturing license application from acceptance of the initial application to the final license decision has been 29 calendar days; the minimum time was one calendar day; the maximum time was 919 calendar days.
NOTE

Authority cited: Section 15376, Government Code and Sections 102, 208, 26202, 26209 and 26688, Health and Safety Code. Reference: Sections 26685, 26687, 26688 and 26689, Health and Safety Code.
HISTORY

1. New section filed 5-16-69 as an emergency; designated effective 7-1-69 (Register 69, No. 20).
2. Certificate of Compliance--section 11422.1, Gov. Code, filed 7-29-69 (Register 69, No. 31).
3. Amendment filed 7-21-76; effective thirtieth day thereafter (Register 76, No. 30).
4. Amendment of section heading, new subsection (b) and renumbering and amendment of following paragraph and repealer of subsections (c)-(d) and new subsections (d)-(f) and amendment of Note filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of History 5. (Register 93, No. 20).
7. Certificate of Compliance as to 1-20-93 order including amendment of subsections (c) and (d)(12)(A), and repealer and new subsections (d)(12)(A)1.-2. transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377. Definitions.
Note     •     History

(a) The definitions set forth in this Section apply to Sections 10376 through 10377.8 only.
(b) Blood means whole blood collected from a single donor and processed either for transfusion or further manufacturing.
(c) Blood component means that part of blood separated by physical or mechanical means.
(d) Controlled Substance means, unless otherwise specified, a drug, substance, or immediate precursor which is listed in any schedule in Health and Safety Code Sections 11054, 11055, 11056, 11057, or 11058, or which is regulated as a controlled substance under the Controlled Substances Act (21 U.S.C. § 801 et seq.) or the Controlled Substances Import and Export Act (21 U.S.C. § 951 et seq.).
(e) Drug sample means a unit of a human prescription drug that is not intended to be sold and is intended to promote the sale of the drug.
(f) Human prescription drug means any drug intended for human use required by State law to be dispensed only by a prescription, including finished dosage forms and active ingredients subject to Section 26660 of the Health and Safety Code.
(g) Active ingredient means any component that is intended to furnish pharmacological activity or other direct effect in the diagnosis, cure, mitigation, treatment, or prevention of disease, or to affect the structure of any function of the  body of man, including those components that may undergo chemical change in the manufacture of the drug product and be present in the drug product in a modified form intended to furnish the specified activity or effect.
(h) Component means any ingredient intended for use in the manufacture of a drug product, including those that may not appear in the drug product.
(i) Manufacturer means any person who prepares, compounds, propagates, processes, or fabricates any drug. The term manufacturer includes anyone who repackages or otherwise changes the container, wrapper, or labeling of any drug in furtherance of the distribution of the drug. The term manufacturer does not include:
(1) A retailer who repackages from a bulk container at the time of sale to its ultimate consumer; or
(2) Anyone who sells, purchases, or trades blood or blood components intended for transfusion, provided that the blood or blood components are prepared using physical or mechanical means, not chemical processes.
(j) Transfusion means a use of blood or blood components in which the blood or blood components are administered into a vein of a human being for treatment of disease, including physical injury.
NOTE

Authority cited: Sections 102, 208 and 26202, Health and Safety Code. Reference: Sections 26209, 26685, 26686 and 26688, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Editorial correction of printing error in subsection (e) (Register 93, No. 28).
5. Certificate of Compliance as to 1-20-93 order including amendment of subsection (d) transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.1. Qualifications.
Note     •     History

(a) A license to manufacture human prescription drugs may be denied on the ground that the license applicant is not qualified by reason of the applicant's experience to manufacture and distribute human prescription drugs in a safe manner and in compliance with federal, state, and local drug laws. In the case of a partnership, association, or corporation, an applicant's experience includes the experience of each person whose name is required to be included in the license application. An applicant's experience includes, but is not limited to, the following factors:
(1) Any conviction of the applicant under any federal, state, or local laws relating to drugs, including drug samples, wholesale or retail drug distribution, or distribution of controlled substances;
(2) Any felony conviction of the applicant under federal, state, or local laws which is substantially or rationally related to the qualifications, functions, and duties of a licensed human prescription drug manufacturer; a crime shall be considered substantially or rationally related to qualifications, functions, or duties of human prescription drug manufacturer if, reasonably or to a substantial degree, it evidences present or potential unfitness of a licensee to perform the functions authorized by the license in a manner consistent with the public health, safety, or welfare.
(3) The applicant's past experience in the manufacture or distribution of drugs, including controlled substances;
(4) The furnishing by the applicant of false or fraudulent material in any application made in connection with drug manufacturing or distribution;
(5) Suspension or revocation by federal, state, or local government of any license or permit currently or previously held by the applicant for the manufacture or distribution of any drugs, including controlled substances;
(6) Compliance with licensing requirements under drug or device licenses previously granted by the Department, if any;
(7) Compliance with requirements to maintain and/or make available to the Department those records required under the Sherman Food, Drug, and Cosmetic Law (Health and Saf. Code § 26000 et seq.) and the regulations adopted pursuant to that law;
(8) Compliance with requirements to make available to federal, state, or local law enforcement officials those records described in 21 Code of Federal Regulations section 205.50 (55 Fed. Reg. 38025-38026 (Sept. 14, 1990)); and
(9) History of addiction or habitual use of any controlled substance, narcotic, prescription drug, or alcoholic beverage.
(b) As used in subsection (a), “conviction” includes a plea, verdict, or finding of guilt regardless of whether sentence has been imposed, but does not include:
(1) any conviction for an offense specified in subdivision (a) or (b) of Health and Safety Code Section 11361.5 which became final more than two years prior to the date of the license application, or
(2) any conviction under Health and Safety Code Section 11557 or its successor Section 11366 when that conviction was stipulated or designated to be a lesser included offense of the offense of possession of marijuana;
(c) The Department may deny a license to a license applicant if it determines that the granting of such a license would not be in the public interest, based on factors which are substantially or rationally related to protecting the public from adulterated or misbranded human prescription drugs.
NOTE

Authority cited: Sections 102, 208, 26202 and 26209, Health and Safety Code. Reference: Sections 26611, 26612, 26689 and 26691, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Editorial correction of printing error in subsection (a)(6) (Register 93, No. 28).
5. Certificate of Compliance as to 1-20-93 order including new subsections (b)-(b)(2) and subsection relettering, transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.2. Revocation and Suspension.
Note     •     History

(a) Any conviction of any violation of federal, state, or local drug laws shall be grounds for suspending or revoking a license to manufacture human prescription drugs.
(b) Any action or conduct which would have warranted denial of a license to manufacture human prescription drugs shall be grounds for suspending or revoking a license to manufacture human prescription drugs.
NOTE

Authority cited: Sections 102, 208 and 26202, Health and Safety Code. Reference: Sections 26688, 26689, 26691 and 26801, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Certificate of Compliance as to 1-20-93 order transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.3. Compliance.
Note     •     History

Human prescription drug manufacturers and their officers, agents, representatives, and employees shall comply with the requirements of Sections 10377.4, 10377.5, 10377.6, 10377.7, and 10377.8 relating to human prescription drugs.
NOTE

Authority cited; Sections 102, 208, 26202 and 26209, Health and Safety Code. Reference: Sections 26611, 26612 and 26689, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Certificate of Compliance as to 1-20-93 order transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.4. Requirements for the Storage and Handling of Human Prescription Drugs.
Note     •     History

(a) All facilities at which human prescription manufacturers manufacture, store, warehouse, handle, offer, market, display, or otherwise hold human prescription drugs shall be secure from unauthorized entry and shall have adequate security conditions, as follows:
(1) Access from outside the premises shall be kept to a minimum and be well-controlled;
(2) The outside perimeter of the premises shall be well-lighted; and
(3) Entry into areas where human prescription drugs are held shall be limited to authorized personnel.
(b) All such facilities shall be equipped with an alarm system to detect entry after hours.
(c) All such facilities shall be equipped with an alarm system that will provide suitable protection against theft and diversion. When appropriate, the security system shall provide protection against theft or diversion that is facilitated or hidden by tampering with computers or electronic records.
(d) Each outgoing shipment of human prescription drugs shall be carefully inspected for identity of the human prescription drugs and to ensure that there is no delivery of human prescription drugs that have been damaged in storage or held under improper conditions. Records of nonconforming drugs and their disposition shall be established and maintained, and shall include the name and label potency of the drug product, dosage form, lot number, quantity, reason for nonconformance, name of the inspector, date of inspection, and disposition.
(e) Human prescription drugs manufactured by the licensee, which are outdated, damaged, deteriorated, misbranded, or adulterated, shall be quarantined and physically separated from other prescription drugs until they are destroyed or brought into compliance with all applicable laws by reprocessing or relabeling. Records of drugs quarantined shall be established and maintained, and shall include the name and label potency of the quarantined drug product, dosage form, lot number, reason for the quarantine, name of the person responsible for the quarantine, location of quarantined drug product, date of disposition, and ultimate disposition of the quarantined drug product.
NOTE

Authority cited; Sections 102, 208, 26202 and 26209, Health and Safety Code. Reference: Sections 26611, 26612 and 26689, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Certificate of Compliance as to 1-20-93 order including amendment of subsection (a) transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.5. Requirements for the Establishment and Maintenance of Human Prescription Drug Records.
Note     •     History

(a) Human prescription drug manufacturers shall establish and maintain inventories and records of all transactions regarding the disposal of human prescription drugs. These records shall include the following information:
(1) The identity and quantity of the human prescription drugs disposed of; and
(2) The dates of disposal of the human prescription drugs.
(b) Inventories and records of receipt, distribution, disposal, and other disposition of human prescription drugs, including records described in Section 10377.4(d) and (e), shall be made available for inspection and photocopying by the Department or any authorized federal, state, or local law enforcement agency officials for a period of at least three years following distribution, disposal, or other disposition.
(c) Inventories and records of receipt, distribution, disposal, and other disposition of human prescription drugs, including records described in Section 10377.4(d) and (e), that are kept at the inspection site or that can be immediately retrieved by computer or other electronic means shall be readily available for authorized inspection during the retention period. Records kept at a central location apart from the inspection site and not electronically retrievable shall be made available for inspection as soon as possible, but no later than two working days after a request by an authorized official of a federal, state, or local law enforcement agency.
(d) Human prescription drug manufacturers shall establish and maintain lists of officers, directors, managers, and other persons in charge of human prescription drug manufacturing, distribution, storage, and handling, including a description of their duties and a summary of their qualifications.
NOTE

Authority cited; Sections 102, 208, 26202 and 26209, Health and Safety Code. Reference: Sections 26611, 26612 and 26689, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Certificate of Compliance as to 1-20-93 order including amendment of subsection (b) transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.6. Written Policies and Procedures for the Handling of Human Prescription Drugs.
Note     •     History

(a) Human prescription drug manufacturers shall establish, maintain, and adhere to written policies and procedures, which shall be followed for the security and disposition of human prescription drugs including policies and procedures for identifying, recording, and reporting losses or thefts, and for correcting all errors and inaccuracies in inventories.
(b) Human prescription drug manufacturers shall include in their written policies and procedures the following:
(1) A procedure to be followed for handling recalls and withdrawals of human prescription drugs. This procedure shall be adequate to deal with recalls and withdrawals due to:
(A) Any action initiated at the request of the Department, the federal Food and Drug Administration or other federal, state, or local law enforcement or other government agency;
(B) Any voluntary action by the manufacturer to remove defective or potentially defective human prescription drugs from the market; or
(C) Any action undertaken to promote public health and safety by replacing existing merchandise with an improved product or new package design;
(2) A procedure to ensure that the manufacturer is prepared for, protected against, and is ready to handle any crisis that affects security or operation of any facility in the event of fire, flood, or other natural disaster, or strike or other situations of local, state or national emergency; and
(3) A procedure to ensure that any outdated human prescription drugs shall be segregated from other drugs and destroyed. This procedure shall provide for written documentation of the disposition of outdated human prescription drugs. This documentation shall be maintained for at least three years after disposition of the outdated human prescription drugs.
NOTE

Authority cited; Sections 102, 208, 26202 and 26209, Health and Safety Code. Reference: Sections 26611, 26612 and 26689, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Certificate of Compliance as to 1-20-93 order transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.7. Inspection by Federal, State, and Local Law Enforcement Officials.
Note     •     History

Human prescription drug manufacturers shall permit authorized federal, state, and local law enforcement officials to enter and inspect their premises and delivery vehicles, and to audit their records and written operating procedures, during business hours or any other reasonable times and in a reasonable manner, to the extent authorized by law.
NOTE

Authority cited: Sections 102, 208 and 26202, Health and Safety Code. Reference: Section 26689, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Certificate of Compliance as to 1-20-93 order transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10377.8. Manufacturers of Active Ingredient Components of Human Prescription Drugs.
Note     •     History

(a) In addition to the regulations in this article, manufacturers of any active ingredient component of a human prescription drug shall comply with the following sections of Code of Federal Regulations, title 21, part 211 (revised as of April 1, 1992), except that all references to “drug product” shall apply to active ingredient components: sections 211.25 (Personnel qualifications), 211.28 (Personnel responsibilities), 211.42 (Design and construction features), 211.44 (Lighting), 211.46 (Ventilation, air filtration, air heating and cooling), 211.48(a) [first sentence] and (b) (Plumbing), 211.50 (Sewage and refuse), 211.52 (Washing and toilet facilities), 211.56 (Sanitation), 211.58(Maintenance), 211.63 (Equipment design, size, and location), 211.65 (Equipment construction), 211.67 (Equipment cleaning and maintenance), 211.68 (Automatic, mechanical, and electronic equipment), 211.142 (Warehousing procedures), 211.150 (Distribution procedures), 211.180(a), (c), (d), and (f) (General requirements), 211.182 (Equipment cleaning and use logs), 211.196 (Distribution records), 211.204 (Returned drug products), and 211.208 (Drug product salvaging).
(b) In the event that it is impossible for a manufacturer of a biological drug to comply with both this section and the federal regulations for the manufacture of biologic drugs, this section shall not apply to the extent that it conflicts with a federal regulation specifically applicable to the biological drug product in question.
NOTE

Authority cited: Sections 102, 208, 26202 and 26209, Health and Safety Code. Reference: Sections 26611, 26612 and 26689, Health and Safety Code.
HISTORY

1. New section filed 9-25-92 as an emergency; operative 9-25-92 (Register 92, No. 39). A Certificate of Compliance must be transmitted to OAL 1-25-93 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 1-20-93 as an emergency; operative 1-26-93 (Register 93, No. 4). A Certificate of Compliance must be transmitted to OAL 5-26-93 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 2. (Register 93, No. 20).
4. Certificate of Compliance as to 1-20-93 order including amendment of newly designated subsection (a) and new subsection (b) transmitted to OAL 5-26-93 and filed 7-8-93 (Register 93, No. 28).
§10380. Labeling, Misbranding (26240).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10381. Label Non-Prescription Drugs. Pregnancy/Nursing.
Note     •     History

(a) Any drug not subject to Section 26660 of the Health and Safety Code which is intended for systemic absorption into the human body shall include on the label the following statement:
“Caution: If pregnant or nursing a baby, consult your physician or pharmacist before using this product.”
(b) Section 10381(a) shall not apply if such drug:
(1) Is intended for poison control purposes.
(2) Is labeled with information regarding use in pregnancy and nursing which is substantially similar to the statement required by Section 10381(a).
(3) Meets both of the following:
(A) It is intended to benefit the embryo, fetus or nursing infant during the period of pregnancy or lactation.
(B) It is labeled with specific directions for use during the period of pregnancy or lactation pursuant to federal or state requirements.
(4) Is not intended to be systemically absorbed.
(5) Is oxygen intended for emergency use.
(c) Any drug manufactured and labeled after 11-18-82 shall be misbranded if the information required by this section is not disclosed on the label.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26400, 26630 and 26638, Health and Safety Code.
HISTORY

1. New section filed 10-19-81; effective thirtieth day thereafter (Register 81, No. 43).
2. Editorial correction of subsection (c) (Register 82, No. 3).
§10385. Labeling Requirements (26241).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10386. Manufacturer of Finished Dosage Form.
Note     •     History

The intent of this section is to assure that the advertising and labeling required by Section 26636(c) of the code provides sufficient useful information to pharmacists, physicians, and other purchasers of prescription drugs that they may identify certain persons participating in the manufacturing of the finished dosage form of such drug(s). These regulations are in addition to the regulations of other sections of the Sherman Food, Drug, and Cosmetic Law regarding labeling and advertising requirements for drugs.
(a) For the purpose of this section the finished dosage form of a prescription drug is defined as that form of the drug which is or is intended to be dispensed or administered to the patient and requires no further manufacturing or processing other than packaging and labeling.
(b) For the purpose of this section only, the term “drug” shall include only those articles as defined in Section 26010 of the Act which achieve their principal intended purposes through chemical action within or on the body of man or other animals or which are metabolized in the achievement of these purposes.
(c) For the purpose of this section the term “manufacturer” means persons who “manufacture” as that term is defined by Section 26019 of the Health and Safety Code.
(d) For the purpose of this section the term advertisement shall have the same definition as Section 26002 of the Health and Safety Code.
(e) The labeling and advertising for any prescription drug, including those whose label states “distributed by . . .” or similar language, must contain the name and place of business of the manufacturer who mixed the final ingredients, and the manufacturer who encapsulated (if in capsule form) or tableted (if in tablet form) the finished dosage form, qualified by such phrases as “final ingredients mixed by . . .,” “encapsulated by . . .,” “tableted by . . .,” or words of similar or like meaning that express the facts. The presence of the name and address of only one manufacturer shall mean that only the named firm mixed the final ingredients and encapsulated (if in capsule form) or tableted (if in tablet form) the finished dosage form.
(f) The requirement for declaration of the name of the manufacturer of the finished dosage form shall be deemed to be satisfied in the case of a corporation only by the actual corporate name which may be preceded or followed by the name of the particular division of the corporation. Abbreviations for “Company,” “Incorporated,” etc., may be used and “The” may be omitted. In the case of an individual, partnership, or association, the name under which the business is conducted shall be used. The statement of the place of business shall include the street address, city, state, and zip code; however, the street address may be omitted if it is shown in a current city directory or telephone directory.
(g) For the purposes of this section, all products subject to this section will be deemed to be misbranded if the name and place of business of each manufacturer as described in the foregoing subsections of this regulation is not included in the labeling on, or within the package from which the drug is dispensed and in all advertising of such product intended primarily for dissemination to California practitioners.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26636, Health and Safety Code.
HISTORY

1. New section filed 6-28-73; effective thirtieth day thereafter (Register 73, No. 26).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10390. Forms of Making Required Statements (26242).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10395. Statements of Ingredients and Proportions (26243).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§10400. Hoxsey Method for Treatment of Cancer.
Note     •     History

(a) The Hoxsey method is a cancer treatment system which employs the use of the substances potassium iodide, lactated pepsin, red clover blossoms, cascara sagrada, licorice, burdock root, stillingia root, berberis root, poke root, echinacea root, prickly ash bark, and buckthorn bark, either singly or in combination with each other. 
(b) The prescription, administration, sale or other distribution of Hoxsey agents, or any of the ingredients described in subsection (a) of this section, whether singly or in any combination, or in any dosage or guise whatever, in the diagnosis, alleviation, treatment or cure of cancer, or for treatment of any patient who has or who believes he or she has or who may have cancer is prohibited, except as provided by Section 1708 of the Health and Safety Code.
(c) No person shall, for the purpose of prescribing, administering, selling or otherwise distributing any or all ingredients of the Hoxsey formula, make any representation that said Hoxsey method for the treatment of cancer, or any of the ingredients described in subsection (a) of this section, whether singly or in any combination or in any guise whatever, has any value in arresting or curing cancer.
NOTE

Authority cited: Sections 208 and 1704, Health and Safety Code. Reference: Section 1704, Health and Safety Code.
HISTORY

1. New section filed 10-1-62; effective thirtieth day thereafter (Register 62, No. 21).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10400.1. Beta-Cyanogenetic Glucosides (“Laetriles”) Agent for Treatment of Cancer.
Note     •     History

(a) The Department of Public Health has carefully considered a document entitled “A Report on the Treatment of Cancer with Beta-Cyanogenetic Glucosides (`Laetriles')” dated May 20, 1963, and is satisfied beyond a reasonable doubt that the findings therein are true. The Department hereby ratifies and adopts said report as its own and a copy of same is on file with the California State Department of Public Health and is available for public inspection at its office located at 2151 Berkeley Way, Berkeley, California.
(b) The Department of Public Health hereby finds that beta-cyanogenetic glucosides including amygdalin (with or without the addition of diisopropyl ammonium iodide), and prunasin, commonly known as “Laetriles,” are of no value in the diagnosis, treatment, alleviation or cure of cancer and that the use of one or more of these agents in early cancer to the exclusion of conventional treatment might well be dangerous since treatment with acceptable, modern, curative methods (surgery or radiation) would thereby be delayed potentially until such time as metastases had occurred and the cancer therefore might no longer be curable. In late disease palliative effect is lacking. The Department recommends that the public refrain from using any of the said agents or any agent, drug, medicine, compound or device substantially similar thereto in the diagnosis, alleviation, treatment or cure of cancer.
(c) Except as otherwise provided in Section 1708 of the California Health and Safety Code the prescription, administration, sale or other distribution of beta-cyanogenetic glucosides including amygdalin (with or without the addition of diisopropyl ammonium iodide) and prunasin, commonly known as “Laetriles” or, any substantially similar agent, drug, medicine, compound or device to any patient who has or who believes that he has or may have cancer is prohibited; and the Department shall upon learning of such prescription, administration, sale or other distribution take appropriate steps to cause such persons so doing to cease and desist therefrom.
(d) No person shall for the purpose of prescribing, administering, selling or otherwise distributing beta-cyanogenetic glucosides including amygdalin (with or without the addition of diisopropyl ammonium iodide) or prunasin, commonly known as “Laetriles,” make any representation that said agents have any value in arresting, alleviating or curing cancer; and the Department shall upon learning of such representation take appropriate steps to cause such person to cease and desist from such representation and shall take such other and further steps as may be appropriate to cause such representation to be discontinued.
NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 1704, Health and Safety Code.
HISTORY

1. New section filed 10-3-63; effective thirtieth day thereafter (Register 63, No. 17).
§10400.2. Bolen Test for Diagnosis of Cancer.
Note     •     History

(a) As used in this section, the Bolen test means the determination of malignancy by the clotting patterns of a drop of blood as described and defined in the report entitled REPORT, FINDINGS AND RECOMMENDATIONS of the CALIFORNIA CANCER ADVISORY COUNCIL to DIRECTOR, CALIFORNIA STATE DEPARTMENT OF PUBLIC HEALTH, 2151 Berkeley Way, Berkeley 4, California, with respect to the DIAGNOSIS OF CANCER WITH THE BOLEN TEST dated April 17, 1963.
(b) Except as otherwise provided in Section 1708 of the Health and Safety Code, the administration of the Bolen test or any substantially similar test for the diagnosis of cancer in any patient who has or who believes that he or she has or who may have cancer is prohibited.
(c) No person shall, for the purpose of administering the Bolen test make any representation that it has any value in diagnosing cancer.
NOTE

Authority cited: Sections 208 and 1704, Health and Safety Code. Reference, Section 1704, Health and Safety Code.
HISTORY

1. New section filed 10-3-63; effective thirtieth day thereafter (Register 63, No. 17).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10400.3. Koch Agents for Treatment of Cancer.
Note     •     History

(a) As used in this section, the Koch agents mean those agents described and defined in the report entitled REPORT, FINDINGS AND RECOMMENDATIONS of the CALIFORNIA CANCER ADVISORY COUNCIL to DIRECTOR, CALIFORNIA STATE DEPARTMENT OF PUBLIC HEALTH, 2151 Berkeley Way, Berkeley 4, California, with respect to THE TREATMENT OF CANCER WITH THE KOCH SYNTHETIC ANTITOXINS --(Malonide, Glyoxylide and Parabenzoquinone) dated April 17, 1963, which agents are commonly known as Malonide, Glyoxylide and Parabenzoquinone and are further commonly collectively known as the Koch agents.
(b) Except as otherwise provided in Section 1708 of the Health and Safety Code the prescription, administration, sale or other distribution of the three Koch agents, as defined in subsection (a) of this section, or any agents substantially similar thereto, whether singly or in any combination, or in any dosage or guise whatever, in the diagnosis, alleviation, treatment or cure of cancer, or for treatment of any patient who has or who believes that he or she has or who may have cancer is prohibited.
(c) No person shall, for the purpose of prescribing, administering, selling or otherwise distributing any or all of the Koch agents, make any representation that the Koch agents, whether singly or in any combination or in any guise whatever, have any value in arresting, alleviating, or curing cancer.
NOTE

Authority cited: Sections 208 and 1704, Health and Safety Code. Reference: Section 1704, Health and Safety Code.
HISTORY

1. New section filed 10-3-63; effective thirtieth day thereafter (Register 63, No. 17).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10400.4. Lincoln Staphage Lysate Agent for Treatment of Cancer.
Note     •     History

(a) As used in this section, Lincoln Staphage Lysate means that agent described and defined in the report entitled REPORT, FINDINGS AND RECOMMENDATIONS of the CALIFORNIA CANCER ADVISORY COUNCIL to DIRECTOR, CALIFORNIA STATE DEPARTMENT OF PUBLIC HEALTH, 2151 Berkeley Way, Berkeley 4, California, with respect to THE TREATMENT OF CANCER WITH LINCOLN STAPHAGE LYSATE, dated April 17, 1963, which agent consists of staphylococcus bacteriophage lysates, alpha and beta is commonly known as Lincoln Staphage Lysate.
(b) Except as otherwise provided in Section 1708 of the Health and Safety Code the prescription, administration, sale or other distribution of Lincoln Staphage Lysate, as defined in subsection (a) of this section, or any agent substantially similar thereto, in the diagnosis, alleviation, treatment or cure of cancer, or for the treatment of any patient who has or who believes that he or she has or who may have cancer is prohibited.
(c) No person shall, for the purpose of prescribing, administering, selling or otherwise distributing Lincoln Staphage Lysate, make any representation that it has any value in arresting, alleviating or curing cancer.
NOTE

Authority cited: Sections 208 and 1704, Health and Safety Code. Reference: Section 1704, Health and Safety Code.
HISTORY

1. New section filed 10-3-63; effective thirtieth day thereafter (Register 63, No. 17).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10400.5. Mucorhicin Agent for Treatment of Cancer.
Note     •     History

(a) As used in this section, Mucorhicin means that agent, consisting of a mold substrate containing generic forms of Mucor, Rhizopus and various strains of penicillium, as described and defined in the report entitled REPORT, FINDINGS, AND RECOMMENDATIONS of the CALIFORNIA CANCER ADVISORY COUNCIL to DIRECTOR, CALIFORNIA STATE DEPARTMENT OF PUBLIC HEALTH, 2151 Berkeley Way, Berkeley 4, California, with respect to THE TREATMENT OF CANCER WITH MUCORHICIN, dated April 17, 1963.
(b) Except as otherwise provided in Section 1708 of the Health and Safety Code the prescription, administration, sale or other distribution of Mucorhicin, as defined in subsection (a) of this section, or any agent substantially similar thereto, in any dosage or guise whatever, in the diagnosis, alleviation, treatment or cure of cancer, or for the treatment of any patient who has or who believes that he or she has or who may have cancer is prohibited.
(c) No person shall, for the purpose of prescribing, administering, selling or otherwise distributing Mucorhicin, make any representation that Mucorhicin in any dosage or in any guise whatever, has any value in arresting, alleviating or curing cancer. 
NOTE

Authority cited: Sections 208 and 1704, Health and Safety Code. Reference: Section 1704, Health and Safety Code.
HISTORY

1. New section filed 10-3-63; effective thirtieth day thereafter (Register 63, No. 17).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10400.6. Anthrone Test for Diagnosis of Cancer.
Note     •     History

(a) As used in this section, the Anthrone test means the determination of the presence or degree of malignancy by the purported determination of the 24 hour level of chorionic gonadotropin excretion in urine as such method is described and defined in the report entitled in part REPORT, FINDINGS AND RECOMMENDATIONS of the CALIFORNIA CANCER ADVISORY COUNCIL with respect to the DIAGNOSIS OF CANCER WITH THE ANTHRONE TEST dated August 17, 1964.
(b) Except as otherwise provided in Section 1708 of the Health and Safety Code, the use of the Anthrone test, as described in subsection (a) of this section, or any test substantially similar thereto for the diagnosis of cancer in any patient who has or who believes that he has or who may have cancer is prohibited.
(c) No person shall, for the purpose of using the Anthrone test in any guise whatever, make any representation that it has any value in diagnosing cancer.
NOTE

Authority cited: Sections 208 and 1704, Health and Safety Code. Reference: Section 1704, Health and Safety Code.
HISTORY

1. New section filed 7-28-65; effective thirtieth day thereafter (Register 65, No. 13).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10400.7. Krebiozen for Treatment of Cancer.
Note     •     History

(a) As used in this section Krebiozen means that agent described and defined in the report entitled REPORT, FINDINGS AND RECOMMENDATIONS OF THE CANCER ADVISORY COUNCIL with respect to THE TREATMENT OF CANCER WITH KREBIOZEN dated May 27, 1964 and the supplementary report of said Council dated September 12, 1967.
(b) Except as otherwise provided in Section 1708 of the Health and Safety Code, the prescription, administration, sale or other distribution of Krebiozen, as defined in subsection (a) of this section, or any substantially similar agent, drug, medicine, compound or device to any patient who has or who believes he or she has or who may have cancer is prohibited.
(c) No person shall, for the purpose of prescribing, administering, selling or otherwise distributing Krebiozen, make any representation that said agent has any value in arresting, alleviating or curing cancer.
NOTE

Authority cited: Sections 208 and 1704, Health and Safety Code. Reference: Section 1704, Health and Safety Code.
HISTORY

1. New section filed 10-27-67; effective thirtieth day thereafter (Register 67, No. 43).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10401. Drugs for Use in the Diagnosis, Treatment, Alleviation or Cure of Cancer in Human Beings.
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 1704(a), Health and Safety Code. Reference: Sections 1707.1-1707.7, Health and Safety Code.
HISTORY

1. New section filed 3-8-68 as an emergency; effective upon filing (Register 68, No. 10).
2. Amendment filed 4-3-68 as an emergency; effective upon filing. Certificate of Compliance included (Register 68, No. 14).
3. Amendment of 1st paragraph filed 6-24-68; effective thirtieth day thereafter (Register 68, No. 24).
4. Amendment of 1st paragraph filed 3-19-70; effective thirtieth day thereafter (Register 70, No. 12).
5. Repealer filed 12-1785; effective thirtieth day thereafter (Register 85, No. 51).
§10401.1. Investigation of Various Agents for the Diagnosis or Treatment of Cancer.
Note     •     History

Experts wishing to investigate the value of drugs, medicines, compounds or devices in the diagnosis or treatment of cancer under the exemption provisions of Section 1708 of the Health and Safety Code shall provide the following information, in 20 copies, to the Department for approval prior to initiating the investigation.
(a) A sample of the labeling of the drug, medicine, compound or device which shall include the name, quantity, lot number of the agent and name of manufacturer and also a statement “Caution: New drug (or medicine or compound or device). Use in the diagnosis, treatment, alleviation or cure of cancer limited by law to investigational use.”
(b) If the animal testing required by subsection (b) of 1708 has been done by or under the auspices of a person other than the applicant and the latter wishes to use the results of such testing as a part of his request for approval of the investigation, a signed authorization for use of the results from the person or persons responsible for such testing shall be provided.
(c) The written statement signed by the expert shall show what facilities the expert will use for the investigation to be conducted by him; that the drug, medicine, compound or device will be used solely by him or under his direction for the investigation; and shall contain information identifying any assistant or agent of the expert who uses the drug, medicine, compound or device under the direction of the expert. It shall also include a study plan for the investigation to show that a significant number of cases and controls are to be studied, the duration of the study and all other details of the plan; a sworn statement that the agent is to be used solely for investigational purposes without compensation or profit; and a detailed outline of the training and experience of the expert, this latter requirement being met by submission of a curriculum vitae and a list of publications. Criteria for evaluation of effect shall be those adopted by the Cancer Advisory Council on April 12, 1967.
(d) A copy of the consent form required by subsection (f) of 1708. 
(e) An acknowledgment that complete records will be kept.
NOTE

Authority cited: Sections 208 and 1704(a), Health and Safety Code. Reference: Sections 1707.1 through 1707.5, Health and Safety Code.
HISTORY

1. New section filed 7-30-69; effective thirtieth day thereafter (Register 69, No. 31).
2. Amendment of first paragraph filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10401.2. American Board of Oncology.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 1708.5, Health and Safety Code (Chapter 1130, Statutes of 1980).
HISTORY

1. New section filed 2-11-81 as an emergency; effective upon filing (Register 81, No. 7).
2. Order of Repeal of 2-11-81 emergency order filed 2-11-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 7).
§10405. Directions for Use--Exemptions Thereto.
Note     •     History

(a) Adequate Directions for Use. “Adequate directions for use” means directions under which a layperson can use drug or device safely and for the purposes for which it is intended. Directions for use may be inadequate because (among other reasons) of omission, in whole or in part, or incorrect specification of:
(1) Statements of all conditions, purposes, or uses for which such drug or device is intended, including conditions, purposes, or uses for which it is prescribed, recommended, or suggested in its oral, written, printed, or graphic advertising, and conditions, purposes, or uses for which the drug or device is commonly used; except that such statements shall not refer to conditions, uses, or purposes for which the drug or device can be safely used only under the supervision of a practitioner licensed by law and for which it is advertised solely to such practitioner.
(2) Quantity of dose (including usual quantities for each of the uses for which it is intended and usual quantities for persons of different ages and different physical conditions).
(3) Frequency of administration or application.
(4) Duration of administration or application.
(5) Time of administration or application (in relation to time of meals, time of onset of symptoms, or other time factors).
(6) Route or method of administration or application.
(7) Preparation for use (shaking, dilution, adjustment of temperature, or other manipulation or process).
(8) Methods of application or use.
(b) Exemptions From Directions for Use. Drugs and devices subject to Section 26638 of the code, shall be exempt from the requirements under the following conditions:
(1) Exemptions for Drugs and Devices Shipped Directly to Licensed Practitioners, Hospitals, Clinics, or Public Health Agencies for Professional Use. Except as provided in subparagraph (3) of paragraph (b) of this section, a drug or device shipped directly to or in the possession of a practitioner licensed by law to administer the drug or to use or direct the use of the device, or shipped directly to or in the possession of a hospital, clinic, or public health agency, for use in the course of the professional practice of such a licensed practitioner, shall be exempt from Section 26638 of the code if its meets the conditions of Section 10410 (b) and (c), Section 10415 (a) (2) and (3) or Section 10415 (b) (2) and (3) of these regulations.
(2) Retail Exemption for Veterinary Drugs and Prescription Devices. A drug or device subject to Section 10410 or Section 10415 (b) of these regulations shall be exempt at the time of delivery to the ultimate purchaser or user from Section 26638 of the code if it is delivered by a licensed practitioner in the course of the practitioner's professional practice or upon a prescription or other order lawfully issued in the course of his professional practice, with labeling bearing the name and address of such licensed practitioner and the directions for use and cautionary statements, if any, contained in such order.
(3) Exemption for New Drugs or Devices. A new drug or device shall be exempt from Section 26638 of the code:
(A) To the extent to which such exemption is claimed in an effective application with respect to such drug or device under Section 26670 of the code; or
(B) If no application under Section 26670 of the code is effective with respect to such drug but it complies with Section 26679 of the code and Section 10440 of the regulations thereunder. No exemptions shall apply to any other drug or device which would be a new drug or device if its labeling bore representation for its intended uses.
(4) Exemption for Drugs or Devices When Directions Are Commonly Known. A drug or device shall be exempt from Section 26638 of the code insofar as adequate directions for common uses thereof are known to the ordinary individual.
(5) Exemptions for Inactive Ingredients. A harmless drug that is ordinarily used as an inactive ingredient, such as a coloring, emulsifier, excipient, flavoring, lubricant, preservative, or solvent, in the preparation of other drugs shall be exempt from Section 26638 of the code. This exemption shall not apply to any substance intended for a use which results in the preparation of a new drug, unless an effective new drug application provides for such use.
(6) Exemption for Diagnostic Reagents. A product intended for use in the diagnosis of disease and which is an in vitro diagnostic product shall be exempt from Section 26638 of the code if it meets the requirements of Section 809.10 of Title 21 of the Code of Federal Regulations.
(7) Exemption for Prescription Chemicals and Other Prescription Components. For use by registered pharmacists in compounding prescriptions or for dispensing in dosage unit form upon prescriptions shall be exempt from Section 26638 of the code if all the following conditions are met:
(A) The drug is an official liquid acid or official liquid alkali, or is not a liquid solution, emulsion, suspension, tablet, capsule, or other dosage unit form; and
(B) The label of the drug bears:
1. The statement “For prescription compounding”; and
2. If in substantially all dosage forms in which it may be dispensed it is subject to Section 26662 of the code, the statement “Caution: Federal law prohibits dispensing without prescription,” or “Caution: Not to be dispensed without a prescription”; or,
3. If it is not subject to Section 26662 of the code and is by custom among retail pharmacists sold in or from the intrastate package for use by consumers, “Adequate directions for use” in the conditions for which it is so sold. Provided, however, that the information referred to in subdivision 3 of this subparagraph may be contained in the labeling on or within the package from which it is to be dispensed.
(C) This exemption shall not apply to any substance intended for use in compounding which results in a new drug, unless an effective new drug application covers such use of the drug in compounding prescriptions.
(8) Exemption for Processing, Repacking, or Manufacture. A drug in a bulk package (except tablets, capsules, or other dosage unit forms) or a device intended for processing, repacking, or use in the manufacture of another drug or device shall be exempt from Section 26638 of the code if its label bears the statement “Caution: For manufacturing, processing, or repacking”; and, if in substantially all dosage forms in which it may be dispensed it is subject to Section 26662, the statement “Caution: Federal law prohibits dispensing without prescription,” or “Caution: Not to be dispensed without a prescription.” This exemption and the exemption under paragraph (7) of this section may be claimed for the same article. But the exemption shall not apply to a substance, material, or device intended for use in manufacture, processing, or repacking which causes the finished article to be a new drug, unless:
(A) An effective new drug application held by the person preparing the dosage form or drug for dispensing covers the production and delivery to that person of such substance; or
(B) If no application is effective with respect to such new drug, the label statement “Caution: For manufacturing, processing, or repacking” is immediately supplemented by the words “in the preparation of a new drug limited by state law to investigational use,” and the delivery is made for use only in the manufacture of such new drug limited to investigational use as provided in Section 10560 of these regulations.
(9) Exemption for Drugs and Devices for Use in Teaching, Research, and Analysis. A drug or device subject to Sections 10410 and 10415 (a) and (b) of these regulations shall be exempt from Section 26638 of the code if shipped or sold to, or in the possession of, persons regularly and lawfully engaged in instruction in pharmacy, chemistry, or medicine not involving clinical use, or engaged in law enforcement, or research not involving clinical use, or in clinical analysis, or physical testing, and is to be used only for such instruction, law enforcement, research, analysis, or testing.
(10) Expiration of Exemptions.
(A) If a shipment or delivery or any part thereof, of a drug or device which is exempt under the regulations in this section is made to a person in whose possession the article is not exempt or is made for any purpose other than those specified, such exemption shall expire, with respect to such shipment or delivery or part thereof, at the beginning of that shipment or delivery. The causing of an exemption to expire shall be considered an act which results in such drug or device being misbranded unless it is disposed of under circumstances in which it ceases to be a drug or device.
(B) The exemptions conferred by paragraphs (5), (6), (7), (8), and (9) of this section shall continue until the drugs or devices are used, for the purposes for which they are exempted, or until they are relabeled to comply with Section 26638 of the code. If, however, the drug is converted, compounded, or manufactured into a dosage form limited to prescription dispensing, no exemption shall thereafter apply to the article unless the dosage form is labeled as required by Section 26662 of the code and Sections 10410 and 10415 (a) and (b) of these regulations.
(c) Intended Uses. The words “intended uses” or words of similar import in paragraphs (a) and (b) of this section refer to the objective intent of the persons legally responsible for the labeling of drugs and devices. The intent is determined by such persons' expressions or may be shown by the circumstances surrounding the distribution of the article. This objective intent may, for example, be shown by labeling claims, advertising matter, or oral or written statements by such persons or their representatives. It may be shown by the circumstances that the article is, with the knowledge of such persons or their representative, offered and used for a purpose for which it is neither labeled nor advertised. The intended uses of an article may change after it has been introduced into intrastate commerce by its manufacturer. If, for example, a packer, distributor, or seller intends an article for different uses than those intended by the person from whom the packer distributor, or seller received the drug, such packer, distributor, or seller is required to supply adequate labeling in accordance with the new intended uses. But if a manufacturer knows, or has knowledge of facts that would give one notice, that a drug or device introduced into intrastate commerce by said manufacturer is to be used for conditions, purposes or uses other than the ones for which it is offered, the manufacturer is required to provide adequate labeling for such a drug which accords with such other uses to which the article is to be put.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26638 and 26662, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Amendment filed 6-27-60; effective 30th day thereafter (Register 60, No. 15).
3. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10409. Prescription Ophthalmic Devices.
Note     •     History

The quality standards for prescription ophthalmic devices shall be the 1972 standards of the American National Standards Institute Z80.1 and Z80.2.
NOTE

Authority cited: Section 2541.3, Business and Professions Code; and Section 208, Health and Safety Code. Reference: Section 2541.3, Business and Professions Code.
HISTORY

1. New section filed 10-8-76; effective thirtieth day thereafter (Register 76, No. 41).
2. Editorial correction of NOTE filed 8-22-84 (Register 84, No. 34).
§10410. Exemption for Prescription Devices.
Note     •     History

A device which, because of any potentiality for harmful effect, or the method of its use, or the collateral measures necessary to its use, is not safe except under the supervision of a practitioner licensed by law to direct the use of such device, and hence for which “adequate directions for use” cannot be prepared, shall be exempt from Section 26638 of the code if all the following conditions are met:
(a) The device is in the possession of a person (or agents or employees of the person) regularly and lawfully engaged in the manufacture, transportation, storage, or wholesale or retail distribution of such device and is to be sold only to or on the prescription or other order of such practitioner for use in the course of the practitioner's professional practice.
(b) The label of the device (other than surgical instruments) bears:
(1) The statement “Caution: Federal law restricts this device to sale by or on the order of a ________,” or “Caution sale of this device is restricted to sale by or on the order of a ________.” The blanks to be filled with the word “physician,” “dentist,” “veterinarian,” or with the descriptive designation of any other practitioner licensed by the law of the State of California; and
(2) The method of its application or use.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26638 and 26643, Health and Safety Code.
HISTORY

1. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10415. Exemption for Prescription Drugs and Veterinary Drugs.
Note     •     History

(a) Exemption for Prescription Drugs. A drug subject to the requirements of Section 26660 of the code, shall be exempt from Section 26638 if all the following conditions are met:
(1) The drug is:
(A) In the possession of a person (or agents or employees of the person) regularly and lawfully engaged in the manufacture, transportation, storage, or wholesale distribution of prescription drugs; or
(B) In the possession of a pharmacy or a public health agency, regularly and lawfully engaged in dispensing prescription drugs; and is to be dispensed in accordance with Section 26662.
(2) The label of the drug bears:
(A) The statement “Caution: Federal law prohibits dispensing without prescription,” or “Caution: Not to be dispensed without a prescription”; and
(B) The recommended or usual dosage; and
(C) The route of administration, if it is not for oral use; and
(D) If it is fabricated from two or more ingredients and is not designated conspicuously by a name recognized in an official compendium the quantity or proportion of each active ingredient and if it is not for oral use the names of all other ingredients. Provided, however, that the information referred to in subdivisions (B), (C), and (D) of this subparagraph may be contained in the labeling on or within the package from which it is to be dispensed, and, in the case of ampuls, too small or otherwise unable to accommodate a label but which are packaged in a container from which they are withdrawn for dispensing or use, the information referred to in subdivision (A) of this subparagraph may be placed on the outside container only.
(3) The labeling of the drug (which may include brochures readily available to licensed practitioners) bears information as to the use of the drug by practitioners licensed by law to administer it: provided, however, that such information may be omitted from the labeling if it is contained in scientific literature widely disseminated among practitioners licensed by law to administer the drug.
(b) Exemption for Veterinary Drugs. A drug intended solely for veterinary use which, because of toxicity or other potentiality for harmful effect, or the method of its use, is not safe for animal use except under the supervision of a licensed veterinarian, and hence for which “adequate directions for use” cannot be prepared, shall be exempt from Section 26638 of the code if all the following conditions are met:
(1) The drug is in the possession of a person (or agents or employees of the person) regularly and lawfully engaged in the manufacture, transportation, storage, or wholesale or retail distribution of veterinary drugs and is to be sold only to or on the prescription or other order of a licensed veterinarian for use in the course of the veterinarian's professional practice.
(2) The label of a drug bears:
(A) The statement “Caution: Federal law restricts this drug to sale by or on the order of a licensed veterinarian,” or “Caution: To be sold only by or on the order of a licensed veterinarian”; and 
(B) The recommended or usual dosage; and
(C) The route of administration if it is not for oral use; and
(D) The quantity or proportion of each active ingredient if it is fabricated from two or more ingredients and is not designated conspicuously by a name recognized in an official compendium. Provided, however, that the information referred to in subdivisions (B), (C), and (D) of this subparagraph may be contained in the labeling on or within the package from which it is to be dispensed.
(3) The labeling of the drug (which may include brochures readily available to licensed veterinarians) bears information as to use of the drug by licensed veterinarians; provided, however, that such information may be omitted from the labeling if it is contained in scientific literature widely disseminated among veterinarians licensed by law to administer such drug.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26660 and 26662, Health and Safety Code.
HISTORY

1. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10416. Exemptions for Drugs Dispensed by Licensed Practitioners.
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 26202, Health and Safety Code.
HISTORY

1. New section filed 8-2-72; effective thirtieth day thereafter (Register 72, No. 32).
2. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10417. Formulary of Inequivalent Generic Drug Types and Drug Products for Which Substitution Poses a Threat to Health and Safety.
Note     •     History

(a) The generic drug types or drug products listed in the formulary below have been determined, pursuant to Business and Professions Code Section 4047.7, to have demonstrated clinically significant biological or therapeutic inequivalence and which, if substituted in accordance with Business and Professions Code Section 4047.6, would pose a threat to the health and safety of patients receiving such medications. 
FORMULARY
(1) Generic Drug Types
(2) Drug Products
(b) Any person requesting the inclusion, addition, or deletion of any generic drug type or drug product to the formulary shall submit such request to the Department of Health Services in accordance with the following:
(1) Submissions supporting the inclusion, addition, or deletion of any generic drug type or drug product to the formulary shall consist of evidence of adequate and well-controlled investigations, including clinical investigations, by experts qualified by scientific training and experience, on the basis of which it could be fairly and responsibly determined by the Director that a generic drug type or drug product demonstrates, or does not demonstrate, clinically significant biological or therapeutic inequivalence and which, if substituted for another drug product under the provisions of Section 4047.6 of the Business and Professions Code would pose a threat to the health and safety of patients receiving prescription medication.
(2) Submissions shall adequately identify all drug products involved by name of manufacturer, lot number(s), and dosage form(s) and should demonstrate the condition(s) of use (e.g., duration, frequency, etc.) of any such drug product where substitution poses a threat to the health and safety of the patient.
(3) Submissions shall be made in triplicate to Food and Drug Branch, Department of Health Services, Sacramento, CA 95814.
(4) Any information submitted shall be considered to be public information.
NOTE

Authority cited: Section 4047.7, Business and Professions Code. Reference: Sections 4047.6 and 4047.7, Business and Professions Code.
HISTORY

1. New section filed 5-14-76 as an emergency; effective upon filing (Register 76, No. 20).
2. Certificate of Compliance filed 9-8-76 (Register 76, No. 37).
3. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10420. Label Requirements (26254).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
NEW DRUGS
§10425. Applications.
Note     •     History

(a) Each new drug application submitted for filing with the Department shall be in duplicate. If any part of the application is in a foreign language, an accurate and complete English translation shall be appended to that part.
(b) An application shall not be accepted for filing if only one copy is submitted or if it is incomplete on its face in that:
(1) It does not contain all the matter required by clauses (1), (2), (3), (4) and (6), of Section 26670 of the code.
(2) It does not state the conditions under which the drug or device is to be used; or
(3) The specimen of labeling proposed for use upon or within the retail package does not expressly or by reference to a brochure or other printed matter prescribe, recommend, or suggest the use of the drug or device under such conditions.
(c) The date on which an application is received by the Department shall be considered to be the date on which the application is filed, and the Department shall notify the applicant of such date. If the applicant withdraws the application, it shall be considered as not having been filed.
(d) The applicant may file an amendment to an application which has been filed and is pending before the Department, but in that case the unamended application shall be considered as having been withdrawn and the amended application shall be considered as having been filed on the date on which the amendment is received by the Department. The Department shall notify the applicant of such date.
(e) After an application has become effective with respect to a drug or device the applicant may file a supplemental application with respect thereto setting forth any proposed change in the conditions under which the drug or device is to be used in the labeling thereof, in any circumstance relating to its production, or in any other information contained in the effective application. Such supplemental application may omit statements in the effective application concerning which no change is proposed.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26670, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Amendment filed 6-27-60; effective 30th day thereafter (Register 60, No. 15).
3. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10430. Notification of Applicant (26289).
History

HISTORY

1. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10435. Insufficient Information in Application (26290).
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Amendment filed 6-27-60; effective 30th day thereafter (Register 60, No. 15).
3. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10437. Suspension of Effective Application (26290.5).
History

HISTORY

1. New section filed 6-27-60; effective 30th day thereafter (Register 60, No. 15).
2. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10438. Untrue Statements in Applications (26290) (e) and 26290.5 (2).
History

HISTORY

1. New section filed 6-27-60; effective 30th day thereafter (Register 60, No. 15).
2. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10440. Exemptions from Section 26670.
Note     •     History

A shipment or other delivery of a new drug or device is exempt from the operation of Section 26670 of the code if:
(a) The exemption is claimed pursuant to Section 26679 of the code, and
(b) The conditions of Title 21, Code of Federal Regulations, Part 312 are satisfied for drugs or the conditions of Title 21, Code of Federal Regulations, Part 812 are satisfied for devices, or the conditions of Title 21, Code of Federal Regulations, Part 813 are satisfied for devices which are intraocular lenses.
NOTE

Authority cited: Sections 208, 26202 and 26679, Health and Safety Code. Reference: Section 26679(e), Health and Safety Code.
HISTORY

1. Amendment filed 6-27-60; effective thirtieth day thereafter (Register 60, No. 15).
2. Amendment filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10445. Exemptions from Section 26288 of the Code (26292 (2) (3)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10446. Exemptions for Dental Laboratories.
Note     •     History

(a) Dental laboratories which manufacture dental prostheses shall be exempt from the licensing provisions of Section 26685 of the Health and Safety Code until such time that the health hazards, if any, have been identified and effective procedures for their prevention have been established by the Department after consultation with the California State Board of Dental Examiners, the dental profession and the dental laboratory industry.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26693(g), Health and Safety Code.
HISTORY

1. New section filed 6-12-70; effective thirtieth day thereafter (Register 70, No. 24).
2. Editorial correction filed 8-22-84 (Register 84, No. 34).
§10450. Form of Guaranty (26297).
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10455. Expiration of Guaranty (26301).
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Repealer filed 12-17-85; effective thirtieth day thereafter (Register 85, No. 51).
§10460. Presentation (26341).
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
Article 3. Food Regulations
§10750. Label Requirements for Foods and Dietary Supplements.
Note     •     History

(a) Any food or dietary supplement, as defined in Title 17, California Code of Regulations, Division 1, section 10200, that contains any amount of a substance listed in Table 10750 A shall comply with the following:
(1) The label of foods and dietary supplements that have a total surface area available to bear labeling of 12 square inches or more shall bear the following notice in the manner prescribed in paragraph (a)(2) of this section:
NOTICE: This product contains (name of substance(s) and common name(s) if different). Read and follow directions carefully. Do not use if you have or develop diarrhea, loose stools, or abdominal pain because (insert common name) may worsen these conditions and be harmful to your health. Consult your physician if you have frequent diarrhea or if you are pregnant, nursing, taking medication, or have a medical condition.
(2) The notice required by paragraph (a)(1) of this section shall:
(A) Be enclosed by a 0.5 point box rule with 2.5 points of space around the notice,
(B) Utilize at least one point leading,
(C) Have a type that is kerned so the letters do not touch,
(D) Be all black or one color type, printed on a white or other neutral contrasting background,
(E) Utilize single easy to read type style such as Helvetica Regular and upper and lower case letters,
(F) Be in type size no smaller than 8 point,
(G) The word “NOTICE” shall be in all upper case letters, and
(H) The sentence “Do not use if you have or develop diarrhea, loose stools, or abdominal pain because (insert common name) may worsen these conditions and be harmful to your health.” shall be underlined and highlighted by bold or extra bold type, such as Helvetica Black.
(3) Foods and dietary supplements in small packages that have a total surface area available to bear labeling of less than 12 square inches shall include the notice required by paragraph (a)(1) in the format specified in (a)(2) in a package insert or a tag attached to the package and bear the following label notice in the manner prescribed in paragraph (a)(4) of this section:
NOTICE: Do not use if you have or develop diarrhea, loose stools, or abdominal pain because (insert common name) may worsen these conditions and be harmful to your health. See package insert (or attached tag) for additional information.
(4) The notice required by paragraph (a)(3) of this section shall:
(A) Be enclosed by a 0.5 point box rule with 2.5 points of space around the notice,
(B) Utilize at least one point leading,
(C) Have a type that is kerned so the letters do not touch,
(D) Be all black or one color type, printed on a white or other neutral contrasting background,
(E) Utilize single easy to read type style as Helvetica Regular and upper and lower case letters,
(F) Be in type size no smaller than 6 point,
(G) The word “NOTICE” shall be in all upper case letters, and
(H) The sentence “Do not use if you have or develop diarrhea, loose stools, or abdominal pain because (insert common name) may worsen these conditions and be harmful to your health.” shall be underlined and highlighted by bold or extra bold type, such as Helvetica Black.
(b) This section does not apply to foods and dietary supplements containing the leaf gel or leaf juice of aloe (Aloe ferox Mill. or Aloe vera (L.) N.L. Burm.) or concentrations thereof, providing that the food or dietary supplement does not contain another substance listed in Table 10750 A.

Table 10750 A-Listed Substances

Common Name	Plant Part	Botanical Name

aloe also known as	latex	Aloe ferox Mill.
cape aloe

aloe also known as	latex	Aloe vera (L.) N.L.Burm., 
aloe vera		also known as Aloe 
		barbadensis Mill. or Aloe
		vulgaris Lamk.

buckthorn	berry	Rhamnus catharticus L.

cascara also known as	bark	Rhamnus purshianus DC.
cascara sagrada		also known as Rhamnus
		purshiana DC. or Frangula
		purshiana (DC.) JG Cooper

frangula also known as	bark	Rhamnus frangula L. also
buckthorn		known as Frangula alnus
 		Mill.

rhubarb root also known as	root	Rheum officinale Baill.,
as Chinese rhubarb		Rheum palmatum L., Rheum
		rhaponticum L., or Rheum
		tanguticum, Maxim. ex
 		Balf.

senna also known as 	leaf	Senna alexandrina P. Mill.
Alexandria senna or	or pod	also known as Cassia senna
Tinnevelly senna		L., Cassia angustifolia 
		Vahl. Cassia acutifolia 
		Del., or Senna 
		angustifolia (Vahl) Batka

senna also known as	leaf	Senna obtusifolia (L.) Irwin
sicklepod senna	or pod	and Barneby also known as
		Cassia obtusifolia (L.)

senna	leaf	Senna tora (L.) Roxb. also
	or pod	known as Cassia tora (L.)
NOTE

Authority cited: Sections 100275, 110065 and 110100, Health and Safety Code. Reference: Sections 110175, 110290, 110660, 110705, 110760, 110765 and 110770, Health and Safety Code.
HISTORY

1. New section filed 10-15-96; operative 1-1-97 (Register 96, No. 42). A Certificate of Compliance must be transmitted to OAL by 5-1-97 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 78. No. 35.
2. Editorial correction of subsection (b) and Table 10750 A (Register 97, No. 18).
3. New section refiled 4-29-97 as an emergency; operative 5-2-97 (Register 97, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-2-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-29-97 order, including amendments, transmitted to OAL 8-28-97 and filed 10-9-97 with changes in label “Notice” effective 3-1-98 (Register 97, No. 41).
5. Editorial correction of subsection (a)(2)(E) and Table (Register 98, No. 9).
§10755. Truth of Labeling (26456).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
ADULTERATION
§10760. Metal Coated Dragees and Ornaments (26470 (2)).
History

HISTORY

1. Repealer filed 9-2-78; effective thirtieth day thereafter (Register 78, No. 35).
§10765. Toxic Substances--Use of (26470 (2)).
History

HISTORY

1. Repealer filed 9-2-78; effective thirtieth day thereafter (Register 78, No. 35).
§10770. Secondhand Use of Barrels.
Note     •     History

(a) No wooden barrel or keg that has ever been used as a container for other than food products may be re-used for the storage and/or conveyance of any food product.
(b) Barrels or kegs that have been used as containers for food products may be re-used for storage and/or conveyance of other food products. Provided: they are thoroughly cleaned and are in a sanitary condition at the time of re-use.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26524, Health and Safety Code.
HISTORY

1. Editorial correction of section heading and new NOTE filed 8-22-84 (Register 84, No. 34).
§10775. Custard Fillings for Pastry (26470 (4)).
History

HISTORY

1. Repealer filed 6-23-72; effective thirtieth day thereafter (Register 72, No. 26).
§10780. Containers, Cadmium Plated (26470 (6)).
History

HISTORY

1. Repealer filed 9-2-78; effective thirtieth day thereafter (Register 78, No. 35).
§10785. Packing Materials (26470 (6)).
History

HISTORY

1. Repealer filed 9-2-78; effective thirtieth day thereafter (Register 78, No. 35).
§10786. Apricot Kernels.
Note     •     History

(a) Apricot kernels sold or distributed into food channels are misbranded unless the package or container is conspicuously labeled: “Apricot kernels may be toxic; very low quantities may cause reactions.”
(b) Subsection (a) does not apply to:
(1) Firms selling bulk apricot kernels for processing into macaroon paste or marzipan where the firms furnish to the Department upon its request, documentation acceptable to the Department, of its intended use as macaroon paste or marzipan, and the apricot kernels are clearly labeled:
“Not suitable for food use without further processing.”
(2) Fresh apricots or to apricot kernels added to canned apricots as an optional flavor agent.
NOTE

Authority cited: Section 26202, Health and Safety Code. Reference: Sections 26400 and 26520, Health and Safety Code.
HISTORY

1. New section filed 6-23-77; effective thirtieth day thereafter (Register 77, No. 26).
2. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§10790. Candy, Trinkets in, Prohibited (26472 (b)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10795. Blending and Dilution of Certified Coal Tar Colors (26472 (c)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16. 
LABELING, MISBRANDING
§10800. Labeling, Misbranding (26490 (1)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10805. Required Statements, When Exempt (26491).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§10810. Prominence of Required Statements (26492).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§10815. Prepackaged Candy and Cookies, Retail Sale of Food from Bulk Containers (Label Exemptions) (26492).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10820. Exemption upon Proper Labeling.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10825. Conformity to Definitions and Standards of Identity (26493).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10826. Temporary Permits for Intrastate Shipment of Experimental Packs of Food Varying from the Requirements of Definitions and Standards of Identity.
Note     •     History

(a) To obtain a temporary permit for intrastate shipment of experimental packs of food varying from the requirements of definitions and standards of identity, a person shall file with the Department a written application in triplicate containing the following:
(1) Name and address of the applicant.
(2) A statement of whether or not the applicant is regularly engaged in producing the food involved.
(3) A reference to the applicable definition and standard of identity (citing applicable section of regulations).
(4) A full description of the proposed variation from the standard.
(5) The basis upon which the food so varying is believed to be wholesome and nondeleterious.
(6) The amount of any new ingredient to be added; the amount of any ingredient, required by the standard, to be eliminated; any change of concentration not contemplated by the standard; or any change in name that would more appropriately describe the new product under test. If such new ingredient is not a commonly known food ingredient, a description of its properties and basis for concluding that it is not a deleterious substance.
(7) The purpose of effecting the variation.
(8) A statement of how the variation is of potential advantage to consumers.
(9) The labeling proposed to be used for the food so varying.
(10) The period during which the applicant desires to introduce such foods into intrastate commerce, with a statement of the reasons supporting the need for such period.
(11) The probable amount of such food that will be distributed.
(12) The areas of distribution.
(13) The address at which such food will be manufactured.
(b) The applicant for a permit described in (a) shall provide the Department, upon request, with samples of the food varying from the standard and any additional information deemed necessary by the Department.
(c) If the Department concludes that the variation may be advantageous to consumers and will not result in failure of the food to conform to any provision of the act except Section 26556, a permit shall be issued to the applicant for intrastate shipment of such food. The terms and conditions of the permit shall be those set forth in the application with such modifications, restrictions, or qualifications as the Department may deem necessary and state in the permit.
(d) The terms and conditions of the permit may be modified at the discretion of the Department or upon application of the permittee during the effective period of the permit.
(e) The Department may revoke a permit for cause, which shall include but not be limited to the following:
(1) That the permittee has introduced a food into intrastate commerce contrary to the terms and conditions of the permit.
(2) That the application for a permit contains an untrue statement of a material fact.
(3) That the need therefor no longer exists.
(f) During the period within which any permit is effective, it shall be deemed to be included within the terms of any guaranty or undertaking otherwise effective pursuant to the provisions of Section 26300 of the act.
(g) If an application is made for an extension of the permit, it shall be accompanied by a description of experiments conducted under the permit, tentative conclusions reached, and reasons why further experimental shipments are considered necessary.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26513, Health and Safety Code.
HISTORY

1. New section filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Amendment filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§10830. Designation of Ingredients (26495).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§10835. Listing Ingredients in Order of Predominance (26495 (2)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10840. Dietary Food Labeling (26496 (1)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 60, No. 15.
§10841. Label Statements Relating to Emergency Food Packs.
Note     •     History

NOTE

Authority cited: Sections 102 and 208, Health and Safety Code. Reference: Section 26467, Health and Safety Code.
HISTORY

1. New section filed 11-22-61; effective thirtieth day thereafter (Register 61, No. 23).
2. Repealer filed 9-24-85; effective thirtieth day thereafter (Register 85, No. 39).
§10842. Saccharin Warning Labeling.
Note     •     History

(a) The saccharin warning labeling requirements of the Federal Saccharin Study and Labeling Act, Public Law 95-203, 1977, and the compliance guidelines promulgated under authority of that act, shall be applicable to all saccharin containing products in intrastate commerce in this State.
(b) These labeling requirements and guidelines shall apply only to products introduced into intrastate commerce after the effective date of this section.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26206, Health and Safety Code.
HISTORY

1. New section filed 6-15-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Editorial correction of NOTE filed 8-22-84 (Register 84, No. 34).
§10845. Artificial Flavoring or Coloring, Chemical Preservatives (26496 (2)).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10850. Form of Guaranty (26521).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10855. Expiration of Guaranty (26525).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10860. Exemptions from Labeling Requirements (26542).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§10862. Adoption of Federal Requirements.
Note     •     History

Subchapter B, Title 21, Code of Federal Regulations and amendments thereto shall be included as the requirements of this Department.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26203, 26205-26209, 26438, 26510 and 26559, Health and Safety Code.
HISTORY

1. New section filed 7-12-78; effective thirtieth day thereafter (Register 78, No. 28).
2. Editorial correction of NOTE filed 8-22-84 (Register 84, No. 34).
§10865. Presentation (26565).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
Article 3.1. Food Additives Regulations
HISTORY

1. Repealer of Article 3.1 (Sections 11000.1 through 11025.1, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 62, No. 15.
Article 3.5. Foods Under Agricultural Code Regulations
HISTORY

1. Repealer of Article 3.5 (Sections 11350 through 11367, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 66, No. 20; and 67, Nos. 20, 40, 43, 46 and 48.
Article 3.6. Poultry Meat and Poultry Products
§11375. Sources of Poultry Meat.
Note     •     History

NOTE

Authority cited: Section 26540, Health and Safety Code. Reference: Sections 26540 and 26541, Health and Safety Code.
HISTORY

1. New Article 3.6 (Sections 11375 through 11378) filed 6-24-68; effective thirtieth day thereafter (Register 68, No. 24).
2. Editorial correction renumbering former Section 11375 to new Section 19043 filed 4-13-84 (Register 84, No. 15).
§11376. Conditions for Use.
Note     •     History

NOTE

Authority cited: Sections 208, 27010 and 27040, Health and Safety Code. Reference: Sections 27010 and 27040, Health and Safety Code.
HISTORY

1. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§11377. Methods for Treating.
Note     •     History

NOTE

Authority cited: Sections 208, 27010 and 27040, Health and Safety Code. Reference: Sections 27010 and 27040, Health and Safety Code.
HISTORY

1. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§11378. Disposal of Unfit Poultry Meats.
Note     •     History

NOTE

Authority cited: Sections 208, 27010 and 27040, Health and Safety Code. Reference: Sections 27010 and 27040, Health and Safety Code.
HISTORY

1. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
Article 3.7. Raw Milk and Raw Milk Products
§11380. Required Health Warning on Labels of Raw Milk and Raw Milk Products.
Note     •     History

(a) Raw Milk and raw milk products shall bear the following warning on the principal display panel or panels of the label:

WARNING
Raw (unpasturized) milk and raw milk dairy products may contain disease-causing micro-organisms. Persons at highest risk of disease from these organisms include newborns and infants; the elderly; pregnant women; those taking corticosteroids, antibiotics or antacids; and those having chronic illnesses or other conditions that weaken their immunity.
(b) The warning shall appear within a heavy borderline in a color sharply contrasting to that of the background. The signal word “WARNING” shall appear in capital letters of ten point type or greater. The remaining text of the warning shall be printed in capital letters of six point type or greater. All characters in the warning message shall be in a sans serif type style.
(c) For purposes of this section, the following definitions shall apply:
(1) “[R]aw” means unpasteurized;
(2) “[R]aw milk product” means any food which contains raw milk, and shall include, but not be limited to, cheese (except when ripened or cured at least 60 days pursuant to sections 37975 and 38001 of the Food and Agricultural Code), cream, butter and kefir.
(d) Raw milk or raw milk products packaged in recyclable glass containers which are sold only at the location where the raw milk or raw milk product is produced (including containers which are delivered directly from the point of production to a retail customer by agents or employees of the production facility), and which have a principal display panel only on the container cap, may instead have attached to the container a tag containing the warning message set forth in subsection (a), provided that the tag will stay attached to the container and remain readable under customary conditions of storage and transportation, excluding intentional removal after purchase by, or delivery to, the retail customer. The tag shall be attached in a conspicuous location on the container. The warning message portion of the tag shall be subject to all other requirements of this section. The tag may, to the extent authorized by law, contain any other information desired by the production facility. For purposes of this subsection, a “tag” can be of any shape, material, and design, so long as the warning message is conspicuous and easily readable.
(e) Any raw milk or raw milk product which does not bear a label meeting the requirements of this section is misbranded.
(f) This section does not apply to raw milk and raw milk products produced and packaged before February 21, 1991.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26400 and 26550, Health and Safety Code.
HISTORY

1. New section filed 2-11-91 as an emergency; operative 2-11-91 (Register 91, No. 12). A Certificate of Compliance must be transmitted to OAL by 6-11-91 or emergency language will be repealed by operation of law on the following day.
2. Repealer of 2-11-91 order and adoption of new section filed 5-9-91 as an emergency; operative 5-9-91 (Register 91, No. 25). A Certificate of Compliance must be transmitted to OAL by 9-6-91 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-9-91 order transmitted to OAL 9-3-91 and filed 9-30-91 (Register 92, No. 4).
Article 4. Horse Meat Regulations
HISTORY

1. Repealer of Article 4 (Section 11400) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
Article 5. Cold Storage Regulations
§11600. Cold Storage Regulations.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 208, Health and Safety Code.
HISTORY

1. Repealer filed 8-1-85; effective thirtieth day thereafter (Register 85, No. 31).
§11601. Cold Storage Licenses.
Note     •     History

(a) Cold Storage licenses shall be valid for a two-year period from date of issue and are not transferable. The fee for the license is $100.00.
(b) Application for a Cold Storage license shall be made on State Department of Health form #EH-7.
(c) The fee shall accompany the application and shall not be refundable.
(d) The licensee shall immediately notify the Department of any change in the information which was submitted on the license application.
NOTE

Authority cited: Sections 208 and 221, Health and Safety Code. Reference: Section 221, Health and Safety Code.
HISTORY

1. New section filed 7-21-76; effective thirtieth day thereafter (Register 76, No. 30).
Article 5.5. Low Acid Frozen Foods in Hermetically Sealed Containers, Regulations
NOTE

Authority cited: Sections 208 and 28182, Health and Safety Code. Reference: Sections 28165-28186, Health and Safety Code.
HISTORY

1. Repealer and new Article 5.5 (Sections 11800, 11810, 11820, 11830, 11840, 11850, 11860, and 11870) filed 12-20-55; effective thirtieth day thereafter (Register 55, No. 18).
2. Repealer of Article 5.5 (Sections 11800-11870, not consecutive) filed 3-21-84; effective thirtieth day thereafter (Register 84, No. 12).
Article 6. Bakery Sanitary Regulations
§12001. Custard and Cream Fillings for Pastry (28208).
Note     •     History

(a) Perishable bakery products shall include, but are not limited to, products such as cream-filled pies, pumpkin pies, cakes, pastries, custard, meringues and cheese cake, which consist in whole or in part of milk or milk products, eggs, synthetic fillings or any ingredients capable of supporting rapid and progressive growth of infectious or toxicogenic microorganisms.
(b) Perishable bakery products shall be kept, displayed, transported or maintained at or below 45o Fahrenheit. This Section shall not apply to products during reasonable periods of preparation or handling not to exceed two hours.
(c) Perishable bakery products when packaged shall be labeled “Perishable--Keep Refrigerated.”
(d) Uncut pumpkin, sweet potato, yam and squash pies baked in the shell or so prepared that the filling reaches a temperature of at least 140 F, for 5 minutes and which are packaged individually at the point of production to prevent contamination, may be considered not to be a perishable product and refrigeration is not required. When packaged, the above pies shall be labeled “Refrigerate after opening.”
(e) Uncut citrus meringue pies having a filling of 4.5 pH or lower, and packaged individually at the point of production to prevent contamination may be considered not to be a perishable product and refrigerator is not required. When packaged, citrus meringue pie shall be labeled “Refrigerate after opening.”
(f) Marshmallow topping, or other filling or topping products, with a sugar-water ratio of at least 2.1 to 1 are not perishable and do not require refrigeration.
NOTE

Authority cited: Sections 102, 208 and 28214, Health and Safety Code. Reference Section 28208, Health and Safety Code.
HISTORY

1. New section filed 6-23-76; effective thirtieth day thereafter (Register 72, No. 26).
2. Amendment of subsections (d) and (e) filed 10-25-72; effective thirtieth day thereafter (Register 72, No. 44).
3. Amendment of subsection (b) filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
4. Editorial correction of NOTE filed 7-12-84 (Register 84, No. 28).
5. Repealer of Section 12000 (number and section heading only) filed 8-1-85; effective thirtieth day thereafter (Register 85, No. 31). 
Article 6.1. Local Enforcement of the Sherman Food, Drug and Cosmetic Law As It Relates to Retail Food Establishments
§12100. Definitions.
Note     •     History

(a) Retail food establishment means any room, building, vehicle, place, or portion thereof, maintained, used, or operated for or in conjunction with, the retail sale of food or preparation of food and includes, but is not limited to:
(1) “Retail Food Production and Marketing Establishment” as defined in Section 28802 of the Health and Safety Code.
(2) “Bakery” as defined in Section 28190 of the Health and Safety Code.
(3) “Roadside Stand” as defined in the California Administrative Code, Title 17, Section 13650.
(4) “Restaurant” as defined in Sections 26595(c) and 28522 of the Health and Safety Code.
(5) “Itinerant Restaurant” as defined in Sections 26595(c) and 28523 of the Health and Safety Code.(6) “Vehicle” as defined in Sections 26595(c) and 28524 of the Health and Safety Code.
(7) “Mobile Food Preparation Units” as defined in the California Administrative Code, Title 17, Section 13601.
(8) “Vending Machines” as defined in Section 28525 of the Health and Safety Code.
(b) Menu misrepresentation means any false statement on a menu.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Sections 26460, 26581 and 26590, Health and Safety Code.
HISTORY

1. New Article 6.1 (Sections 12101-12110) filed 4-21-78; effective thirtieth day thereafter (Register 78, No. 16).
2. Editorial correction of NOTE filed 7-12-84 (Register 84, No. 28).
§12101. Application for Participation.
Note     •     History

Application for participation shall be made by letter from the local health department to the Director of the Department of Health. 
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Section 26581, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12102. Local Enforcement Authorization.
Note     •     History

(a) A local department authorized as a local retail food enforcement program by the Department shall enforce Department regulations and the following chapters, articles and sections of Division 21 of the Health and Safety Code pertaining to the preparation, handling and sale of foods in retail food establishments.
(1) Definitions and General Provision (Chapter 1).
(A) Short title and definitions (Article 1) Sections 26000, 26001, 26002, 26004, 26006, 26007, 26008, 26011, 26012, 26013, 26014, 26015, 26016, 26017, 26018, 26019, 26023, 26024,26025, 26026, 26028 and 26029.
(B) General provisions (Article 2) Sections 26050 through 26052.
(2) Administration (Chapter 2).
(A) Generally (Article 1) Section 26214.
(B) Inspection and sampling (Article 3) Sections 26230 through 26235.
(C) Publicity (Article 4) Sections 26250 through 26252.
(3) Guarantees (Chapter 3) Sections 26300 through 26307.
(4) Packaging, labeling and advertising (Chapter 4).
(A) Generally (Article 1) Sections 26400, 26401, 26402, 26405, 26406, 26407 and 26408.
(B) Fair packaging and labeling (Article 2) Sections 26430, 26431, 26432, 26436 and 26439.
(C) Advertising, including menu misrepresentation (Article 3) Sections 26460, 26461, 26461.5, 26462, 26467 and 26468.
(5) Food (Chapter 5).
(A) Generally (Article 1) Section 26500.
(B) Enrichment of food and food products (Article 2.5) Sections 26516, 26517 and 26518.
(C) Adulterated food (Article 3) Sections 26520 through 26540.
(D) Misbranded food (Article 4) Sections 26550 through 26569.7.
(E) Potentially hazardous foods (Article 5) Section 26570.
(F) Frozen products (Article 5.5) Section 26575.
(G) Local enforcement (Article 6) Sections 26580 through 26590.
(H) Hamburger and imitation hamburger (Article 7) Sections 26595 through 26599.
(6) Penalties and Remedies (Chapter 8)
(A) Penalties (Article 1) Sections 26801 and 26802.
(B) Proceedings (Article 2) Sections 26811, 26812 and 26813.
(C) Seizure and Embargo Sections 26830 through 26837.
(D) Injunctions (Article 4) Sections 26850 and 26851.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Sections 26583 and 26590, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12103. Laboratory Examinations.
Note     •     History

(a) A local health department shall be able to make the following laboratory examinations in order to qualify for local enforcement of retail food establishments.
(1) Examination of Fresh Meats shall be in accord with the methods of analysis of the Association of Official Analytical Chemists (AOAC) and supplements thereto for the following:
(A) Fat content of ground and chopped beef and pork sausage.
(B) Presence of preservatives including sulfite, borates, nitrite and nitrate.
(C) Presence of starch by testing with iodine.
(D) Presence of vegetable protein or other extenders.
(2) Examination of Alcoholic Beverages.
(A) Determine alcoholic proof by AOAC methods.
(B) Micro analytical examination to determine and identify insects and other filth adulteration.
(3) Filth Examination of Various Foods.
(A) Presence of insects by macro or micro analytical methods.
(B) Presence of rodent urine by the AOAC method of analysis.
(C) Presence and identification of mold and yeast by microanalytical methods.
(D) Verification of foreign material by microscopic and macroscopic examination.
(b) Laboratory examinations shall be performed in a Public Health Laboratory or a laboratory designated by the local health department and approved by the Department.
(c) Laboratory examinations shall be performed by the professional staff employed in the laboratory designated by the local health department and approved by the Department.
(d) The laboratory personnel shall complete Department approved training.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Section 26583, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12104. Personnel Training.
Note     •     History

(a) Local health department personnel shall complete state approved training in the following areas:
(1) Enforcement of statutes and regulations relating to mislabeling, false advertising and adulteration of foods in retail food establishments.
(2) Observation and recording of violative conditions in narrative reports that can be used for legal actions.
(3) Determining alcoholic proof of liquor products for mislabeling and candling of full or partly filled liquor bottles to determine adulteration.
(4) Procedures for voluntary condemnation and destruction of violative food products.
(5) Procedures for the embargo of violative food products and the release of an embargo.
(6) Collection of representative official samples of violative food and potential adulterants.
(7) Completing official sample receipt forms and memorandum of instruction for laboratory examinations.
(8) Procedures for the forfeiture, condemnation and destruction of food found to be adulterated or misbranded.
(9) Preparation of statements of facts for referrals of violative conditions to the district attorney.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Section 26590, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12105. Staff Qualifications.
Note     •     History

The minimum qualifications for professional staffing by local health departments to carry out the local enforcement of the Sherman Food, Drug, and Cosmetic Law and Department regulations relative to retail food establishments shall be a registered sanitarian.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Section 26590, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12106. Reporting Requirements.
Note     •     History

Each local health department shall submit quarterly reports to the Department that summarize enforcement activities for retail food establishments.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Section 26590, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12107. Enforcement Authority for Menu Misrepresentation.
Note     •     History

(a) Menu is a form of advertising. A local health department authorized by the Department to enforce only menu misrepresentation shall enforce the following sections of the Health and Safety Code:
(1) Advertising (Chapter 4, Article 3) Sections 26460 and 26461.
(2) Penalties (Chapter 8, Article 1) Sections 26801 and 26802.
(3) Proceedings (Chapter 8, Article 2) Sections 26811 and 26812.
(4) Injunctions (Chapter 8, Article 4) Sections 26850 and 26851.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Sections 26460, 26461 and 26581, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12108. Personnel Training.
Note     •     History

(a) Personnel from local health departments who are assigned to enforce the Sherman Food, Drug, and Cosmetic Law as it relates only to menu misrepresentation in retail food establishments shall participate and complete state approved training as required in Section 12104 or meet the following training requirements:
(1) Enforcements of statutes and regulations relating to false advertising in food menus that are used in retail food establishments.
(2) Recording violative conditions in narrative reports of observation that can be used for legal action.
(3) Preparation of statements of facts for referrals or violative conditions to the district attorney.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Sections 26583 and 26590, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12109. Staff Qualifications.
Note     •     History

The minimum qualifications for staffing by local health departments to enforce the Sherman Food, Drug, and Cosmetic Law as it relates to menu misrepresentation shall be at the level of a registered sanitarian.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Section 26590, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
§12110. Reporting Requirements.
Note     •     History

A local health department authorized by the Department to enforce only menu misrepresentation shall submit semiannual reports to the Department that summarize enforcement activities.
NOTE

Authority cited: Sections 208, 26202 and 26590, Health and Safety Code. Reference: Section 26590, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
Article 7. Food Sanitation Regulations
§12200. Vegetable Juice, Preparation and Sale of Fresh (28281-28282).
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12205. Premises.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12210. Materials.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12215. Extracting Machines.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12220. Storage and Sale.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12225. Employees.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12230. Revocation of Permit.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47). 
SANITATION IN FOOD PLANTS
§T17-12235. Light, Ventilation, and Plumbing (28281).
Note     •     History

NOTE

Authority cited: Sections 208 and 28281, Health and Safety Code. Reference: Section 28281, Health and Safety Code.
HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12240. Water Supply.
Note     •     History

NOTE

Authority cited: Sections 208 and 28281, Health and Safety Code. Reference: Section 28281, Health and Safety Code.
HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§T17-12245. General Plant Sanitation; Floors, Walls, Ceilings, Etc.
Note     •     History

The floors, walls, ceilings, partitions, posts, doors and other parts of all preparation and processing areas shall be of such materials, construction and finish that they may be readily and thoroughly cleaned. The floors in all areas where water is used in the operation are to be so constructed and of such material as to be watertight and they shall be maintained in such condition as to stay watertight. All areas used for edible products shall be separate and distinct from those used for inedible products, such as fish meal reduction plants.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 28282, Health and Safety Code.
HISTORY

1. Editorial correction of section heading and new NOTE filed 7-3-84 (Register 84, No. 27).
§12250. Areas, Equipment, and Operations to Be Sanitary.
Note     •     History

(a) Areas, equipment and utensils used for preparing, storing or otherwise handling any food product and all other parts of the establishment shall be kept clean and in a sanitary condition. Areas in which any food product is prepared, processed, stored or handled, including walls, ceilings, and overhead structures of such areas, shall be kept as reasonably free from moisture as is practicable. In such areas there shall be no dripping from any source, including ceilings and overhead structures, that may contaminate the product. 
(b) Equipment and utensils used for preparing, processing or otherwise handling any food product shall be of such materials and construction that they can be readily and thoroughly cleaned. Pipelines used to convey fluid or semi-fluid products shall be so constructed that they can be readily and thoroughly cleaned.
(c) Operations and procedures involving the preparation, storing or handling of any food product shall be strictly in accord with good sanitary practice.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 28282, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27).
§12255. Use of Poisonous Insecticides and Rodenticides.
Note     •     History

(a) Every practical precaution shall be taken to keep establishments free from flies, rats, mice and other vermin. If necessary, rodent-proof rooms shall be provided for materials which might become contaminated by these pests.
(b) The use of insecticides, or rodenticides, toxic to humans, in areas where any food products, not adequately protected, is being stored or handled is prohibited.
(c) Poisonous insecticides and rodenticides may be used under buildings, wharves, outbuildings, or similar places, or where adequately protected packaged products are stored; only, if adequate precautions are taken to eliminate the possibility of said poisons being accidentally spilled, or carried, by any means, to areas where these poisons are prohibited. These poisons are to be adequately protected from possible contact by children, or domestic animals, and are to be plainly and distinctly labeled for identification by adults.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 28282(a), Health and Safety Code.
HISTORY

1. Editorial correction of section heading and new NOTE filed 7-3-84 (Register 84, No. 27).
§12260. Empty Container Storage.
Note     •     History

Empty cans, jars, lids, covers, barrels, drums, etc., must be clean when filled with food products.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 28282, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27).
§12265. Bactericidal Treatment of Utensils and Equipment in Food Processing Establishments (28282(c)).
Note     •     History

NOTE

Authority cited: Sections 208 and 28282, Health and Safety Code. Reference: Section 28282(c), Health and Safety Code.
HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12270. Tagging Insanitary Equipment.
Note     •     History

NOTE

Authority cited: Sections 208 and 28282, Health and Safety Code. Reference: Section 28282, Health and Safety Code.
HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12275. Personal Hygiene.
Note     •     History

(a) The employees of the establishment who handle any food product shall keep their hands clean; and, after visiting the toilet room or urinals, shall wash their hands before handling any food product or implement used in the preparation of the product.
(b) Outer clothing and gloves worn by persons who handle any food product shall be clean and of material that can be readily cleaned.
(c) Such practices as spitting on the floor and using empty cans, jars, or other containers as drinking cups, or for purposes other than those originally intended, are forbidden.
(d) Care shall be taken to prevent the contamination of food products with perspiration, hair, cosmetics, medicaments and the like. Adequate head coverings must be worn by all men and women while engaged in the preparation or handling of any food product.
(e) Smoking by any person shall not be permitted while preparing or handling any food product or while handling empty cans, jars, lids, barrels, drums or other receptacles used for food products.
(f) The use of fingernail polish by any person preparing, processing, or handling any food product without gloves whereby the product might become contaminated, is prohibited.
(g) No clothing, shoes, boots, aprons, etc. shall be kept or stored in any area where any food product is prepared, processed, or handled; except, in or on facilities specifically provided for this purpose.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 28282(d), 28291 and 28293, Health and Safety Code.
HISTORY

1. Editorial correction of section heading and new NOTE filed 7-3-84 (Register 84, No. 27).
§12280. Sanitary Facilities.
Note     •     History

Adequate sanitary facilities and accommodations shall be furnished by every food packing establishment. Of these the following are specifically required:
(a) Dressing rooms, and toilet and urinal rooms shall be sufficient in number and conveniently located. These rooms shall be well lighted, sufficiently ventilated to insure sanitary conditions, vented to the outside, and meet all requirements as to sanitary construction and equipment. All doors entering such rooms shall be self-closing. All windows shall be screened. Such rooms shall be separate from areas in which food products are prepared, stored, or handled. The walls, ceiling, partitions, and other parts of all dressing rooms, toilet rooms, lavatory rooms and urinal rooms shall be of light color and of such construction as to be easily and adequately cleaned. Where five or more persons of both sexes are employed, separate facilities shall be provided for each sex.
(b) Sanitary washing facilities, including running hot and cold water, soap and individual towels, shall be provided, and shall be placed in or near toilet and urinal rooms and also at other places in the establishment as may be essential to insure cleanliness of all persons handling any food product.
(c) Adequate lockers or cloak rooms for all employees shall be provided and shall be kept clean and well ventilated.
(d) Toilet soil lines shall be kept separate from industrial waste lines to a point outside the buildings. Drainage from toilet bowls and urinals shall not be discharged into grease salvage basins, or into open disposal systems.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 28287, 28288, 28289 and 28290, Health and Safety Code.
HISTORY

1. Editorial correction of section heading and new NOTE filed 7-3-84 (Register 84, No. 27).
§12285. Surroundings of Food Packing Establishments (28298).
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12290. Labeling Exemption (28322).
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12295. Form of Affidavit.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
WALNUT SHELLING
§12300. Purchase of Walnut Meats from Producers, Etc. (28336).
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12302. Walnut Shelling Licenses.
Note     •     History

NOTE

Authority cited: Sections 208 and 221, Health and Safety Code. Reference: Section 221, Health and Safety Code.
HISTORY

1. New section filed 7-21-76; effective thirtieth day thereafter (Register 76, No. 30).
2. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12305. Production Record Specifications.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12310. Bill of Sale Specification.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§12315. Condition of Walnut Meats.
History

HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
Article 8. Cannery Inspection Regulations

ACIDIFIED FOOD PRODUCTS PACKED IN HERMETICALLY SEALED CONTAINERS SUBJECT
TO pH CONTROL
§12400. Applicability.

Low acid (high pH) foods or acid foods containing low acid ingredients to an extent where a food poisoning hazard may exist when placed in hermetically sealed containers, and which are not processed by steam under pressure must be packed under the supervision of the Department of Public Health. This includes several types or classes of food products, among which are the following: vegetables in acidified brine or oil, vegetable juice cocktails, and various formulated products.
§12405. Acid Requirements.

(a) All products subject to Section 12400 found to have a pH greater than 4.6 will be restrained.
(b) The pH of low-acid foods may be lowered by the addition of any edible organic food acid such as citric or acetic. Allowance must be made for the fact that certain acids, such as acetic, are quite volatile and rapidly lose their strength when heated in open containers. The Department of Public Health must be consulted to determine the strength and amount of acid to be used for each type of pack and the control measures that are necessary.
For illustration purposes only, the following examples are cited: On the basis of 60 percent solids in a final acidified artichoke pack, the following brines are found to furnish the required pH of less than 4.6:
(1) Unblanched, 0.6 percent citric acid (80 ounces per 100 gallons)
(2) Water blanched, 0.53 percent citric acid (71 ounces per 100 gallons)
(3) Acid blanched in a 1 percent citric acid solution for six minutes, 0.24 percent citric acid (32 ounces per 100 gallons)
(c) Acidified vegetables from a batch previously inspected and released by the Department of Public Health may be repacked in a packing medium of an edible vegetable oil without official reinspection only when adequate records are maintained clearly showing the batch number of the original batch and the date of release thereof and the batch number of the repacked vegetable.
§12410. Titration by Inspectors.

(a) Samples of the acid blanching solutions and brining solution shall be collected, one sample of each to be taken at the beginning of each day's run subsequently at about two-hour intervals during the day. These samples are to be titrated daily by the state cannery inspector.
(b) When the blanching or brining solution is changed, or more acid added, the batch number must be changed. A batch is understood to mean all material blanched at one time in a given solution.
§12415. Low Acid Ingredients in Acid Foods.

Some foods such as vegetable juice cocktails are made by mixing portions of low acid vegetables with products possessing a safe level of acidity, with a resulting potential food poisoning hazard. The control of acidity for this type of product is based on the examination of the finished product, and is determined directly as pH, which must be below 4.6. Samples of the finished product are to be submitted to the laboratory as requested.
§12420. Formulated Products.

By “formulated products” is meant the class of foods that is compounded from a number of ingredients according to a definite formula, and these ingredients when so compounded do not have a pH low enough to render them commercially sterile when processed without steam under pressure. The control of acidity for this type of product is based on the examination of the finished product, and is determined directly as pH, which must be below 4.6. Samples of the finished product are to be submitted to the laboratory as requested.
§12425. Test Equipment.

All plants packing food products regulated under Sections 12415 and 12420 shall have and maintain in proper working condition for the use of the state cannery inspector pH determination equipment of the glass electrode type. All plants packing vegetables in acidified brine shall have complete titrating equipment, consisting of burette, standardized alkaline solution, indicator solution, pipettes, and titrating flasks or beakers. All of the above must be kept in clean workable condition at all times.
§12430. Samples to Laboratory.

(a) Samples of the finished product, whether brine packed or oil packed from an acid blanch, are to be submitted to the laboratory as requested.
(b) Cans should be labeled to show the following: product, date of pack and code number.
§12435. Production Records.

Production records shall be kept and a coding system inaugurated as specified by the inspection service. The production record shall show the cooking time and temperature for each batch, also number of containers per batch.
§12440. Inspectors' Reports.

A daily report is to be submitted to the Department of Public Health covering the results of the state cannery inspector's titrations on all blanching solutions and/or bines; also a report of his pH determinations to be certain that the acidification procedures are in order.
§12445. Releases.

Batches of foods subject to pH control are not to be released by the state cannery inspector until authorization is received from the San Francisco Office. 

CONDUCT OF CANNERIES
§12450. Responsibility of Canners.

It is the responsibility of every person, group, or organization engaged in the commercial, semicommercial, cooperative, or noncommercial community (church, school, or otherwise) canning or preservation of low-acid foods in hermetically sealed containers, among other things, to achieve commercial sterility in all units packed.
§12451. Cannery Licenses.
Note     •     History

(a) Cannery licenses will be valid for a two-year period from date of issue and are not transferable. The fee for the license is $100.00.
(b) Application for a Cannery license shall be made on State Department of Health form #EH-153.
(c) The fee shall accompany the application and will not be refundable.
(d) The licensee shall immediately notify the Department of any change in the information which was submitted on the license application.
NOTE

Authority cited: Sections 208 and 221, Health and Safety Code. Reference: Section 221, Health and Safety Code.
HISTORY

1. New section filed 7-21-76; effective thirtieth day thereafter (Register 76, No. 30).
§12455. Official Sterilization Processes.

All products except those under pH control as defined in Section 12400 through 12445 must meet specific requirements as to initial temperature, process time and temperature, as determined for each product. The Department of Public Health shall be contacted for the latest official sterilization requirements. (See Sections 12790 through 12975.)
§12460. Initial Temperature.

The term “initial temperature” as used herein designates the average temperature of the can contents at the time steam is turned on for the process. Just prior to the start of the process, the contents of the container used for checking the initial temperatures should be shaken or stirred and the temperature determined. This container should be representative of the coldest cans in the retort load and should have an initial temperature equal to or greater than the initial temperature specified under “Official Sterilization Process.” “Initial temperature” should not be confused with “closing temperature.”
§12465. Cleanliness of Materials.

All raw material must meet full requirements as to purity, wholesomeness, cleanliness and suitability for canning purposes. To this end the packer must supply any and all necessary equipment, and additional help and measures designed to insure the quality of the product.
§12470. Record of Cooks.

Each licensed retort operator shall keep a record of the cooks as required by the State Board of Public Health.
(a) The original and a duplicate of the production record must be kept by filling in accurately in complete detail the form approved by the Department of Public Health. Each entry in the record must be made by the operator at the time the specific retort operation is observed and not copied afterward. It must be in legible handwriting and be signed by the operator or operators.
(b) Chart of recording thermometer must show full time and temperature as required, otherwise the product will be restrained.
(c) Each production record and recording thermometer chart shall be stamped, initialed and numbered by a state cannery inspector before use and must be accounted for.
(d) The cook or batch number and size of cans involved must be recorded by the canner in each respective curve of all temperature charts.
(e) Production records and charts must be scrutinized and checked by a state cannery inspector before product is released for shipment.
§12475. Coding.
History

(a) Each plant must submit and have approved a code to appear legibly on the cover of each container. This code will show the plant where packed, year packed, the product contained therein, day code, and period code. The period shall be changed every two and one half hours or less. This time interval may be extended to three hours if a petition is filed with the Department demonstrating that adequate consumer protection is provided under those conditions when potentially hazardous products are required to be removed from retail market. If a container such as a glass bottle be used and the cap or cover be too small to permit the coding to be embossed or ink-stamped thereon, it shall be permissible to legibly perforate or ink-stamp the required code on the label, provided the label is securely affixed to the container.
HISTORY

1. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
§12480. Requirements.

(a) All products must be free from adulteration and misbranding in accordance with Chapter 3 of Division 21 of the Health and Safety Code, and the United States Food, Drug and Cosmetic Act. The product must not be in violation of any state or county law. The net weight or other information as required by law must appear correctly upon labels.
(b) Any number of cans deemed necessary shall be cut and examined at any time by representatives of the Department of Public Health.
(c) Plants and equipment must comply with necessary requirements as to cleanliness and sanitation and conform to any and all state requirements.
(d) Officials of plants must insure the cooperation of all plant personnel.
(e) Packers must realize and faithfully fulfill their own responsibilities and obligations to produce a sound, wholesome, and safe product.
(f) All packers must fulfill their obligations with respect to maintenance of cannery inspection service according to Article 2 of Chapter 8 of Division 21 of the Health and Safety Code.
§12481. Examination of Can Closures and Can Closure Machines.
Note     •     History

(a) Visual Examination. During regular production runs, a constant watch shall be maintained for gross maladjustments such as deadheads, cut-overs, and other similar double seam defects. Maintaining this constant check may be accomplished in several ways, depending on the type of closing machine, line speeds, and general equipment layout. It may best be performed by training the closing machine operator to recognize irregularities by visual examination. However, an adequate check program can be maintained through use of other trained personnel.
The operator, can closure supervisor, or other qualified personnel shall visually examine, at intervals of not more than thirty minutes, the top seam of a randomly selected can from each seaming station, and shall record his observations. Additional visual seam inspections shall be made immediately after a can-jam in a closing machine, or after start-up of a machine following a prolonged shut-down. All pertinent observations shall be recorded. If irregularities are found, the action taken shall be noted.
(b) Tear-down Examination. Tear-down examinations shall be made at a frequency of at least one can per seaming station every four hours or each major fraction thereof. Such examinations shall be made as soon as possible after starting up following a shut-down, waiting only long enough for the machine to “warm up.” Cans for visual inspection shall be taken during this warm-up period. The results of the tear-down examinations shall be recorded.
(c) General Observations. Following are some of the various factors which influence double seam quality and which shall be examined in the course of the can seam examination:
(1) Condition of the seaming equipment--whether or not the mechanical operation and adjustment of the closing machine give the proper seam contours.
(2) Can material--variations in tinplate thickness.
(3) Can size--roll contours change with can size to accommodate variations in plate thickness.
Other pertinent observations shall also be recorded indicating the presence or absence of such defects as cut-overs, droops, etc.
NOTE

Authority cited: Section 28440, Health and Safety Code. Reference: Sections 28310-28322, Health and Safety Code.
HISTORY

1. New section filed 3-13-67; effective thirtieth day thereafter (Register 67, No. 11).
§12482. Required and Optional Seam Measurements.
Note     •     History

(a) Optical System (use of seam scope or projector)

   Required 	Optional
   Body hook 	Width (length, height)
   Overlap 	Cover hook
   Tightness (observation for wrinkle) 	Countersink
	Thickness
(b) Micrometer Measurement System

   Required 	Optional
   Cover hook	Overlap (by calculation)
   Body hook 	Countersink
   Width (length, height) 	Thickness
   Tightness (observation for wrinkle) 

Regardless of whether or not a seam scope or seam projector is used, the double seam shall be torn down for examination.
(c) Two measurements shall be made for each double seam characteristic if a seam scope or seam projector is used. If a micrometer is used, three measurements shall be made at points approximately 120 apart, excluding the side seam. The high and low measurements must fall within limits considered to be normal for the conditions.
With regard to measurement limits, the canner shall follow the working limits recommended by the can supplier.
Overlap length can be calculated by the following formula:
The theoretical overlap length = CH+BH+T = W
where CH = coverhook
BH = body hook
*T = cover thickness, and
W = seam width (height, length) 

*In general practice, 0.010 may be used for the tinplate thickness. 
(d) Records shall be kept on all seam examinations. The form of such records shall be the choice of the canning company, but the records must show the frequency of visual and tear-down inspections, and the measurements made. It is suggested that sample forms be obtained from the can supplier.
For the purposes of State inspection, records of seam examinations must be filed and held for inspection by the State Department of Public Health.
NOTE

Authority cited: Section 28440, Health and Safety Code. Reference: Sections 28310-28322, Health and Safety Code.
HISTORY

1. New section filed 3-13-67; effective thirtieth day thereafter (Register 67, No. 11).
§12485. Standards for Water Used in Fish Canneries.

Waters used in fish canning operations within canneries shall conform to the following standards:
(a) Water satisfactory without treatment.
(1) For whole fish handling operations:
(A) Not subject to contamination with human fecal discharges.
(B) Maximum of 7 E. coli organisms per cc.
(C) Bacterial standard may be exceeded in not more than 20 percent of the samples.
(2) For cut fish handling operations:
(A) Not subject to contamination with human fecal discharges.
(B) Maximum of 7 E. coli organisms per cc.
(C) Bacterial standard may be exceeded in not more than 5 percent of the samples.
(b) Waters satisfactory after treatment:
(1) For whole fish handling operations:
(A) Not subject to gross contamination with human fecal discharges before treatment.
(B) Maximum of 3 E. coli organisms per cc. after treatment.
(C) Bacterial standard may be exceeded in not more than 20 percent of the samples.
(2) For cut fish handling operations:
(A) Not subject to gross contamination with human fecal discharges before treatment.
(B) Maximum of 3 E. coli organisms per cc. after treatment.
(C) Bacterial standard may be exceeded in not more than 5 percent of the samples.
(D) The treatment shall include filtration or the equivalent as one of the steps of the treatment process.
Samples for bacteriological analysis shall be analyzed by an approved method set forth in the latest edition of the APHA manual entitled “Standard Methods for the Examination of Water and Sewage.” Those methods shall be employed which give the most specific reliable means of measuring organisms having their origin in the intestines of man and other warm-blooded animals.

GENERAL SANITARY REQUIREMENTS FOR FOOD 
PACKING ESTABLISHMENTS
§12490. Establishments and Premises in or on Which Food Products Are Prepared, Handled, Stored, or Packed Shall Be Maintained in a Sanitary Condition.

The following general requirements shall be complied with:
(a) Light.
There shall be light of good quality and well distributed wherever the food product may become contaminated.
(b) Ventilation.
There shall be ventilation sufficient to insure sanitary conditions.
(c) Drainage and Plumbing.
There shall be efficient drainage and plumbing systems for the premises. All closed drains shall be properly installed with approved traps and vents.
§12495. Water Supply.

Potable water supply for plant use shall be clean, and bacterially suitable with adequate facilities for its distribution in the plant and its protection against contamination and pollution. In those cases where ocean water is used in the handling of a food product, such as in fish canneries, the ocean water must meet the bacteriological and quality standards for such water as set forth in Section 12485 of these regulations.
In cases where nonpotable water is used, there shall be no cross connection between the nonpotable supply line system and the potable water supply line system. Any nonpotable supply line system shall be painted a color to distinguish it from any potable water supply line system.
§12500. Floors, Walls, Ceilings, Etc.

The floors, walls, ceiling, partitions, posts, doors, and other parts of all preparation and processing areas shall be of such materials, construction and finish that they may be readily and thoroughly cleaned. The floors in all areas where water is used in the operation are to be so constructed and of such material as to be water tight and they shall be maintained in such condition as to stay water tight. All areas used for edible products shall be separate and distinct from those used for inedible products, such as fish meal reduction plants.
§12505. Use of Poisonous Insecticides and Rodenticides in Food Processing Establishments.

(a) Every practical precaution shall be taken to keep establishments free from flies, rats, mice and other vermin. If necessary, rodent-proof rooms shall be provided for materials which might become contaminated by these pests.
(b) The use of insecticides or rodenticides, toxic to humans, in areas where any food product, not adequately protected, is being stored or handled is prohibited.
(c) Poisonous insecticides and rodenticides may be used under buildings, wharves, outbuildings, or similar places, or where adequately protected packaged products are stored; only, if adequate precautions are taken to eliminate the possibility of said poisons being accidentally spilled, or carried, by any means, to areas where these poisons are prohibited. These poisons are to be adequately protected from possible contact by children, or domestic animals, and are to be plainly and distinctly labeled for identification by adults.
§12510. Animals in Plant.

Every practical precaution shall be taken to exclude dogs, cats, birds, or other animals and fowl from food establishments.
§12515. Sanitary Facilities.

Adequate sanitary facilities and accommodations shall be furnished by every food packing establishment. Of these, the following are specifically required:
(a) Dressing rooms, and toilet and urinal rooms shall be sufficient in number and conveniently located. These rooms shall be well lighted, sufficiently ventilated to insure sanitary conditions, vented to the outside, and meet all requirements as to sanitary construction and equipment. All doors entering such rooms shall be self-closing. All windows shall be screened. Such rooms shall be separate from areas in which food products are prepared, stored, or handled. The walls, ceilings, partitions, and other parts of all dressing rooms, toilet rooms, lavatory rooms and urinal rooms shall be of light color and of such construction as to be easily and adequately cleaned. Where five or more persons of both sexes are employed, separate facilities shall be provided for each sex.
(b) Sanitary washing facilities, including running hot and cold water, soap, and individual towels, shall be provided, and shall be placed in or near toilet and urinal rooms and also at other places in the establishment as may be essential to insure cleanliness of all persons handling any food product.
(c) Adequate lockers or cloak rooms for all employees shall be provided and shall be kept clean and well ventilated.
(d) Toilet soil lines shall be kept separate from industrial waste lines to a point outside the buildings. Drainage from toilet bowls and urinal shall not be discharged into grease salvage basins, or into open disposal systems.
§12520. Areas, Equipment, and Operations to Be Sanitary.

(a) Areas, equipment, and utensils used for preparing, storing or otherwise handling any food product and all other parts of the establishment shall be kept clean and in sanitary condition.
Areas in which any food product is prepared, processed, stored or handled, including walls, ceilings, and overhead structures of such areas shall be kept as reasonably free from moisture as is practicable. In such areas there shall be no drippings from any source including ceilings and overhead structures that may contaminate the product.
(b) Equipment and utensils used for preparing, processing, or otherwise handling any food product shall be of such materials and construction that they can be readily and thoroughly cleaned. Pipe lines used to convey fluid or semifluid products shall be so constructed that they can be readily and thoroughly cleaned.
(c) Operations and procedures involving the preparation, storing, or handling of any food product shall be strictly in accord with good sanitary practice.
§12525. Personal Hygiene.

(a) The employees of the establishment who handle any food product shall keep their hands clean and, after visiting the toilet room or urinals, shall wash their hands before handling any food product or implement used in the preparation of the product.
(b) Outer clothing and gloves worn by persons who handle any food product shall be clean and of material that can be readily cleaned.
(c) Such practices as spitting on the floor and using empty cans, jars, or other containers as drinking cups, or for purposes other than those originally intended, are forbidden.
(d) Care shall be taken to prevent the contamination of food products with perspiration, hair, cosmetics, medicaments, and the like. Adequate head coverings must be worn by all men and women, while engaged in the preparation or handling of any food product.
(e) Smoking by any person shall not be permitted while preparing or handling any food product or while handling empty cans, jars, lids, barrels, drums or other receptacles used for food products.
(f) The use of fingernail polish by any person preparing, processing, or handling any food product without gloves whereby the product might become contaminated, is prohibited.
(g) No clothing, shoes, boots, aprons, etc. shall be kept or stored in any area where any food product is prepared, processed, or handled, except in or on facilities specifically provided for this purpose.
§12530. Surroundings.

The outer premises of every food handling establishment embracing docks, storage areas, and areas where cars and vehicles are loaded and unloaded, and the driveways, approaches, yards, etc. shall be properly drained and kept in a clean and orderly condition. The accumulation of any material in which flies or other insects or vermin may breed or which will afford rodent harborage is forbidden. No nuisance which might contribute to insanitation shall be allowed on the premises of any food packing establishment.
§12535. Employment of Diseased Persons.

No food packing establishment shall knowingly employ in any department where any food product is prepared or handled, any person affected with a communicable disease.
§12540. Empty Container Storage.

Empty cans, jars, covers, lids, barrels, drums, etc. must be clean when filled with food products.
§12545. Tagging Insanitary Equipment.

When the use of any equipment, which is unclean or insanitary, would lead to contamination of the food product, an inspector may attach a quarantine tag to it. No equipment or utensils so tagged shall again be used until made acceptable. Such tag so placed shall not be removed by any person other than an employee of the Department of Public Health. 

RECANNING OF FOOD PRODUCTS
§12550. Recanning.

It is not permissible to recan for sale any low acid canned food product for which the State Board of Public Health requires a specific retort process, without first obtaining written permission from the Department of Public Health. Such recanning must be done under the supervision of a duly authorized Inspector of the Department of Public Health. 

SPOILAGE IN CANNED FOOD PRODUCTS
§12555. Reporting Spoilage.

Spoilage in any canned products packed under inspection must be reported in writing to the nearest office of the Department of Public Health, or to any Cannery Inspector in person.
All swells, springers and flippers found in the warehouse must be included in the report.
§12560. Segregation.

When swells or other evidence of spoilage in excess of one-half of one percent, (5 cans per 1,000), are found in any warehouse lot, such spoilage must be segregated from the normal cans, and the entire lot, including flat cans, held pending immediate notification of the Department of Public Health. No samples of such material shall be drawn for any purpose until authorization has been granted by the Department of Public Health.
§12565. Examination.

All of the above must be held in a safe and separate place in the warehouse pending examination and recommendation by a representative of the Department of Public Health as to the disposition thereof.
§12570. Monthly Reports.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12575. Sale to Salvage Company.

A report must be made to the Department of Public Health before any canned products packed under the supervision of the Department of Public Health are sold to a salvage company. The material must be inspected and released by a representative of the Department of Public Health before the shipment is made.
§12580. Application.

This regulation is applicable only to warehouse stocks of low acid canned foods which are packed under supervision of the Department of Public Health, and does not apply to material from the cook room damaged or spoiled because of mechanical defects. 

VENTING OF CANNED FOOD PRODUCTS
§12585. Venting of Canned Food Products.

It is not permissible to vent and reprocess for sale any low acid canned food for which the State Board of Public Health requires a specified retort process. 

BUCKLED CANS
§12590. Tolerance per Batch.

(a) Wherein 10 percent or more of a particular batch is found to be in buckled condition, the entire batch (both buckled and normal appearing cans) shall be restrained.
By “buckled condition” is meant those cans with strained ends caused by excessive internal pressure during processing or cooling, resulting in one or both ends having elevated or wavy areas such that they have become unsatisfactory for retail trade.
(b) Batches wherein less than 10 percent of the number of cans are buckled, only that material showing buckled condition shall be restrained and the normal appearing cans may be released.
(c) Buckled cans shall be reformed as soon as possible after the cans have been restrained. The reforming of the cans must be done before any arrangements can be made to submit the material to a flip vacuum test.
The reforming consists of forcing the distorted top or bottom back to its normal position. Ends slightly distorted may be reformed by thumb pressure whereas ends more severely distorted or strained may be reformed with the closing machine chuck or other suitable tool. Reforming the ends might have some effect upon the vacuum of the cans and as a consequence flip testing should not follow the reforming operation until approximately 30 days have elapsed.
(d) If swells develop during the holding period, they are not to be destroyed, but submitted to the laboratory for examination.
§12595. Supervision of Flip Testing.

Flip testing shall be done in the presence of a State Cannery Inspector. Workable zero, or the minimum external vacuum is to be at such a point that cans with 1 1/2” internal vacuum, or more, are segregated from cans with less than 1 1/2” internal vacuum.
§12600. Segregation of Flip-Tested Cans.

The segregation of flip-tested cans shall be into three lots, namely:
(a) Normal appearing cans
(b) Cans showing 1 1/2” or more internal vacuum
(c) Cans showing less than 1 1/2” internal vacuum
(1) All swells which do not show obvious cause of spoilage shall be submitted to the laboratory for examination immediately upon instructions from the State Cannery Inspector.
(2) All leaks and cans punctured at the time of flip test shall be destroyed.
§12605. Holding After Flip Test.

All material, including normal appearing and buckled cans, not destroyed or submitted to the laboratory must remain under the original restraining order until official release has been authorized in writing.
(a) Such restrained material shall be segregated and marked to distinguish: (1) normal appearing cans, (2) cans with 1 1/2” or more internal vacuum, (3) cans with less than 1 1/2” internal vacuum.
§12610. Cans Having Less Than 1 1/2 ”  Internal Vacuum.

After the flip test representative samples of cans having less than 1 1/2” internal vacuum shall be submitted for laboratory examination.
(a) If laboratory findings on samples containing less than 1 1/2” internal vacuum indicate no spoilage, the remainder of the cans in the batch restrained containing less than 1 1/2” vacuum may be released for manufacturing purposes or disposed of directly through channels such as hotels or restaurants for immediate consumption. The canner must notify the Department of Public Health to whom this lot is sold. The material flip testing 1 1/2” or more vacuum and the normal cans may be released for retail trade.
(b) If laboratory findings on samples containing less than 1 1/2” internal vacuum indicate the product not to be commercially sterile, all such cans are to be destroyed in the presence of the State Cannery Inspector.
§12615. Cans Having 1 1/2 ”  or More Internal Vacuum.

In the event no cans in the lot are found with internal vacuum less than 1 1/2,” representative samples of the lot having 1 1/2” or more of internal vacuum shall be submitted for laboratory examination.
(a) If laboratory findings on samples containing 1 1/2” or more internal vacuum indicate no spoilage, the remainder of the cans having flip tested 1 1/2” or more internal vacuum may be released for retail distribution. Normal cans restrained in such lots may also then be released for shipment through retail trade channels.
(b) If laboratory findings on samples having 1 1/2” or more internal vacuum indicate the product not to be commercially sterile, all such cans shall be destroyed in the presence of the State Cannery Inspector. In this event, samples will then be taken from the lot of normal appearing cans to be submitted for laboratory examination.
§12620. Normal Cans; No Spoilage.
Note     •     History

If laboratory findings on samples of normal appearing cans indicate no spoilage, the remainder of the normal appearing cans may then be released for retail trade distribution.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Sections 28432 and 28440, Health and Safety Code.
HISTORY

1. New NOTE filed 8-1-84 (Register 84, No. 31).
§12625. Normal Cans; Spoilage.

If laboratory findings on samples of normal appearing cans indicate the product not to be commercially sterile, all such cans are to be destroyed in the presence of the State Cannery Inspector.
§12630. Overfills and Hydrogen Swells.

That material found to be abnormal due to overfilling or due to the accumulation of hydrogen from chemical action may be recanned under the inspection of the Department of Public Health, based on laboratory examinations of representative samples. See Sections 12550 and 12585 of these regulations.
§12635. Sampling.

All samples submitted to the laboratory must be selected by the State Cannery Inspector.
§12640. Decision to Flip Test.

The Department of Public Health shall determine for each restrained lot whether both normal appearing cans and buckled cans must be flip tested. 

DISPOSAL OF UNFIT CANNED FOODS
§12645. Prevention of Salvage of Unfit Canned Foods.

All unfit food products in hermetically sealed containers that are destroyed in public or private dumps must be destroyed by any method suitable to the Department of Public Health; thus preventing the salvage of food unfit for human consumption. 

EXPERIMENTAL AND TRIAL PACKS
§12650. Applications.

Applications must be made to the Department of Public Health, in writing, for permission to put up experimental trial packs of any low acid food products. Applications must include complete details of the prospective pack: formula, product, size of pack, size of cans, number of cans, packing medium, initial temperature, time and temperature of process, pH of pack, processing equipment, proposed labels, proposed use of the finished pack. Experimental packs not so authorized will be restrained.
§12652. Exemption.

The above does not apply to a commercial cannery equipped with or having access to a qualified research department if no commodities packed on an experimental basis will be distributed in commerce. 

FISH--DELIVERY, HANDLING, AND INSPECTION OF
§12655. General Rules.

(a) The term “decomposed” as used herein shall mean fish that are “in whole or in part diseased, contaminated, filthy, putrid, or decomposed or otherwise unfit for food.”
(b) The Department of Public Health shall require the seller of raw fish and the canning organization involved in each sale to comply with the provisions of Chapter 3 of Division 21 of the Health and Safety Code prohibiting the manufacture, production, preparation, compounding, packing, selling, offering for sale or keeping for sale of any decomposed fish. The responsibility for maintaining an effective inspection service and of eliminating decomposed fish from the canned product shall rest upon the Department of Public Health, Bureau of Food and Drug Inspections, and the executive head of each canning organization.
(c) The inspector in charge at the plant shall require that all cannery operations be carried on under clean and sanitary conditions and require the immediate disposal of decomposed fish, fish offal and bait chum.
(d) The term “inspector” as used in these regulations shall mean a duly authorized “state cannery inspector.”
§12660. Standards for Inspection of Raw Fish.
History

(a) Inspection of raw fish shall be strict and uniform and shall be designed and carried out to the end that fish unsuitable for canning shall be rejected in the raw state insofar as possible.
(b) The standards to be used in the examination and judging of fish shall be such as will make the resultant product conform to the Food, Drug and Cosmetic Act of the United States and to the California Health and Safety Code, Chapter 3 of Division 21.
(c) The Department of Public Health shall reject fish only if decomposed or unfit for human consumption.
The Department will not reject cooked fish because of its color or quality, unless such color or quality indicates decomposition as defined in subsection (a) hereof.
(d) Split, mashed, or broken fish shall be condemned if deemed by the inspector to be necessary for the prevention of acceptance of decomposed fish.
(e) The canner shall, promptly on arrival of each boat-load of fish, notify the Department of Public Health, and no canner shall receive fish into its plant until authorization is given by the inspector.
(f) Raw tuna in the round, shall be inspected by the examination of each raw, defrosted fish at the time they are eviscerated. “Defrosted” shall mean that each fish is thawed out to the point that odors are readily detectable. Raw tuna, not in the round, received dressed, eviscerated, gilled, headed or loins or pieces received frozen, shall be inspected in a manner satisfactory to the Department of Public Health at such places and times as may be directed by the inspector to prevent the canning of decomposed fish. Cooked fish, frozen cooked fish or fish pieces, shall be inspected at such places and times as may be directed by the inspector to insure compliance with the law and these regulations.
(g) Raw sardines and mackerel shall, when offered for delivery, be inspected in the boat or at the hoist or at any other point selected by the inspector in charge of the district in order to insure the most effective inspection at each plant. There may be more than one place of inspection.
HISTORY

1. Amendment filed 9-30-60; effective thirtieth day thereafter (Register 60, No. 21).
§12665. Inspection Service--Tuna.

(a) The inspection of all fish for canning purposes shall be under the direction of the Chief of the Bureau of Food and Drug Inspections of the Department of Public Health. The inspector on duty at each plant shall observe that all operations are carried out in a sanitary manner and in a manner to prevent the canning of decomposed fish, and shall immediately report to his superior any unusual or objectionable practice.
(b) In order to facilitate and expedite the administration and enforcement of the aforementioned acts and these regulations each canner may select sufficient personnel from his own employees who shall be trained by an inspector of the bureau to examine fish. The supervising inspector shall notify each canner in writing the names of employees of each company who are approved by the bureau as fish examiners.
(c) The detailed examination of the fish shall be made by an inspector or an approved cannery fish examiner under the supervision of an inspector. The inspector shall specify the number of cannery fish examiners required, in accordance with the condition of fish in process from time to time, and the canner immediately shall supply the number so specified, referring any difference of opinion in this regard to the inspector in charge of the district. The approved cannery fish examiners shall at all times be under the direction of the inspector in charge at the plant while they are performing the duty of examining fish. The inspector in charge at the plant may call upon the cannery management for an approved substitute whenever any authorized cannery fish examiner is, in the opinion of the inspector, doing his work unsatisfactorily. In the event such substitution is not immediately made, an inspector shall be assigned to replace him until an approved substitute is available. The canner involved shall not receive or pack any fish until a proper substitute or an inspector is available. All costs shall be assessed against the canner involved.
(d) The inspector in charge of the district shall have full authority over the activities of his subordinates while assigned to the respective canneries.
§12670. Raw Fish Reports.

(a) The inspector shall make a written record of each boat load on a printed form. The records shall state total quantity of fish and include such evidence as the inspector may be able to obtain as to the method of handling.
(b) The bureau shall have free access to the records of each cannery which bear directly on the problem of fish and cannery inspection.
(c) Condemned tuna shall be weighed by the canner in the presence of the inspector and the inspector's report shall show accurately the weight of condemned fish. The inspector shall keep separate weight records of fish rejected by the canner because of quality or condition other than decomposition.
§12675. Fishing Vessels.

(a) Decks and holds of all boats and vessels catching tuna, mackerel, or sardines and transporting them to a cannery shall be kept in a clean and sanitary condition. The requirement for cleaning vessels and boats shall be enforced regardless of the size or type of the vessel or boat and shall be uniform throughout the State.
(b) Each vessel shall keep a written log which shall be available to the inspection service. Records of net boats shall show the time of each set.
(c) No decomposed chum may be used for bait or in taking mackerel. All bait or chum used must be fresh (not over 24 hours old) unless it be salted or frozen.
(d) High seas fishing boats, whether net or bait, shall keep a record of their catch and their methods of handling fish, including hold and water temperature.
(e) The Department of Public Health or its authorized agent may require interested parties, including members of the laboratory staff, to appear when undue quantities of fish have been condemned. Inquiry shall be made of the fishermen to determine the methods used in fishing and handling. An endeavor shall be made to explain to the fishermen the proper method of handling raw fish to prevent the recurrence of the loss. Representatives of the United States Food and Drug Administration and other interested parties may be admitted to the inquiry.
§12680. Disposal of Condemned Fish.

(a) When a boat load of tuna or mackerel has been condemned as unfit for canning, the inspector shall notify the supervising inspector who shall take such action as is necessary to prevent delivery of the rejected fish to any other plant.
(b) When a boat load of sardines has been condemned and the canner to whom delivery was offered can not receive the fish for reduction purposes, the inspector shall take the necessary steps to prevent the canning of these fish by any other canner.
(c) In all cases the inspector shall serve notice upon the captain of the boat whose fish are condemned that they shall not be used or sold for canning purposes.
(d) The inspector shall take such action as may be necessary to insure that fish which are condemned for canning purposes shall not be used for canning.
§12685. Sampling Canned Tuna.

(a) The supervising cannery inspector in charge of the district shall determine whether or not sample cans of the final product shall be taken for examination. He shall base his decision upon the condition of the boat load and the report of the inspector. If the boat load of fish is in a prime state of preservation at the time of packing, confirmed by inspection in the plant, no samples need be taken.
(b) Sampling shall be carried out according to rules promulgated by the Department of Public Health and the minimum quantities of samples shall be as follows:

A lot of less than 200 cases 	 48 cans
200 to 1,000 cases 	 96 cans
1,000 to 2,000 cases 	 192 cans
2,000 to 5,000 cases 	 288 cans
5,000 to 10,000 cases 	 576 cans
Over 10,000 cases 	 960 cans

Not more than one can should be taken from any one case in sampling.

MACKEREL, HORSE, LABELING EXEMPTION
§12690. Horse Mackerel.

(Treacherous symmetricus) may be labeled as “Jack mackerel” providing that the word “jack” shall be prominently printed in the same size, style and color letters as the word “mackerel” which it modifies; and in addition, that the scientific name Treacherous symmetricus be included on the label; also no written or oral representation on the label or in connection with the sale of the product in invoicing or elsewhere implying that this fish is California mackerel or Pacific mackerel (Pneumatophorus diego) or any fish other than Treacherous symmetricus.
§12695. Sanitary Boat Certificates.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12700. Supervision of Cleaning.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12705. Method of Cleaning.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
INSPECTION LEGEND
§12710. Application.

Any packer desiring to use the inspection legend on labels for products packed under the provisions of Chapter 8 of Division 21 of the Health and Safety Code shall make a formal written application therefor to the Board of Public Health.
§12715. Permission.

Upon receipt of written permission from the Board of Public Health the following statement may be placed on the labels of only those products packed in compliance with the provisions of the Laws Relating to Cannery Inspection.
§12720. Official Wording.

The official wording of the legend is as follows: Sterilized under the supervision of and according to the regulations of the California State Department of Public Health. 

RETORT EQUIPMENT AND OPERATION
§12725. Notification of Intention to Install Retorts.

Every person, firm, company, organization, association, or corporation in the State of California desiring to install a retort to be used for the sterilization of low-acid food products in accordance with the provisions of Sections 28410 and 28411 of the Health and Safety Code, prior to installation of such equipment, shall notify the Department of Public Health.
§12730. Obtaining Approval.

Approval shall be obtained from the Department of Public Health before any retort equipment is installed or before previously installed equipment may be used for processing commercial products under inspection.
Upon request diagrams of minimum installations for discontinuous retorts may be obtained from the Department of Public Health.
§12735. Types of Retorts.

(a) Horizontal. Still and rotary retorts
(b) Vertical. Still retorts
(c) Continuous. Pressure cookers
Installations and operations of continuous pressure cookers are not sufficiently standardized at the present time to permit making regulations governing their installations and operation. However, such installations shall be subject to the approval of the Department of Public Health.
§12740. Definition of Terms.
Note     •     History

(a) Inspector. “Inspector” means a duly authorized representative of the Department.
(b) Vent. A “vent” is a valve-controlled opening into a retort, used for the elimination of air during the coming-up time.
(c) Retort Bleeder. A “retort bleeder” is an opening of at least one-eighth inch into a retort which is open during the entire process for the removal of air that may enter the retort with the steam or through a leaky air valve.
(d) Thermometer Bleeder. A “thermometer bleeder” is a one-sixteenth inch or larger opening into a thermometer well or pocket. This bleeder is open during the entire process to ensure a continuous flow of steam from the retort past the thermometer bulb in order that the temperature shown will be the same as that in the retort.
(e) Coming-Up Time (Lag). The “coming-up time” is the time which elapses between the turning on of the steam and the time when the retort reaches the processing temperature.
(f) Process. The term “process” designates the heat treatment expressed in terms of temperature and time given the product after the container is permanently sealed, in order to destroy spoilage microorganisms.
(g) Plug-Cock Valves. An approved type of “plug-cock valve” is one which permits an unrestricted flow of air through the valve.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a) and new NOTE filed 8-1-84 (Register 84, No. 31).
§12745. Required Equipment for All Types of Retorts When Sterilizing Food in Tin or in Glass Jars with Closures Such That They May Be Processed in Steam.
Note     •     History

(a) Recording Thermometer.
(1) The temperature chart shall be easily readable to 1 degree F and shall be graduated in not to exceed 2 degrees F divisions within the range of plus and minus 10 degrees F of the official process to be used. All charts shall have a working scale of not less than three inches. Written permission from the Department shall be obtained for the use of old equipment with charts having a working scale of less than three inches. All replacements or new installations shall conform to a minimum three-inch working scale.
(2) No temperature chart shall be used in a recording thermometer unless it is a chart manufactured specifically for use in the recording thermometer installed on the retort.
(3) It shall be unlawful to use charts with the temperature indicated in code.
(4) Every recording thermometer shall bear the name plate of the original manufacturer having the serial number assigned by the manufacturer, and the manufacturer's chart number die stamped thereon.
(5) Any recording thermometer found by a cannery employee or Inspector to be faulty in its operation shall be promptly adjusted or replaced by a properly functioning instrument.
(6) Any recording thermometer requiring repair of the thermal system shall be repaired by the manufacturer or a servicing organization accredited by the manufacturer.
(7) Documentary evidence of proper calibration may be required for any repaired recording thermometer when returned by the manufacturer or accredited servicing organization.
(8) All recording thermometers shall be so placed with respect to light that they are conveniently readable.
(b) Indicating Mercury Thermometer.
(1) The divisions shall be easily readable to 1 degree F and shall not exceed 20 degrees F per inch of graduated scale. It shall be unlawful to use mercury thermometers with the temperatures indicated in code.
(2) All mercury thermometers shall be placed in respect to light so that they are conveniently readable.
(c) Pressure Gauge.
(1) Every retort shall have a pressure gauge of the Bourdon type in which the operating mechanism is a complete unit independent of the case. Every gauge shall be equipped with a compensating hair spring.
(2) The minimum diameter of the dial shall be four inches.
(3) The range of the pressure scale shall preferably be 0 to 30 pounds, but a range of 0 to 60 pounds may be used.
(4) Any retort pressure gauge found to be inaccurate either by a cannery employee or by an Inspector shall be replaced by a properly functioning instrument.
(d) Valves for Removal of Condensate.
(1) Condensate shall not be allowed to accumulate in horizontal retorts.
This may be prevented by the installation of a one-half inch or larger valve in the bottom of the retort to be left open sufficiently to remove the condensate.
(2) To assure that condensate will not accumulate in a retort during the process, a one-eighth inch or larger petcock or valve shall be installed or a hole drilled in the drain or bottom of the retort and it shall remain open during the entire processing time.
(e) By-Pass Around Diaphragm Control Valve on Steam Inlet.
Each diaphragm control valve shall be equipped with a by-pass to allow for hand control in case of an emergency.
(f) Steam Inlet.
(1) Horizontal Retorts:
(A) For retorts more than 20 feet in length, the steam shall enter the spreader pipe near the center of the retort. For retorts less than 20 feet in length, the steam may enter the spreader pipe either at the center or at the end. If steam enters at the end, the spreader pipe shall be no smaller than the steam inlet.
(B) The retort shall be equipped with an adequately perforated pipe extending throughout the entire length of the bottom of the retort with perforations arranged so that the steam is directed up and into the load of cans. The ends of the steam spreader shall be closed.
(2) Vertical Retorts:
(A) If steam is admitted into the bottom of the retort, it shall be directed up into the load of cans. Any other position of the steam inlet must be approved by the department.
The recommended number of holes to be used in steam spreaders is given in the following table: 

			Size of Steam Supply Inlet
Size	3/4	1	1 1/4	1 1/2	2	2 1/2
Holes	Inch	Inch	Inch 	Inch 	Inch	Inch
Inches	Pipe	Pipe	Pipe	Pipe	Pipe	Pipe
3/16	25	45	70	112	185	265
7/32	18	35	50	82	135	195
1/4	14	25	38	62	105	145
						
(g) Retort Bleeders.
(1) For Horizontal Retort:
(A) A horizontal retort shall be equipped with bleeders along the top of the retort not more than eight feet apart and there shall be one within approximately one foot of each end of the retort. These bleeders shall be kept wide open during the entire process.
(B) Any bleeder at least one-eighth inch in size on a thermometer well may be considered to comply with this requirement when the well is in the top of the retort and located at the proper place.
(2) For Vertical Retort:
(A) A vertical retort shall be equipped with a bleeder at the end of the retort opposite the steam inlet. This bleeder shall be wide open during the entire process. In the case of very small retorts (less than 30-inch diameter and less than four feet in depth) a three-thirty-second inch bleeder may be used.
(h) Thermometer Bleeders. Bleeders for All Thermometers on All Types of Retorts. A one-sixteenth-inch or larger bleeder hole shall be kept open for the free escape of steam on all thermometer fittings unless thermometer bulbs are set wholly within the shell of retort proper. The bleeders shall be so located as to provide a full flow of steam past the sensitive part of the thermometer bulb.
(i) Vents for Removal of Air From Retorts During Coming-Up Period. Vents shall be installed and operated in such a way that all the air is removed from the retort before timing of the process is started.
See the venting systems described under Sections 12760 and 12765 of these regulations.
(j) Stacking Equipment for Use in Horizontal and Vertical Retorts. 
(1) Stacking equipment (baskets, trays, gondolas, etc.) for all types of containers in discontinuous retorts, when cans or jars are stacked in a vertical position, shall be preferably of strap iron. When perforated sheet metal baskets are used, the perforations in the bottoms shall be at least one-inch holes on one-and-three-fourths-inch centers or their equivalent, unless other equipment has been approved.
(2) If dividers are used, they shall be of wide mesh material, such as fish nets or onion sacks, or of strap iron or sheet metal having perforations at least the equivalent of one-inch holes on one-and-three-fourths-inch centers. Close meshed cloth dividers are not permitted.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28411, Health and Safety Code.
HISTORY

1. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
2. Editorial correction of subsections (a)(1), (a)(5) and (c)(4) filed 8-1-84 (Register 84, No. 31).
§12750. Additional Equipment Suggested but Not Required by the Department of Public Health.

(a) The use of an additional thermometer on each retort is advised to serve primarily as a check instrument, preferably located adjacent to the temperature recorder bulb.
(b) An automatic temperature controller is recommended.
(c) A safety valve of such size and capacity that it meets with the requirements of any board of mechanical engineers or any safety code in the State of California, and/or the California Industrial Accident Commission. It is recommended that the safety valve discharge be equal to or greater in capacity, than the retort steam supply line.
§12755. Venting of Retorts for Removal of Air, General Considerations.

(a) Vents (except drains when used as vents) shall be in the opposite side or end of the retort from that at which the steam is admitted.
(b) Vent valves shall be of the gate or plug cock type, preferably quick acting, except where otherwise specified.
A globe valve of one pipe size larger than the minimum vent requirement may be substituted for a gate valve.
(c) for the most efficient operation of a retort, cans shall be so stacked, and the stacking equipment shall be of a type such that the air can be removed rapidly enough to permit a uniform distribution of heat throughout the retort at the time processing temperature is attained. Anything which interferes with the free flow of steam through any part of a retort load makes this requirement more difficult to meet.
Use of the drain as a vent in conjunction with venting from the top of the retort is permissible and several combinations of top and bottom vents are described. However, it is more desirable to use venting systems which do not involve the use of the drain.Various arrangements of vents may be used to obtain uniform heat distribution throughout a retort. The following vent arrangements and cycles of operation have been found to give satisfactory heat distribution. Every retort shall be equipped with one of these installations or some other arrangement of vents which is equally satisfactory. If venting systems other than those described here are desired, or if shorter coming-up times are to be used, the approval of the Department of Public Health shall first be obtained. A special investigation may be required in order to determine the conditions under which such equipment may be used. If equipment now in use approximates, but does not exactly conform to one of the prescribed venting systems, the Department of Public Health should be consulted before any expensive change of equipment is undertaken. Full details concerning the present installation should be furnished to the department.Conditions such as boiler capacity and size of steam inlets vary in different plants and modifications of the venting procedure may be necessary in some instances to permit reaching the temperature specified within the recommended time. When this seems necessary, an investigation will be made by the Department of Public Health and modifications of the equipment or venting procedure will be suggested in accordance with conditions found. When a change in procedure is suggested, this new procedure will then become the approved method of venting the retorts in question at that plant.
§12760. Venting of Horizontal Retorts for Removal of Air.

The following venting specifications are for discontinuous horizontal retorts not exceeding five and one-half feet inside diameter, and are based on data from tests made with round cans in strap iron trays. There is evidence to indicate that the use of perforated sheet metal trays may necessitate supplementary retort venting or modifications in the stacking of cans.
(a) System A. Venting Through Multiple One-Inch Vents Discharging Directly to the Atmosphere.
(1) Equipment. A retort shall be equipped with unrestricted one-inch pipes approximately one foot in length, one for each five feet--or fraction thereof--of retort length, approximately symmetrically placed along the top of the shell, uniformly separated and not more than seven feet apart. There shall be one of the above vents within two and one-half feet of each end of the shell.
(2) Operation. The vent valve shall be wide open when steam is admitted to the retort, and shall remain wide open for at least five minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 225 degrees F, or at least seven minutes to at least 220 degrees F.
(3) If vent pipes are to be extended beyond the valves, the extensions shall be of at least one pipe size larger than the vent pipes entering the retort.
(b) System B. Venting Through the Drain Valve and Through Multiple One-Inch Vents Discharging Directly to the Atmosphere.
(1) Equipment. A retort shall be equipped with unrestricted one-inch pipes approximately one foot in length, one for each five feet--or fraction thereof--of retort length, approximately symmetrically placed along the top of the shell, uniformly separated and not more than seven feet apart. There shall be one of the above vents within two and one-half feet of each end of the shell.
(2) In addition, the retort shall be equipped with a drain of not less than three-inch pipe size for retorts up to 15 feet in length or of not less than four-inch pipe size for retorts over 15 feet in length.
The drain valve may be either globe or gate type.
(3) Operation. The vent valves and the drain valve shall be wide open when steam is admitted to the retort.
(4) The drain valve shall remain wide open for at least two minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 210 degrees F.
(5) The one-inch vent valves shall remain wide open for at least five minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 220 degrees F.
(6) If vent pipes are to be extended beyond the valves, the extensions shall be of at least one pipe size larger than the vent pipes entering the retort.
The drain may be extended beyond the valve with pipe the same size as the valve.
(c) System C. Venting Through Multiple One-Inch Vents Discharging Through a Manifold.
(1) Equipment. A retort shall be equipped with unrestricted one-inch pipes, approximately one foot in length, one for each five feet--or fraction thereof--of retort length, approximately symmetrically placed along the top of the shell, uniformly separated, not more than seven feet apart, and connected into a manifold. There shall be one of the above vents within two and one-half feet of each end of the shell. The manifold shall be of 2 1/2-inch pipe size for retorts up to 15 feet in length, and of three-inch pipe size for retorts over 15 feet in length. Venting shall be controlled by a vent valve in a pipe leading from, and of a size not smaller than that of the manifold.
(2) Operation. The vent valve shall be wide open when steam is admitted to the retort, and shall remain wide open for at least six minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 225 degrees F or at least eight minutes to at least 220 degrees F.
(3) If the vent valve is connected into a discharge pipe or system for removal of steam from the building, the header shall be sufficiently large so that venting will not be impaired.
(d) System D. Venting Through the Drain Valve and Through Multiple One-Inch Vents Discharging Through a Manifold.
(1) Equipment. A retort shall be equipped with unrestricted one-inch pipes approximately one foot in length, one for each five feet--or fraction thereof--of retort length, approximately symmetrically placed along the top of the shell, uniformly separated, not more than seven feet apart and connected into a manifold. There shall be one of the above vents within two and one-half feet of each end of the shell. The manifold shall be of 2 1/2-inch pipe size for retorts up to 15 feet in length, and of three-inch pipe size for retorts over 15 feet in length. Venting shall be controlled by a vent valve in a pipe leading from, and of a size not smaller than that of the manifold.
(2) In addition, the retort shall be equipped with a drain of not less than three-inch pipe size or retorts up to 15 feet in length or of not less than four-inch pipe size for retorts over 15 feet in length.
The drain valves may be either gate or globe type.
(3) Operation. The vent valve and drain valve shall be wide open when steam is admitted to the retort.
(4) The drain valve shall remain wide open for at least three minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 210 degrees F.
(5) The vent valve shall remain wide open for at least five minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 220 degrees F.
(6) If the vent valve is connected into a discharge pipe or system for removal of steam from the building, the header shall be sufficiently large so that venting will not be impaired.
(e) System E. Venting Through the Water Spreader.
(1) Equipment. The water spreader shall be of not less than 1 1/2-inch pipe size for retorts less than 15 feet in length, with the water inlet connected through the shell so that the spreader pipes extend in both directions from a tee in the water inlet. The water inlet to which the spreader is connected shall be of not less than two-inch pipe size. The vent pipe shall be of at least two-inch pipe size and shall be connected into the water inlet without any restriction in pipe size.
The water spreader shall be of not less than two-inch pipe size for retorts from 15 to 30 feet in length with the water inlet connected through the shell so that the spreader pipes extend in both directions from a tee in the water inlet. The water inlet to which the spreader is connected shall be of not less than 2 1/2-inch pipe size. The vent pipe shall be of at least 2 1/2-inch pipe size and shall be connected into the water inlet without any restrictions in pipe size.
If the water enters at or near one end of the retort the water spreader shall be at least as large as the water inlet.
For retorts over 30 feet in length, the Bureau of Food and Drug Inspections, Cannery Inspection Section, shall be consulted for the proper venting requirements.
(2) The water spreader shall have holes of not less than three-sixteenths-inch diameter distributed uniformly along the length of the spreader pipe, and of sufficient number so that their aggregate area is not less than that of a two-inch pipe (3.34 square inches) for retorts up to 15 feet in length, or not less than that of a 2 1/2-inch pipe (4.75 square inches) for retorts having lengths of 15 to 30 feet.
(3) Operation. The vent valve shall be wide open when steam is admitted to the retort, and shall remain wide open for at least five minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 225 degrees F; or the vent valve shall remain wide open for at least seven minutes to at least 220 degrees F.
(4) If the vent valve is connected into a discharge pipe or system for removal of steam from the building, the header shall be sufficiently large so that venting will not be impaired.
(5) The following table indicates the minimum number of holes permissible in water spreaders when used for venting: 

		Number of Holes in Spreader Pipe                          

Drill	For 1 1/2-Inch	For 2-Inch	For 2 1/2-Inch
Size	Pipe Outlet	Pipe Outlet	Pipe Outlet
Inches	(2.02 Sq. In.)	(3.34 Sq. In.)	(4.75 Sq. In.)

3/16	74	121	173
7/3	54	89	127
1/4	42	69	97

(f) System F. Venting Through the Drain Valve and Through the Water Spreader.
(1) Equipment. The water spreader shall be of not less than 1 1/2-inch pipe size for retorts less than 15 feet in length, with the water inlet connected through the shell so that the spreader pipe extends in both directions from a tee in the water inlet. The water inlet to which the spreader is connected shall be of not less than two-inch pipe size. The vent pipe shall be of at least two-inch pipe size and shall be connected into the water inlet without any restriction in pipe size.
The water spreader shall be of not less then two-inch pipe size for retorts from 15 feet to 30 feet in length with the water inlet connected through the shell so that the spreader pipe extends in both directions from a tee in the water inlet. The water inlet to which the spreader is connected shall be of not less than 2 1/2-inch pipe size. The vent pipe shall be of at least 2 1/2-inch pipe size and shall be connected into the water inlet without any restrictions in pipe size.
If the water enters at or near one end of the retort the water spreader shall be of at least the same size as the water inlet.
For retorts over 30 feet in length, the Department of Public Health shall be consulted for the proper venting requirements.
(2) The water spreader shall have holes of not less than three-sixteenths-inch diameter distributed uniformly along the length of the spreader pipe, and of sufficient number so that their aggregate area is not less than that of two-inch pipe (3.34 square inches) for retorts up to 15 feet in length, or not less than that of a 2 1/2-inch pipe (4.75 square inches) for retorts having lengths of 15 to 30 feet.
See table in subsection (e)(5) for number and size of holes required.
(3) In addition, the retort shall be equipped with a drain of not less than three-inch pipe size for retorts up to 15 feet in length or of not less than four-inch pipe size for retorts over 15 feet in length. The drain valve may be either globe or gate type.
(4) Operation. The vent valve and the drain valve shall be wide open when steam is admitted to the retort.
(5) The drain valve shall remain wide open for at least two minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 210 degrees F.
(6) The vent valve shall remain wide open for at least five minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 220 degrees F.
(7) If the vent valve is connected into a discharge pipe or system for removal of steam from the building, the header shall be sufficiently large so that venting will not be impaired.
(g) System G. Venting Through a Single 2 1/2-Inch Top Center Vent--for Retorts Less Than 15 Feet Long.
(1) Venting may be accomplished by the use of a single 2 1/2-inch unrestricted vent located at the top of the shell, provided this vent is within two feet of the center of the retort.
(2) Operation. The vent valve shall be wide open when steam is admitted to the retort, and shall remain wide open for at least four minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 220 degrees F.
If the vent valve is connected into a discharge pipe or system for removal of steam from the building, the header shall be sufficiently large so that venting will not be impaired.
(h) System H. Venting Through the Drain Valve and Through a Single 1 1/2-Inch Top Center Vent for Retorts Less Than 15 Feet Long. 
(1) Venting may be accomplished by the use of the drain valve in conjunction with a single unrestricted 1 1/2-inch vent located at the top of the shell, provided the vent is within two feet of the center of the retort.
(2) In addition, the retort shall be equipped with a drain of not less than four-inch pipe size.
(3) Operation. The vent valve and the drain valve shall be wide open when steam is admitted to the retort.
(4) The drain valve shall remain wide open for at least two minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 210 degrees F.
(5) The vent valve shall remain wide open for at least five minutes after steam is turned on, and until the mercury thermometer on the retort indicates a temperature of at least 220 degrees F.
(6) If the vent valve is connected into a discharge pipe or system for removal of steam from the building, the header shall be sufficiently large so that venting will not be impaired.
§12765. Venting of Vertical Retorts for Removal of Air.
Note     •     History

(a) The following specifications apply for venting vertical retorts not larger than approximately 42 inches diameter by 96 inches high, when the following equipment is used:
(1) Strap-iron or adequately perforated metal baskets.
(2) Vents located in or near the top of the retort.
(3) At least a one-inch steam line into the bottom of the retort and arranged so that steam is directed up into the load of cans.
(4) Raised supports for retort baskets so constructed that no baffling effect occurs. Baffle plates are not permitted.
If dividers are used, they shall be of wide mesh material, such as fish nets or onion sacks, or of strap iron or sheet metal having perforations at least the equivalent of one-inch holes on one and three-fourths-inch centers. Close meshed cloth dividers are not permitted .
(b) System I. Venting Through a Single 1 1/2-Inch Overflow Pipe.
(1) Venting of a vertical retort may be accomplished through a 1 1/2-inch overflow pipe if it is connected to the retort within at least 10 inches of the top of the shell. The overflow pipe shall have not more than eight feet of 1 1/2-inch pipe beyond the valve. If the vent pipe discharges into a manifold, the manifold shall be sufficiently large so that venting will not be impaired.
(2) Operation. The vent valve shall be wide open when steam is turned on, and it shall remain wide open for at least four minutes after steam is turned on and also until the mercury thermometer reaches a temperature of at least 218 degrees F or for at least five minutes to at least 215 degrees F.
(c) System J. Venting Through a Single One-inch Top Vent.
(1) Venting of a vertical retort may be accomplished through a single unrestricted one-inch vent located in the lid of the retort. This vent shall be equipped with a one-inch gate valve and shall discharge into the atmosphere, with not more than four feet of one-inch pipe beyond the valve.
(2) The vent valve shall be wide open when steam is turned on, and it shall remain wide open for at least five minutes after steam is turned on and also until the mercury thermometer reaches a temperature of at least 230 degrees F or for at least seven minutes to at least 220 degrees F.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28411, Health and Safety Code.
HISTORY

1. New NOTE filed 8-1-84 (Register 84, No. 31).
§12767. Diagrams of Venting Systems.
Note     •     History

View Graphic
Diagrams Reprinted from “Food Industries” Vol. 16, Page 93, February, 1944
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. New NOTE filed 8-1-84 (Register 84, No. 31). 
RETORTS, FOR FOODS IN GLASS
§12770. Notification of Intention to Install Retorts.

Every plant desiring to install a retort to be used for the sterilization of low acid food products in accordance with the provisions of Sections 28410 and 28411 of the Health and Safety Code, prior to installation of such equipment, shall notify the Department of Public Health.
§12775. Obtaining Approval.

Approval shall be obtained from the Department of Public Health before any retort equipment is installed, or before previously installed retort equipment may be used for processing commercial products under inspection. Every plant must be properly equipped to satisfy all requirements of the department.
§12780. Equipment Required.
Note     •     History

Every horizontal steam operated discontinuous retort to be used for the sterilization of food products packed in glass containers must have the following as minimum equipment:
(a) Gauge water glass or series of petcock water level indicators. (Gauge water glass is recommended.)
Automatic pressure control is recommended to prevent waste of compressed air.
(b) Pressure regulating valve in the overflow line. It shall be the same size as, or larger than, the water supply line.
(c) Automatic temperature control.
(d) Recording thermometer
(1) The temperature chart shall be easily readable to 1 degree F and shall be graduated in not to exceed 2 degrees F divisions within the range of plus and minus 10 degrees F of the official process to be used. All charts shall have a working scale of not less than three inches. Written permission from the Department shall be obtained for the use of old equipment with charts having a working scale of less than three inches. All replacements or new installations shall conform to a minimum three-inch working scale.
(2) No temperature chart shall be used in a recording thermometer unless it is a chart manufactured specifically for use in the recording thermometer installed on the retort.
(3) It shall be unlawful to use charts with temperature indicated in code.
(4) Every recording thermometer shall bear the name plate of the original manufacturer having the serial number assigned by the manufacturer, and the manufacturer's chart number die stamped thereon.
(5) Any recording thermometer found by a cannery employee or State Cannery Inspector to be faulty in its operation shall be promptly adjusted or replaced by a properly functioning instrument.
(6) Any recording thermometer requiring repair of the thermal system shall be repaired by the manufacturer or a servicing organization accredited by the manufacturer.
(7) Documentary evidence of proper calibration may be required for any repaired recording thermometer when returned by the manufacturer or accredited servicing organization.
(8) All recording thermometers shall be so placed with respect to light that they are conveniently readable.
(e) Indicating mercury thermometer.
(1) The divisions shall be easily readable to 1 degree F and shall not exceed 20 degrees F. per inch of graduated scale. It shall be unlawful to use mercury thermometers with the temperature indicated in code.
(2) All mercury thermometers shall be placed in respect to light so that they are conveniently readable.
(f) Pressure gauge.
(1) Every retort shall have a pressure gauge of the Bourdon type in which the operating mechanism is a complete unit independent of the case. Every gauge shall be equipped with a compensating hair spring.
(2) The minimum diameter of the dial shall be four inches.
(3) The range of the pressure scale shall preferably be 0 to 30 pounds but a range of 0 to 60 pounds may be used.
(4) Any retort pressure gauge found to be inaccurate either by a cannery employee or by an Inspector shall be replaced by a properly functioning instrument.
(g) Proper circulating equipment to insure agitation of the water during come-up and process time. In horizontal retorts this may be accomplished with a recirculating pump. In vertical retorts this may be accomplished by providing for a continuous supply of compressed air through the steam distributor cross during these periods. The bypass line around the air control valve, providing a continuous supply of air, shall be at least one-eighth inch inside diameter.
(h) Adequately perforated steam distributor pipe extending the length of horizontal retorts or forming a cross throughout the width of the bottom of vertical retorts or any other approved methods.
(i) Bottom drain.
(j) A safety valve of such size and capacity that it meets with the requirements of any Board of Mechanical Engineers or any Safety Code in the State of California, and/or the California Industrial Accident Commission. It is recommended that the safety valve discharge be equal to or greater in capacity than the retort steam supply line.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28411, Health and Safety Code.
HISTORY

1. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
2. Editorial correction of subsections (d)(1), (f)(4) and new NOTE filed 8-1-84 (Register 84, No. 31).
§12785. Installation of Equipment.
Note     •     History

(a) The gauge water glass or series of petcocks shall be installed in such a position as to determine the water level during the process. If a gauge water glass is used, a mark indicating the height of the top row of jars shall be placed on the gauge water glass. If a series of petcocks is used, the petcock above the level of the top row of jars must be open at all times during the process and the free flow of water shall be visible to the retort operator.
(b) Steam and air shall be admitted at the bottom of the retort. Water may be admitted at the top, or bottom, or both.
It is recommended that all pipe connections be equipped with check valves where there is a common entrance for steam, water, and air.
(c) Steam and air shall be admitted into the bottom center of the retort through a perforated pipe or cross extending the length of the horizontal retort or throughout the width of a vertical retort, and in which the perforations are so arranged as to produce equal turbulence and distribution throughout the length of the pipe or cross. The extreme ends of the perforated steam distributor pipe or cross shall be closed; other methods of producing turbulence and proper distribution of heat are subject to approval.
(d) Each diaphragm control valve shall be equipped with a bypass to allow for hand control in case of an emergency.
(e) In horizontal retorts a suction manifold shall be installed in the bottom of the retort to remove the water for circulation. The number of water inlets to the suction manifold shall be dependent upon the length of the retort with a minimum of one for each eight linear feet of retort length. The inlets shall be spaced at approximately equal intervals. The combined area of the inlets shall equal the area of the manifold. The manifold shall be connected to a recirculating pump operating at a sufficient rate to completely recirculate the water in not more than seven minutes. The water shall re-enter the top of the retort through the perforated water spreader.
Any other type of manifold or suction installation will be subject to the approval of the Department.
It is recommended that the switch operating the pump be equipped with a signal light, preferably red, or other warning device, so that the operator can see at all times that the pump is properly functioning.
(f) In horizontal retorts the mercury thermometer bulb, recording thermometer bulb and temperature controller bulb shall be located within the shell of the retort, and in such a position that they are beneath the surface of the water throughout the process.
(g) In vertical retorts the recording thermometer bulb and temperature controller bulb shall be installed at the bottom of the retort beneath and away from the steam inlet.
(h) In vertical retorts the mercury thermometer shall be so installed as to permit continuous circulation of the heating medium past the bulb during the process.
This may be accomplished by inserting the thermometer in a gradually sloped shallow and closed extension of the retort.
(i) The bottom of the overflow outlet shall be above the level of the top of the jars in the retort.
(j) All recording thermometers, mercury thermometers, pressure gauges and gauge water glasses must be so placed in respect to light that they are easily readable.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28411, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (e) and new NOTE filed 8-1-84 (Register 84, No. 31).
§12790. General.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12795. Animal Food Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12800. Asparagus Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12805. Beans, Dry: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12810. Beans, Green and Wax, Whole or Cut: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12815. Beans, Lima and Soy: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12820. Bean Sprouts: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12825. Beets: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12830. Broccoli: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12835. Brussels Sprouts: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12840. Cabbage: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12845. Carrots: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12850. Carrot Juice: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12855. Carrots and Peas: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12860. Cauliflower: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12865. Celery: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12870. Chili Products: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12875. Corn: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12880. Corn Meal Mush: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12885. Fish Products: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12890. Hominy: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12895. Lentils in Unthickened Sauce: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12900. Mushrooms: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12905. Mushroom Sauce--Spaghetti Sauce: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12910. Olives: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12915. Parsnips: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12920. Peas: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12925. Potatoes: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12930. Potatoes, Sweet: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12935. Poultry Meat--Turkey: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12940. Pumpkin: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12945. Ravioli: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12950. Spaghetti: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12955. Spinach, Packing and Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12960. Tamales, Cup: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12965. Vegetables, Chopped: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12970. Vegetables for Salad: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12975. Vegetables, Strained: Sterilization Processes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§12976. Cookroom Personnel.
Note     •     History

In order to facilitate and expedite the administration and enforcement of these regulations, each canner shall select sufficient qualified personnel from his own employees who, to the satisfaction of the State Cannery Inspector, shall see that these regulations are followed.
NOTE

Authority cited: Sections 102, 208, 26202, 26501 and 28440, Health and Safety Code.
HISTORY

1. New Sections 12976 through 12984 filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
§12977. Posting of Cooks
Note     •     History

Official cooks for all low acid products being packed must be conspicuously posted near the retorts.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. New NOTE filed 8-1-84 (Register 84, No. 31).
§12978. Marking Containers.
Note     •     History

Each can, glass jar, or other food container, basket, truck, car or crate containing unretorted material to be processed in still retorts shall be plainly and conspicuously marked with a heat sensitive indicator which will visually indicate to all cookroom personnel whether or not each unit has been retorted. The marking of each individual food container with an indicator to indicate process status is desirable.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. New NOTE filed 8-1-84 (Register 84, No. 31).
§12979. Time Limits.
Note     •     History

Not more than two hours shall elapse between the time the first can is closed, and the time steam is admitted to the retort containing that batch or cook, except
(a) tuna which may be held for a maximum of three hours after closing, and
(b) canned ripe olives and acidified food products packed under pH control for which the time limitation does not apply. In the event this time limit is exceeded, the cans or jars may be processed but shall be quarantined by the inspector until the Department has determined they are free from spoilage.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. Editorial correction filed 8-1-84 (Register 84, No. 31).
§12980. Double Door Retorts.
Note     •     History

No uncooked containers may be placed in a double door retort before the rear door has been closed. Deviations will be allowed only if prior approval has been obtained from the Department.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. Editorial correction filed 8-1-84 (Register 84, No. 31).
§12981. Retort Markers.
Note     •     History

A distinctive marker must be hung over the still retort opening when the retort contains unprocessed containers. It must be placed so that the door or lid cannot be locked before the marker is removed. A retort must not be locked until the operator indicates that it is ready for the process to start. Deviations will be allowed only if prior approval has been obtained from the Department.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. Editorial correction filed 8-1-84 (Register 84, No. 31).
§12982. Care of Containers.
Note     •     History

Any container which falls on the floor must be immediately picked up. Any container removed for inspection must be promptly returned. Any container of unproven status with regard to processing must be punctured.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. Editorial correction filed 8-1-84 (Register 84, No. 31).
§12983. Blanching.
Note     •     History

In the canning of leafy vegetables, all of the product which has been blanched must be canned and the containers closed within thirty minutes after shut down in order to prevent incipient spoilage before processing. If this period is exceeded, the product may be canned, but must be quarantined by the inspector until the Department has determined they are free from spoilage. All such material shall be carefully segregated so representative samples may be sent to the laboratory.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. Editorial correction filed 8-1-84 (Register 84, No. 31).
§12984. Posting Regulations.
Note     •     History

These regulations covering operation procedures must be conspicuously posted in all cookroom areas where they can be read and understood.
NOTE

Authority cited: Sections 208 and 28440, Health and Safety Code. Reference: Section 28440, Health and Safety Code.
HISTORY

1. New NOTE filed 8-1-84 (Register 84, No. 31).
Article 9. Olive Oil Regulations
§13500. Olive Oil Regulations.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 208, Health and Safety Code.
HISTORY

1. Repealer filed 8-1-85; effective thirtieth day thereafter (Register 85, No. 31).
Article 10. Mobile Food Preparation Units
§13600. Order Promulgating Standards.
Note     •     History

Under the authority of Section 28694.5 of the Health and Safety Code, the following regulations establishing definitions and minimum standards of operation and construction for mobile food preparation units and commissaries which service mobile food preparation units are hereby promulgated.
NOTE

Authority cited for Article 10: Section 28694.5, Health and Safety Code. Reference: Sections 28590-28650, Health and Safety Code.
HISTORY

1. Repealer and new Article 10 (Sections 13600-13609) filed 12-22-69; effective thirtieth day thereafter (Register 69, No. 52).
§13601. Definitions.
History

(a) “Mobile food preparation unit” means any wheeled vehicle upon which ready-to-eat food is cooked, wrapped, packaged, processed, or portioned for service, sale or distribution. This section does not apply to a “bakery delivery vehicle” as defined in Section 28524 of the Health and Safety Code or a vehicle used only for the sale or delivery of fresh meat, fish, poultry, or produce.
(b) “Mechanical refrigeration” means a unit which extracts heat from an area by means of liquefication and evaporation of a fluid by means of compressor or flame, or by means of a thermoelectric device. Acceptable mechanical refrigeration shall also include cold plates.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission 11-10-72. (Register 72, No. 49).
§13602. Exterior Requirements.
History

(a) The name and address of the person operating the mobile food preparation unit shall be plainly indicated on each side of the exterior of the vehicle in letters of contrasting colors at least three inches high with a minimum 3/8 inch-wide stroke. Any of the following three methods are acceptable:
(1) The name, street address, and city of the person in whose name the license is issued. Listing of the phone number is optional with the owner or operator of the vehicle.
(2) The name of the owner or operator, or his business name and city, providing they are listed in the telephone directory.
(3) The name of the operator or owner of the vehicle, or his business name, and the address of the commissary from which the vehicle is serviced.
(b) Entrance doors to food preparation areas shall be self-closing and kept closed when not being used.
(c) Compressor units that are not an integral part of equipment, auxiliary engines, generators, etc., shall be installed in an area that is completely separated from food preparation and food storage and which is accessible from outside the unit for proper cleaning and maintenance. The food preparation and storage area shall be so constructed so as to be rodent proof.
(d) The exterior of the mobile food preparation unit and the surrounding area, as relating to the operation of the unit, shall be maintained in a sanitary condition by the operator of the unit. No attachment (such as a can opener) shall be mounted on the exterior of the mobile food preparation unit. Adequate waste containers shall be furnished for the use of customers. These containers shall be of easily cleanable construction and furnished with a tight-fitting cover and shall be kept clean.
HISTORY

1. Amendment of subsections (a) and (d) filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
§13603. Interior Requirements.
History

(a) At least a two-compartment metal sink equipped with hot and cold running water with dual integral metal drainboards, installed with at least 1/8 inch per foot slope toward the sink, and fabricated with a minimum of 1/2 inch lip or rim to prevent the draining liquid from spilling onto the floor shall be provided. The dimensions of each compartment shall be at least 12 inches wide, 12 inches long, and 10 inches deep. Each drainboard shall be at least the size of one of the sink compartments.
If multi-use eating and drinking utensils are used, the sink shall have three compartments; each compartment with a minimum size of 12” x 12” x 10.” The drainboards shall be at least 12” x 12.” Drainboards for a three-compartment sink shall comply with the requirements of drainboards for a two-compartment sink.
The sink shall be equipped with a mixing faucet and shall be provided with a swivel spigot capable of servicing any sink compartment individually as desired.
(b) Hand washing facilities, including a lavatory supplied with hot and cold running water with a mixing type faucet, hand washing detergent or soap and single-service sanitary towels in permanently installed dispensing devices shall be provided and maintained in each mobile food preparation unit. The hand washing facilities shall be separate from the utensil washing sinks. The lavatory basin must have a minimum dimension of 9” x 9” in width and 5 inches in depth. The hand washing facilities shall be separated from the utensil washing sinks by a metal guard with a height of at least three inches, and extending from the back edge of the drainboard to the front edge of the drainboard, the corners of the barrier to be rounded. No separation barrier is required if the distance between the hand washing sink and the utensil drainboards is two or more feet. Mobile food preparation vehicles in operation and built before the effective date of the regulations adopted December 5, 1969, may be accepted without separate hand wash basins until January 1, 1975, at which time they must comply with the regulations or discontinue operation.
(c) Floors, walls, and ceilings shall be constructed so that the surfaces are impervious, smooth and cleanable. Floor surfaces shall provide employee safety from slipping. The juncture of the floors and walls shall be covered with the floor surface extending up the wall at least four inches. In all mobile food preparation units constructed after the effective date of these regulations there shall be a clear, unobstructed height over the aisle-way portion of the unit of at least 76 inches from floor to ceiling, and a minimum of 30 inches of unobstructed horizontal aisle space.
(d) Construction joints and seams shall be sealed to provide smooth, easily cleanable surfaces. Soldered joints and seams shall be smooth to the touch. Silicone sealant or equivalent waterproof compounds shall be acceptable, providing they prevent the entrance of liquid waste or vermin.
(e) All equipment shall be so installed as to be easily cleaned, prevent vermin harborage and provide adequate access for service and maintenance. Equipment shall be spaced apart for easy cleaning or shall be sealed together. Food equipment and machinery set apart from adjacent equipment or machinery, or the clearance between the top of the counter, or the bottom of a piece of equipment with a rigid utility connection, shall provide a minimum width of three inches of unobstructed space for sanitary maintenance beneath the counter equipment or the sides of adjacent equipment. Food equipment or machinery of a size and weight that can be easily picked up and moved by one person, and with a flex connection need not comply with minimum leg height requirement. No threads, nuts, or rivets shall be exposed where they interfere with cleaning. Should such threads, nuts, or rivets interfere with cleaning they shall be capped.
On existing mobile food preparation units and equipment with exposed threads, nuts, screws, or rivets that can be cleaned with the usual, easily available cleaning equipment such as brushes, brooms, mops, cleaning cloths, or with steam, or flushing with water, shall be acceptable if maintained in a clean and sanitary condition.
(f) All equipment shall be sealed to the floor to prevent moisture from getting under the equipment or it shall be raised at least six inches off the floor by means of an easily cleanable leg and foot.
(g) Equipment, including the interior of cabinet units or compartments, shall be constructed so as to have smooth, easily accessible, and easily cleanable surfaces (free from channels, crevices, flanges, ledges, or other cleaning obstructions). Unfinished wooden surfaces are not permitted. Food contact surfaces shall be constructed of metal, high pressure laminated plastics, or laminated hardwood. These surfaces must be kept free of cracks, cuts, and other obstructions which would interfere with proper cleaning.
(h) All utensils shall be designed and constructed so as to be easily cleanable and shall be made of nontoxic materials.
(i) Space around pipes, conduits, or hoses that extend through cabinets, floors, or outer walls shall be sealed. The closure shall be smooth and easily cleanable.
(j) Light bulbs, tubes, etc., shall be covered with a completely enclosed plastic safety shield or its equivalent. Light fixtures shall be installed so as to not constitute a hazard to personnel or food materials.
(k) Waste receptacles shall be provided inside of the vehicle. They shall be constructed so as to be smooth, nonabsorbent and easily cleanable, and kept clean.
(l) No smoking signs and signs directing proper hand washing shall be posted in the food preparation area.
(m) The interior of the mobile food preparation unit and all equipment and utensils in the unit shall be kept clean and in good repair and free of vermin.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
§13604. Temperature Requirements.
History

(a) Adequate mechanical refrigeration space shall be provided and each refrigerator shall be equipped with an easily readable thermometer. Wooden shelves are not permitted in the refrigerator. Readily perishable food shall be kept at 45 Fahrenheit, or below, at all times (except as provided in Subsection (b)). Readily perishable packaged food arranged for display and self-service may be held on an ice bed. Mobile units manufactured prior to the effective date of this Section are not required to have mechanical refrigeration space provided adequate nonmechanical refrigeration has been installed.
(b) Adequate space shall be provided to maintain readily perishable food which is kept hot at a temperature of 140 Fahrenheit, or higher, and a suitable thermometer to test the internal temperature of food, accurate to plus or minus 2 Fahrenheit, must be available for measuring the temperature of the hot food. All readily perishable food which is not refrigerated shall be kept at 140 Fahrenheit, or higher, at all times.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
2. Amendment of subsection (a) filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
§13605. Ventilation.
History

Mechanical exhaust ventilation equipment shall be provided over all cooking equipment as required to effectively remove cooking odors, smoke, steam, grease and vapors. The ventilation shall be adequate to provide a reasonable condition of comfort for employees. Grease filters or other means of grease extraction are required and shall be of steel construction, or other approved material, and shall be readily accessible for cleaning. Every joint and seam shall be substantially tight. No solder shall be used, except for sealing a joint or seam. Every hood shall be so designed and installed to provide for thorough cleaning of the entire hood. When grease gutters are provided they shall drain to a collecting receptacle fabricated, designed, and installed to be readily accessible for cleaning. All ducts in the exhaust system shall have a slope of at least two inches per lineal foot. All seams in this duct work shall be substantially tight to prevent the accumulation of grease. The ducts shall have sufficient clean-outs to make the ducts readily accessible for cleaning. Make-up air shall be provided at the rate of that exhausted. It may be accomplished from screened service openings, vents in the ceiling, or mechanically through an air-conditioning system, but not through open doors or openable windows.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
§13606. Storage.
History

(a) Spare tires, related automotive equipment, or special tools relating to the mechanical operation of the mobile food preparation unit shall not be stored in the food preparation or food storage areas.
(b) A separate cabinet or drawer shall be installed for the storage of insecticides or other poisonous substances, if such substances are used. All poisonous chemicals shall be kept in this cabinet, or drawer in their original containers, and in a manner that offers no contamination hazard to food or utensils.
(c) Suitable facilities shall be provided for the storage of linens, uniforms, and other related linens. Suitable facilities such as a cabinet or drawer shall be provided for the storage of personal belongings. All personal belongings shall be kept in the space provided.
(d) All pressure cylinders shall be securely fastened to a rigid structure of the vehicle. All liquefied petroleum equipment shall be installed to meet fire department standards and other laws that are applicable. A minimum 5 B.C.-rated fire extinguisher to combat grease fires shall be installed on the interior of each mobile food preparation unit in a readily accessible place.
(e) Adequate and suitable space shall be provided for the orderly storage of food and food service materials.
(f) Single-service utensils shall be stored in their original enclosed package, in a clean, dry area. They shall be kept in an approved, enclosed dispenser for customer use. Straws shall be wrapped or dispensed from approved, enclosed dispensers. An enclosed dispenser shall protect the lip-contact portion of the eating and drinking utensil from contamination.
HISTORY

1. Amendment of subsections (b), (d) and (f) filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
§13607. Service Openings.
History

(a) Service openings shall be limited to 216 square inches each. The service openings may not be closer together than 18 inches. They shall be self-closing with a screen of not less than 16 mesh per inch, or a solid closing device. With the exception of the service openings the entire food preparation and food storage area shall be enclosed with a solid, easily cleanable material. The counter surface of the service openings shall be smooth and easily cleanable.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
§13608. Power Supply.
History

Whenever the vehicle is in service, adequate electrical power shall be provided to operate the approved exhaust, lighting, and refrigeration systems, or any other accessories and appliances that may be installed on a mobile food preparation unit.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
§13609. Water Supply, Plumbing.
History

(a) A water supply tank of sufficient capacity to furnish an adequate quantity of potable water for food preparation, cleaning, and hand washing purposes shall be provided (minimum 30 gallons). Hose connection valves shall be at least five feet above the ground and be kept covered with a protective screw-type cap, which is attached to the vehicle. The water supply shall meet health department requirements of potability as specified in Chapter 7 (commencing with Section 4010) of Part 1, Division 5 of the Health and Safety Code. The water system shall be of such materials and designed and constructed so water or air can be introduced without the water becoming contaminated. The water system shall deliver at least one gallon per minute to each sink basin in the unit.
(b) A hot water heater with a minimum capacity of three gallons, or an instantaneous heater capable of producing water of 120 Fahrenheit interconnected with the potable water supply, shall be provided and shall operate independently of the vehicle engine and/or generator. Hot and cold water, under pressure, shall be provided at hand washing and utensil sinks units from mixing faucets.
(c) The liquid waste tank shall have a capacity at least 50 percent greater than the fresh water tank, and shall receive and be adequate to hold melting ice water resulting from one day's operation.
(d) All tanks, lines, couplings, valves, or any other plumbing shall be designed, installed, maintained, and constructed of materials that will not contaminate the water supply, food, utensils, or equipment.
(e) Water and waste storage tanks shall be installed so as to be easily drained, flushed, and cleaned with an easily accessible outlet. Breather tubes or overflow pipe openings shall be protected from the entrance of dust, insects, and other contamination. All waste lines shall be connected to the waste tank with watertight seals.
(f) The water supply tank shall be filled and the waste storage tank shall be emptied only at the commissary or other facilities approved by the health officer.
(g) Toilet facilities for the use of the food service personnel shall be available within 100 feet of the vehicle whenever it is stopped to conduct business for more than a one-hour period.
(h) Mobile food preparation units may be connected to an approved water supply and sewerage disposal system. Such units shall be equipped with a hose or other approved connection to attach to the water system. This connection shall be used for no other purpose and shall be protected from contamination at all times. In order to avoid confusion, all water connections shall be green in color. Waste lines shall be a color other than green.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49). 
Article 10.1. Commissaries Servicing Mobile Food Preparation Units
§T17-13611. General Requirements.
Note     •     History

(a) The requirements of this article shall be the minimum requirements for commissaries which service mobile food preparation units in the State of California.
NOTE

Authority cited for Article 10.1: Section 28694.5, Health and Safety Code. Reference: Sections 28590 through 28650, Health and Safety Code.
HISTORY

1. New Article 10.1 ( T17-13611 through T17-13616) filed 12-22-69; effective thirtieth day thereafter (Register 69, No. 52).
2. Approved by State Building Standards Commission 2-13-70 nunc pro tunc (12-22-69) (Register 70, No. 8).
§13612. Waste Handling and Disposal.

(a) Each commissary which services mobile food preparation units, shall have on the premises adequate facilities for:
(1) Handling liquid waste from the mobile unit being serviced. Such facility shall be constructed so that waste can be handled in a safe and sanitary manner.
(2) Handling and disposing of garbage and rubbish which originates on the mobile unit. The waste receptacles shall be constructed so as to be easily cleaned and securely covered.
§13613. Water Supply and Plumbing.
History

(a) Each commissary which services mobile food preparation units shall have potable water available for filling the water tanks of mobile units. Such watering facilities shall be constructed so as to minimize the possibility of contaminating the water being loaded.
(b) The hose used for filling water tanks shall be constructed of a nontoxic material (NSF approval recommended). It shall be green in color and shall be used for no other purpose. At all times the hose shall be kept at least four feet above the ground.
(c) Hot and cold water, under pressure, shall be available for cleaning the mobile unit.
(d) Potable water supply shall at all times be protected from potential backflow.
HISTORY

1. Amendment of subsections (b) and (d) filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49). 
§T17-13614. Electrical Hook-Up Facilities.

(a) Each commissary which services mobile food preparation units shall have available sufficient, suitable electrical outlets for mobile units which require electrical service. These outlets shall be constructed to comply with the applicable provisions of Part , Title 24, California Administrative Code.
§T17-13615. Toilet and Lavatory.
History

(a) Each commissary which services mobile food preparation units shall have available suitable toilet and lavatory facilities for the use of the operators of the mobile units. These facilities shall be provided with hot and cold running water with mixing faucets, or tempered (110o-115oF) running water, soap and sanitary towels in permanently installed dispensing devices. Toilet facilities shall be kept clean and in good repair.
(b) If toilet facilities are used by five or more people of different sex, separate facilities for each sex shall be provided. The ratio of toilets to employees shall be as required in Section B-1105, Part 2, Title 24, California Administrative Code, and one additional toilet and lavatory facility shall be provided for each additional 60 mobile unit operators of the same sex on the premises at any one time.
HISTORY

1. Amendment filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
§T17-13616. Facilities for Food Storage.
History

(a) Each commissary which services mobile food preparation units shall have adequate facilities for storing all food and supplies which are loaded on the mobile units. No food or food in a container shall be stored directly on the floor. They shall be stored at least six inches above the floor, or under such other conditions as are approved by the State Health Department. “Other conditions” that may be acceptable are storage of foods on moveable pallets with a minimum height of five inches.
(b) Perishable food shall be stored in devices which maintain the temperature of the food at 45 Fahrenheit, or below, or 140 Fahrenheit, or above, at all times. These devices shall be equipped with thermometers which are located so as to be easily read.
HISTORY

1. Amendment of subsection (a) filed 11-28-72; effective thirtieth day thereafter. Approved by Building Standards Commission November 10, 1972 (Register 72, No. 49).
2. Amendment of subsection (b) filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
Article 10.2. Requirements for the Sale of Imitation Hamburger in Restaurants
§13620. Definitions.
Note     •     History

(a) “Wallboard” means any permanent sign used to display or describe food items for sale in a restaurant.
(b) “Placard” means any non-permanent sign used to display or describe food items for sale in a restaurant.
(c) “Menu” means any list presented to the patrons stating the food items for sale in a restaurant.
NOTE

Authority cited: Sections 208, 26202 and 26596, Health and Safety Code. Reference: Section 26596, Health and Safety Code.
HISTORY

1. New Article 10.2 (Sections 13620 and 13621) filed 10-11-74; effective thirtieth day thereafter (Register 74, No. 41).
2. Editorial correction of NOTE filed 8-1-84 (Register 84, No. 31).
§13621. Wallboard and Placard Requirements in Restaurants Without Menus.
Note     •     History

Restaurants serving imitation hamburger containing more than 10 percent added protein and water or other extenders or binders shall post an ingredient statement on a wallboard or placard.
(a) The ingredients shall be listed in descending order of predominance by weight.
(b) The term “imitation hamburger,” or any other term which accurately informs the customer of the nature of the product and its ingredients, shall be stated in letters at least one (1) inch in height (72 point letters) in bold-face type in colors which contrast with the wallboard or placard.
(c) The wallboard or placard shall be posted in a permanent place, conspicuous to the customers, in each room or area where food is served.
NOTE

Authority cited: Sections 208, 26202 and 26596, Health and Safety Code. Reference: Section 26596, Health and Safety Code.
HISTORY

1. New NOTE filed 8-1-84 (Register 84, No. 31).
Article 10.3. Requirements for Roadside Stands, Food Establishments Open to the Outside Air, and Retail Dairies
§13650. Definitions.
Note     •     History

(a) “Roadside Stand” means a food establishment which has one or more sides open to the outside air during hours of business, which sells produce or shell eggs or both, and where no more than ten percent of the floor space of the food sales and storage area is devoted to packaged foods.
(b) “Food Establishment Open to the Outside Air” means a food establishment which has one or more sides open to the outside air during hours of business, and where over ten percent of the floor space is devoted to the storage and sale of packaged foods to consumers.
(c) “Retail Dairy” means a food establishment of which milk or milk products to be sold directly to the consumer constitute over 50 percent of the volume of sales. Processing and packaging facilities as defined in Sections 32505 and 32513 of the California Food and Agricultural Code shall not be considered part of the retail dairy. 
(d) “Retail Sales Area of Grower-Seller Premises” means the retail sales area operated by a grower or producer only for the sale of his own produce or shell eggs or both directly to the consumer. These products must be grown or produced on property owned, rented, or leased by the grower or producer, and on which the sales area is located.
(e) “Employee” means any person working in an establishment governed by the provisions of this Article.
(f) “Food Preparation” means any operation by which the form, flavor, or consistency of food is changed. It includes, but is not limited to, cooking, seasoning, cutting, and grinding.
(g) “Milk and Milk Products” means those food items which are defined in Sections 32510-32512 of the California Food and Agricultural Code, Division 15, Part 1, Chapter 1. Milk and milk products will be considered to be packaged foods.
(h) “Packaged Foods” means foods in a package, as defined in Section 26023 of the California Health and Safety Code. The package shall conform to the applicable provisions of Chapter 4 of Division 21 (commencing with Section 26400) of the California Health and Safety Code. The packaging of such products shall be done at a facility approved by the local health officer. Processing and packaging facilities as defined in Sections 32505 and32513 of the California Food and Agricultural Code shall be exempt from this requirement.
(i) “Potentially Hazardous Food” means any food which consists in whole or in part of ingredients capable of supporting rapid and progressive growth of infectious or toxicogenic microorganisms, including, but not limited to, milk or milk products, eggs, meat, poultry, fish or shellfish. It does not include food that has been processed and packaged so as to prevent the growth of pathogenic microorganisms, or any uncracked shell eggs.
(j) “Produce” means any fruit or vegetable in its raw or natural state.
(k) “Produce Preparation” means any operation by which the form, flavor or consistency of the produce is changed. It includes, but is not limited to, cooking, seasoning, cutting, trimming, and grinding. 
(l) “Trimming” means the removal of part of the produce, such as outer leaves, stems, stalks, roots, and tops.
(m) “Utensil” means any kitchenware, cutlery, container, implement, wrapper or other equipment with which food comes in contact during storage, display, preparation, sale, or through use by an employee or consumer.
NOTE

Authority cited: Sections 208 and 28802.5, Health and Safety Code. Reference: Section 28802.5 Health and Safety Code.
HISTORY

1. New Article 10.3 (Sections 13650 through 13653) filed 8-1-75; effective thirtieth day thereafter (Register 75, No. 31).
2. Editorial correction relettering subsections (a) and (c)-(k) filed 7-3-84 (Register 84, No. 27).
§13651. Structural and Operational Requirements.
Note     •     History

NOTE

Authority cited: Sections 208 and 28802.5, Health and Safety Code. Reference: Section 28802.5, Health and Safety Code.
HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
§13652. Health Requirements.
Note     •     History

(a) All employees shall wear clean washable outer garments and shall keep their hands clean at all times while engaged in handling food, beverages, or utensils. All employees shall wash their hands and arms with soap or detergent and water before commencing work after using toilet facilities, before returning to work, and at such other times as are necessary to prevent contamination of food. Legible signs shall be posted in each toilet room directing attention to this requirement.
(b) When information as to the possibility of disease transmission is presented to the local health officer, he shall investigate conditions and take appropriate action. The health officer may, after investigation and for reasonable cause, require any or all of the following measures to be taken:
(1) The immediate exclusion of such employee or owner from the affected food establishment;
(2) The immediate closing of the establishment until in the opinion of the health officer no further danger exists;
(3) Medical examination of the owner and employees, with such laboratory examination as may be indicated, or should such examination or examinations be refused, the immediate exclusion of the refusing owner or employee from that or any other food establishment operation until a medical or laboratory examination shows that he is not affected with, or a carrier of, any disease in a communicable form.
NOTE

Authority cited: Sections 208 and 28802.5, Health and Safety Code. Reference: Section 28802.5, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27).
§13653. Enforcement and Inspection.
Note     •     History

NOTE

Authority cited: Sections 208 and 28802.5, Health and Safety Code. Reference: Section 28802.5, Health and Safety Code.
HISTORY

1. Repealer filed 11-20-85; effective thirtieth day thereafter (Register 85, No. 47).
Article 10.4. Ventilation Standards for Retail Food Establishments
§13670. Adoption of the 1976 Uniform Mechanical Code.
Note     •     History

Chapter 4-20 of Title 24, California Administrative Code, shall be the commercial hood and kitchen ventilation standards for retail food establishments as defined in Title 17, California Administrative Code, Section 12100(a).
NOTE

Authority cited: Sections 208, 28694, 28694.5 and 28863, Health and Safety Code. Reference: Sections 28196, 28545 and 28826, Health and Safety Code.
HISTORY

1. New Article 10.4 (Sections 13670-13671) filed 9-18-80; effective thirtieth day thereafter (Register 80, No. 38).
§13671. Building Plan Approval.
Note

(a) Building plans for new construction or remodeling of kitchen ventilation systems in retail food establishments shall be submitted for review and approval to either the local health officer or a duly authorized registered sanitarian.
(b) Construction or installation shall not begin without prior written approval that the building plan complies with the requirements of Section 13670.
NOTE

Authority cited: Sections 208, 28694, 28694.5 and 28863, Health and Safety Code. Reference: Sections 28196, 28545, 28826 and 28865, Health and Safety Code.
Article 10.5. Raw Oysters
§13675. Raw Gulf Oysters: Labeling, Written Warnings and Additional Requirements.
Note     •     History

(a) For purposes of this article, the following definitions shall apply:
(1) “Dealer” means a person who shucks, packs, re-packs, processes, labels, re-labels, ships, re-ships, holds or otherwise sells shellfish. “Dealer” does not include persons solely engaged in retail activities as defined in the Health and Safety Code, Section 113875.
(2) “Gulf oyster” means any oyster harvested from the states of Alabama, Florida, Louisiana, Mississippi, or Texas.
(3) “Half-shell oyster” means any oyster from which one shell has been removed.
(4) “MPN” (Most Probable Number) means a statistical estimate of the number of bacteria per unit volume determined from the number of positive results in a series of fermentation tubes.
(5) “Non-detectable level” means that the MPN of Vibrio vulnificus bacteria is less than 3 MPN per gram of product as determined by the Vibrio vulnificus testing method in the U.S. Food and Drug Administration Bacteriological Analytical Manual, 8th Edition, 1995, pages 9.01-9.27, hereby incorporated by reference.
(6) “Offers” means making raw oysters available to any person, whether the raw oysters are subject to purchase, exchange, or transfer, or are provided without charge.
(7) “Orders” means requesting or selecting raw oysters for consumption on the premises of a retail food facility, or requesting or selecting raw oysters for consumption off the premises.
(8) “Oyster treatment process” means a process that has been determined by the state shellfish control authority having jurisdiction, the U.S. Food and Drug Administration, or a recognized process authority to consistently reduce the level of Vibrio vulnificus to a non-detectable level.
(9) “Recognized process authority” means the person(s) or organization(s) recognized by the state shellfish control authority or the U.S. Food and Drug Administration as having expert knowledge of oyster treatment processes, and having adequate facilities for making such determinations.
(10) “Retail food facility” means “retail” as defined in section 113875 of the Health and Safety Code and “food facility” as defined in section 113785 of the Health and Safety Code.
(11) “Shellfish Control Authority” means the State, or other regulatory authority, or its designated agents responsible for the enforcement of laws or regulations governing shellfish growing and harvesting areas, shellfish handling facilities and dealer activities including harvesting, transporting, storing, handling, processing, packing, and repacking of shellfish.
(12) “Shellstock oyster” means any oyster in both shells.
(13) “Shucked oyster” means any oyster from which both shells have been removed and which has been packed in a container by a dealer.
(14) “Tent cards” means free-standing print displays or a printed display in a supporting stand designed for placement on dining tables or food service counters.
(b) Every retail food facility that offers raw Gulf oysters shall provide a written warning to any person who orders raw oysters, as provided in this section.
(1) The written warning shall be worded in English and Spanish as follows:

WARNING

THIS FACILITY OFFERS RAW OYSTERS FROM THE GULF OF MEXICO. EATING THESE OYSTERS MAY CAUSE SEVERE ILLNESS AND EVEN DEATH IN PERSONS WHO HAVE LIVER DISEASE (FOR EXAMPLE ALCOHOLIC CIRRHOSIS), CANCER OR OTHER CHRONIC ILLNESSES THAT WEAKEN THE IMMUNE SYSTEM. If you eat raw oysters and become ill, you should seek immediate medical attention. If you are unsure if you are at risk, you should consult your physician.

AVISO IMPORTANTE

ESTA FACILIDAD OFRECE OSTRAS CRUDAS DEL GOLFO DE MÈXICO. A COMER ESTAS OSTRAS CRUDAS PUEDEN CAUSAR UNA ENFERMEDAD GRAVE Y HASTA LA MUERTA EN LAS PERSONAS QUE PADECEN DE ENFERMEDADES DEL HÌGADO (POR EJEMPLO, CIRROSIS ALCOHÒLICA), CANCER U OTRAS ENFERMEDADES CRÒNICAS QUE DEBILITAN EL SISTEMA INMUNOLÒGICO. Si usted come ostras crudas y se enferma, debe buscar atenciòn medica inmediatamente. Si usted cree estar en peligro, debe consultar a un mèdico.
(2) Where raw oysters are purchased by a consumer over a counter, or where they are offered for sale by a sign, tag, or menu board, the sign bearing the warning set forth in subsection (b)(1) shall be prominently placed so that it is likely to be read by consumers prior to ordering raw oysters. The warning signs shall meet the following specifications:
(A) Be square in shape and no smaller than 10 inches on a side (100 square inches) or be rectangular in shape and no smaller than 11 inches high by 8.5 inches wide (93.5 square inches).
(B) Be printed in black ink on a white background, dark blue ink on a yellow background or other ink that is of high contrast from the color of the background material.
(C) At least 1/3” space shall be maintained around the notice.
(D) The word “Warning” and the words “Aviso Importante” shall be in all bold, upper case letters and underlined and be no smaller than 35 point type face.
(E) The first two sentences of the English and the Spanish version shall be in bold letters and be no smaller than 30 point type face. The remaining sentences of the English and the Spanish version shall be no smaller than 25 point type face.
(3) Where raw oysters are ordered directly from a server, at a dining table, or where a warning sign posted pursuant to subsection (b)(2) is not clearly legible from any location where the consumer orders raw oysters, the warnings shall be printed on all menus in which raw oysters are listed, or on tent cards located on each dining table. For menus, the warning may be shortened to contain the headers and the first two sentences of the English and Spanish statements as set forth in subsection (b)(1) and shall be prominently placed on the menu so that it is likely to be read by consumers prior to ordering raw oysters. Tent cards shall contain the complete warning statements as set forth in subsection (b)(1) and be prominently placed on the dining tables so that they are likely to be read by consumers prior to ordering raw oysters. Both menu warning statements and tent card warning statements shall meet the following specifications:
(A) Be printed in black ink on a white background, dark blue ink on a yellow background or other ink that is of high contrast from the color of the background material.
(B) The word “Warning” and the words “Aviso Importante” shall be in all bold, upper case letters and underlined.
(4) Menu warning statements shall meet the following additional specifications:
(A) Be no smaller than 10 point type face.
(B) Be enclosed by a box rule with no less than 1/8” of space around the notice.
(5) Tent card warning statements shall meet the following additional specifications:
(A) Be square in shape and no smaller than 4 inches on a side (16 square inches) or be rectangular in shape and no smaller than 3 inches high by 5 inches wide (15 square inches).
(B) The word “Warning” and the words “Aviso Importante” and the first two sentences of the English and Spanish version shall be in no smaller than 12 point medium or bold type face, and the remaining sentences shall be no smaller than 10 point type face.
(C) Be enclosed by a box rule with no less than 1/8” of space around the notice.
(c) Every dealer or retail food facility that offers raw oysters from any source shall do all of the following:
(1) Refuse to accept any container of raw shellstock oysters, half-shell oysters, or shucked oysters, if the container does not have a tag or label affixed that prominently and clearly bears the statement “Harvested in ______________________________”, “Product of  ______________________________”, or words of similar meaning (to be filled in with the name of the state or foreign country in which the raw oysters were harvested). For containers of raw oysters that have any oyster harvested from a state bordering on the Gulf of Mexico, this paragraph is satisfied when the container bears a tag or label affixed that prominently and clearly bears the statement “Harvested from the Gulf of Mexico”, or “Product of the Gulf of Mexico”.
(2) Refuse to accept raw shellstock oysters unless each container contains a tag or label that prominently and clearly bears all of the following:
(A) The harvest date of the oysters.
(B) The bed name or lease number assigned by the shellfish control authority to the harvest area.
(C) The state abbreviation and certification number assigned by the shellfish control authority to the harvester, or original dealer.
(3) Refuse to accept raw shucked oysters unless each container of oysters bears a label that prominently and clearly states all the following:
(A) The sell-by-date, date-shucked, date-packed, or similar date of the shucked oysters.
(B) The state abbreviation and certification number assigned by the shellfish control authority of the state or foreign country to the harvester or original dealer.
(C) The harvest date of raw Gulf oysters. This requirement is satisfied when each shipment of raw oysters is accompanied by an invoice that specifies the harvest date of the oysters.
(D) That raw Gulf oysters, which have not been subjected to an oyster treatment process, be cooked before eating.
(4) Refuse to accept any container of raw half-shell oysters unless each container of oysters bears a tag or label that prominently and clearly states the information required in subparagraphs (c)(3)(A), (B), and (C).
(5) Refuse to accept any container of raw shellstock, half-shell, or shucked Gulf oysters harvested during April through October, and such oysters shall be deemed adulterated, unless:
(A) The oysters have been subjected to an oyster treatment process and are prominently and clearly tagged or otherwise labeled with the information required by subsection (i); and 
(B) The dealer or retail food facility has on file a current copy of the letter from the department verifying the use of an oyster treatment process in accordance with subsection (h).
(d) Warnings under subsection (b) are not required for raw shellstock, half-shell or shucked Gulf oysters whenever the retailer has received a copy of a current verification letter from the dealer pursuant to subsection (h) and tags or labels as required by subsection (i) demonstrating that the oysters have been subjected to an oyster treatment process.
(e) In order to be eligible to receive verification by the department that oysters supplied by the dealer are subjected to an oyster treatment process, a dealer shall submit a written request for verification pursuant to Section 13676. A verification issued by the department shall be valid for two years from the date of issue unless revoked or suspended.
(f) A dealer who has received a verification pursuant to Section 13676 shall notify the department in writing prior to making any changes to the oyster treatment process, or any changes to the Hazard Analysis and Critical Control Point (HACCP) plan required by Title 21, Code of Federal Regulations, Part 123.
(g) A dealer who has received a verification pursuant to Section 13676 shall notify the department, within seven days, of any new information known to the dealer pertaining to the effectiveness of the oyster treatment process.
(h) A dealer who has received verification pursuant to Section 13676 shall provide a copy of the letter from the department granting the current verification to every dealer and retail food facility in California to whom the dealer sells or provides shellstock, half-shell, or shucked raw Gulf oysters. Every dealer and retail food facility that offers shellstock, half-shell, or shucked raw Gulf oysters for which verification pursuant to Section 13676 has been granted, shall retain and make available for inspection by the department and local health agencies a copy of the current verification letter provided by the dealer. A retail food facility shall retain the copy of the verification for one year after the date that the verification expires.
(i) A dealer who has received verification pursuant to Section 13676 shall affix to each container of raw Gulf oysters processed to reduce Vibrio vulnificus to a non-detectable level, a tag or label pursuant to subsections (c)(2), (c)(3), and (c)(4), as required. In addition to requirements of subsections (c)(2), (c)(3), and (c)(4), such tag or label shall clearly and prominently bear the phrase “PROCESSED TO REDUCE VIBRIO VULNIFICUS TO NON-DETECTABLE LEVELS”, followed by a lot number traceable to the dealer's processing records. Use of the phrase “PROCESSED TO REDUCE VIBRIO VULNIFICUS TO NON-DETECTABLE LEVELS”, or words of similar meaning on tags or labels of raw unprocessed oysters, or on tags or labels of processed raw oysters from other than a dealer who has a current verification from the department is unlawful, and causes the oysters to be misbranded.
NOTE

Authority cited: Sections 100275, 110065, 110105, 110430, 112165 and 113710, Health and Safety Code. Reference: Sections 110175, 110545, 112165(c), 112195, 112200 and 113980, Health and Safety Code.
HISTORY

1. New section filed 12-31-90 as an emergency; effective 12-31-90 operative 3-1-91 pursuant to subsection (g) (Register 91, No. 8). A Certificate of Compliance must be transmitted to OAL by 4-30-91 or emergency language will be repealed by operation of law on the following day.
2. Repealer and new section filed 3-1-91 as an emergency, operative 3-1-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-1-91 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-1-91 order including amendment of section transmitted to OAL 7-1-91 and filed 7-23-91 (Register 91, No. 45).
4. Editorial correction of printing errors in section (Register 91, No. 45).
5. Amendment of section heading, section and Note filed 6-6-97 as an emergency; operative 6-6-97 (Register 97, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-6-97 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of History 3 (Register 97, No. 46).
7. Certificate of Compliance as to 6-6-97 order, including amendment of subsection (g)(1), transmitted to OAL 10-1-97 and filed 11-13-97 (Register 97, No. 46).
8. Amendment of section heading, section and Note filed 4-14-2003 as an emergency; operative 4-14-2003 (Register 2003, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-12-2003 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 4-14-2003 order transmitted to OAL 8-11-2003 and filed 9-23-2003 (Register 2003, No. 39).
§13676. Request for Verification.
Note     •     History

(a) A request for verification by the department that oysters supplied by a dealer are subjected to an oyster treatment process shall include all of the following:
(1) The name and address of the dealer;
(2) A copy of the shellfish certificate or license issued by the Shellfish Control Authority having jurisdiction;
(3) A description of the process used to treat the oysters and the procedures used to ensure that oysters harvested during April through October and shipped to California are subjected to the treatment.
(4) A report by the Shellfish Control Authority or a recognized process authority, accompanied by the concurrence of the U.S. Food and Drug Administration verifying that the process used consistently reduces the level of Vibrio vulnificus to a non-detectable level.
(5) Signature, under penalty of perjury, of the individual requesting verification attesting to the accuracy of the information provided in the request for verification.
(b) Requests for verification shall be deemed complete when the information specified in subsection (a) has been received in writing by the department. Initial requests for verification may be submitted at any time to the department. Requests for renewals shall be submitted to the department no later than 60 days prior to the expiration date. Requests for verification shall state whether the dealer is requesting an initial verification or renewal of an existing verification.
(c) The department shall notify the dealer in writing within 15 days of receipt of a request for verification of one of the following:
(1) The request for verification is complete and shall be evaluated by the department, or 
(2) The request for verification is incomplete and not accepted for evaluation. The department's written notification shall describe the specific information or documentation that is deficient.
(d) Within 60 days of the receipt of a complete request for verification, the department shall notify the dealer of one of the following:
(1) That the oyster treatment process has been verified, or
(2) That the request has been reviewed and denied for failure to establish that each oyster harvested during April through October and sold or distributed in California will be subjected to an oyster treatment process. The department shall provide a written description in the notification of the basis for the denial.
(e) Written notification by the department to dealers requesting verification shall be deemed to occur on the date that the notification is postmarked.
(f) The department shall deem a request for verification abandoned by a dealer requesting verification who fails to respond or to supply information or documents within 30 days of notification by the department.
(g) The time periods for processing a request for verification from the date of receipt by the department are as follows:
(1) The median time for processing a request is 45 days.
(2) The minimum time for processing a request is 20 days.
(3) The maximum time for processing a request is 60 days.
(h) The department may revoke or suspend a verification granted pursuant to Section 13675(e) and this section for any failure of the dealer to ensure the use of the oyster treatment process as described in the request for verification, for any failure of the oyster treatment process to reduce Vibrio vulnificus to non-detectable levels, or for any violation by the dealer of this article. The department shall inform the person of any denial, revocation, or suspension in writing, stating the reasons for the denial, revocation, or suspension.
NOTE

Authority cited: Section 15376, Government Code; and Sections 100275, 110065, 110105, 110430 and 112165(a), Health and Safety Code. Reference: Sections 110435, 110545, 110660, 112165(c), 112195, 112200 and 113980, Health and Safety Code.
HISTORY

1. New section filed 4-14-2003 as an emergency; operative 4-14-2003 (Register 2003, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-12-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-14-2003 order transmitted to OAL 8-11-2003 and filed 9-23-2003 (Register 2003, No. 39).
Article 11. Frozen Food Locker Regulations
§13700. Frozen Food Locker Regulations.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 208, Health and Safety Code.
HISTORY

1. Repealer filed 8-1-85; effective thirtieth day thereafter (Register 85, No. 31).
§13701. Licenses for Frozen Food Locker Plants.
Note     •     History

(a) Licenses for Frozen Food Locker Plants will be valid for a two-year period from date of issue and are not transferable. The fee for the license is $50.00.
(b) Application for a Frozen Food Locker Plant license shall be made on State Department of Health form #EH-6.
(c) The fee shall accompany the application and shall not be refundable.
(d) The licensee shall immediately notify the Department of any change in the information which was submitted on the license application.
NOTE

Authority cited: Sections 208 and 221, Health and Safety Code. Reference: Section 221, Health and Safety Code.
HISTORY

1. New section filed 7-21-76; effective thirtieth day thereafter (Register 76, No. 30).
Article 12. Hazardous Substances Regulations
NOTE

Authority cited for Article 12: Sections 102 and 208, Health and Safety Code. Reference: Sections 28740 through 28755, 28778 and 28779, Health and Safety Code.
HISTORY

1. New Article 12 (Sections 14001-14003, 14010-1401, 14061-14063, 14101-14103, 14105, 14107 and 14108) filed 7-23-62; effective thirtieth day thereafter (Register 62, No. 15).
2. Repealer of Article 12 (Sections 14001-14108, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). Group 2. Definitions and Standards
Group 2. Definitions and Standards
Article 13. Food Standards
§15200. Order Promulgating Standards.
Note     •     History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15205. General Regulations.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§15210. Examinations and Investigations--Samples.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§15215. General Methods for Water Capacity and Fill of Containers.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15220. General Statements of Substandard Quality and Substandard Fill of Container.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
FLOURS AND RELATED PRODUCTS
Subarticle 1. Flour and Cereal Products
HISTORY

1. Repealer of Part 1 (Sections 15225-15300, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 67, No. 40, and 56, No. 16.
Subarticle 2. Corn Flour and Related Products
HISTORY

1. Repealer of Part 2 (Sections 15305-15375, not consecutive) filed 9-1-78; effective thirtieth day thereafter. (Register 78, No. 35) For prior history, see Registers 78, No. 10; 77, No. 48; 67, No. 40; and 56, No. 16.
Subarticle 2 A. Rice and Related Products
HISTORY

1. Repealer of Part 2A (Section 15376) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 60, No. 15.
Subarticle 3. Bakery and Bakery Products
HISTORY

1. Repealer of Part 3 (Sections 15380-15403, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 78, No. 10; 77, No. 48; 67, No. 40; 61, No. 23; 60, No. 15; and 56, No. 16.
Subarticle 4. Alimentary Pastes
§15405. Macaroni Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 67, No. 40.
§15410. Enriched Macaroni Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15415. Milk Macaroni Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15420. Whole Wheat Macaroni Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15425. Wheat and Soy Macaroni Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15430. Vegetable Macaroni Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15435. Noodle Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 67, No. 40.
§15440. Enriched Noodle Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15445. Wheat and Soy Noodle Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15450. Vegetable Noodle Products: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15455. Oriental Style Noodles, Chinese Style Noodles, Japanese Style Noodles, Korean Style Noodles: Identity; Label Statement of Ingredients.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Amendment filed 6-27-60; effective thirtieth day thereafter (Register 60, No. 15).
2. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§15460. Tagliarini: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15465. Use of Secondhand Boxes for Alimentary Pastes.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
PROCESSED VEGETABLE PRODUCTS
Subarticle 1. Canned Vegetables
HISTORY

1. Repealer of Part 1 (Sections 15470-15525, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 68, No. 14; 60, No. 15; and 56, No. 16.
Subarticle 2. Canned Vegetable Other Than Those Specifically Regulated
HISTORY

1. Repealer of Part 2 (Sections 15530 and 15531) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 68, No. 4; 60, No. 15; and 56, No. 16. 
PROCESSED TOMATO PRODUCTS
Subarticle 3. Canned Tomatoes
HISTORY

1. Repealer of Part 1 (Sections 15535-15545, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 68, No. 14.
Subarticle 4. Tomato Products
HISTORY

1. Repealer of Part 2 (Sections 15550-15570, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 60, No. 15; and 56, No. 16.
Subarticle 5. Tomato Products, Mold Filament Tolerance
§15575. Tomato Catsup, Puree, and Paste.
Note     •     History

A mold tolerance of 40 percent of the microscopic fields is not to be exceeded in cases of tomato catsup, puree, and paste.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26523, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27).
§15580. Tomato Juice.
Note     •     History

The mold tolerance in case of tomato juice should not exceed 20 percent of the microscopic fields.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26523, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27).
§15585. Comminuted Tomato Products.
Note     •     History

Comminuted tomato products exceeding mold count tolerances specified in Section 15575 and Section 15580 cannot be used as ingredients of manufactured foods such as tomato soup, spaghetti sauce, etc.
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Section 26523, Health and Safety Code.
HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. New NOTE filed 7-3-84 (Register 84, No. 27). 
PROCESSED FRUIT PRODUCTS
Subarticle 1. Canned Fruit
HISTORY

1. Repealer of Part 1 (Sections 15590-15713, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 67, No. 23; 60, No. 15; and 56, No. 16.
Subarticle 2. Fruit Preserves and Jellies
HISTORY

1. Repealer of Part 2 (Sections 15715 and 15716) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 67, No. 23; 60, No. 15; 57, No. 11; and 56, No. 16.
Subarticle 3. Fruit Butters
HISTORY

1. Repealer of Part 3 (Sections 15717, 15718 and 15719) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 67, No. 23; and 56, No. 16.
Subarticle 3.5. Citrus Products
HISTORY

1. Repealer of Part 3.5 (Sections 15721-15723, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 68, No. 43.
Subarticle 4. Carbonated Beverages
HISTORY

1. Repealer of Part 4 (Section 15726) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 68, No. 20. 
DRESSINGS FOR FOODS
Subarticle 1. Dressings for Salads
HISTORY

1. Repealer of Part 1 (Sections 15735-15750, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Registers 68, No. 36; 60, No. 15; and 56, No. 16. 
SEA FOODS AND SEA FOOD PRODUCTS
Subarticle 1. Canned Shrimp
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer of Part 1 (Sections 15755-15757) filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12). For prior history, see Register 66, No. 20.
Subarticle 2. Canned Oysters
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer of Part 2 (Sections 15760 and 15765) filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12). For prior history, see Registers 66, No. 37 and 54, No. 16.
Subarticle 3. Raw Oysters
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer of Part 3 (Sections 15770-15820, not consecutive) filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12). For prior history, see Register 56, No. 16.
Subarticle 4. Sea Food Cocktails
§15825. Sea Food Cocktails.
Note     •     History

Sea food cocktails are the food products prepared by immersing the clean, cooked, edible portions of sea food ingredients in a suitable acidified sauce.
(a) Sauce. A suitable cocktail sauce may be made from catsup or other acidulated tomato product with or without the addition of pieces and/or sodium benzoate. A sufficient amount of vinegar or other food acid shall be added to bring the pH of the sauce to 3.70 or lower. This pH shall be checked by the packer for every batch of sauce.
(b) “Meat” Ingredient.
(1) The sea food ingredient of sea food cocktails must represent not less than 30 percent of the weight of the finished product.
(2) If such ingredient consists wholly of the “meat” of one type of sea food such as crab meat, shrimp, oyster, etc., the product may be named after that ingredient.
(3) If a mixture of two sea food ingredients are used the product may be so named to indicate this fact, stating first the name of the sea food ingredient present in greatest quantity.
(4) If a mixture of more than two sea food ingredients is used in substantial quantities the product may be labeled “mixed sea food cocktail” or the names of the three or more sea food ingredients may be stated in the order of their predominance by weight.
NOTE

Authority cited: Sections 208 and 25610, Health and Safety Code. Reference: Sections 25610 and 25612, Health and Safety Code.
HISTORY

1. Amendment filed 8-16-71; effective thirtieth day thereafter (Register 71, No. 34).
2. Amendment filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
Subarticle 5. Canned Tuna Fish
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer of Part 5 (Sections 15826 and 15827) filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12). For prior history, see Register 60, No. 15. Subarticle 1.
EGGS AND EGG PRODUCTS
§15830. Eggs.
Note     •     History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15835. Liquid Eggs, Mixed Eggs, Liquid Whole Eggs, Mixed Whole Eggs: Identity.
History

HISTORY

1. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15840. Frozen Eggs, Frozen Whole Eggs, Frozen Mixed Eggs: Identity.
History

HISTORY

1. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15845. Dried Eggs, Dried Whole Eggs; Identity.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 66, No. 20.
§15850. Egg Yolks, Liquid Egg Yolks, Yolks, Liquid Yolks:
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
3. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15855. Frozen Yolks, Frozen Egg Yolks: Identity.
History

HISTORY

1. Amendment filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15856. Egg Whites, Liquid Egg Whites, Liquid Egg Albumen; Identity.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 66, No. 20.
§15857. Frozen Egg Whites, Frozen Egg Albumen; Identity.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15860. Dried Egg Yolks, Dried Yolks; Identity.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 66, No. 20.
§15861. Dried Egg Whites, Egg White Solids, Dried Egg Albumen, Egg Albumen Solids; Identity.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 66, No. 20.
COCOA PRODUCTS
§15865. Cacao Nibs, Cocoa Nibs, Cracked Cocoa: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Amendment filed 8-17-56; effective thirtieth day thereafter (Register 56, No. 16).
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15870. Chocolate Liquor, Chocolate, Baking Chocolate, Bitter Chocolate, Cooking Chocolate, Chocolate Coating, Bitter Chocolate Coating; Identity: Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15875. Breakfast Cocoa, High Fat Cocoa: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15880. Cocoa, Medium Fat Cocoa: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15885. Low-Fat Cocoa: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15890. Sweet Chocolate, Sweet Chocolate Coating: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15895. Milk Chocolate, Sweet Milk Chocolate, Milk Chocolate Coating, Sweet Milk Chocolate Coating: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 56, No. 16.
§15900. Skim Milk Chocolate, Sweet Skim Milk Chocolate, Skim Milk Chocolate Coating, Sweet Skim Milk Chocolate Coating: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15905. Buttermilk Chocolate, Buttermilk Chocolate Coating: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15910. Mixed Dairy Product Chocolate, Mixed Dairy Product Chocolate Coating: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15915. Sweet Chocolate and Vegetable Fat (Other Than Cacao Fat) Coatings: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§15920. Sweet Cocoa and Vegetable Fat (Other Than Cacao Fat) Coatings: Identity; Label Statement of Optional Ingredients.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
FLAVORING EXTRACTS
§15925. Distinction Between “Extract” and “Flavor.”
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
Subarticle 1. Extracts
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer of Part 1 (Section 15930) filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12). For prior history, see Registers 78, No. 35 and 54, No. 16.
Subarticle 2. Flavors
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer of Part 2 (Sections 15935-15970, not consecutive) filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12). For prior history, see Register 54, No. 16.
Subarticle 3. Labeling
§15975. Labeling Defined.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§15980. Where Label Statements Must Appear.

All required information shall appear on the main display panel of the bottle and carton. If more than one panel is used for display, the required information shall appear on each. This statement applies to the name of the product, list of ingredients when required, declaration of artificial color, added preservative, name and address of the manufacturer, distributor or packer, and the statement of the quantity of contents.
§15985. Name and Address of Manufacturer or Distributor.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§15990. Quantity of Contents Statement.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§15995. Listing of Ingredients.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§16000. Artificial Coloring.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§16005. Artificial Flavoring.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§16010. Chemical Preservatives.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§16015. Guaranty Statements.
Note     •     History

NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26051 and 26202, Health and Safety Code.
HISTORY

1. Repealer filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§16020. Misleading Containers.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
SIRUP STANDARDS
§16025. Definitions.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16030. Sirup.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16035. Sugar-Cane Sirup.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16040. Sorghum Sirup.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16045. Maple Sirup.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16050. Sugar Sirup.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16055. Imitation Sirups.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16060. Labeling of Sirups.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). 
VINEGAR STANDARDS
§16065. Vinegar, Cider Vinegar, Apple Vinegar.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16070. Distilled Vinegar, Spirit Vinegar, Grain Vinegar.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16075. Wine Vinegar, Grape Vinegar.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16080. Malt Vinegar, Beer Vinegar.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16085. Spices.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16090. Labeling of Vinegars.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16095. Adulteration.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§16100. Imitation Vinegar.
History

HISTORY

1. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
MISCELLANEOUS FOOD PRODUCTS
Subarticle 1. Olives, Ripe, Sold in Bulk
§16105. Manner of Holding Bulk Ripe Olives.
Note     •     History

All bulk ripe olives shall be held in kegs or barrels in a brine solution containing as a minimum 2 1/2 percent salt (10 degrees salometer).
NOTE

Authority cited: Sections 208, 26202 and 26209, Health and Safety Code. Reference: Sections 26050, 26209 and 26520, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27).
§16110. Label Stipulations of Bulk Ripe Olives.
Note     •     History

All barrels or kegs containing ripe olives shall have a label affixed thereto bearing the following statement: 

The Contents of This Keg or Barrel
Shall Not be Held or Preserved in Closed or
Sealed Glass Jars or Tins
NOTE

Authority cited: Sections 208 and 26202, Health and Safety Code. Reference: Sections 26050 and 26520, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27).
Subarticle 2. Canned Whole and Pitted Ripe Olives
§16112. Definitions.
Note     •     History

(a) The term “Canned Ripe Olives” refers to olives of the “ripe type” or the “green-ripe type.”
(1) “Ripe type” olives are those which have been treated and oxidized in processing to produce a typical dark brown to black color.
(2) “Green-ripe type” olives are those which have not been oxidized in processing and which range in color from yellow-green; green-yellow or other greenish casts; and which may be mottled.
NOTE

Authority cited: Sections 208, 26202 and 26510, Health and Safety Code. Reference: Section 26510, Health and Safety Code.
HISTORY

1. New Part 2 (Sections 16112, 16113 and Table 1) filed 12-15-83; effective thirtieth day thereafter (Register 83, No. 51).
2. Editorial correction of subsection (a)(2) printing error (Register 84, No. 8).
§16113. Labeling.
Note

(a) Cans of Ripe Olives shall bear a label which meets all of the labeling requirements set forth in Article 4, Sections 26550 thru 26562 of the California Health and Safety Code and in addition, shall bear all of the following information:
(1) A statement of the drained weight.
(2) A size designation according to one of the seven sizes set forth in Table 1.
(3) A cut or imprint which represents the approximate size of the fruit designated as set forth in Table 1.
(b) Cans of Ripe Olives with counts per pound between two size ranges shall be labeled as the lesser or smaller size.
NOTE

Authority cited: Sections 208, 26202 and 26510, Health and Safety Code. Reference: Sections 26556 and 26557, Health and Safety Code. 

View Graphic
Illustration has been reduced for printing purposes.
Article 13.1. Actionable Defect Levels for Processed Foods
§16200. General Provisions.
Note     •     History

A manufacturer shall not mix a lot of a food containing defects exceeding the actionable level with another lot of food containing fewer defects than the actionable level. Such mixing renders the food actionable regardless of the defect level of the final food.
NOTE

Authority cited: Sections 208, 26202 and 26203, Health and Safety Code. Reference: Sections 26203, 26520 and 26523, Health and Safety Code.
HISTORY

1. New Article 13.1 (Sections 16200-16201) filed 5-30-78; effective thirtieth day thereafter (Register 78, No. 22).
2. Amendment filed 3-18-85; effective thirtieth day thereafter (Register 85, No. 12).
§16201. Heat Processed Canned Peaches: Actionable Defect Levels for Insects.
Note     •     History

(a) Definitions.
(1) Standard Peach Unit means:
(A) A single whole peach, or
(B) A peach half, or
(C) A number of pieces smaller than halves which taken together are equal in weight to a fraction of the drained weight according to can size as follows: 

	Drained Weight
	or Drained
	Weight Fraction
	Equivalent to
	One Standard
Can Size 	Peach Unit

8 oz. - 211x304 	 1/3 
No. 300 - 300x407 	 1/6 
No. 303 - 303x406 	 1/6 
No. 2 - 307x409...	 1/8 
No. 2 1/2 - 401x411 	 1/10 
No. 10 - 603x700 	 1/40 
No. 10 - 603x700 solid pack or preheated pie pack 	 1.5 oz.
Larger than above sizes 	 1.5 oz.

1. The method of ascertaining drained weight shall be the method used for the USDA Quality Grade Standards for canned foods.
(2) Insect infested means a standard peach unit having embedded or clinging insects or insect fragments.
(b) Actionable levels for peaches which are principally peeled by hand, such as white peaches, are reached at any time when:
(1) More than five percent of standard peach units by count are insect infested, or
(2) More than twenty percent of the cans contain one or more free floating whole insect larvae, or the larval parts equivalent to a whole larva, or any free floating part of any adult insect.
(c) Actionable levels for peaches which are not principally peeled by hand are reached at any time when:
(1) More than one percent of standard peach units by count are insect infested, or
(2) More than two percent of the cans contain one or more free floating whole insect larvae, or the larval parts equivalent to a whole larva, or any free floating part of any adult insect.
(d)Sampling Requirements.
(1) The minimum number of standard peach units and the minimum number of cans selected from a single manufacturer's lot for evaluation of compliance shall be determined according to can size as follows: 

	Minimum
	Number of	Minimum
	Standard	Number
Can Size 	Peach Units	of Cans

8 oz. - 211/304 	 100	50
No. 300 - 200x407 	 100	25
No. 303 - 303x406 	 100	25
No. 2 - 307x409 	 125	25
No. 2 1/2 - 401x411 	 200	25
No. 10 - 603x700 	 200 	8
All Larger Cans 	 200 	2

NOTE

Authority cited: Sections 208, 26202 and 26203, Health and Safety Code. Reference: Sections 26523 and 26524, Health and Safety Code.
HISTORY

1. New NOTE filed 7-3-84 (Register 84, No. 27). 
Article 14. Wine Standards and Prohibited Practices
§17000. Order Promulgating Regulations and Standards.
Note     •     History

NOTE

Authority cited for Article 14: Sections 26540 and 26540.2, Health and Safety Code. Reference: Secs. 26540.2 and 26542.1, Health and Safety Code.
HISTORY

1. Repealer of Article 14 (Sections 17000 through 17105) and new Article 14 (17000, 17001, 17005, 17010, 17015, 17075, 17076, 17090, 17100, 17105 and 17116) filed 9-23-69; effective thirtieth day thereafter (Register 69, No. 39). For prior history, see Register 66, No. 20.
2. Repealer filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35).
§17001. Adoption and Application of Regulations and Standards.
Note     •     History

(a) Application. The Treasury Department regulations adopted and the exceptions and additional provisions in this Article shall be applicable to all the wine produced, imported, bottled, offered for sale or sold within the state for beverage use, or any other purpose, except as hereinafter provided. The production, the importation, or sale within this state of any product as, or under the designation of wine, which fails to conform to the applicable standard described herein, except for distillation into wine spirits or industrial or nonbeverage purposes is hereby prohibited.
(b) Except as otherwise provided in this Article, the definitions and standards of identity and quality for wine and their amendments, now or hereafter promulgated by the U. S. Treasury Department, Internal Revenue Service, in Title 27 C.F.R., Part 4, Subparts B and C, Part 19, Subpart N, Part 231, Subpart F and Part 240, Subparts O, P, Q, R, S, T, V, W, X, Z, and ZZ, are the definitions and standards of identity and quality for wine in the State of California.
NOTE

Authority cited: Sections 208, 26202 and 26515, Health and Safety Code. Reference: Section 26515, Health and Safety Code.
HISTORY

1. Amendment filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
§17005. Standards of Identity and Quality for Wine Produced in California or Elsewhere.
Note     •     History

(a) The standards herein established are minimum standards for wine of the several classes and types defined.
(b) Prohibited Wine. Wine derived from raisins, dried grapes, dried berries, and other dried fruit, and imitation or substandard wine, shall not be produced, imported, or sold in this state except for distillation into wine spirits or for industrial or nonbeverage purposes.
(c) Cellar Treatment. Cellar treatment shall conform to the methods and materials authorized for treatment of wine by the Alcohol, Tobacco and Firearms Division of the Internal Revenue Service as well as the California Pure Foods Act and the Federal Food, Drug, and Cosmetic Act and the regulations adopted thereunder. In case of conflict between Federal and State laws or regulations the California law or regulation shall take precedence.
NOTE

Authority cited: Sections 208, 26202 and 26215, Health and Safety Code. Reference: Section 26515, Health and Safety Code.
HISTORY

1. Repealer of subsection (d) filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
§17010. Provisions Applicable to Wine Produced in California.
Note     •     History

The following provisions shall apply to wines produced in California:
(a) Sugar Use. No sugar, or material containing sugar, other than pure condensed grape must, and no water in excess of the minimum amount necessary to facilitate normal fermentation, may be used in the production or cellar treatment of any grape wine except:
(1) In the production of sparkling wine (where sugar or liquid sugar may only be used in the traditional secondary fermentation and dosage),
(2) Carbonated and special natural wine; provided, however, that sparkling and carbonated wine or the residuum thereof may be reconverted into still wine, and such wine and special natural wine or the residuum thereof may be distilled into wine spirits if the unfermented sugar has not been refermented.
(3) Natural grape wine produced outside of the State of California with the use of sugar pursuant to applicable federal regulations may be blended with grape wine produced in California pursuant to these regulations only for the purpose of producing sparkling wine and carbonated wine. The resultant blend shall not be entitled to the appellation of origin “California” or any geographical subdivision thereof.
(b) Sweetness Limitation.
(1) The Brix saccharometer test, using a saccharometer calibrated at 20o C and made in the presence of the alcohol content provided herein shall be:
(A) Not less than 5.5 degrees for Angelica, Muscatel, Port and White Port.
(B) Not less than 3.5 degrees for Tokay (as a dessert wine).
(2) The reducing sugar content (per 100 milliliters at 20o C and calculated as dextrose) for sherries shall be as follows:

	Minimum	Maximum
Dry Sherry 	 0.0 gram	2.5 grams
Sherry 	 2.5 grams	4.0 grams
Sweet, Golden, Cream or
 Mellow Sherry 	 4.0 grams
(c) Fixed Acidity. The minimum titratable fixed acidity per 100 milliliters at 20o C for grape wine (except wine used solely for blending, medicinal or industrial purposes) calculated as tartaric acid, shall be as follows:

red table wine 	 0.4 gram
white table wine 	 0.3 gram
all other wine 	 0.25 gram
NOTE

Authority cited: Sections 208, 26202 and 26515, Health and Safety Code. Reference: Section 26515, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) (1) (C) and (D) filed 6-12-70; effective thirtieth day thereafter (Register 70, No. 24).
2. Amendment filed 11-29-79; effective thirtieth day thereafter (Register 79, No. 48).
3. Amendment of NOTE filed 3-21-84 (Register 84, No. 12).
§17015. Wines Bearing the Appellation of Origin “California” or a Geographical Subdivision Thereof.
Note     •     History

(a) A grape wine shall be entitled to the appellation of origin “California” or a geographical subdivision thereof only if:
(1) 100 percent of its volume is derived from fermented juice of fruit grown within California; except that wine spirits produced in California from residues of wines, which contain grapes grown outside of California, may be used in the production of wines bearing the appellation of origin “California” or subdivisions thereof, subject to all of the following limitations:
(A) The wine shall not derive more than 1 percent of its volume from fruit grown outside California.
(B) The non-California portion shall be derived solely from residue wine spirits.
(C) Grapes, juice, concentrate, wine or other distilling material shall not be imported into California for distilling of wine spirits for use under this Section, and
(2) It has been fully produced and finished within the State of California, and
(3) It conforms to the requirements of these regulations; provided, that no wine shall be entitled to an appellation of origin in violation of Section 25236 or Section 25237 of the California Alcoholic Beverage Control Act.
NOTE

Authority cited: Sections 208, 26202 and 26515, Health and Safety Code. Reference: Section 26515, Health and Safety Code.
HISTORY

1. Amendment filed 8-10-78; effective thirtieth day thereafter (Register 78, No. 32).
2. New NOTE filed 3-21-84 (Register 84, No. 12).
§17075. Labeling.
Note     •     History

(a) Certificate. The permittee responsible for labeling shall, upon request of the Department, furnish adequate proof that a valid certificate of label approval for all labels has been obtained from the U. S. Treasury Department and that such certificate is unrevoked at the time the wine is offered for sale; provided a wine shall not be deemed to be mislabeled, if its label fails to conform to the federal requirements only in those particular respects which are specifically authorized in this Article.
(b) Service Containers. The prescribed mandatory information requirement shall not apply to containers used solely for service purposes, where such containers are filled on retail premises just before sale and for immediate use thereon.
NOTE

Authority cited: Sections 208, 26202 and 26515, Health and Safety Code. Reference: Section 26515, Health and Safety Code.
HISTORY

1. Amendment filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
§17076. Combination Wines.
History

HISTORY

1. Repealer filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
§17090. Advertising of Wine.
History

HISTORY

1. Repealer filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
§17100. Sanitation.
History

HISTORY

1. Repealer filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
§17105. Enforcement.
History

HISTORY

1. Repealer filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
§17116. Constitutionality.
History

HISTORY

1. Repealer filed 3-14-85; effective thirtieth day thereafter (Register 85, No. 11).
Article 15. Distilled Spirits Standards
§18000. California Brandy.
Note     •     History

(a) A grape brandy shall be entitled to the appellation “California” only if:
(1) 100% of its volume is derived at the time of distillation from grapes grown within the State of California or from California wine and
(2) It has been fully distilled within the State of California.
NOTE

Authority cited: Sections 208 and 26514, Health and Safety Code. Reference: Section 26514, Health and Safety Code.
HISTORY

1. Repealer of Article 15 (Sections 18000-18135, not consecutive) filed 9-1-78; effective thirtieth day thereafter (Register 78, No. 35). For prior history, see Register 75, No. 19.
2. New Article 15 (Section 18000) filed 11-29-79; effective thirtieth day thereafter (Register 79, No. 48).
3. Amendment filed 8-14-81; effective thirtieth day thereafter (Register 81, No. 33).
Article 16. Processed Pet Food Regulations
§19000. Order Promulgating Standards.
Note     •     History

NOTE

Authority cited: Sections 208, 27010 and 27040, Health and Safety Code. Reference: Sections 27010 and 27040, Health and Safety Code.
HISTORY

1. Repealer and new Article 16 (Sections 19000 through 19040, not consecutive) filed 8-10-70; effective thirtieth day thereafter (Register 70, No. 33). For prior history, see Registers 60, No. 3, and 64, No. 11.
2. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§19001. Intent of Regulations.
Note     •     History

NOTE

Authority cited: Sections 208, 27010 and 27040, Health and Safety Code. Reference: Sections 27010 and 27040, Health and Safety Code.
HISTORY

1. Repealer filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§19005. Definitions.
Note     •     History

(a) “Complete food” means a nutritionally adequate pet food compounded by a specific formula to be fed as the sole ration and capable of maintaining life and/or promoting normal reproduction in healthy pets without any additional substance being consumed except water, based upon the recommendations of recognized authority in the field of animal nutrition.
(b) “Balanced food” means a pet food having all known required nutrients in a proper amount and proportion based upon the recommendations of recognized authority in the field of animal nutrition for a given set of physiological animal requirements.
(c) “Edible” as used in this article is to be construed as food fit to be eaten by dogs, cats, or other domestic animals.
(d) “Meat” means the clean, wholesome flesh derived from slaughtered mammals and is limited to that part of the striated muscle which is skeletal or that which is found in the tongue, in the diaphragm, in the heart, or in the esophagus; with or without the accompanying and overlying fat, and the portions of skin, sinew, nerve and blood vessels which normally accompany the flesh. The term “meat” when applied to the corresponding portions of mammals other than cattle, swine, sheep and goats shall be used in qualified form, for example, “horsemeat.”
(e) “Meat by-products” is the non-rendered, clean, wholesome parts of the carcass of slaughtered mammals such as lungs, spleens, kidneys, brains, liver, stomach, bone, blood, and intestines free of their contents. It does not include skin, horns, teeth and hoofs. The term “meat by-products” when applied to the corresponding portions of mammals other than cattle, swine, sheep and goats shall be used in qualified form, as, for example, “horsemeat by-products.”
(f) “Poultry” means the eviscerated carcass of slaughtered poultry, exclusive of the head, feet and feathers.
(g) “Poultry parts” means the clean, wholesome parts of dressed poultry characterized by large portions of bone such as necks, backs, and wings exclusive of feet, heads, viscera and feathers.
(h) “Poultry by-products” means the non-rendered, clean parts of carcasses of slaughtered poultry such as heads, feet, and viscera free from fecal content and foreign matter, except in such trace amounts as might occur unavoidably in good factory practice.
(i) “Giblet” means the edible heart, liver, and gizzard of poultry.
(j) “Fish” means the fish and/or any part of fish used as a pet food ingredient with or without removal of entrails, head, tail and fins, except as provided in paragraph (k) of this section.
(k) “Fish by-products” means the heads, fins, tail ends, bones, skin and viscera of fish.
(l) “Fish meal” means the dried ground whole fish or fish cuttings, either or both, with or without extraction of part of the oil.
(m) The common names and definitions of other ingredients used in the processing of pet foods shall be those recognized in the Official Publication of Feed Control by the Association of American Feed Control Officials (AAFCO) Incorporated and/or the U.S. Department of Agriculture.
NOTE

Authority cited: Sections 208 and 27040, Health and Safety Code. Reference: Section 27040, Health and Safety Code.
HISTORY

1. Amendment filed 9-27-85; effective thirtieth day thereafter (Register 85, No. 40).
§19010. Chemical Analysis.
Note     •     History

(a) All canned pet food shall comply with the following analysis:
(1) Crude protein content--a minimum of 7 1/2 percent
(2) Crude fat content--a minimum of 2 percent
(3) Crude fiber content--a maximum of 1 1/2 percent
(4) Moisture content--a maximum of 78 percent or the natural moisture content of the constituent ingredients of the product, whichever is greater.
(b) All semi-moist pet food shall comply with the following analysis:
(1) Crude protein content--a minimum of 12 percent
(2) Crude fat content--a minimum of 5 percent
(3) Crude fiber content--a maximum of 5 percent
(4) Moisture content--a maximum of 65 percent
(c) All dry pet food shall comply with the following analysis:
(1) Crude protein content--a minimum of 18 percent
(2) Crude fat content--a minimum of 4 percent
(3) Crude fiber content--a maximum of 10 percent
(4) Moisture content--a maximum of 18 percent
NOTE

Authority cited: Sections 208 and 27040(a), Health and Safety Code. Reference: Sections 27033 and 27040, Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 4-13-84 (Register 84, No. 15).
§19015. Exemptions.
Note     •     History

(a) Treats, candy and special diet for pets are exempt from the minimum and maximum requirements of the chemical analysis but shall comply with Section 19025, of this Article.
(b) A processed pet food consisting entirely of gravy, sauce, broth or juice, when so labeled, is exempt from the requirements of paragraphs (a), (b), and (c) of Section 19010 and paragraph (b) of Section 19025 of this Article.
NOTE

Authority cited: Sections 208 and 27040(a), Health and Safety Code. Reference: Sections 27033 and 27040(a), Health and Safety Code.
HISTORY

1. Editorial correction filed 4-13-84 (Register 84, No. 15).
§19020. Required Verifications.
Note     •     History

(a) Prior to offering a processed pet food for sale in California, each pet food manufacturer shall submit in triplicate to the Department, the following:
(1) A complete list of the pet food ingredients by their common or usual name, and in order of their predominance by weight. The percentage of each ingredient derived from mammals, poultry, or fish shall be stated for each formula when the product is as defined in Section 19025, paragraphs (i), (j), (k), and (l) of this Article.
(2) copies of each label for all processed pet foods.
(b) Manufacturers of processed pet foods shall, upon request, supply verification of formulas, and/or flavor ingredients or claims to the State Department of Public Health.
NOTE

Authority cited: Sections 208 and 27040, Health and Safety Code. Reference: Sections 27031, 27032, 27033, 27034 and 27040(a) and (d), Health and Safety Code.
HISTORY

1. Editorial correction filed 4-13-84 (Register 84, No. 15).
§19025. Labeling and Restrictions.
Note     •     History

(a) The words “dog food,” “cat food,” or similar designations shall appear conspicuously upon the principal display panels of the pet food labels.
(b) The following shall appear on the label:
“Guaranteed Analysis”

	Crude protein	--minimum 	%
	Crude fat	--minimum 	%
	Crude fiber	--maximum 	%
	Moisture	--maximum 	%
Additional guarantees, if any, shall follow crude fiber.
(c) The ingredients used in the manufacture of the processed pet food shall be listed in the ingredient statement on the label by their common or usual name as defined in Section 19005 of this Article in their descending order of predominance by weight. When water is added in the preparation of a processed pet food, a statement of that fact, for example, “sufficient water has been added for processing,” may appear at the conclusion of the ingredient list.
(d) No product or any of its wrappers, packaging or other containers shall bear any false or misleading marking, label or other labeling, and no statement, word, picture, design, or device which gives a false indication of origin, quality or flavor. No product shall be wholly or partly enclosed in any wrapper, packaging or other container that is so made, formed, or filled as to be misleading.
(e) All labels shall also comply with the provisions of Sections 27031, 27032, 27033, and 27034 of the California Health and Safety Code and the U.S. Fair Packaging and Labeling Act.
(f) A processed pet food shall not be labeled a specific flavor unless a sufficient amount of that ingredient is used to impart such characteristic flavor and/or odor to the finished product which is detectable by a recognized test method, or is one the presence of which provides a characteristic distinguishable by the pet. Any flavor designation on a pet food label must either conform to the name of its source as shown in the ingredient statement or the ingredient statement shall show the source of the flavor.
(g) The terms “fit for human food,” “fit for human consumption,” or any similar terms are prohibited on the labels or in advertisements of a processed pet food.
(h) The name of the processed pet food shall not be derived from one or more ingredients of a mixture to the exclusion of other ingredients and shall not be one representing any components of a mixture of a pet food product unless all components or ingredients are included in the name except as specified in paragraphs (f), (i), (j), (k) and ( l) of this section; provided, that if any ingredient or combination of ingredients is intended to impart a distinctive characteristic to the product which is significant to the purchaser, the name of that ingredient or combination of ingredients may be used as a part of the name of the pet food if:
(1) the ingredient or combination of ingredients is present in sufficient quantity to impart a distinctive characteristic to the product;
(2) it does not constitute a representation that the ingredient or combination of ingredients is present to the exclusion of other ingredients; and
(3) it is not otherwise false or misleading.
(i) When an ingredient or a combination of ingredients derived from mammals, poultry, or fish constitutes 95% or more of the total weight of all ingredients of a pet food mixture, the name or names of such ingredient(s) may form a part of the product name of the pet food, provided that where more than one such ingredient is part of the product name, then all such ingredient names shall be in the same size, style, and color print on the front panel of the label, in their descending order of predominance by weight.
(j) When an ingredient or a combination of ingredients derived from mammals, poultry, or fish constitutes 50% or more of the total weight of all ingredients of a pet food mixture, the name or names of such ingredient(s) may form a part of the product name of the pet food, when the product name also includes a descriptive term “with gravy,” “with sauce,” or similar connotation which will fully describe the contents of the pet food mixture. All such ingredient name(s) shall be in descending order of predominance by weight. The ingredient name(s) shall be in the same size, style, and color print on the front panel of the label and the descriptive term shall follow immediately after or below the ingredient name(s) in conspicuous size lettering in the same style and color print.
(k) When an ingredient or a combination of ingredients derived from mammals, poultry, or fish, constitutes 25% or more of the total weight of all ingredients of a pet food mixture, the name or names of such ingredient or ingredients may form a part of the product name of the pet food only if the product name also includes a primary descriptive term such as “balls,” “cakes,” “loaf,” “croquettes,” or “stew,” so that the product name describes the contents of the product in accordance with an established law, custom, or usage, or so that the product name is not misleading. All such ingredient names and the primary descriptive term shall be in the same size, style and color print.
(l) A product shall not be described on the label or in advertising as “all meat” or “100% meat” or “all tuna” or “all chicken” or otherwise represented as being composed wholly of a named ingredient if it contains other added ingredients such as the by-products of meat, poultry, or fish. However, for the purpose of this provision, water sufficient for processing, required denaturing agents, and trace amounts of preservatives and condiments shall not be considered ingredients.
(m) Terms such as “burger,” “chunk,” “patty,” “cube,” “loaf,” “croquette” and other of similar import, shall not be used to describe a product or an ingredient thereof which does not have substantially the shape or form so represented when it is sold to the retail purchaser.
(n) The names of ingredients shall not be used in advertising, labeling, brand or trade name, or otherwise, so as to misrepresent directly or by implications the identity of an ingredient or the composition of a processed pet food.
(o) A vignette, graphic, or pictorial representation of a product on a processed pet food label shall not misrepresent the contents of the package.
(p) Inspection Legend. Upon receipt of written permission from the Department, the following statement may be placed on the labels or can end of pet food packed in compliance with the provisions of the Laws Relating to Cannery Inspection: “STERILIZED UNDER THE SUPERVISION OF AND ACCORDING TO THE REGULATIONS OF THE CALIFORNIA STATE DEPARTMENT OF HEALTH SERVICES.”
NOTE

Authority cited: Sections 208 and 27040(a), and (d), Health and Safety Code. Reference: Sections 27031, 27032, 27034 and 27040, Health and Safety Code.
HISTORY

1. Editorial correction filed 4-13-84 (Register 84, No. 15).
§19030. Manufacturing Requirements.
Note     •     History

(a) Pet food ingredients used to manufacture a processed pet food shall be sound, clean, and wholesome and shall conform to the provisions of the California Pure Pet Food Act of 1969.
(b) All stomachs, intestines, and/or other such by-products, which are used in the manufacture of processed pet food, shall be thoroughly washed and inspected for fecal or foreign contamination. 
(c) Meat meal, meat and bone meal, meat scraps, and other similar meat products may be used only if they have been produced in a plant approved by a federal, state, or municipal inspection agency.
(d) All processed pet food packed in hermetically sealed containers shall be processed in such a manner as to achieve commercial sterility in all units packed.
(e) All processed pet food not packed in hermetically sealed containers shall be processed so as to render the product free of salmonella, or other pathogenic microorganisms which are transmissible to man or animal.
NOTE

Authority cited: Sections 208 and 27040(c), Health and Safety Code. Reference: Sections 27030 and 27040(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 4-13-84 (Register 84, No. 15).
§19035. Magnet to Remove Ferrous Material.
Note     •     History

(a) All pet food processors are hereby required to install between the cooker and the filling machine a magnetic separator with a holding power of not less than 125 pounds per square inch to remove ferrous material. The magnetic exposure area shall be not less than 6 inches by 10 inches.
(1) The magnet shall be so installed that the material to be processed shall pass the magnet in a relatively thin stream.
(2) If an electro-magnet is used it shall be fitted with a trap to prevent any material already removed from passing to the filler, in the event of a power failure. The switch operating an electro-magnet shall be equipped with a red signal light.
(b) A magnetic separator specified in Section 19035(a) is not required if it is demonstrated to the Department's satisfaction that equivalent protection is being provided by the use of other methods or devices.
NOTE

Authority cited: Sections 208 and 27040(c), Health and Safety Code. Reference: Sections 27030 and 27040(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 4-13-84 (Register 84, No. 15).
§19040. Arsenic and Lead Tolerance in Animal Food.
Note     •     History

The tolerance for arsenic in processed pet food is established at 1/20 (0.05) grain per pound and for lead at 1/60 (0.0167) grain per pound.
NOTE

Authority cited: Sections 208 and 27040(c), Health and Safety Code. Reference: Sections 27030 and 27040(c), Health and Safety Code.
HISTORY

1. Editorial correction adding NOTE filed 4-13-84 (Register 84, No. 15).
§19041. Pet Food Licenses and Certificates.
Note     •     History

(a) Licenses and certificates for pet food processors will be valid for a two-year period from date of issue and are not transferable. The fee for the license or certificate is $200.00.
(b) Application for a Processed Pet Food license or certificate shall be made on State Department of Health form #446-129 or #446-130 respectively.
(c) The fee shall accompany the application and shall not be refundable.
(d) The licensee shall immediately notify the Department of any change in the information which was submitted on the license or certificate application.
NOTE

Authority cited: Sections 208 and 221, Health and Safety Code. Reference: Section 221, Health and Safety Code.
HISTORY

1. New section filed 7-21-76; effective thirtieth day thereafter (Register 76, No. 30).
§19043. Sources of Poultry Meat.
Note     •     History

Only poultry meat or poultry product from state or federally inspected poultry processing plants may be used in animal foods.
NOTE

Authority cited: Sections 208, 26202, 26510 and 27040, Health and Safety Code. Reference: Sections 27033, 27040 and 27041, Health and Safety Code.
HISTORY

1. Editorial correction renumbering former Section 11375 to new Section 19043 filed 4-13-84 (Register 84, No. 15).
Subchapter 3. Vector Control

(Originally Printed 5-14-49)
Group 1. Standards Governing State Aid to Local Mosquito Control Agencies
NOTE

Authority cited: Sections 208 and 402, Health and Safety Code. Reference: Section 402, Health and Safety Code.
HISTORY

1. New § 30001-30053, inclusive, filed 5-3-49 (Register 16, No. 3).
2. Repealer of Group 1 (Articles 1-7, Sections 30001-30053, not consecutive) filed 2-5-85; effective thirtieth day thereafter (Register 85, No. 6).
Group 2. Standards Governing Certification of Local Vector Control Agency Personnel
Article 1. Definitions
§30001. Certified Technician.
Note     •     History

“Certified Technician” means any employee of a vector control agency who has passed the Department's certification examination as specified in section 30055 and is required by section 30061 to obtain continuing education units in order to independently handle, apply, or supervise the application of any pesticide as part of such employee's official duties. 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30003. Certified Technician (Limited).
Note     •     History

“Certified Technician (Limited)” means any employee of a vector control agency who has passed the Department's certification examination as specified in section 30055, but who is exempt under section 30061 from continuing education requirements. A Certified Technician (Limited) may not handle or apply a pesticide as part of his or her official duties except under the direct supervision of a Certified Technician, or as permitted under section 30061(d). 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30005. Continuing Education Unit.
Note     •     History

“Continuing Education Unit (CEU)” means a unit value assigned to educational activities approved by the Department equal to one unit for each 50 to 60 minute segment of instruction as determined by the Department. 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30007. In-Service Training.
Note     •     History

“In-Service Training” means training given within an agency on subjects directly related to vector control duties. 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30009. Pesticide Label.
Note     •     History

“Pesticide Label” means the written, printed or graphic matter on, or attached to, the pesticide or device or any of its containers or wrappers.
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation oflaw on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30011. Relevant Vectors.
Note     •     History

“Relevant Vectors” means those vectors normally included within a group of vectors falling within the category of each vector control certificate and which employee of a vector control agency may be expected to control when working within a particular certificate specialty.
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30013. Under the Direct Supervision of.
Note     •     History

“Under the Direct Supervision of” means the act or process whereby a pesticide is applied by a Certified Technician (Limited) or a Vector Control Aide acting under the instructions and control of a Certified Technician who is responsible for the actions of that person and who is available if and when needed even though such certified technician is not physically present at the time the pesticide is applied. A Certified Technician shall be physically present during the application of a pesticide when required by the pesticide label. 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-1-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30015. Vector.
Note     •     History

“Vector” means any animal that meets the definition of section 402.1 of the Health and Safety Code. 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30017. Vector Control Aide.
Note     •     History

“Vector Control Aide” means a person who is employed by a vector control agency but is not certified under Section 30055 and may not handle or apply a pesticide as part of his or her official duties except under the direct supervision of a Certified Technician or as permitted under section 30061(d). 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30019. Vector Control Agency.
Note     •     History

“Vector Control Agency” means any government agency, including but not limited to a mosquito abatement district, vector control district, pest abatement district, environmental health department, or public health department, which conducts an ongoing program within its jurisdiction to reduce vector populations in order to protect the public health and well-being. 
NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d), 402.1, 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. New section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
2. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
3. New section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30054. Definitions.
Note     •     History

NOTE

Authority cited: Sections 208 and 402(d), Health and Safety Code. Reference: Sections 402(d) and 402.1, Health and Safety Code. 
HISTORY

1. Repealer and new article 1 (section 30054) filed 12-19-78; effective thirtieth day thereafter (Register 78, No. 51). For history of prior section, see Register 74, No. 5. 
2. Amendment filed 2-5-85; effective thirtieth day thereafter (Register 85, No. 6). 
3. Repealer filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90. 
4. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
5. Repealer filed 11-16-90; operative 11-16-90 pursuant to Government Code 11346.1(d) (Register 90, No. 52).
Article 2. Certification Examination
§30055. Examination Requirements.
Note     •     History

Any person employed by a vector control agency as a Certified Technician or Certified Technician (Limited) shall pass, with a score of 70 percent or higher, the Public Health Pest Control Certified Technician Examination administered by the Department. 
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 402(d), 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. Repealer of article 2 (sections 30060-30061) and new article 2 (sections 30055-30059) filed 12-19-78; effective thirtieth day thereafter (Register 78, No. 51). For history of prior Article, see Register 74, No. 5. 
2. Repealer and new section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90. 
3. Editorial correction of printing error of NOTE (Register 89, No. 49). 
4. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
5. Repealer and new section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30056. Examination Content.
Note

(a) The written examination for certification of vector control agency personnel shall consist of questions covering the following areas:
(1) Label and labeling comprehension--factors including:
(A) The general format and terminology of pesticide labels and labeling;
(B) The understanding of instructions, warnings, terms, symbols, and other information commonly appearing on pesticide labels;
(C) Classification of the product, general or restricted; and
(D) Necessity for use consistent with the label.
(2) Safety--factors including:
(A) Pesticide toxicity and hazard to man;
(B) Common exposure routes;
(C) Common types and causes of pesticide accidents;
(D) Precautions necessary to guard against injury to applicators and other individuals in or near treated areas, including medical supervision;
(E) Need for and use of protection clothing and equipment;
(F) Symptoms of pesticide poisoning;
(G) First aid and other procedures to be followed in case of a pesticide accident; and
(H) Safe and proper procedures for identification, storage, transport, handling, mixing of pesticides and disposal of pesticides and used pesticide containers, including precautions to prevent access by children.
(3) Environment--The potential environmental consequences of the use and misuse of pesticides as may be influenced by such factors as climate and weather, non-target organisms, and drainage patterns.
(4) Vectors--factors such as:
(A) A knowledge of relevant vectors and their distribution;
(B) Recognition of relevant vectors by distinguishing features of the vector organisms and/or characteristics of damage or other signs;
(C) Vector development and biology (life cycles) relevant to identification and control;
(D) Public health importance of relevant vectors, including a practical knowledge of vector-borne disease transmission, as it relates to and influences control programs; and
(E) Habitats where relevant vectors occur, including a practical knowledge of those environments.
(5) Pesticides--factors such as:
(A) Types of pesticides;
(B) Types of formulations;
(C) Characteristics of pesticides and formulations, including compatibility, synergism, persistence, and animal and plant toxicity;
(D) Hazards and residues associated with use, including applicable laws and regulations;
(E) Factors which influence effectiveness or lead to such problems as resistance to pesticides; and
(F) Dilution procedures.
(6) Pesticide application equipment and techniques--factors including:
(A) Types of equipment and their uses, advantages, and limitations;
(B) Maintenance of equipment;
(C) Calibration of equipment;
(D) Operating procedures and techniques used to apply various formulations of pesticides;
(E) A knowledge of the most effective equipment and technique of application to use in a given situation;
(F) Relationship of discharge and placement of pesticides to proper use, unnecessary use, and misuse; and
(G) Prevention of drift and pesticide loss into the environment.
(7) Non-chemical control methods--A practical knowledge of the importance and use of such methods as sanitation, waste management, drainage, exclusion, trapping, public education, and legal abatement.
(8) Record Keeping--A familiarity with the principles and practices of biological and operational documentation.
(9) Supervisory Requirements--A practical knowledge of State and Federal supervisory requirements, including labeling, regarding the application of restricted materials by a technician's aide.
(10) Laws and Regulations--A basic knowledge of applicable State and Federal laws and regulations.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 1800-1813 and 2200-2910, Health and Safety Code.
§30056.1. Interpretation of Dates.
Note     •     History

For purposes of this Article:
(a) Submission of an application shall be deemed to occur on the date the application form is received by the Department.
(b) Filing of a completed application shall be deemed to occur when all information required to be submitted on an application form has been received by the Department.
(c) Written notifications by the Department to applicants shall be deemed to occur on the date the notifications are postmarked.
NOTE

Authority cited: Sections 208 and 402, Health and Safety Code; and Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY

1. New section filed 4-11-85; effective thirtieth day thereafter (Register 85, No. 15).
§30056.2. Applications.
Note     •     History

(a) To apply for admission to the Public Health Pest Control Certified Technician Examination, the applicant shall complete an Application for Admission to the Public Health Pest Control Certified Technician Examination, FORM EH 173 (2/88). The application form shall include the applicant's name and job title, the employing agency's name and address, and the signatures of the applicant and the agency administrator. The form shall be completed, signed, and submitted in accordance with directions printed on or provided with the form. 
(b) Within 14 calendar days after submission of an application for admission to the examination, the Department shall notify the applicant in writing, through the vector control agency where the applicant is employed, that the application is complete and accepted for filing, or that the application is deficient, and what specific information is required to complete the application. Notification of acceptance shall be in the form of a copy of the application form, marked “approved,” which shall be returned to the applicant. If deficient, the entire application shall be returned to the applicant. 
NOTE

Authority cited: Sections 208 and 402, Health and Safety Code. Reference: Section 402, Health and Safety Code. 
HISTORY

1. New section filed 4-11-85; effective thirtieth day thereafter (Register 85, No. 15). 
2. Amendment filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90.
3. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
4. Amendment filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
§30056.3. Admission to Examination.
Note     •     History

Admission to an examination shall be permitted upon presentation by the applicant of an approved copy of the application form, as provided pursuant to Section 30056.2(b).
NOTE

Authority cited: Sections 208 and 402, Health and Safety Code. Reference: Section 402, Health and Safety Code.
HISTORY

1. New section filed 4-11-85; effective thirtieth day thereafter (Register 85, No. 15).
§30056.4. Notification of Examination Results.
Note     •     History

The Department shall notify the applicant in writing, through the vector control agency where the applicant is employed, of the examination result and decision on the certification, within 118 calendar days after the filing of a completed application.
NOTE

Authority cited: Sections 208 and 402, Health and Safety Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 4-11-85; effective thirtieth day thereafter (Register 85, No. 15).
§30056.5. Processing Times.
Note     •     History

The Department's minimum, maximum, and median time periods for processing a certificate, from the receipt of the initial applications to notification of the final certification decision regarding results of the examination for certification, based on the Department's actual performance during the two years immediately preceding the proposal of this regulation, were as follows:
(a) The median time was 54 calendar days.
(b) The minimum time was 50 calendar days.
(c) The maximum time was 118 calendar days.
NOTE

Authority cited: Sections 208 and 402, Health and Safety Code; and Section 15376, Government Code. Reference: Section 15376, Government Code.
HISTORY

1. New section filed 4-11-85; effective thirtieth day thereafter (Register 85, No. 15).
§30057. Expiration.
Note     •     History

NOTE

Authority cited: Sections 208 and 402, Health and Safety Code. Reference: Section 402, Health and Safety Code.
HISTORY

1. Repealer filed 2-5-85; effective thirtieth day thereafter (Register 85, No. 6).
§30058. Denial, Suspension, or Revocation.
Note

(a) The Director may deny, suspend, or revoke any certificate for any of the following reasons:
(1) Failure to adequately supervise the use of a restricted material.
(2) Failure to obtain a restricted material permit when required.
(3) Failure to comply with any applicable provision of Divisions 6 or 7 of the Food and Agricultural Code or regulations adopted pursuant to such provisions.
(4) Failure to record each restricted material use and submit such record as required by law or regulations.
(5) Making any false or fraudulent record.
(6) Operating in a faulty, careless, or negligent manner.
(7) Failure to qualify by examination.
(b) Any action to deny, suspend or revoke such certificate shall be heard under the Administrative Procedure Act, Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code; provided, however, if the Director finds that the protection of the public welfare or safety requires immediate action, he or she may, without hearing, temporarily suspend or condition the certificate and shall forthwith schedule the matter for hearing. The Director may terminate such temporary suspension or condition upon corrective action as he or she deems satisfactory to assure compliance with the requirements of the law and the regulations.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 1800-1813 and 2200-2910, Health and Safety Code.
§30059. Records.
Note     •     History

NOTE

Authority cited: Sections 208 and 402, Health and Safety Code. Reference: Section 402, Health and Safety Code.
HISTORY

1. Repealer filed 2-5-85; effective thirtieth day thereafter (Register 85, No. 6).
Article 3. Continuing Education
§30061. Continuing Education Requirements.
Note     •     History

(a) Except as provided in (d), any employee of a vector control agency who independently handles, applies, or supervises the application of any pesticide as part of his or her official duties shall obtain the following continuing education units (CEU) within each two year period following initial date of certification: 
(1) Minimum Prerequisite CEU for all specialty certificates: 
(A) Pesticide use and safety--ten CEU. 
(B) Animal biology and ecology--two CEU. 
(C) In-service training--four CEU. 
(2) Additional minimum CEU for each specialty certificate: 
(A) Mosquito Control--six CEU on mosquitoes and two CEU on other aquatic invertebrates and their control. 
(B) Terrestrial Invertebrate Control--six CEU on domestic flies, fleas, and ticks; two CEU on other terrestrialinvertebrate vectors, and their control. 
(C) Vertebrate Control--eight CEU on rodents and on other vertebrate vectors, and their control. 
(b) Failure to attain minimum CEU in any specialty area shall result in the down-grading of certification in the specialty in which the Certified Technician is delinquent, to the Certified Technician (Limited) status. 
(c) Reinstatement to Certified Technician status shall be subject to the approval of the Department upon proofof minimum CEU and proof of payment of all current fees. 
(d) The foregoing continuing education requirements are not applicable to the following: 
(1) Employees who use insignificant amounts of compounds commonly used for pest detection during inspections. 
(2) Persons who do not handle, apply, or supervise the application of any pesticides for public health purposes. 
(3) Employees involved only in research and development of public health pesticides. 
NOTE

Authority cited: Sections 208, 2202 and 2805, Health and Safety Code. Reference: Sections 402(d), 403, 2202 and 2805, Health and Safety Code. 
HISTORY

1. Repealer of section, and new Article 3 (section 30061) filed 12-19-78; effective thirtieth day thereafter (Register 78, No. 51). For history of former section, see Register 74, No. 5. 
2. Amendment filed 2-5-85; effective thirtieth day thereafter (Register 85, No. 6). 
3. Repealer and new section filed 9-25-89 as an emergency; operative 9-25-89 (Register 89, No. 39). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 1-23-90. 
4. Certificate of Compliance for 9-25-89 order transmitted to OAL 1-22-90 and disapproved by OAL on 2-21-90 (Register 90, No. 52).
5. Repealer and new section filed 11-16-90; operative 11-16-90 pursuant to Government Code section 11346.2(d) (Register 90, No. 52).
Subchapter 3.1. Implementation of the Emergency Mosquito Abatement Funding Act of 1983
Article 1. General Provisions
§30062. Definitions.
Note     •     History

The following definitions shall apply to this subchapter:
(a) “Local agency” means a county which has established an emergency mosquito abatement trust account pursuant to Article 4 (commencing with Section 25850) of Chapter 8 of Part 2 of Division 2 of Title 3 of the Government Code; or a mosquito abatement district or vector control district which has established an emergency mosquito abatement trust fund pursuant to Article 5.1 (commencing with Section 2315) of Chapter 5 of Division 3 of the Health and Safety Code; or a pest abatement district which has established an emergency mosquito abatement trust fund pursuant to Article 4.1 (commencing with Section 2877) of Chapter 8 of Division 3 of the Health and Safety Code.
(b) “Threat to the public health and safety” means the actual or scientifically predictable presence of mosquitoes in such numbers that, in the judgment of the Department, there is a strong probability that:
(1) Mosquitoborne pathogens will be transmitted to humans; or
(2) There will be substantial interference with the normal enjoyment of life or property by an entire community or neighborhood, or by any considerable number of persons.
NOTE

Authority cited: Section 25852(e), Government Code; and Sections 208 and 2317(e), Health and Safety Code. Reference: Section 2317(d), Health and Safety Code; and Section 25852(d), Government Code.
HISTORY

1. Renumbering of former Subchapter 3.1 to Subchapter 3.2 and new Subchapter 3.1 (Articles 1-3, Sections 30062-30066, not consecutive) filed 7-27-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-26-84.
2. Repealed by operation of Government Code Section 11346.1(g) (Register 84, No. 48).
3. Renumbering of former Subchapter 3.1 to Subchapter 3.2 and new Subchapter 3.1 (Articles 1-3, Sections 30062-30066, not consecutive) filed 11-26-84 as an emergency; effective upon filing (Register 84, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-26-85.
4. Certificate of Compliance filed 3-21-85 (Register 85, No. 12).
Article 2. Conditions Governing Expenditure of the Emergency Mosquito Abatement Trust Account or Fund
§30064. Application for Expenditure.
Note

(a) When a local agency applies to the Department for authority to expend any portion of the principal of the emergency mosquito abatement trust account (if the local agency is a county) or emergency mosquito abatement trust fund (if the local agency is a mosquito abatement district, vector control district, or pest abatement district) it shall apply for the expenditure in writing, by telephone, or other rapid means, but shall confirm in writing within 3 working days.
(b) The application for expenditure shall include the following:
(1) Whether the imminent threat to the public health and safety is due to either an actual outbreak or to an expected outbreak of mosquitoes, or both;
(2) The mosquito species involved;
(3) Other areas involved;
(4) The specific control actions proposed;
(5) The approximate dates of the proposed actions;
(6) The name of the person who will supervise the proposed actions and the vector control certificates or licenses possessed by that person; and
(7) The amount of the principal proposed to be expended.
NOTE

Authority cited: Section 25852(e), Government Code; and Sections 208 and 2317(e), Health and Safety Code. Reference: Section 2317(d), Health and Safety Code; and Section 25852(d), Government Code.
Article 3. Criteria for Determining If a Local Agency Has Established Adequate Emergency Mosquito Abatement Procedures
§30066. Criteria for Emergency Mosquito Abatement Procedures.
Note

The emergency mosquito abatement procedures shall be adequate if: (a) The local agency's program is under the direct supervision of: 
(1) A technician certified in mosquito control pursuant to Section 402 of the Health and Safety Code; or
(2) Any person who is licensed in health-related pest control pursuant to Chapter 1 (commencing with Section 11401) and Chapter 2 (commencing with Section 11501) of Division 6 of the Food and Agricultural Code; and
(b) The Department finds that the proposed emergency mosquito abatement procedures are proven effective in the reduction of the imminent threat to the public health and safety.
NOTE

Authority cited: Sections 208 and 2317(e), Health and Safety Code; and Section 25852(e), Government Code. Reference: Section 2317(e), Health and Safety Code; and Section 25852(e), Government Code.
Subchapter 3.2. Importation of Wild Animals
Article 1. General
§30070. Purpose and Scope.
Note     •     History

These regulations are intended to provide safeguards for the protection of persons in the State of California from disease hazards associated with imported wild animals. The regulations apply to all persons, including but not limited to the following: educational and research institutions, zoological gardens, schools, colleges, universities, pet stores, animal care facilities, and laboratories, who import, hold, sell, purchase or possess any wild animal for which an import permit is required under the provisions of Chapter 14, Division 20, California Health and Safety Code.
NOTE

Authority cited: Sections 102, 208 and 25990.5, Health and Safety Code. Reference: Sections 25990 through 25994.8, Health and Safety Code.
HISTORY

1. New Subchapter 3.1 ( 30070 through 30086) filed 10-8-70; effective thirtieth day thereafter (Register 70, No. 41).
2. Renumbering of former Subchapter 3.1 to Subchapter 3.2 and new Subchapter 3.1 (Articles 1-3, Sections 30062-30066, not consecutive) filed 7-24-84 as an emergency; effective upon filing (Register 84, No. 31). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-26-84. 3. Repealed by operation of Government Code Section 11346.1(g) (Register 84, No. 48).
4. Renumbering of former Subchapter 3.1 to Subchapter 3.2 and new Subchapter 3.1 (Articles 1-3, Sections 30062-30066, not consecutive) filed 11-26-84 as an emergency; effective upon filing (Register 84, No. 48). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 3-26-85.
5. Editorial correction of HISTORY NOTE Nos. 2-4 (Register 84, No. 48).
§30071. Definitions.
Note     •     History

For the purposes of these regulations:
(a) “Person” means any person, firm, association, organization, partnership, business trust, corporation, or company.
(b) “Department” means the State Department of Health Services.
(c) “Animal” means any wild animal or bird specified by the Department under provisions of Chapter 14, Division 20, of the Health and Safety Code.
(d) “Veterinarian” means a person authorized to practice veterinary medicine under provisions of Chapter 11, Division 2, California Business and Professions Code.
(e)“Standards” means the requirements with respect to the quarantine housing, handling, care, treatment, and transportation of imported animals.
(f) “Primate” means a nonhuman member of the highest order of mammals, including prosimians, monkeys, and apes as specified in Section 30072.
(g) “Euthanasia” means the humane destruction of an animal accomplished by a method that involves instantaneous unconsciousness and immediate death or by a method that involves anesthesia, produced by an agent which causes painless loss of consciousness, and death during such loss of consciousness.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Section 25990.5, Health and Safety Code.
HISTORY

1. Amendment filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
Article 2. Import Permits
§30072. Wildlife Admitted by Permit.
Note     •     History

No person shall import into or receive in this State any animals of the following orders, families, and genera specified herein without first obtaining a permit and paying to the Department such fees as required under these regulations.
(a) Birds (Class Aves). Admissible without permit from the department.
(b) Mammals (Class Mammalia)
(1) Primates (Order Primates)--Members of the following families, all genera therein:
Family Lorisidae, Genus Loris (Slender Loris), Genus Nycticebus (Slow Loris), Genus Arctocebus (Golden Potto), Genus Perdicticus (Potto), Genus Galago (Galago), and Genus Euoticus (Needle-clawed Galago).
Family Callithricidae, Genus Callithrix (Short-tusked Marmoset), Genus Cebuella (Pygmay Marmoset), Genus Saguinus (Long-tusked Marmoset), and Genus Leontideus (Lion-headed Marmoset).
Family Cebidae, Genus Aotus (Douroucoulis), Genus Callicebus (Titi Monkey), Genus Cacajao (Ukari), Genus Pithecia (Saki), Genus Chiropotes (Red-backed Saki), Genus Alouatta (Howler Monkey), Genus Cebus (Capuchin), Genus Saimiri (Squirrel Monkey), Genus Ateles (Spider Monkey), Genus Brachyteles (Woolly Spider Monkey), Genus Lagothrix (Woolly Monkey), and Genus Callimico (Goeldi's Marmoset).
Family Cercopithecidae, Genus Macaca (Macaque), Genus Cynomacaca (Celebes Macaque), Genus Cynopithcus (Celebes Crested Macaque), Genus Cercocebus (Mangabey), Genus Chaeropithecus (Baboon), Genus Comopithecus (Hamadryas Baboon), Genus Mandrillus (Mandrill), Genus Theropithecus (Gelada Baboon), Genus Cercopithecus (Guenon), Genus Miopithecus (Talapoin Monkey), Genus Allenopithecus (Allen's Monkey), Genus Erythrocebus (Patas Monkey), Genus Presbytis (Langur), Genus Pygathrix (Douc Langur), Genus Rhinopithecus (Snub-nosed Langur), Genus Simias (Mentawi Islands Snub-nosed Langur), Genus Nasalis (Proboscis Monkey), and Genus Colobus (Colobus Monkey).
Family Pongidae, Genus Hylobates (Gibbon), Genus Symphalangus (Siamang Gibbon), Genus Pongo (Orangutan), Genus Pan (Chimpanzee), and Genus Gorilla (Gorilla).
(2) Carnivores (Order Carnivora)--Members of the following families, all genera therein unless otherwise noted:
(A) Family Felidae, genus Felis and genus Panthera, consisting of New World species: F. pardalis (Ocelot), F. wiedii (Margay), F. tigrina (Little Spotted Cat), F. colocolo (Pampas Cat), F. geoffroyi (Geoffroy's Cat), F. guigna (Kodkod), F. jacobita (Gato Andina), F. yagouaroundi (Jaguarundi), and P. onca (Jaguar).
All other members of the family Felidae are admissible without permit from the Department.
(B) Family Canidae, genus Aopex (Arctic Fox), genus Vulpes (Red or Kit Fox), genus Urocyon (Gray Fox), and genus Canis, including all species other than Canis familiaris (the domestic dog).
All other members of the family Canidae are admissible without permit from the Department.
(C) Family Procyinidae, genus Bassariscus (Ring-Tailed Cat) and genus Procyon (Raccoon).
All other members of the family Procyinidae are admissible without permit from the Department.
(D) Family Musteldae, genus Mephitis (Striped Skunk) and genus Spilogale (Spotted Skunk).
All other members of the family Musteldae are admissible without permit from the Department.
(3) Bats (Order Chiroptera)--Members of all families, all genera therein.
NOTE

Reference should also be made to statutory provisions of the California Fish and Game Code and the joint regulations of the Fish and Game Commission and the California Department of Agriculture. Where question exists regarding the importation into and the keeping of live wild birds, mammals, amphibians, reptiles, crustaceans and fish in California, representatives of the Department of Fish and Game should be consulted.
NOTE

Authority cited: Sections 208, 25990.3 and 25990.5, Health and Safety Code. Reference: Sections 25990.3 and 25990.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(2), designation of (b)(2)(A) and new subsections (b)(2)(B)-(b)(3) and Note filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30073. Application for Import Permits.
Note     •     History

Import permits for animals listed under Section 30072 shall be issued only upon written application from the person desiring to import them. The application shall include but not be limited to the following:
(a) The number, common name, and true scientific name of each species (Example reference: Walker, E. P., and others. Mammals of the World. Baltimore, Johns Hopkins Press, 1975. Volumes I and II).
(b) The carrier and probable point of first arrival in this state of each shipment.
(c) The purpose for which they are to be imported (exhibition, research, sale to the public, etc.).
(d) The name and address of the consignee.
(e) The name and address of the consignor.
(f) The place or premise where the animals shall be held in quarantine pending the completion of such tests, veterinary examinations, and observation period as may be specified by the department in issuance of import permit. Adequate quarantine facilities must be available and approved by the department before issuance of the import permit can be made (See Sections 30077 and 30077.1).
(g) The name and address of the veterinarian who shall conduct the tests and examinations specified by the department.
(h) For personal pets only, the date of acquisition and name and address of supplier.
NOTE

Authority cited: Sections 208, 25990.5 and 25992.3, Health and Safety Code. Reference: Sections 25992 and 25992.3, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and new Note filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30073.1. Determination of Application Completeness and Notification.
Note     •     History

(a) Within 15 calendar days of receipt of an application for a wild animal importation permit, or a request for permit modification, the Department shall inform the applicant in writing either that the application is complete and accepted for filing, or that it is deficient and identify the additional specific information necessary for the application to be complete.
(b) The date on which the application is determined complete for filing, or on which the application is determined deficient shall be the date on which the Department's written notification to the applicant is postmarked.
NOTE

Authority cited: Section 15376, Government Code; and Sections 208 and 25992, Health and Safety Code. Reference: Section 15376, Government Code; and Section 25992, Health and Safety Code.
HISTORY

1. New section filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30073.2. Application Time Periods for Processing a Permit Based on Actual Performance.
Note     •     History

(a) The Department's time periods for processing a wild animal importation permit application, or a wild animal quarantine facility approval application, from the receipt of the initial application to the final decision regarding the permit or approval, are as follows:
(1) The median time for processing is:
(A) 10 calendar days for an importation permit application.
(B) 90 calendar days for a quarantine facility approval application.
(2) The minimum time for processing is:
(A) 5 calendar days for an importation permit application.
(B) 60 calendar days for a quarantine facility approval application.
(3) The maximum time for processing is:
(A) 15 calendar days for an importation permit application.
(B) 180 calendar days for a quarantine facility approval application.
NOTE

Authority cited: Section 15376, Government Code; and Sections 208 and 25992, Health and Safety Code. Reference: Section 15376, Government Code; and Section 25992, Health and Safety Code.
HISTORY

1. New section filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30074. Issuance of Import Permits.
Note     •     History

Issuance of import permits for animals listed under Section 30072 may be made by the Department upon:
(a) Submission of written application providing the information enumerated under Section 30073 not less than seven (7) days preceding the probable date of shipment, and
(b) if necessary, submission of a written application for Department approval of the wild animal quarantine facility, completion of an on-site inspection, and final approval of the quarantine facility or premise designated in the permit application, and 
(c) payment of the necessary permit fees required under Section 25992.8 of the Health and Safety Code and set forth under Section 30076 of these regulations, and
(d) determination by the Department that the public health and safety is not endangered, and
(e) approval of the probable point of first arrival into this State.
NOTE

Authority cited:  Sections 208, 25990.5, 25992.3 and 25992.8, Health and Safety Code. Reference:  Sections 25990.5, 25992, 25992.3 and 25992.8, Health and Safety Code.
HISTORY

1. Amendment of first paragraph, subsections (b) and (d) and new Note filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30074.1. Importation of Animals Under Special Permit.
Note     •     History

Permits not requiring the quarantine of imported wild animals may be issued by the Department under the following special conditions:
(a) Short-Term Exhibition of Captive Born and Raised Nonhuman Primates Having No Contact With the Public. Animals subject to these provisions (as specified under Section 30072) may be brought into the State for short-term nonresident exhibition purposes (e.g., circuses) under a short-term exhibition permit issued by the Department upon application for the permit and payment of a $10.00 permit fee per animal. Persons wishing to import or receive nonhuman primates for short-term exhibition purposes under this subsection shall provide the Department with documentation of the following: 
(1) A health history on the animal, or the parents of animals less than six months of age, for the 180 days prior to importation, and
(2) The animal(s) are captive born and raised, and
(3) How the animal(s) will be maintained in a manner approved by the Department to prevent direct physical contact with the public, and
(4) A veterinary health certificate issued not more than 30 days before importation certifying that the animal has been examined by a veterinarian accredited by the United States Department of Agriculture and is free of signs of contagious or infectious diseases.
(b) Short-Term Exhibition of Captive Born and Raised Nonhuman Primates Having Direct Contact With the Public. Animals subject to these provisions (as specified under Section 30072) may be brought into the State for nonresident exhibition purposes under a short-term exhibition permit issued by the Department upon application for a permit and payment of a $10.00 permit fee per animal. Persons wishing to import or receive short-term exhibition nonhuman primates into the State where the animal(s) will have direct contact with the public shall provide the Department with documentation of the following:
(1) A health history on the animal, or the parents of animals less than six months of age, for the 180 days prior to importation, and
(2) The animal(s) are captive born and raised, and
(3) How the animal(s) will be maintained in a manner approved by the Department to prevent direct physical contact with the public at all times except when being exhibited, and
(4) A veterinary health certificate issued not more than 30 days before importation certifying that the animal has been examined by a veterinarian accredited by the United States Department of Agriculture and is free of signs of contagious or infectious diseases.
(5) A negative tuberculin skin test performed on the animal(s) not more than 30 days before importation.
(c) Short-Term Exhibition of Captive Born and Raised Carnivores. Animals subject to these provisions (as specified under Section 30072) may be brought into the State for short-term nonresident exhibition purposes (e.g., circuses) under a short-term exhibition permit issued by the Department upon application for the permit and payment of a $10.00 permit fee per animal. Persons wishing to bring short-term exhibition carnivores into the State shall provide the Department with documentation of the following:
(1) A health history on the animal, or the parents of animals less than six months of age, for the 180 days prior to importation, and
(2) The animal(s) are captive born and raised, and
(3) How the animal(s) will be maintained in a manner approved by the Department to prevent direct physical contact with other animals or the public, and
(4) A veterinary health certificate issued not more than 30 days before importation certifying that the animal has been examined by a veterinarian accredited by the United States Department of Agriculture and is free of signs of contagious or infectious diseases.
(d) Zoological exhibition of specified wild animals.
(1) Animals subject to these provisions as specified under Section 30072 may be brought into the State for exhibition in a zoological collection accredited by the American Association of Zoological Parks and Aquariums (AAZPA) under a zoological exhibition permit issued by the Department upon payment of a $10.00 permit fee per animal. AAZPA accredited organizations wishing to import or receive specified wild animals for zoological exhibition purposes under this subsection shall provide the Department with documentation of the following:
(A) The animal(s) are captive born and raised, or have been in the possession of the consignee for at least 180 days prior to importation, and
(B) the animal(s) are being imported from an AAZPA-accredited zoological collection, and
(C) a health history on the animal or the parents of the animals less than six months of age, for the 180 days prior to importation, and
(D) a veterinary health certificate issued not more than 30 days before importation certifying that the animal has been examined by a veterinarian accredited by the United States Department of Agriculture and is free of signs of contagious or infectious diseases.
(E) A negative tuberculin skin test performed on all nonhuman primates not more than 30 days before importation.
(2) Nonhuman primates imported under this subsection shall be kept in isolation for 30 days immediately following importation. The animal(s) shall be tested if necessary for enteric pathogens during isolation. If at the end of the 30 days, the animal(s) are tuberculin skin tested with negative results, are examined and issued a health certificate by an accredited veterinarian certifying that the animal(s) are healthly and free of signs of contagious or infectious diseases, the animal(s) may be released by the Department upon review of isolation records.
(3) Carnivores or Chiroptera specified in Section 30072 imported under this subsection shall be kept in isolation for 90 days immediately following importation. If at the end of the 90 days, the animal(s) are examined and issued a health certificate by an accredited veterinarian certifying that the animal(s) are healthy and free of signs of contagious or infectious diseases, the animal(s) may be released by the Department upon review of isolation records.
(e) Animal Breeding. Animals being moved for breeding purposes as part of a recognized animal colony established for experimental breeding of animals in captivity, may be moved for this purpose upon issuance of a fee exempt permit provided that the conditions specified by the Department in the permit are adhered to in full.
(f) Animal(s) permitted entry under subsection 30074.1(a) through (e) shall not be sold, traded, or given away during the permit period without notification and prior approval by the Department. The duration of the permit will be determined by the Department at the time of permit issue and shall not exceed the duration of an exhibitor's itinerary submitted to the Department at the time of permit application. The duration of the permit may be extended at the discretion of the Department. 
NOTE

Authority cited:  Sections 208, 25990.5, 25992.3, 25992.5 and 25992.8, Health and Safety Code. Reference:  Sections 25990.5, 25992.3, 25992.5 and 25992.8, Health and Safety Code.
HISTORY

1. Amendment of section and new Note filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30075. Conditions of Quarantine for Personal Pets.
Note     •     History

NOTE

Authority cited:  Sections 208, 25990.5 and 25992, Health and Safety Code. Reference:  Sections 25990.5, 25992, 25992.3 and 25992.5, Health and Safety Code.
HISTORY

1. Repealer and new Note filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30076. Permit Fees.
Note     •     History

(a) Each application for an import permit shall be accompanied by payment of an import permit fee to the Department. Except as provided in Section 30074.1(e), the permit fee charged shall be at the rate of $10.00 per animal.
(b) If the actual number of animals received in the shipment exceeds the number enumerated in the application, payment of an additional fee, for the unpaid animal(s), shall be due at the rate of $10.00 per animal plus a charge of $10.00 for amending the original permit issued.
(c) If the actual number of animals received is less than the number enumerated on the application, the person may apply for a refund subject to such verification and documentation as may be required by the department.
(d) No refund shall be allowed for animals found dead on arrival (DOA), but credit may be allowed for animals DOA against future imports within the following 12 month period. No credit or refund shall be allowed for animals which die during quarantine or are found diseased and not fit for release from quarantine.
(e) A previously issued import permit may be amended by the Department where necessary upon written request by the permittee provided the purpose of the amendment does not in the opinion of the Department jeopardize the intent and purpose of the required quarantine procedure or the public health. A fee of $10.00 must accompany the written request for amendment.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Section 25992.8, Health and Safety Code.
HISTORY

1. New NOTE filed 12-26-84 (Register 84, No. 52).
2. Subsection redesignation and amendment of subsections (a), (b) and (e) filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
Article 3. Quarantine Facilities and Operating Standards
§30077. Animal Holding Facility.
Note     •     History

(a) Structural. The housing facilities used for quarantine of imported animals shall be constructed in accordance with the compiled State Building Code, Part 2, Chapter 2-93, Title 24, California Code of Regulations. All quarantine structures, fixtures, equipment and facilities shall be maintained so as to be clean, sanitary and in good repair. All quarantined animals shall be contained within the facility.
(b) Storage. Supplies of food and bedding shall be adequately protected against contamination with zoonotic disease causing organisms. Refrigeration shall be provided for supplies of perishable food.
(c) Medical Waste Disposal. Animal and food wastes, bedding, debris and any items present in the quarantine facility while a wild animal quarantine is in effect shall be disposed of as medical waste in accordance with Health and Safety Code, Section 25020, et seq. Disposal facilities shall be provided and operated as to prevent vermin infestation and minimize orders and diseases hazards.
(d) Handwashing Facilities. Handwashing facilities, such as basins or sinks, shall be provided to maintain cleanliness among caretakers. Handwashing facilities shall include hot and cold running water, soap, paper towels, and a waste container. Handwashing facilities shall conform to the State Building Code, Part 5, Title 24, California Code of Regulations.
(e) Drainage. A suitable method shall be provided to rapidly eliminate excessive water from housing facilities. If drains are used, they shall be properly constructed and shall be kept in good repair to avoid disease transmission within the facility. Draining facilities to rapidly eliminate excessive water from housing facilities shall conform to the State Building Code, Part 5, Basic Plumbing Regulations, Title 24, California Code of Regulations.
(f) Local Building Codes, Zoning Codes, Use and Business Permits. Notwithstanding the provisions of these regulations, the provisions of local building codes, zoning codes, and applicable use and business permits shall be complied with by the owner or operator of quarantine facilities as a condition to approval by the Department, provided such provisions are at least equal to these regulations. Construction shall be in accordance with Title 24, California Code of Regulations.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5, 25994 and 25994.3, Health and Safety Code.
HISTORY

1. New NOTE filed 12-26-84 (Register 84, No. 52).
2. Amendment filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
3. Amendment of section heading and subsection (c) filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30077.1. Alternative Housing Facilities.
Note     •     History

The use of alternative housing quarantine facilities for special purpose conditions may be approved by the Department upon written application provided the public health and safety shall not be endangered. These facilities shall be constructed in accordance with the State Building Code, Part 2, Chapter 2-93, Title 24, California Code of Regulations.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5, 25994 and 25994.3, Health and Safety Code.
HISTORY

1. New NOTE filed 12-26-84 (Register 84, No. 52).
2. Amendment filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
3. Amendment of section heading and text filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
§30078. Primary Enclosures.
Note     •     History

Primary enclosures shall conform to the following requirements:
(a) They shall be maintained so as to be clean and dry.
(b) They shall provide convenient access to clean food and water.
(c) Primary enclosures shall conform to the State Building Code, Part 2, Chapter 2-93, Title 24, California Code of Regulations.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5, 25994 and 25994.3, Health and Safety Code.
HISTORY

1. New NOTE filed 12-26-84 (Register 84, No. 52).
2. Amendment filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§30079. Animal Health and Husbandry Standards.
Note     •     History

(a) Food.
(1) The food shall be free from contamination, wholesome, and of sufficient quality and nutritive value to meet the known normal daily requirements for the condition and size of the animal.
(2) Food, and food receptacles if used, shall be accessible to all animals and shall be placed so as to minimize contamination by excreta. Food receptacles, except self feeders, shall be kept clean and sanitized at least once a week.
(b) Watering.
(1) All watering receptacles shall be kept clean and shall be sanitized at least once a week.
(2) Automatic watering devices shall be maintained in accordance with good husbandry practices. They shall be sanitized when occupancy in the primary enclosure is changed and at the end of quarantine period.
(c) Sanitation.
(1) Cleaning of Primary Enclosures. Excreta shall be removed from the primary enclosures at least daily, or as often as necessary to prevent contamination of the animals contained therein and to reduce disease hazards and odors. When hosing or flushing methods are used for this purpose, measures shall be taken to prevent animals confined in such enclosures from being wetted or contaminated involuntarily.
(2) Sanitization of Primary Enclosures.
(A) Prior to the introduction of animals into primary enclosures previously occupied by other animals, such enclosures shall be sanitized in the manner provided in subparagraph (c)(3) of this subdivision.(B) Primary enclosures shall be sanitized often enough to prevent an accumulation of debris or excreta, or a disease hazard: Provided, however, that such enclosures shall be sanitized at least once every two weeks in the manner provided in subparagraph (c)(3) of this subdivision.
(3) Sanitizing Procedures. Cages, rooms, vehicles and hard surfaced pens or runs shall be sanitized either by washing them with hot water (180 F.) and soap or detergent, as in a mechanical cage washer, or by washing all soiled surfaces with a detergent solution followed by a safe and effective disinfectant, or by cleaning all soiled surfaces with live steam.
(d) Housekeeping. Premises (buildings and grounds) shall be kept clean and in good repair in order to protect the animals from injury and to facilitate the prescribed husbandry practices set forth in this section. Premises shall remain free of accumulations of trash.
(e) Pest Control. An effective program for the control of insects, ectoparasites, and avian and mammalian pests shall be established and maintained.
(f) Employees. A sufficient number of employees shall be utilized to maintain the prescribed level of husbandry practices set forth herein. Persons well trained and competent in retrieving, restraining and releasing animals in a humane manner for testing and examination procedures during quarantine must be provided. Such practices shall be carried out by or under the supervision of an animal caretaker who has a background in animal husbandry or care. Proper safeguards and precautions shall be practiced by employees so as not to endanger themselves, other persons, or animals. Outer work clothing, gloves, boots, etc., used in caring for animals in quarantine shall not be worn outside the quarantine area.
(g) Classification and Separation.
(1) Animals housed in the same primary enclosure shall be maintained in compatible groups and shall not be housed in the same primary enclosure with other animal species.
(2) Animals entering quarantine on different dates shall not be housed in the same room, unless the quarantine periods commence with the date of the last animal(s) admitted to the room (See Section 30081).
(h) Veterinary Care.
(1) Programs of disease control and prevention, euthanasia, and adequate veterinary care shall be established and maintained under the supervision and assistance of a veterinarian.
(2) Each animal shall be observed daily by the animal caretaker in charge or by someone working under his direct supervision. Sick or diseased, injured, lame, or blind animals shall be provided with veterinary care or humanely disposed of unless such action is inconsistent with the purposes for which the animals are being imported.
(i) Vehicles.
(1) Vehicles used in transporting animals shall be mechanically sound and equipped to provide fresh air to all animals being transported, without injurious drafts. The vehicles shall contain the animals and restrict the entry of other animals and unauthorized persons.
(2) The ability to view the interior of the cargo space is necessary to observe any animals that may have escaped from their primary enclosures.
(3) The interior of the animal cargo space shall be kept clean.
(4) The animal cargo space and all primary enclosures used in transport shall be cleaned and sanitized in the manner provided in subsection (c)(3) of this section after each shipment has been transported from the point of arrival to the quarantine facility. Animals entering quarantine and those having completed the quarantine shall not be transported concurrently in the same vehicle.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5, 25994 and 25994.3, Health and Safety Code.
HISTORY

1. New NOTE filed 12-26-84 (Register 84, No. 52).
§30080. Approved Quarantine Facilities.
Note     •     History

(a) Approval. Quarantine facilities used to house imported animals are subject to inspection and approval by representatives of the Department for such periods of time as the Department deems indicated. Such facilities may be used for housing imported animals only as long as they are maintained and operated in conformance with standards prescribed in Sections 30070 through 30086; in Title 42 of the Code of Federal Regulations, Section 71.53; and in “Biosafety in Microbiological and Biomedical Laboratories”, U.S. Department of Health and Human Services, Public Health Service, Centers fro Disease Control and National Institutes of Health, 2nd edition, 1988; which are hereby incorporated by reference.
(b) Inspection. The department may make such inspection of approved facilities as it deems necessary to insure compliance with prescribed standards. Such inspections shall be carried out by department representatives at any time, normally during but not restricted to working hours.
(c) Notification of Change in Name or Ownership. The department shall be notified of any change in name, address, management or substantial control or ownership of any approved facility.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5 and 25992.5, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) and new Note filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
Article 4. Quarantine Provisions
§30081. Quarantine.
Note     •     History

All imported animals must be maintained for such period of quarantine as may be required by the Department and under such conditions as prescribed herein:
(a) Quarantine Period and Conditions for Release Therefrom.
(1) Primates. The normal quarantine period required for primates is that which provides for a physical examination, administration of a tuberculin test by a veterinarian upon entry and a repeat physical examination and tuberculin test 30 days later. Primates may be released from quarantine by the department upon completion of the second tuberculin test provided that in the judgment of the attending veterinarian:
(A) Both tuberculin tests are negative.
(B) The animals exhibit no visible oral ulcers at the end of quarantine period.
(C) The animals show no clinical evidence of dysentery or diarrhea, emesis, emaciation, contagious skin lesions, central nervous system disturbances, jaundice, or abnormal respiratory signs at the end of quarantine period.
(D) There is no evidence of a zoonotic disease traced back to the quarantined animals.
(E) In the opinion of the attending veterinarian the animals are healthy. A summary report by the attending veterinarian, in writing over his signature, shall be made to the department incorporating 1) the results of all tests, physical examinations, etc., performed and 2) his opinion that the animals are healthy (See Section 30084).
(2) Carnivores. Carnivores shall be confined in a place and manner approved by the Department for a 90 day period. A primary enclosure as defined under Section 2-9302 and set forth under Section 2-9305, Title 24, California Code of Regulations, or an equivalent approved by the Department, is acceptable for confinement. If at the end of quarantine, the animals are examined and found healthy by a veterinarian, they may be released by the Department upon receipt of such certification in writing by the attending veterinarian without further restriction.
(b) Imported animals refused release from quarantine shall be handled in such manner as approved and specified by the department.
(c) Where the quarantine procedures specified herein are not compatible with the objective of a specific research project, the department may authorize variations from the requirements specified herein provided that no public health hazard will result from the variations allowed.
(d) Any person importing animals for purposes of sale to any educational and research institution, zoological garden, laboratory, college or university, may satisfy the requirements of this section and Sections 30081.1-30084 by contract with such institution. Such quarantine shall meet all of the requirements herein with regard to period, observation, reporting and other conditions of quarantine.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5 and 25994.3, Health and Safety Code.
HISTORY

1. Amendment filed 12-14-88; operative 1-13-89 (Register 88, No. 53).
§30081.1. Tuberculin Test.

The method of tuberculin testing used shall be subject to approval by the department. Normal variations in site of administration and type and dilution of tuberculin used for intradermal injection may be accepted by the department. The use of such testing methods as the patch and multiple puncture tests will not be accepted.
Article 5. Quarantine Records
§30082. Record Keeping.
Note     •     History

Adequate records shall be kept by permit number showing daily health status of each animal in the shipment, together with notation, under veterinary supervision, of signs of any illness, deaths, any treatment given, results of any tests or examinations performed, etc., on all animals in the shipment.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5 and 25994.3, Health and Safety Code.
HISTORY

1. New NOTE filed 12-26-84 (Register 84, No. 52).
§30083. Animal Identification.
Note     •     History

Identification of animals shall be maintained through use of cage numbers, tags on individual animals, or by means of tattoo.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5 and 25994.3, Health and Safety Code.
HISTORY

1. New NOTE filed 12-26-84 (Register 84, No. 52).
Article 6. Quarantine Reporting
§30084. Reporting of Tests Results, Physical Examinations, Illnesses, Deaths.
Note     •     History

(a) A written summary report by the attending veterinarian of the results of all tests, physical examinations, etc., performed shall be made to the department in writing over a signature of the attending veterinarian.
(b) Deaths or illnesses in quarantined animals shall be immediately reported to the attending veterinarian and then to the Department without delay. Dead animals shall be handled as biohazardous medical waste and kept under refrigeration pending necropsy instructions by the attending veterinarian. A necropsy shall be conducted under strict infection control precautions by the attending veterinarian or otherwise qualified pathologist, and adequate specimens shall be obtained for diagnostic laboratory examination to determine the cause of illness or death. Following necropsy, the carcass shall be handled and disposed of as biohazardous waste.
(c) Records shall be maintained by the quarantine facility for a two-year period and shall be available for department examination upon request.
NOTE

Authority cited: Sections 208 and 25990.5, Health and Safety Code. Reference: Sections 25990.5, 25994.3 and 25994.5, Health and Safety Code.
HISTORY

1. Repealer and new subsection (b) and new Note filed 4-28-94; operative 5-30-94 (Register 94, No. 17).
Article 7. Cooperation with Other Governmental Agencies
§30085. Cooperating Agencies.

It is the intent of the department to maintain liaison and to cooperate fully with other governmental agencies having jurisdiction with regard to the import, holding, or regulation of animals into the United States and California as well as within the State. These agencies include:
(a) Foreign Quarantine Program, Center for Disease Control, U.S. Department of Health, Education and Welfare.
(b) Animal Resources Branch, Division of Research Facilities and Resources, National Institutes of Health, U.S. Department of Health, Education and Welfare.
(c) Bureau of Sport Fisheries and Wildlife, Fish and Wildlife Service, U.S. Department of Interior.
(d) Bureau of Customs, U.S. Treasury Department.
(e) Animal Health Division, Agricultural Research Service, U.S. Department of Agriculture.
(f) U.S. Department of Defense.
(g) California Department of Fish and Game.
(h) California Department of Agriculture.
(i) County and city government, including local public health agencies, within the State of California.
Any importation or other acquisition of wild animals under these regulations does not relieve the importer's responsibility for complying with any applicable health, quarantine, agriculture, customs, license, permit or any other requirements imposed by the laws or regulations of other duly authorized federal or State agency or county, city and county, or city government in California.
Article 8. Exceptions
§30086. Exceptions.

The department upon application may grant variances from the requirements of these regulations as it determines are authorized by law and will not result in hazard to the public health. Such applications, and variances made thereon, shall be in writing; any variances granted under this section shall set forth conditions designed to protect the public health, and shall be granted only for a specified period, not to exceed 6 months.
Subchapter 4. Radiation
Group 1. General
Article 1. Definitions
§30100. General Definitions.
Note     •     History

As used in subchapter 4:
(a) “Act” means the “Radiation Control Law,” Health and Safety Code, Division 104, Part 9, chapter 8, sections 114960 et seq.
(b) “Agreement State” means any state with which the United States Atomic Energy Commission or Nuclear Regulatory Commission has entered into an effective agreement under section 274b of the Atomic Energy Act of 1954, Title 42, United States Code, section 2021(b) (formerly section 274(b)).
(c) “Decommission” means to remove safely from service and reduce residual radioactivity to a level that permits release of the property for unrestricted use and termination of the license.
(d) “Department” means the California Department of Public Health.
(e) “Depleted uranium” means the source material uranium in which the isotope uranium-235 is less than 0.711 weight percent of the total uranium present. Depleted uranium does not include special nuclear material.
(f) “Hazardous radioactive material,” as used in section 33000 of the California Vehicle Code and 114820(d) of the Health and Safety Code means any “highway route controlled quantity” of radioactive material as such material is defined in title 49, Code of Federal Regulations, section173.403.
(g) “Human use” means the internal or external administration of radiation or radioactive materials to human beings.
(h) “Installation” means the location where one or more reportable sources of radiation are possessed.
(i) “License,” except where otherwise specified, means a license issued pursuant to group 2, Licensing of Radioactive Material.
(j) “Other official agency specifically designated by the Department” means an agency with which the Department has entered into an agreement pursuant to section 114990 of the Health and Safety Code.
(k) “Person” means any individual, corporation, partnership, limited liability company, firm, association, trust, estate, public or private institution, group, agency, political subdivision of this State, any other state or political subdivision or agency thereof, and any legal successor, representative, agent, or agency of the foregoing, other than the United States Nuclear Regulatory Commission, the United States Department of Energy, or any successor thereto, and other than Federal Government agencies licensed by the United States Nuclear Regulatory Commission, under prime contract to the United States Department of Energy, or any successor thereto.
(l) “Personnel monitoring equipment” means devices designed to be worn or carried by an individual for the purpose of measuring the dose received by that individual (e.g., film badges, pocket chambers, pocket dosimeters, film rings, etc.).
(m) “Possess” means to receive, possess, use, transfer or dispose of radioactive material pursuant to this regulation.
(n) “Possessing a reportable source of radiation” means having physical possession of, or otherwise having control of, a reportable source of radiation in the State of California.
(o) “Radiation” (ionizing radiation) means gamma rays and X-rays; alpha and beta particles, high-speed electrons, neutrons, protons, and other nuclear particles; but not sound or radio waves, or visible, infrared, or ultraviolet light.
(p) “Radiation machine” means any device capable of producing radiation when the associated control devices are operated, but excluding devices which produce radiation only by the use of radioactive material.
(q) “Radioactive material” means any material which emits radiation spontaneously.
(r) “Registrant” means any person who is registering or who has registered with the Department pursuant to group 1.5, Registration of Sources of Radiation.
(s) “Reportable sources of radiation” means either of the following:
(1) Radiation machines, when installed in such manner as to be capable of producing radiation.
(2) Radioactive material contained in devices possessed pursuant to a general license under provisions of sections 30192.1 and 30192.6.
(t) “Research and development” means theoretical analysis, exploration, experimentation or the extension of investigative findings and scientific or technical theories into practical application for experimental or demonstration purposes, including the experimental production and testing of models, prototype devices, materials and processes; but shall not include human use.
(u) “Sealed source” means any radioactive material that is permanently encapsulated in such manner that the radioactive material will not be released under the most severe conditions likely to be encountered by the source.
(v) “Source of radiation” means a discrete or separate quantity of radioactive material or a single radiation machine.
(w) “Special nuclear material” means:
(1) Plutonium, uranium 233, uranium enriched in the isotope 233 or in the isotope 235, and any other material which the Department declares by rule to be special nuclear material after the United States Nuclear Regulatory Commission, or any successor thereto, has determined the material to be such, but does not include source material; or
(2) Any material artificially enriched by any of the foregoing, but does not include source material.
(x) “Specific license” means a license or the equivalent document issued to a named person by the Department or by the Nuclear Regulatory Commission or by any other Agreement State.
(y) “This regulation” means: California Code of Regulations, Title 17, Division 1, Chapter 5, Subchapter 4.
(z) “User” means any person who is licensed to possess radioactive material or who has registered as possessing a reportable source of radiation pursuant to groups 1.5 and 2 of this subchapter, or who otherwise possesses a source of radiation which is subject to such licensure or registration.
(aa) “Worker” means any individual engaged in activities subject to this regulation and controlled by a user, but does not include the user.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985, 115060, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Repealer of group 1 and new group 1 (sections 30100 through 30146) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior histories, see Registers 62, No. 1 and 62, No. 8.
2. Repealer and new section filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
3. Change without regulatory effect of subsection (ac)(2) (Register 88, No. 6).
4. Amendment of subsection (j), relettering of former subsections (p)-(ap) to subsections (q)-(aq), and new subsection (p) filed 9-5-89; operative 10-5-89 (Register 89, No. 36).
5. New subsection (k) and redesignation of former sections (k) through (aq) to subsections (l) through (ar) filed 4-19-91; operative 5-19-91 (Register 91, No. 20).
6. Editorial correction of printing error in subsections (q)-(ar) (Register 91, No. 30).
7. Change without regulatory effect amending subsection (an) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
8. Amendment of section and Note filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
10. Amendment of subsection (a), new subsection (c) and subsection relettering filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 10-16-95 order, including amendment of subsections (a), (f) and (k) and of Note, transmitted to OAL 2-9-96 and filed 3-25-96 (Register 96, No. 13).
12. Amendment of subsection (q) and NOTE filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
14. Amendment of subsection (a) filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
15. Amendment of subsections (d) and (f) and Note filed 4-24-2009; operative 5-24-2009 (Register 2009, No. 17).
16. Repealer of subsections (j)-(j)(6), subsection relettering, amendment of newly designated subsections (k), (s)(2), (y) and (aa) and amendment of Note filed 10-13-2010; operative 1-1-2011 (Register 2010, No. 42).
§30102. Registration Requirement. [Repealed]
History

HISTORY

1. Renumbering and amendment of former Section 30102 to Section 30108 filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
§30103. Communications. [Repealed]
History

HISTORY

1. Amendment filed 1-22-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Repealer filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
Article 2. Exemptions and Enforcement
§30104. Exemptions.
Note     •     History

(a) The Department may, upon application by any user, or upon its own initiative, grant such exemptions from the requirements of this regulation as it determines are authorized by law and will not result in undue hazard to health, life or property. Applications for exemptions shall specify why such exemption is necessary.
(b) Before granting an exemption, the Department shall determine that there is reasonable and adequate assurance that:
(1) the doses to any individual in any controlled area will not exceed those specified in Section 30265;
(2) the dose to the whole body of any individual in an uncontrolled area will not exceed 0.5 rem in a year;
(3) The deposition of radioactive material in the body of any individual will not likely result in a greater risk to the individual than would be expected from the dose specified in Section 30104 (b)(1) or (2), as appropriate, based on guidance from such bodies as the International Commission on Radiological Protection, and the National Council on Radiation Protection and Measurements; and
(4) there is no significant hazard to life or property.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25815 and 25876, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 30345 to article 2 (section 30104) filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
2. Change without regulatory effect of subsection (b)(3) (Register 87, No. 4).
3. Change without regulatory effect amending subsections (b) and (b)(3) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
§30105. Deliberate Misconduct.
Note     •     History

(a) A user, applicant for a license or registration, employee of a user or applicant, or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any user or applicant for a license or registration, who knowingly provides to any user, applicant, contractor, or subcontractor, any components, equipment, materials, or other goods or services that relate to a user's or applicant's activities subject to this regulation, shall not:
(1) Engage in deliberate misconduct, as defined in subsection (c), that causes or would have caused, if not detected, a user or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license issued by the Department; or
(2) Deliberately submit to the Department, a user, an applicant, or a user's or applicant's contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the Department.
(b) A person who violates subsection (a) shall be subject to enforcement action in accordance with the Act.
(c) For the purposes of subsection (a), deliberate misconduct by a person means an intentional act or omission that the person knows:
(1) Would cause a user or applicant to be in violation of any rule, regulation, or order, or any term, condition, or limitation, or any license or registration issued by the Department; or
(2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a user, applicant, contractor, or subcontractor.
NOTE

Authority cited: Sections 100170, 100275, 115000, 115230 and 115235, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115215, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 12-29-2005; operative 1-28-2006 (Register 2005, No. 52). For prior history of former article 2 (section 30105), see Register 85, No. 48.
Group 1.5. Registration of Sources of Radiation
Article 1. Registration Procedure
§30108. Registration Requirement.
Note     •     History

Every person possessing a reportable source of radiation shall register with the Department in accordance with the provisions of this Group.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 115060, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30102 to Section 30108 and designation of new Group 1.5 (Sections 30108-30146, not consecutive) filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
2. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30108.1. Registration and General Provisions for Persons Possessing Devices Under Sections 30192.1 and 30192.6.
Note     •     History

(a) A person required to register pursuant to sections 30192.1(d)(1) or 30192.6(b)(1) shall, within 30 calendar days of taking possession of a device or product, submit to the Department the following:
(1) Legal name, mailing address, and telephone number of the registering person. If renewing registration, the registration number previously issued to the registrant shall also be included;
(2) For each device subject to section 30192.1: 
(A) The manufacturer's name, serial number, model number, the radioisotope, and the radioisotope's activity (as indicated on the device's label). For devices used in a fixed location, the physical address of each location where a device is used and the total number of devices at each location shall be submitted. For portable devices, the physical address of each primary place of storage and the total number of devices stored at each location shall be submitted. If renewing registration and there has been no change in the previously indicated devices, indicate that no change has occurred; 
(B) Name, title, and telephone number, if different than the number specified in subsection (a)(1), of the individual appointed pursuant to section 30192.1(d)(15);
(C) Name and license number of the distributor from whom the device was obtained; and
(D) Signature and date of signature of the individual identified in subsection (a)(2)(B), attesting to the following statement:
“I [insert name as it appears in response to subsection (a)(2)(B)] attest that I am aware of the requirements of the general license specified in section 30192.1 of title 17, California Code of Regulations, and that the information provided concerning the device or product has been verified through a physical inventory and checking of label information.” 
(3) For persons possessing devices subject to section 30192.6:
(A) A statement that the registrant has, pursuant to section 30192.6(b)(3), developed, implemented, and will continue to maintain procedures designed to establish physical control over the depleted uranium described in section 30192.6(a), and designed also so as to prevent transfer of such depleted uranium in any form, including metal scrap, to persons not authorized to receive the depleted uranium; and
(B) Name, title, and telephone number, if different than the number specified in subsection (a)(1), of the individual appointed pursuant to section 30192.6(b)(4); 
(4) Except for persons possessing devices pursuant to section 30192.6, the registration fee specified in section 30145.
(b) Each person shall renew registration annually on or before the current registration's expiration date, by submitting to the Department all required items in subsection (a).
(c) In lieu of the requirements in section 30115, within 30 calendar days of the occurrence of the event, each person registered pursuant to this section shall notify the Department of any change in the information submitted in response to subsection (a), including discontinuance of use of a device or product. 
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 115000, 115060, 115065, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30110. Initial Registration.
Note     •     History

(a) Every person not already registered who acquires a reportable source of radiation shall register with and pay the fee as specified in Section 30145 to the Department within 30 days of the date of acquisition.
(b) Every person who intends to acquire a radiation machine capable of operating at a potential in excess of 500 kVp shall notify the Department at least 60 days prior to his/her possession of the machine or at least 60 days prior to the commencement of construction or reconstruction of the room which will house the machine, whichever occurs first. This equipment shall not be used to treat patients until written approval of provisions for radiation safety has been obtained by the user from the Department.
(c) Every person who registers or renews a registration shall complete a separate registration form furnished by the Department for each separate installation.
NOTE

Authority cited: Sections 208 and 25811(c), Health and Safety Code. Reference: Section 25815(b), Health and Safety Code.
HISTORY

1. Amendment filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Amendment filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
3. Amendment of subsection (a) filed 11-1-93 as an emergency; operative 11-1-93 (Register 93, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 11-1-93 order transmitted to OAL 2-24-94; disapproved by OAL 4-7-94 (Register 94, No. 27).
5. Amendment of subsection (a) refiled 7-6-94 as an emergency; operative 7-6-94 (Register 94, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-3-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-6-94 order transmitted to OAL 6-30-94 and filed 7-20-94 (Register 94, No. 29).
§30111. Renewal of Registration.
Note     •     History

Every person already registered pursuant to 30110 shall renew such registration annually and pay the fee as specified in Section 30145 to the Department on or before the registration renewal date.
NOTE

Authority cited: Sections 100275 and 115000(c), Health and Safety Code. Reference: Section 115060(b), Health and Safety Code.
HISTORY

1. Amendment filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
2. Repealer and new section and amendment of Note filed 1-20-99; operative 2-19-99 (Register 99, No. 4).
§30112. Registration Form. [Repealed]
History

HISTORY

1. Repealer filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
§30113. Separate Installations. [Repealed]
History

HISTORY

1. Repealer filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
§30115. Report of Change.
Note     •     History

Except for persons subject to section 30108.1, the registrant shall report in writing to the Department, within 30 days, any change in: registrant's name, registrant's address, location of the installation, or receipt, sale, transfer, disposal, or discontinuance of use of any reportable source of radiation.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 115060, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Amendment filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
3. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30116. Report of Discontinuance. [Repealed]
History

HISTORY

1. Repealer filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
§30117. Registration Shall Not Imply Approval. [Repealed]
History

HISTORY

1. Repealer filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
§30118. Vendor Obligation.
Note     •     History

(a) Any manufacturer, distributor, retailer, agent, or any other person who sells, leases, transfers or lends a radiation machine to any person who may be required to register such machine shall notify the Department on a form approved by the Department no later than 30 days after the end of each calendar quarter of:
(1) The names and addresses of persons who have received such machines.
(2) The manufacturer and model of each such machine.
(3) The date of transfer of each radiation machine.
(4) Other related information as may be required by the Department.
(b) The vendor shall inform the receiver of each machine of the registration requirements of Section 30108 of these regulations.
NOTE

Authority cited: Sections 208 and 25811(c), Health and Safety Code. Reference: Section 25815(b), Health and Safety Code.
HISTORY

1. New section filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
2. Certificate of Compliance filed 12-28-73 (Register 73, No. 52). 
3. Editorial correction of NOTE filed 7-12-84 (Register 84, No. 28). 
4. Change without regulatory effect of subsection (b) (Register 88, No. 6).
§30120. Reportable Sources of Radiation. [Repealed]
History

HISTORY

1. Repealer of Article 4 (Section 30120) filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
Article 2. Exclusions from Registration
§30125. Excluded Material and Devices.
Note     •     History

The following devices and materials do not require registration:
(a) Electrical equipment that produces radiation incidental to its operation for other purposes, but which does not produce radiation in any area accessible to individuals such that there is a reasonable likelihood that any individual will receive a radiation dose to the whole body, head and trunk, gonads, or lens of the eye or active blood-forming organs in excess of 0.5 rem in a year.
(b) All radioactive materials except as specified in sections 30192.1 and 30192.6.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 115060(c), 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
2. Editorial renumbering of former article 5 to article 2 (Register 85, No. 48).
3. Change without regulatory effect amending subsection (b) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
4. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30126. Exempt Possessors.
Note     •     History

Common and contract carriers are exempt from the requirement to register to the extent that they transport or store reportable sources of radiation in the regular course of their carriage for another or storage incident thereto.
NOTE

Authority cited: Sections 208 and 25811(c), Health and Safety Code. Reference: Section 25815(b), Health and Safety Code.
HISTORY

1. Amendment filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
Article 3. Records
§30130. Radiation Protection Standards. [Repealed]
History

HISTORY

1. Repealer of Section 30130 and renumbering of Article 6 to Article 3 filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
§30131. Records to be Maintained. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Section 115060, Health and Safety Code.
HISTORY

1. Amendment filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
2. Repealer  of  section and amendment of Note filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
§30140. Violations. [Repealed]
History

HISTORY

1. Repealer of Article 7 (Section 30140) filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
§30140. Violations.
History

HISTORY

1. Repealer of Article 7 (Section 30140) filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
Article 4. Fees
§30145. Registration Fees.
Note     •     History

(a) Each radiation machine that is a reportable source of radiation as defined in section 30100(t), is classified as one of the following:
(1) “High priority radiation machine,” a radiation machine, which has high potential for exposing humans by means of heavy use, high radiation exposure, specialized use for radiosensitive areas of the human body, or misadjustment or malfunction of radiation safety features. A high priority radiation machine is further defined as one of the following machine types, or a machine that is used by any of the following categories of users:
(A) Orthopedist.
(B) Radiologist or roentgenogoloist.
(C) Chiropractor.
(D) Hospital.
(E) Medical clinic.
(F) Portable X-ray service (human use).
(G) Fluoroscope used on humans.
(H) Chest photofluorography (minifilm unit).
(I) Non-human use particle accelerator with maximum energy capable of equaling or exceeding 10 MeV.
(J) Non-human use radiation machine used in field radiography, as defined in Section 30336(c).
(2) “Medium priority radiation machine,” a radiation machine not covered by subsections (a)(1),  (a)(3) or (a)(4).
(3) “Dental priority radiation machine,” a radiation machine used exclusively in dental radiography of human beings.
(4) “Special priority radiation machine,” a radiation machine used for mammography.
(b) When a radiation machine is equipped with two or more tubes that can be used separately, each tube shall be considered as a single radiation machine.
(c) For registration or renewal of registration as a general licensee pursuant to section 30192.1, the fee shall be $70.00 for each device in possession, except that persons possessing such devices under a specific license shall be exempt from this fee.
(d) Except as provided in subsection (e), initial registration shall be valid for a period of one year.
(e) The initial registration period for a reportable source of radiation being registered by a person who has a reportable source of radiation already registered with the Department shall be coterminous with the existing registration.
(f) Any fees collected for a radiation machine or a device for any registration period shall be transferred to any replacement radiation machine or device for the remainder of the registration period.
(g) For initial registration or renewal of registration, the fees shall be $214.00 annually for each high priority radiation machine, $172.00 annually for each medium priority radiation machine, $79.00 annually for each dental priority radiation machine and, except as provided in section 30145.1, $475.00 annually for each special priority radiation machine. Where the initial registration period is less than one year pursuant to subsection (e), the initial registration fee shall be prorated, based on the priority classification and number of full months in the initial registration period in accordance with the following formula:
Initial Registration Fee = A x [B/ (12 Months)]
Where:
A = Annual fee as specified above, dollars per year
B = Number of full months remaining in coterminous period
(h) The total registration fee paid by a registrant for high priority, medium priority, special priority, and dental priority radiation machines, which are at the same installation, shall not exceed $6,000.00 per year.
(i) A late fee of 25% of the annual fee shall be charged for any registration fee which is 30 days past due.
(j) Fees required by this section shall be nonrefundable.
NOTE

Authority cited: Sections 114975, 115000, 115060, 115065, 115080, 115085 and 131200, Health and Safety Code. Reference: Sections 114980, 115065, 115080, 115085, 115165, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (a) filed 7-1-75; effective thirtieth day thereafter (Register 75, No. 27).
2. Amendment filed 4-30-76; effective thirtieth day thereafter (Register 76, No. 18).
3. Amendment filed 7-3-79 as an emergency; effective upon filing (Register 79, No. 27).
4. Certificate of Compliance transmitted to OAL 10-26-79 and filed 11-2-79 (Register 79, No. 44).
5. Amendment filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
6. Change without regulatory effect of subsections (a) and (a)(1)(k) (Register 88, No. 6).
7. Amendment of subsection (a) filed 4-19-91; operative 5-19-91 (Register 91, No. 20).
8. Amendment of subsection (a) and Note, and adoption of subsections (d)-(f) filed 11-1-93 as an emergency; operative 11-1-93 (Register 93, No. 45).  A Certificate of Compliance must be transmitted to OAL by  3-1-94 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-1-93 order transmitted to OAL 2-24-94; disapproved by OAL 4-7-94 (Register 94, No. 27).
10. Amendment of subsection (a) and Note and new subsections (d)-(f) refiled 7-6-94 as an emergency; operative 7-6-94 (Register 94, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-3-94 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 7-6-94 order transmitted to OAL 6-30-94 and filed 7-20-94 (Register 94, No. 29).
12. Amendment of section and Note filed 1-20-99; operative 2-19-99 (Register 99, No. 4).
13. Amendment of section heading, section and NOTE filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
15. New subsection (c), subsection relettering, amendment of newly designated subsections (d), (f) and (g) and amendment of Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30145.1. Registration Fee, Mammography Exception.
Note     •     History

The fee shall be $282.00 annually for each special priority radiation machine accredited by an independent accrediting agency recognized under the federal Mammography Quality Standards Act [42 U.S.C. 263(b)].
NOTE

Authority cited: Sections 100275, 115000(c), 115065, 115080 and 115085, Health and Safety Code. Reference: Sections 115080 and 115085, Health and Safety Code.
HISTORY

1. New section filed 1-20-99; operative 2-19-99 (Register 99, No. 4).
2. Amendment filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
§30146. Payment of Fee.
Note     •     History

Each registration or registration renewal which reports possession of a radiation machine, and each report of change reporting the receipt of an additional radiation machine, shall be accompanied by an amount to pay the fee for the period to the next regularly scheduled registration renewal date.
NOTE

Authority cited: Sections 208 and 25811(c), Health and Safety Code. Reference: Section 25817, Health and Safety Code.
HISTORY

1. Amendment filed 7-1-75; effective thirtieth day thereafter (Register 75, No. 27).
2. Amendment filed 4-30-76; effective thirtieth day thereafter (Register 76, No. 18).
3. New NOTE filed 7-12-84 (Register 84, No. 28). 
Group 2. Licensing of Radioactive Materials
Article 1. General [Repealed]
HISTORY

1. Repealer of Article 1 (Sections 30170 through 30173) and new Article 1 (Sections 30170, 30172 and 30173) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history, see Registers 62, No. 1 and 62, No. 8.
2. Repealer of article 1 (Sections 30170-30173) filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
Article 2. Definitions [Repealed]
HISTORY

1. Repealer and new section filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history, see Registers 62, No. 1 and 62, No. 8.
2. Amendment filed 1-22-76; effective thirtieth day thereafter (Register 76, No. 4).
3. Repealer of article 2 (section 30175)  filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
Article 3. Exemptions
§30180. Exempt Persons, Products, Concentrations and Quantities.
Note     •     History

(a) Any person is exempt from this regulation if such person:
(1) Is a common and contract carrier transporting radioactive material in the regular course of their carriage for another or storage incident thereto. Such carriers are subject to the provisions of Group 4, Transportation of Radioactive Material.
(2) Is licensed by the United States Nuclear Regulatory Commission under Title 10, Code of Federal Regulations, Part 150, Section 150.15, Continued Commission Regulatory Authority in Agreement States, or otherwise agreed upon by the Department and the Commission.
(3) Is under a prime contract with the United States Nuclear Regulatory Commission or the United States Department of Energy at a U.S. Government-owned or controlled site, including the transporting of radioactive material to or from such site, the performance of contract services during temporary interruptions of such transportation; for research in or development, manufacture, storage, testing or transportation of atomic weapons or components thereof; or for the use of nuclear devices in U.S. Government-owned vehicle or vessel; or under a subcontract when it is jointly determined by the Department and the United States Nuclear Regulatory Commission that an exemption is appropriate.
(b) The following products are exempt from this regulation:
(1) Timepieces, hands or dials therefor, containing any radioactive luminous material provided these have been distributed as exempt products in accordance with a United States Nuclear Regulatory Commission license: and any timepieces, hands or dials therefore containing radium activated luminous material.
(2) Automobile lock illuminators containing up to 15 millicuries of tritium or 2 millicuries of promethium 147 per lock.
(3) Compounds or mixtures with rare earth elements containing up to 0.25% by weight of source material.
(4) Glazed ceramic tableware containing up to 20% by weight of source material in the glaze.
(5) Glassware containing not more than 10 percent by weight source material; but not including commercially manufactured glass brick, pane glass, ceramic tile, or other glass or ceramic used in construction;
(6) Glass enamel or glass enamel frit containing not more than 10 percent by weight source material imported or ordered for importation into the United States, or initially distributed by manufacturers in the United States, before July 25, 1983.
(7) Photographic film, negatives, and prints containing source material.
(8) Incandescent gas mantles, vacuum tubes, electric lamps, and welding rods containing thorium.
(9) Any finished product or part fabricated of, or containing, tungsten-thorium or magnesium-thorium alloys; provided that the thorium content of the alloy does not exceed 4% by weight.
(10) Finished optical lenses containing up to 30% by weight of thorium, but not including spectacles, contact lenses, or eyepieces of optical instruments and subject to not altering the finished product by any process such as shaping, grinding, or polishing.
(11) Fire detector heads containing up to 0.005 microcuries of uranium per head.
(12) Electric lamps for illuminating purposes provided that each lamp does not contain more than 50 milligrams of thorium.
(13) Germicidal lamps, sun lamps and lamps for outdoor or industrial lighting provided that each lamp does not contain more than two grams of thorium.
(14) Personnel neutron dosimeters provided that each dosimeter does not contain more than 50 milligrams of thorium.
(15) Shipping containers utilizing natural or depleted uranium metal as shielding, if such container is and remains:
(A) Conspicuously impressed with the legend: “CAUTION--RADIOACTIVE SHIELDING--URANIUM” and;
(B) The uranium metal is encased in mild steel or equally fire resistant metal of minimum wall thickness of one eight inch (3.2 mm).
(16) Counterweights of uranium installed in, or store or handled in connection with installation in or removal from, aircraft, rockets, projectiles, or missiles, if each such counterweight has been manufactured pursuant to an appropriate specific license; and
(A) each counterweight manufactured prior to December 31, 1969 has been, and remains, impressed, labeled and marked in accordance with the provisions of that specific license at the time of manufacture;
(B) each counterweight manufactured on or after December 31, 1969 has been impressed with the following legend clearly legible through any plating or other covering: “DEPLETED URANIUM”; and is durably and legibly labeled or marked with the identification of the manufacturer, and the statement: “UNAUTHORIZED ALTERATIONS PROHIBITED.”
(17) Precision balances or parts therefor, provided that no such balance contains more than 1.0 millicurie of tritium and no balance part contains more than 0.5 millicurie of tritium.
(18) Automobile shift quadrants containing not more than 25 millicuries of tritium.
(19) Marine compasses containing not more than 750 millicuries of tritium gas and other marine navigational instruments containing not more than 250 millicuries of tritium gas.
(20) Thermostat dials and pointers containing not more than 25 millicuries of tritium per thermostat.
(21) Thorium contained in any finished aircraft engine part containing nickel-thoria mixture, provided that:
(A) The thorium is dispersed in the nickel-thorium mixture in the form of finely divided thorium dioxide; and
(B) The thorium content of the mixture does not exceed 4% by weight.
(22) Electron tubes: Provided that each tube does not contain more than one of the following specified quantities of radioactive material:
(A) 150 millicuries of tritium per microwave receiver protector tube or 10 millicuries of tritium per any other electron tube;
(B) 1 microcurie of cobalt 60;
(C) 5 microcuries of nickel 63;
(D) 30 microcuries of krypton 85;
(E) 5 microcuries of cesium 137;
(F) 30 microcuries of promethium 147;
and provided further, that these have been manufactured and distributed pursuant to an appropriate specific license.

Note: Electron tubes include spark gap tubes, power tubes, gas tubes including glow lamps, receiving tubes, microwave tubes, indicator tubes, pick-up tubes, radiation detection tubes and any other completely sealed tube that is designed to conduct or control electrical currents.)
(23) Synthetic plastic resins containing scandium 46 and designed for sand consolidation in oil wells provided such resins shall have been manufactured or imported in accordance with a specific license which authorizes their distribution as exempt products.
(24) Intact meters containing radium activated luminous material.
(25) Piezoelectric ceramic containing not more than 2 percent by weight source material.
(26) Gas and aerosol detectors containing radioactive material and designed to protect life or property from fires and airborne hazards provided such detectors have been manufactured or imported in accordance with a specific license which authorizes their distribution as exempt products.
(27) Self-luminous products containing tritium, krypton 85, or promethium 147 provided such products have been manufactured or imported in accordance with a specific license which authorizes their distribution as exempt products, and provided further that such products are not used primarily for frivolous purposes or as toys or adornments.
(28) Ionizing radiation measuring instruments containing, for purposes of internal calibration or standardization, one or more sources of radioactive material, provided that:
(A) Each source contains no more than one exempt quantity set forth in section 30235, Schedule A, and
(B) Each instrument contains no more than ten exempt quantities. For purposes of subsection (b)(28)(A) and (B), an instrument's source(s) may contain either one type or different types of radionuclides, and an individual exempt quantity may be composed of fractional parts of one or more of the exempt quantities in section 30235, Schedule A, provided that the sum of such fractions shall not exceed unity.
(C) For purposes of subsection (b)(28)(B), 0.05 microcurie of americium- 241 is considered an exempt quantity under section 30235, Schedule A.
(29) Spark gap irradiators containing not more than one microcurie of cobalt-60 per spark gap irradiator for use in electrically ignited fuel oil burners having a firing rate of at least three gallons per hour (11.4 liters per hour).
(30) Capsules containing one microcurie of carbon-14 urea each, for in vivo diagnostic use for humans. Persons who use the capsules for research involving human subjects shall possess a specific license issued pursuant to section 30195.
(c) The following concentrations and quantities are exempt from this regulation:
(1) Any naturally-occurring radioactive material, except source material, in concentrations which occur naturally. Unprocessed ore in its natural form containing source material is exempt. Refining and processing are not exempt.
(2) Any chemical mixture, compound, solution or alloy containing up to one-twentieth of one percent (0.05 percent) by weight of source material.
(3) Any radioactive material in concentration not exceeding those specified in section 30237, Schedule C, except that a specific license shall be required by any person to transfer possession or control of any product or material into which radioactive material has been introduced in such concentrations except for transfers to appropriately licensed persons for analytical test or waste disposal purposes.
(4) Radioactive material in individual quantities each of which does not exceed the applicable quantity set forth in section 30235, Schedule A, if not more than 10 such scheduled quantities are possessed at any one time.
(d) The exemptions contained in subsection (b) shall not authorize any of the following:
(1) The manufacture of any product listed.
(2) The application or removal of radioactive luminous material to or from meters and timepieces, or hands and dials therefor.
(3) The installation into automobile locks of illuminators containing tritium or promethium 147 or the application of tritium to balances of precision or parts therefor.
(4) The chemical, physical, or metallurgical treatment or processing of thorium-metal alloys.
(5) Human use, or the use in any device or article, except time pieces and the product specified in subsection (b)(30), which is intended to be placed on or in the human body.
(6) The chemical, physical, or metallurgical treatment or processing of uranium counterweights other than repair or restoration of any plating or other covering.
(e) The exemptions specified in subsections (b)(30), (c)(3) or (c)(4) shall not authorize the production, packaging, repackaging or transfer of radioactive material for purposes of commercial distribution, or the incorporation of radioactive material into products intended for commercial distribution.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115165 and 115235, Health and Safety Code.
HISTORY

1. Amendment of subsection (c)(1) and new subsection (d)(7) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42). For prior history, see Register 71, No. 30.
2. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
3. Change without regulatory effect of subsections (b)(15) and (c)(2)-(4) (Register 88, No. 6).
4. Change without regulatory effect amending subsections (b)(1), (b)(17), (b)(28), and (d)(2) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
5. Editorial correction reinserting inadvertently omitted subsections (c)-(c)(4) (Register 92, No. 44).
6. Editorial correction of subsection (b)(28)(B) (Register 2003, No. 29).
7. Amendment of section and repealer and new Note filed 7-28-2006; operative  8-27-2006 (Register 2006, No. 30).
§30181. Persons Exempt. [Repealed]
History

HISTORY

1. Amendment of subsection (b)(1) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
2. Repealer filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). 
§30182. Other Exemptions. [Repealed]
History

HISTORY

1. Repealer filed 11-25-85; effective thirtieth day thereafter (Register 85, No. 48).
Article 4. Licenses
§30190. Types of Licenses.
Note     •     History

(a) Department licenses for radioactive material are of two types: general and specific.
(b) General licenses provided in this regulation are effective without the filing of an application with the Department or the issuance of licensing documents to particular persons, except that any person to whom a general license is issued pursuant to sections 30192.1 and 30192.6 shall be subject to the registration requirements specified in section 30108.1.
(c) Specific licenses are issued to named persons upon approval of an application filed pursuant to this regulation. A specific license issued by the Department is required by any person to possess any radioactive material in this state, except as otherwise provided in sections 30180, 30191, 30192, 30192.1, 30192.2, 30192.3, 30192.4, 30192.5, 30192.6, 30225, or 30226.
(d) Every specific and general license is subject to all applicable provisions of this regulation and, except as otherwise specified, to the provisions of Group 3 of this subchapter (Standards for Protection Against Radiation).
NOTE

Authority cited: Sections 114970, 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114970, 115060, 115165, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Repealer of Article 4 (Sections 30190 through 30205) and new Article 4 (Sections 30190 through 30198 and 30205) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history, see Register 62, No. 1.
2. Amendment of subsections (b) and (c) and new Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30191. General Licenses-Source Material.
Note     •     History

(a) A general license is hereby issued to commercial firms, educational institutions, and medical institutions and government agencies, authorizing the possession, use, and transfer of not more than 15 pounds of source material at any one time, for research, development, educational, commercial or operational purposes. Persons authorized to possess, use, or transfer source material pursuant to this general license may not receive more than a total of 150 pounds of source material in any one calendar year. With respect to such source material, any person shall be exempt from the provisions of Group 3 of this subchapter, except for sections 30254 and 30293(a), unless such person also possesses source material under a specific license.
(b) A general license described in subsection (a) shall not authorize human use, or the use in any device or article which is intended to be placed on or in the human body, or the use of any instrument or apparatus (including component parts and accessories thereto) intended for human use.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115000, 115060, 115165, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New NOTE filed 8-22-84 (Register 84, No. 34).
2. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
3. Change without regulatory effect inserting (a) to first paragraph filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
4. Amendment of subsection (a) and Note filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
5. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30192. General Licenses--Static Elimination or Ion Generation Devices.
Note     •     History

(a) A general license is hereby issued to any person, authorizing possession, transference, receipt, acquisition, use and ownership of radioactive material incorporated in any of the following items when manufactured, tested, and labeled pursuant to a specific license, which authorizes distribution to general licensees:
(1) Static eliminators containing sealed sources of up to 500 microcuries of polonium-210 per device.
(2) Air ionization devices containing, as sealed sources, up to 500 microcuries of polonium-210 or 50 millicuries of tritium per device.
(b) Possession of radioactive material listed in this section is exempt from the requirements of Group 3 of this subchapter, except for sections 30254 and 30293(a) of this subchapter and sections 20.2201 and 20.2202 of title 10, Code of Federal Regulations, Part 20, incorporated by reference in section 30253.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115060, 115165, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) and new subsection (f) filed 11-16-67; effective thirtieth day thereafter (Register 67, No. 46).
2. Amendment of subsection (c)(1) filed 5-13-66; effective thirtieth day thereafter (Register 69, No. 20).
3. Repealer of subsections (a)(1)(B) and (a)(1)(C), renumbering of (a)(1)(D) to (a)(1)(B), new subsection (a)(3) and amendment of subsection (b) filed 7-22-71; effective thirtieth day thereafter (Register 71, No. 30).
4. Repealer of subsections (a)(2) and (b)(2) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
5. Amendment of subsection (a)(3) filed 10-11-74; effective thirtieth day thereafter (Register 74, No. 41).
6. Repealer and new section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
7. Amendment of subsection (b) and Note filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
8. Editorial correction restoring inadvertently deleted Histories (Register 97, No. 45).
9. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30192.1. General Licenses--Gauging and Controlling.
Note     •     History

(a) A general license is hereby issued to commercial and industrial firms, research, educational and medical institutions, individuals in the conduct of their business, and government agencies, to acquire, receive, possess, use or transfer, in accordance with this section, radioactive material contained in devices designed and manufactured for the purpose of detecting, measuring, gauging or controlling thickness, density, level, interface location, radiation, leakage, or qualitative or quantitative chemical composition, or for producing light or an ionized atmosphere.
(b) The general license issued pursuant to subsection (a) applies only to radioactive material contained in devices which have been manufactured or initially transferred and labeled in accordance with the provisions of:
(1) A specific license, which authorizes distribution of the device, issued by the Department pursuant to section 30195(d);
(2) An equivalent specific license issued by an Agreement State other than this State; or
(3) A specific license issued by the United States Nuclear Regulatory Commission (NRC) under section 32.51 of title 10, Code of Federal Regulations (10 CFR), Part 32.
(c) Devices described in subsection (a) shall have been received from one of the specific licensees described in subsection (b), or through a transfer made pursuant to subsection (d)(12).
(d) Persons who acquire, receive, possess, use or transfer a device under the general license issued pursuant to subsection (a) shall:
(1) Register and renew registration pursuant to section 30108.1 any devices containing at least 10 millicuries (mCi) of cesium-137, 0.1 mCi of strontium-90, 1 mCi of cobalt-60, 0.1 mCi of radium-226, or 1 mCi of americium-241 or any other transuranic (i.e., an element with atomic number greater than uranium (92)), based on the activity indicated on the label. The licensee shall be subject to the reporting requirement in section 30108.1(c) for such devices;
(2) Ensure that all labels affixed to the device at the time of receipt and bearing a statement that removal of the label is prohibited are maintained thereon, and comply with all instructions and precautions provided by such labels;
(3) Ensure that the device is tested for leakage of radioactive material and that the on-off mechanism and indicator, if any, operate as designed. These tests shall be performed at intervals no longer than six months or at such other intervals as are specified in the device's label. However: 
(A) Devices containing only krypton need not be tested for leakage; and
(B) Devices containing only tritium, or not more than 100 microcuries (uCi) of other beta and/or gamma emitting material or 10 uCi of alpha emitting material, and devices held in storage in the original shipping container prior to initial installation, need not be tested for any purpose;
(4) Ensure that the tests required by subsection (d)(3) and any testing, installation, servicing, and removal from installation involving the radioactive material, its shielding, or containment, are performed:
(A) In accordance with the instructions provided by the device's labels; or
(B) By a person holding a specific license issued by the Department or an Agreement State other than this State, authorizing the licensee to perform those activities;
(5) Maintain records showing compliance with the requirements of subsections (d)(3) and (d)(4), to include the results of tests, the dates of performance of tests, and the names of the persons performing testing, installing, servicing, and removing from the installation radioactive material, its shielding, or containment. The licensee shall retain records of tests required by:
(A) Subsection (d)(3) for three years after the next required test for leakage and test of the on-off mechanism and indicator is performed, or until the sealed source is transferred or disposed of; and
(B) Subsection (d)(4) for three years from the date of the recorded event or other test, or until the device is transferred or disposed of;
(6) Immediately suspend operation of the device if there is a failure of, or damage to, or any indication of a possible failure of or damage to, the shielding of the radioactive material or the on-off mechanism or indicator, or upon the detection of 0.005 uCi or more of removable radioactive material. The device shall not be operated until it has been repaired by the manufacturer or a person holding a specific license issued by the Department, the NRC, or an Agreement State other than this State, authorizing the licensee to repair the device. The device, and any radioactive material from the device, may only be disposed of in accordance with subsection (d)(10); 
(7) Within 30 calendar days of an event specified in subsection (d)(6), submit a report to the Department containing:
(A) A brief description of the event and the remedial action taken; and
(B) If removable radioactive material greater than or equal to 0.005 uCi has been detected, or failure of or damage to a sealed source is likely to result in contamination of the premises or the environs, a plan to ensure that the premises and environs are acceptable for unrestricted use;
(8) Not abandon the device;
(9) Not export the device except in accordance with an export license issued by the NRC pursuant to 10 CFR, Part 110. This provision shall not be construed to incorporate by reference 10 CFR, Part 110;
(10) Transfer or dispose of the device only:
(A) By export as provided by subsection (d)(9); 
(B) By transfer to a specific licensee authorized to receive such device or another general licensee as authorized in subsection (d)(12); or 
(C) After obtaining written Department approval authorizing transfer or disposal to any other specific licensee not specifically identified in subsection (d)(10)(A) or (B), except that a holder of a specific license may transfer a device for possession and use under its own specific license without prior approval, if the holder:
1. Verifies that the specific license authorizes the possession and use, or pursuant to section 30194.2 applies for and obtains an amendment to the license authorizing the possession and use;
2. Removes, alters, covers, or clearly and unambiguously augments the existing label (otherwise required by subsection (d)(2)), so that the device is labeled in compliance with section 20.1904 of 10 CFR, Part 20, incorporated by reference in section 30253; however, the manufacturer, model number, and serial number shall be retained;
3. Obtains the manufacturer's or initial transferor's information concerning maintenance that would be applicable under the specific license (such as leak testing procedures); and
4. Reports the transfer under subsection (d)(11);
(11) Within 30 calendar days after transfer of a device pursuant to subsection (d)(10), submit a report to the Department containing the:
(A) Identification of the device by manufacturer's (or initial transferor's) name, model number, and serial number;
(B) Name, address, and license number of the person receiving the device (license number not applicable if exported); and
(C) Date of the transfer;
(12) Transfer the device to another general licensee only if:
(A) The device remains in use at a particular location. In this case, the transferor shall give the transferee a copy of this section, sections 30108.1, 30254, 30257 and 30293(a) of this subchapter, sections 20.2201 and 20.2202 of 10 CFR, Part 20, incorporated by reference in section 30253, and any safety documents identified in the label of the device. Within 30 calendar days of the transfer, the transferor shall submit a report to the Department containing:
1. The manufacturer's (or initial transferor's) name;
2. The model number and the serial number of the device transferred;
3. The transferee's name and mailing address for the location of use; and
4. The name, title, and phone number of the responsible individual identified by the transferee pursuant to subsection (d)(15); or
(B) The device is held in storage by an intermediate person in the original shipping container at its intended location of use, prior to initial use by a general licensee;
(13) Comply with sections 20.2201 and 20.2202 of 10 CFR, Part 20, incorporated by reference in section 30253, for reporting radiation incidents, theft or loss of licensed material, but shall be exempt from other requirements in Group 3 of this subchapter, except for sections 30257 and 30293(a);
(14) Upon Department request, provide information relating to the general license within 30 calendar days of the date of the request, or other time specified in the request. If the general licensee is unable to provide the requested information within the allotted time, a request for extending that time shall be submitted prior to the end of the allotted time, and the request for an extension of time shall include a written justification as to why the allotted time should be extended;
(15) Appoint an individual responsible for having knowledge of required actions and authority for taking required actions, so as to comply with this section and all sections cited or referenced within this section. Appointment of the responsible individual does not relieve the general licensee of any of its own responsibility for complying with the Act and this subchapter; and
(16) Not hold devices that are not in use for longer than two years. If devices with shutters are not being used, the shutter shall be locked in the closed position. The testing required by subsection (d)(3) need not be performed during the period of storage. However, when devices are put back into service or transferred to another person, and have not been tested within the required test interval, they shall be tested for leakage before use or transfer, and the shutter tested before use. Devices kept in standby for future use are excluded from the two-year time limit if the general licensee performs quarterly physical inventories of these devices while they are in standby.
(e) The general license issued pursuant to this section does not authorize the manufacture or import of devices containing radioactive material.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115060, 115165, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). 
2. Change without regulatory effect of subsection (b)(5) (Register 88, No. 6).
3. Amendment of subsection (c) and Note filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
4. Repealer and new section and amendment of Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30192.2. General Licenses--Aircraft Safety Devices.
Note     •     History

(a) A general license is hereby issued to any person to possess, own, receive, acquire and use tritium or promethium-147 contained within luminous safety devices designed for use in aircraft, provided that each such device contains not more than 10 curies of tritium or 300 millicuries of promethium-147 and provided further that each such device has been manufactured, assembled, initially transferred or imported in accordance with a specific license authorizing distribution to general licensees.
(b) The general license issued pursuant to subsection (a) does not authorize:
(1) The manufacture, assembly, disassembly, repair, import or disposal of such devices;
(2) The export of luminous safety devices containing tritium or promethium-147;
(3) The use of such devices other than in aircraft; and
(4) The possession, ownership, receipt, acquisition, or use of promethium-147 contained in instrument dials.
(c) Persons who possess a device under the general license issued pursuant to subsection (a) shall, with respect thereto, be exempt from the requirements of Group 3 of this subchapter except for sections 30254 and 30293(a) of this subchapter and sections 20.2201 and 20.2202 of title 10, Code of Federal Regulations, Part 20, incorporated by reference in section 30253.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115000, 115060, 115165, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Amendment of subsection (c) and Note filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
3. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30192.3. General Licenses--Calibration or Reference Sources.
Note     •     History

(a) A general license is hereby issued to persons who hold either a specific license issued by the Department for any radioactive material, or a specific license issued by the United States Nuclear Regulatory Commission for any radioactive material, to possess americium-241, plutonium, or radium-226 in the form of calibration or reference sources. Calibration or reference sources shall be manufactured in accordance with the specifications contained in an appropriate specific license, which authorizes distribution under a general license. Each source possessed pursuant to the general license or its storage container shall bear a label, which includes the information required in the following statement:
“The receipt, possession, use and transfer of this source, Model ____, Serial No. ____, are subject to a general license or its equivalent, and are further subject to the regulations of the United States Nuclear Regulatory Commission or a state with which the United States Nuclear Regulatory Commission has entered into an agreement for the exercise of regulatory authority. Removal of this label is prohibited.
CAUTION--RADIOACTIVE MATERIAL--THIS SOURCE CONTAINS (AMERICIUM-241, PLUTONIUM, OR RADIUM-226, whichever is appropriate). DO NOT TOUCH RADIOACTIVE PORTION OF THIS SOURCE.            _______________________________________”                          (Name of Manufacturer or Importer)
(b) Persons who possess a source under the general license issued pursuant to subsection (a) shall:
(1) Not have, at any one time, at any one location of storage or use, more than 5 microcuries of americium-241, 5 microcuries of plutonium, or 5 microcuries of radium-226 contained in such sources.
(2) Not transfer, abandon or dispose of such sources, except by transfer to a person authorized by a license to receive the source. 
(3) With respect to each such source when not in use, store the source in a closed container adequately designed and constructed to contain any of the radioactive material in the event the source is ruptured or leaks.
(4) Not use such source for any purpose other than calibration of radiation detectors or standardization of other sources.
(c) Persons who possess a source under the general license issued pursuant to subsection (a) shall, with respect thereto, be exempt from the requirement of Group 3 of this subchapter, except for sections 30253, 30254, 30255, 30275(a) and (b), 30293, and 30295.
(d) The general license issued pursuant to subsection (a) does not authorize the manufacture, import, or export of calibration or reference sources containing americium-241, plutonium, or radium-226 or the introduction of americium-241, plutonium, or radium-226 into any product or material.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115000, 115060, 115165, 115230, 115235, 131050, 131051 and 131052,  Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Amendment of subsection (c) and Note filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
3. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30192.4. General Licenses--Ice Detection Devices.
Note     •     History

(a) A general license is hereby issued to any person to possess, own, receive, acquire, use, or transfer strontium-90 contained in ice detection devices, provided that each device contains not more than 50 microcuries of strontium-90, and provided further that each device has been manufactured or imported in accordance with a specific license which authorizes distribution under a general license.
(b) Persons who possess, own, receive, acquire, use or transfer a device under the general license issued pursuant to subsection (a) shall:
(1) Assure that all labels affixed to the device at the time of receipt, and which bear a statement that prohibits removal of the labels, are maintained thereon; and
(2) Immediately upon occurrence of damage, discontinue use of the device until it has been inspected, tested for leakage, and repaired by a person holding a specific license authorizing such testing or repair; or dispose of the device pursuant to section 20.2001 of title 10, Code of Federal Regulations, Part 20 (10 CFR 20), incorporated by reference in section 30253.
(c) Persons who possess, own, receive, acquire, use, or transfer a device under the general license issued pursuant to subsection (a) shall, with respect thereto, be exempt from the requirements of Group 3 of this subchapter, except for sections 30254 and 30293(a) of this subchapter and sections 20.2001, 20.2201 and 20.2202 of 10 CFR 20, incorporated by reference in section 30253.
(d) This general license does not authorize the manufacture, assembly, disassembly, repair, or import of ice detection devices containing strontium-90.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115060, 115165, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Amendment of subsection (c) and Note filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
3. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30192.5. General Licenses--In Vitro Testing.
Note     •     History

(a) A general license is hereby issued to any physician, veterinarian, clinical laboratory or hospital to possess and use radioactive material in prepackaged units for in vitro clinical testing, not exceeding the following:

Radionuclide		Maximum	Maximum 
		uCi* per unit	uCi total

Tritium 		50	2,000
Carbon-14 		10	2,000
Iron-59 		20	200
Selenium-75 		10	200
Cobalt-57 		10	200
Iodine-125 or Iodine-131 		10	200
Mock Iodine-125
Reference Source 
 Iodine-129  		0.05	-
 Americium-241		0.005	-
* microcurie (uCi)
(b) The general licensee shall not possess or use radioactive material under the general license issued pursuant to subsection (a):
(1) Except as prepackaged units which are labeled in accordance with the provisions of a specific license issued by the United States Nuclear Regulatory Commission or a state with which the United States Nuclear Regulatory Commission has entered into an agreement for the exercise of regulatory authority; and
(2) Unless the prepackaged unit bears a label or is accompanied by a package insert containing the following or a substantially similar statement:
“This radioactive material may be received and used only by physicians, veterinarians, clinical laboratories or hospitals, and only for in vitro clinical or laboratory tests not involving internal or external administration of the material or the radiation therefrom to human beings or animals. The receipt, possession, use and transfer of this material is subject to the regulations and general license of the United States Nuclear Regulatory Commission or a state with which the Commission has entered into an agreement for the exercise of regulatory authority.”
(c) Persons who possess radioactive material under the general license issued pursuant to subsection (a), shall, with respect thereto, be exempt from the requirements of Group 3 of this subchapter, except that persons using Mock Iodine-125 shall comply with sections 20.2001, 20.2201 and 20.2202 of title 10, Code of Federal Regulations, Part 20, incorporated by reference in section 30253. 
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115000, 115060, 115165, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Amendment of subsection (c) and Note filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
3. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
4. Editorial correction amending column heading in subsection (a) (Register 2011, No. 24).
§30192.6. General Licenses--Depleted Uranium.
Note     •     History

(a) A general license is hereby issued to any person to receive, acquire, transfer, possess or use depleted uranium contained in industrial products or devices, for the purpose of providing a concentrated mass of the product or device, when such products or devices are manufactured pursuant to a specific license authorizing distribution to general licensees.
(b) Persons who receive, acquire, use, transfer or possess depleted uranium under the general license issued pursuant to subsection (a) shall:
(1) Register in accordance with section 30108.1;
(2) Not introduce such depleted uranium into any chemical, physical or metallurgical treatment or process, other than a treatment or process for repair or restoration of any plating or other covering of the depleted uranium;
(3) Develop, implement and maintain procedures designed to establish physical control over such depleted uranium in order to prevent its unauthorized use or transfer in any form, including metal scrap; 
(4) Appoint an individual responsible for having knowledge of required actions and authority for taking required actions, so as to comply with this section and all sections cited or referenced within this section. Appointment of the responsible individual does not relieve the general licensee of any of its own responsibility for complying with the Act and this subchapter;
(5) Not abandon such depleted uranium;
(6) Transfer or dispose of such depleted uranium only by transfer in accordance with sections 30210 and 30210.1.
(7) Within 30 calendar days of any transfer, report in writing to the Department the transferee's name and address.
(c) Persons who possess, receive, acquire, transfer or use depleted uranium under the general license issued pursuant to subsection (a) shall, with respect thereto, be exempt from the requirements of Group 3 of this subchapter.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985(g), 115060, 115165, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Amendment of subsection (c) and Note filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
3. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30193. Application for Specific Licenses and Amendments. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25805, 25815, 25855, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
§30194. Approval of Applications and Specific Terms and Conditions for Licenses.
Note     •     History

(a) An application for a new specific license or for renewal or amendment of an existing license will be approved if the Department determines that:
(1) the applicant or his specified personnel are qualified by reason of training and experience to use radioactive material of the kinds and quantities and for the purposes requested, in such a manner as to provide reasonable and adequate assurance of protection to health, life, and property;
(2) the applicant's equipment, facilities, proposed uses and procedures are such as to provide reasonable and adequate assurance of protection to health, life, and property;
(3) the issuance of the license will not jeopardize the health and safety of the public;
(4) the applicant satisfies all applicable requirements of the Act and regulations thereunder.
(b) Prior to issuing, amending or renewing a license pursuant to the provisions of this subchapter, the Department may inspect at any reasonable time the place of business, or premises and facilities of any applicant in order to verify information contained in the application or to obtain additional information for the purpose of completing the application.
(c) No license or any right under a license shall be assigned or otherwise transferred unless approved in advance by the Department.
(d) Each licensee shall restrict possession of licensed material to the locations and conditions of the use authorized in the license.
(e) Each specific license shall expire on the expiration date specified as a condition of the license. However, the license shall continue to be valid if a timely application for renewal is filed. An application for renewal shall be timely if filed at least 30 days prior to the expiration date. The existing license shall not expire until the department has taken final action on the timely filed application for renewal.
(f) Applications and documents submitted shall be made available for public inspection except where the applicant identifies portions of the application as “trade secret” and the Department finds that the information is “trade secret” pursuant to provisions of the Public Records Act and Evidence Code Section 1060.
(g) As provided by Section 30195.1, certain applications for specific licenses filed under Group 2 shall contain a proposed decommissioning funding plan or a certification of financial assurance for decommissioning. In the case of renewal applications submitted before January 1, 1996, the submittal of a proposed decommissioning funding plan or a certification of financial assurance for decommissioning may follow the renewal application but shall be submitted on or before January 1, 1996.
NOTE

Authority cited: Sections 100110, 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115165, 115230 and 115235, Health and Safety Code.
HISTORY

1. Amendment filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
2. New subsection (g) filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-16-95 order, including amendment of  Note, transmitted to OAL 2-9-96 and filed 3-25-96 (Register 96, No. 13).
§30194.1. Criteria for Authorizing Multiple Locations of Use.
Note     •     History

Criteria for authorizing more than one location of use on a specific license shall be as follows: 
(a) All locations shall be under the same business entity. 
(b) The radiation protection program required by section 20.1101 of Title 10, Code of Federal Regulations, Part 20 as incorporated by reference in section 30253 shall demonstrate that use of radioactive materials at each location shall be in accordance with this regulation. 
(c) A single location where licensing and compliance records will be maintained for Department review shall be designated. 
(d) The nature of radioactive materials use and the operations shall be the same at all locations. 
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060 and 115165, Health and Safety Code. 
HISTORY

1. New section filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
§30194.2. Amendment Requests.
Note     •     History

To amend an existing license, a licensee shall submit a written request to the Department containing: 
(a) The licensee's name and license number as shown on the specific license. 
(b) The nature and scope of the request. 
(c) The reasons for the request and supporting justifications including any documents relied upon. 
(d) If the request proposes to increase the maximum possession limit specified on the license, the request shall include the fee specified in section 30231(c). 
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060 and 115165, Health and Safety Code. 
HISTORY

1. New section filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
§30195. Special Requirements for Issuance of Specific Licenses.
Note     •     History

In addition to the requirements set forth in Section 30194, specific licenses for certain specialized uses will be issued only if the following conditions are met:
(a) For human use of radioactive material limited to medical purposes, the applicant submits documentation demonstrating that they are capable of complying with the regulations governing the medical use of radioactive material in title 10, Code of Federal Regulations, Part 35 (10 CFR 35) (January 1, 2008), which is hereby incorporated by reference with the exceptions listed at subsections (a)(1) through (a)(15) below, and upon issuance of a license maintains compliance with said regulations: 
(1) Title 10, Code of Federal Regulations, sections 35.1, 35.5, 35.7, 35.8, 35.10, 35.11(c), 35.12, 35.13, 35.14, 35.15, 35.18, 35.19, 35.26, 35.65, 35.4001, and 35.4002 are not incorporated by reference. 
(2) Any references to the United States Nuclear Regulatory Commission (NRC) or any component thereof shall be deemed to be a reference to the “Department” as defined in section 30100 of this regulation. 
(3) Any reference to 10 CFR 35, section 35.5 shall be deemed to be a reference to section 30293 of this regulation. 
(4) Any reference to “Person” in 10 CFR 35 shall be deemed to be a reference to the term “Person” as defined in section 114985(c) of the Health and Safety Code. 
(5) Any reference to “Licensee” in 10 CFR 35 shall be deemed to be a reference to the term “User” as defined in section 30100 of this regulation. 
(6) Any reference to “Byproduct material” in 10 CFR 35 is replaced by the term “Radioactive Material” as defined in section 30100 of this regulation. 
(7) The definition of the term “Agreement State” in 10 CFR 35, section 35.2 is replaced by the definition of the term “Agreement State” as defined in section 30100 of this regulation. 
(8) The definition of the term “Sealed source” in 10 CFR 35, section 35.2 is replaced by the definition of the term “Sealed source” as defined in section 30100 of this regulation. 
(9) The definition of the term “Dentist” in 10 CFR 35, section 35.2 is modified to mean an individual possessing a current and valid license to practice as a dentist pursuant to the California Dental Practice Act specified in Business and Professions Code Section 1600 et seq. 
(10) The definition of the term “Pharmacist” in 10 CFR 35, section 35.2 is modified to mean an individual possessing a current and valid license to practice as a pharmacist pursuant to the California Pharmacy Law specified in Business and Professions Code Section 4000 et seq. 
(11) The definition of the term “Podiatrist” in 10 CFR 35, section 35.2 is modified to mean an individual possessing a current and valid license to practice as a podiatrist pursuant to California Business and Professions Code sections 2460 et seq. 
(12) The definition of the term “Physician” in 10 CFR 35, section 35.2 is modified to mean an individual possessing a current and valid license to practice as a physician and surgeon or as an osteopathic physician and surgeon pursuant to the California Medical Practice Act specified in Business and Professions Code Section 2000 et seq. 
(13) The reference to section 19.12 found in 10 CFR 35, section 35.27(b)(1) shall be deemed to be a reference to section 30255 of this regulation. 
(14) The date January 1, 2011 is substituted for the date October 24, 2002 found in 10 CFR 35, section 35.57(a)(1) and (b)(1). Subdivisions (a)(2) and (b)(2) of 10 CFR 35, section 35.57 are substituted with the following: 
(A) “An individual identified as a Radiation Safety Officer, a teletherapy or medical physicist, or a nuclear pharmacist, or an authorized medical physicist, or an authorized nuclear pharmacist, and physicians, dentists, or podiatrists identified as authorized users for the medical use of radioactive material on a license or an NRC or Agreement State license or a permit issued by a Department, NRC or Agreement State broad scope licensee or NRC master material license permit or by an NRC master material license permittee of broad scope before January 1, 2011 need not comply with the training requirements of 10 CFR 35, sections 35.50, 35.51, or 35.55, and subparts D through H of 10 CFR 35, respectively.” 
(15) Nothing in this incorporation by reference shall be construed to authorize the Department to approve of specialty boards or medical specialty boards for meeting training requirements specified in 10 CFR 35. 
(b) For use of multiple quantities of types of radioactive material for research and development or for processing for distribution:
(1) The applicant has a radiation safety committee of at least three members which must evaluate all proposals for, and maintain surveillance over, all uses of radioactive material. Committee members shall be knowledgeable and experienced in pertinent kinds of radioactive material use and in radiation safety.
(2) The applicant has a radiation safety officer, who is a member of the radiation safety committee, and who is supported by a staff of a size and degree of competence appropriate to deal with radiation safety problems that might be encountered.
(3) The applicant furnishes a detailed statement of the qualifications, duties, authority, and responsibilities of the radiation safety committee and of the staff radiation safety group.
(c) For distribution of devices to persons generally licensed under Sections 30192.1 and 30192.6:
(1) The applicant submits sufficient information relating to the design, manufacture, prototype testing, quality control procedures, labeling, proposed uses and conditions of use, and potential radiation hazards of each device to provide reasonable assurance that:
(A) the radioactive material contained in the device will not be lost; 
(B) no individual will receive a radiation dose to the whole body or major portion thereof, head and trunk, lens of the eye, gonads, or active blood-forming organs in excess of 0.5 rem in a year, under ordinary circumstances of use;
(C) the device can be safely operated by individuals not trained in radiation safety; and
(D) the radioactive material within the device would not be accessible to unauthorized individuals.
(2) The applicant submits a sample of the labels to be affixed to the device which include instructions and precautions for safe operation, and indicates the manner in which the labels will be affixed and their location on the device. Each such label shall bear the statement, “Removal of this label is prohibited.”
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115165, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Repealer and new subsection (e) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
2. Repealer of subsection (e) filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
3. Change without regulatory effect amending subsection (d) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
4. Repealer of subsections (a)-(b)(2), new subsections (a)-(a)(15), subsection relettering and amendment of Note filed 10-13-2010; operative 1-1-2011 (Register 2010, No. 42).
5. Editorial correction of subsection (a)(14) (Register 2010, No. 45).
§30195.1. Special Requirements for Issuance of Specific Licenses--Financial Surety for Decommissioning.
Note     •     History

(a) The regulations governing financial assurance for decommissioning in Title 10, Code of Federal Regulations (10 CFR), section 30.35 (January 1, 2007) and Appendices A through E of 10 CFR Part 30 referenced in section 30.35, are hereby incorporated by reference with the following exceptions:
(1) Subsection 30.35(g) is not incorporated by reference.
(2) The phrase “byproduct material” shall include all “radioactive material” as defined in Title 17, California Code of Regulations, section 30100, except source material which shall be governed by subsection (b).
(3) The date “January 1, 1996” is substituted for the date “July 27, 1990.”
(4) Any reference to the United States Nuclear Regulatory Commission (NRC) or any component thereof shall be deemed to be a reference to the Department.
(5) Any reference to 10 CFR section 30.37 shall be deemed to be a reference to Section 30194.
(6) The date “January 1, 1998” is substituted for the date “November 24, 1995.”
(7) The date “January 1, 2010” is substituted for the date “December  2, 2004.”
(8) The date “July 1, 2010” is substituted for the date “June 2, 2005.”
(9) The date “January 1, 2011” is substituted for the date “December  2, 2005.”
(10) The reference to 10 CFR section 20.303 found in the Note of Appendix B of 10 CFR Part 30 shall be deemed a reference to 10 CFR section 20.2003.
(11) Provisions relating only to power reactor licensees found in the following appendices are not incorporated:
(A) Appendix A, II.A.1.(ii);
(B) Appendix A, II.A.1.(iv);
(C) Appendix A, II.A.2.(ii);
(D) Appendix A, II.A.2.(iv);
(E) Appendix C, II.A(1); and
(F) Appendix C, II.A(2).
(b) The regulations governing financial assurance for decommissioning in 10 CFR section 40.36 (January 1, 2007) are hereby incorporated by reference with the following exceptions:
(1) Subsection 40.36(f) is not incorporated by reference.
(2) The date “January 1, 1996” is substituted for the date “July 27, 1990.”
(3) Any reference to the NRC or any component thereof shall be deemed to be a reference to the Department.
(4) Any reference to 10 CFR section 40.43 shall be deemed to be a reference to Section 30194.
(5) The date “January 1, 1998” is substituted for the date “November 24, 1995.”
(6) The date “January 1, 2009” is substituted for the date “December 2, 2004.”
(7) The date “July 1, 2009” is substituted for the date “June 2, 2005.”
(8) Appendix A referenced in section 40.36 is not incorporated by reference.
(c) The following persons shall be exempt from the requirements of this section:
(1) Persons authorized to possess no more than 1,000 times the quantity specified for each licensed material specified in Appendix B to Part 30 of Title 10, Code of Federal Regulations;
(2) Persons authorized to possess hydrogen-3 contained in hydrogen gas in a sealed source;
(3) Persons authorized to possess radioactive noble gases in sealed sources with no radioactive daughter product with half-life greater than 30 days; or
(4) Persons authorized to possess no more than 10 mCi of source material in any form and source material in any quantity in a non-dispersible form.
NOTE

Authority cited: Sections 115000, 115091, 131055 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115091, 115092 and 115235, Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Amendment of subsection (c) filed 7-12-89; operative 8-11-89 (Register 89, No. 28).
3. Renumbering of former section 30195.1 to new section 30195.3 and new section filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-16-95 order, including amendment of subsection (c)(1) and Note, transmitted to OAL 2-9-96 and filed 3-25-96 (Register 96, No. 13).
5. Amendment of subsections (a) and (b), new subsections (a)(5), (a)(6), (b)(4) and (b)(5), and amendment of  Note filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
6. Amendment of subsections (a), (a)(2), (a)(4)-(5), (b) and (b)(3)-(4), new subsections (a)(7)-(11)(F) and (b)(6)-(8) and amendment of Note filed 12-30-2008; operative 1-29-2009 (Register 2009, No. 1).
§30195.2. Special Requirements for Issuance of Specific Licenses--Emergency Plans.
Note     •     History

(a) The regulations governing application for specific licenses in Title 10, Code of Federal Regulations, Section 30.32, Subsection (i), as revised January 1, 1994, including section 30.72 of Title 10, Code of Federal Regulations, referenced in such Subsection (i), are hereby adopted by reference with the following exceptions:
(1) The phrase “radioactive material” as defined in Title 17, California Code of Regulations, Section 30100 is substituted for the phrase “byproduct material.”
(2) Any reference to the Nuclear Regulatory Commission or any component thereof shall be deemed to be a reference to the Department.
(b) In addition to the requirements set forth in §§ 30194, 30195, 30195.1 and 30195.3, specific licenses shall be issued only if the requirements specified in Subsection (a) are met.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230, and 115235, Health and Safety Code.
HISTORY

1. New section filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-16-95 order, including amendment of Note, transmitted to OAL 2-9-96 and filed 3-25-96 (Register 96, No. 13).
§30195.3. Special Requirements for Issuance of Specific Licenses for Use of Sealed Sources in Industrial Radiography.
Note     •     History

(a) The definitions of sections 30100 and 30330 apply to this section.
(b) An applicant for a specific license for the use of sealed sources in industrial radiography shall submit:
(1) A description of the applicant's training program that meets the requirements of section 30333(a) and (b). Copies of typical examinations and correct answers shall be submitted. Instructors shall, at a minimum, meet the requirements of section 30333.05(a)(1). Instructor qualifications shall be submitted;
(2) If the applicant proposes to be a radiation safety training provider, the information required by section 30331(a)(3) through (a)(5) and the fee required by section 30331(a)(6) in addition to any fee required by section 30230. This information shall be clearly identified as being submitted for compliance with section 30331;
(3) Procedures for verifying and documenting the certification status of radiographers and ensuring that the certification of each radiographer remains valid;
(4) A description of the applicant's overall organizational structure as it applies to the radiation safety responsibilities in radiography using sealed sources, including specified delegation of authority and responsibility;
(5) Operating and emergency procedures that meet the requirements of section 30333.1; 
(6) A description of the internal inspection system used to assure that radiographers and radiographer's assistants comply with Department regulations and license conditions and the applicant's operating and emergency procedures as required by section 30333(e);
(7) The name(s) and qualification(s) of the individual(s) designated as the radiation safety officer (RSO) and potential designees responsible for ensuring that the licensee's radiation safety program is implemented in accordance with Department regulations and license conditions and the applicant's operating and emergency procedures. The designated RSO shall, at a minimum, meet the requirements specified in section 30333.07. Potential designees shall, at a minimum, meet the requirements specified in section 30333.05; and
(8) The location and a description of the location of each field station and permanent radiographic installation.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200,  Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115165 and 115235, Health and Safety Code.
HISTORY

1. Renumbering of former section 30195.1 to new section 30195.3 filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-16-95 order, including amendment of Note, transmitted to OAL 2-9-96 and filed 3-25-96 (Register 96, No. 13).
3. Amendment of section heading, section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30196. Issuance of Specific Licenses. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25805, 25815, 25855, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
§30197. Specific Terms and Conditions of Licenses. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25805, 25815, 25855, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 11-16-67; effective thirtieth day thereafter (Register 67, No. 46).
2. Repealer filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
§30198. Expiration of Licenses. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25805, 25815, 25855, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
§30205. Modification, Suspension, Revocation and Termination of Licenses.
Note     •     History

(a) All licenses shall be subject to modification, suspension, or revocation by regulations or orders issued by the department.
(b) Any license may be modified, suspended, or revoked by the department:
(1) for any material false statement in the application or in any required report;
(2) because of conditions revealed by any means which would warrant refusal to grant such a license on an original application; or
(3) for violation of any terms and conditions of the Act, of the license, or of any relevant regulation or order of the department, including non-payment of license fee pursuant to Sections 30230-30232 of this regulation.
(c) Prior to the institution of proceedings to modify, suspend, or revoke a license, facts or conduct which may warrant such action shall be called to the attention of the licensee in writing and the licensee shall be accorded reasonable opportunity to demonstrate or achieve compliance, except in cases of willful violation or those in which the public health or safety requires otherwise.
(d) A specific license may be terminated by mutual consent between the licensee and the department.
NOTE

Authority cited: Sections 208 and 25811(d), Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(3) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
2. New NOTE filed 8-22-84 (Register 84, No. 34).
Article 5. Transfer of Material
§30210. Authorization for Transfer.
Note     •     History

(a) A licensee may transfer radioactive material only to persons listed below and only following acceptance of such transfer:
(1) the Department;
(2) any person who is exempt from this regulation to the extent permitted under such exemption; or
(3) any person licensed or authorized to receive the material by the United States Nuclear Regulatory Commission, the Department, or any other Agreement State.
(b) This section does not authorize the commercial distribution of radioactive material other than those items listed in Section 30192 through 30192.6, except when such distribution is authorized by a specific license.
NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25855, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of Article 5 (Section 30210 and 30211) and new Article 5 (Section 30210) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history, see Register 62, No. 1.
2. Amendment filed 11-16-67; effective thirtieth day thereafter (Register 67, No. 46).
3. Amendment filed 5-13-69; effective thirtieth day thereafter (Register 69, No. 20).
4. Amendment filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
§30210.1. Verification Required.
Note     •     History

(a) Before transferring radioactive material to a licensee, the licensee transferring the material shall verify license authorization for the receipt of the type, form and quantity of radioactive material to be transferred.
(b) The transferrer shall utilize methods of verification and maintain records of verification required by subsection (a) as specified in 10CFR30.41 (38FR33968).
NOTE

(1) Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25855, 25875 and 25876, Health and Safety Code.
(2) Copies of Title 10, Code of Federal Regulations --Energy, are for sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Change without regulatory effect of NOTE (Register 88, No. 6).
§30210.2. Labeling Requirements for the Manufacture, Preparation or Transfer for Commercial Distribution of Drugs Containing Radioactive Material for Human Use as Authorized by a Specific License.
Note     •     History

(a) A person applying for a specific license to manufacture, prepare or transfer for commercial distribution radioactive drugs for human use shall satisfy the following labeling requirements:
(1) A label shall be affixed to each transport radiation shield of a radioactive drug to be transferred for commercial distribution. The label shall include:
(A) The radiation symbol and the words, “CAUTION, RADIOACTIVE MATERIAL” or “DANGER, RADIOACTIVE MATERIAL”;
(B) The name of the radioactive drug or its abbreviation; and
(C) The quantity of radioactivity at a specified date and time. For radioactive drugs with a half-life greater than 100 days, the time may be omitted.
(2) A label shall be affixed to each syringe, vial, or other container used to hold a radioactive drug to be transferred for commercial distribution. The label shall include:
(A) The radiation symbol and the words, “CAUTION, RADIOACTIVE MATERIAL” or “DANGER, RADIOACTIVE MATERIAL”, and
(B) An identifier that ensures that the syringe, vial, or other container can be correlated with the information on the transport radiation shield label.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115165 and 115235, Health and Safety Code.
HISTORY

1. New section filed 10-13-99; operative 11-12-99 (Register 99, No. 42).
Article 6. Enforcement
§30220. Violations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25855, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of Article 6 (Sections 30215 through 30217) and new Article 6 (Section 30220) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history, see Register 62, No. 21.
2. Repealer filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
Article 7. Reciprocal Recognition of Licenses
§30225. Persons Specifically Licensed by Other Agencies.
Note     •     History

(a) Any person who holds a specific license issued by the United States Nuclear Regulatory Commission (NRC), by any other Agreement State, or by any state that has been either provisionally or finally designated as a Licensing State by the Conference of Radiation Control Program Directors, Inc. (CRCPD), other than this State, may conduct activities of the kind therein authorized within this State for a period not in excess of 180 days in any calendar year without obtaining a specific license from the Department, provided that:
(1) The person maintains an office for directing the licensed activity, at which radiation safety records are normally maintained, in a location under jurisdiction of the agency which issued the specific license;
(2) The license does not limit the authorized activity to specified installations or locations;
(3) The person provides written notice to the Department at least three days prior to engaging in such activity. Such notice shall indicate the location, specific time period, and type of proposed possession and use within this state, and shall be accompanied by a copy of the pertinent license. If, for a specific case, the 3-day period would impose an undue hardship on the person, the person may make application to the Department to proceed sooner;
(4) The person complies with all applicable regulations of the Department and with all the terms and conditions of the license, except such terms and conditions as may be inconsistent with said regulations;
(5) The person supplies such other information as the Department may request; and
(6) The person pays a fee in accordance with section 30230(f) to the Department, prior to the engagement of activities within the state.
(b) Any person who holds a specific license issued by the NRC, by any other Agreement State or by any state that has been either provisionally or finally designated as a Licensing State by the CRCPD, other than this State, authorizing the holder to manufacture, install or service a device described in section 30192.1(a), is hereby issued a general license to install or service such device in this State, provided that:
(1) The person files a report with the Department within 30 days after the end of each calendar quarter in which any device is transferred to or installed in this State, identifying each device recipient by name and address, identifying the type of device transferred or installed, and identifying the quantity and type of radioactive material contained in each device;
(2) The device has been manufactured and labeled and is installed and serviced in accordance with applicable provisions of the specific license;
(3) The person assures that any labels required to be affixed to the device, under regulations of the authority which licensed manufacture of the device, are affixed and bear a statement that “Removal of this label is prohibited;” and
(4) The person furnishes to each device recipient in this State to whom he or she transfers such a device, or on whose premises he or she installs the device, a copy of the regulations contained in Group 1.5 of this subchapter and sections 30192.1, 30254, 30257, 30293(a)(2) and 30295 of Group 3 of this subchapter, and sections 20.2201 and 20.2202 of title 10, Code of Federal Regulations, Part 20, incorporated by reference in section 30253.
(c) The Department may withdraw, limit, or qualify its acceptance of any license specified in subsection (a) or (b) upon determining that such action is necessary to protect health or to minimize danger to life or property.
(d) Authorization granted pursuant to this section does not authorize a person to conduct activities in areas within this State that are under exclusive federal jurisdiction.
NOTE

Authority cited: Sections 114975, 115000, 115060 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 114985, 114990, 115060, 115065, 115090, 115093, 115105, 115110, 115120, 115165, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Repealer of article 7 (section 30220) and new article 7 (section 30225) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history, see Register 62, No. 21.
2. Amendment of subsection (a) filed 7-22-71; effective thirtieth day thereafter (Register 71, No. 30).
3. Amendment of subsection (a) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
4. New NOTE filed 8-22-84 (Register 84, No. 34).
5. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
6. New subsection (a)(6) and amendment of Note filed 10-23-91; operative 11-22-91 (Register 92, No. 5).
7. Amendment of section and Note filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
8. Amendment of subsection (a)(6) filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
10. Amendment of section heading, section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30226. Persons Generally Licensed by Other Agencies.
Note     •     History

(a) A person generally licensed by the United States Nuclear Regulatory Commission (NRC), or an Agreement State other than this State, is not subject to the registration requirements specified in section 30192.1(d)(1) if the device is used in areas subject to the Department's jurisdiction for a period less than 180 days in any calendar year.
(b) Authorization granted pursuant to this section shall not authorize a person to conduct activities in areas within this State that are under exclusive federal jurisdiction within this State.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 115060, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
Article 8. License Fees
§30230. License Fees.
Note     •     History

(a) Except as provided in subsection (b), each applicant for a specific license pursuant to the provisions of this group shall include with the application a nonrefundable fee, which is equal to the annual fee as set forth in section 30231, and if the specific license is granted, the application fee shall constitute the annual fee for the first year of the license.
(b) Each applicant for a specific license for commercial distribution of sealed sources or devices containing sealed sources, who requests evaluation of the information submitted pursuant to section 30195(d)(1) and (d)(2), shall include with the application, a nonrefundable fee, which is equal to the annual fee, and a nonrefundable evaluation fee as set forth in section 30231. If the specific license is granted, the fee equal to the annual fee shall constitute the annual fee for the first year of the license.
(c) Each licensee shall pay an annual fee, as set forth in section 30231, on or before the anniversary of the effective date of the license.
(d) Each licensee, who applies for an amendment to a specific license that increases the maximum possession limits of the license shall include with the request submitted pursuant to section 30194.2, an additional fee for each such amendment, as set forth in section 30231(c).
(e) Each licensee authorized pursuant to section 30195(d) to commercially distribute sealed sources or devices containing sealed sources shall, in addition to the annual fee specified in section 30231(a), pay:
(1) The evaluation fees specified in section 30231(f)(1) through (3), specific to the type of evaluation, when a request for evaluation is submitted to the Department; and 
(2) The annual fee specified in section 30231(f)(4).
(f) Each person authorized to conduct activities within the state pursuant to section 30225(a) shall pay a fee as specified in section 30231(e).
NOTE

Authority cited: Sections 100275, 115000, 115060 and 115065, Health and Safety Code. Reference: Sections 114965, 114970, 114980 and 115165, Health and Safety Code.
HISTORY

1. Amendment filed 8-1-62; effective thirtieth day thereafter (Register 62, No. 16).
2. Renumbering from article 9 to article 8, filed 11-29-65 (Register 65, No. 23).
3. New NOTE filed 8-22-84 (Register 84, No. 34).
4. New subsection (d) and amendment of Note filed 10-23-91; operative 11-22-91 (Register 92, No. 5).
5. Amendment of section and NOTE filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
§30231. Fee Schedule.
Note     •     History

(a) The annual fee shall be calculated in accordance with the following formula and shall not exceed $25,000.00 for any one license:
Annual fee (rounded to the nearest dollar) = A + (A x B x C)
Where:
A = [Sum of the license fee specified in subsection (b)(1), the fee for unsealed sources specified in subsection (b)(2) and the fee for sealed sources specified in subsection (b)(3)]
B = [Number of authorized use locations minus one as specified in subsection (b)(4)]
C = [0.2 as specified in subsection (b)(4)].
(b) The annual fee for each specific license shall consist of the following components:
(1) A fee of $1,112.00 for each license;
(2) A fee for the unsealed sources authorized to be possessed at any one time by the license provided such unsealed sources have a combined total strength of over 10 millicuries (mCi), as follows:

Over 10 mCi, but not over 100 mCi 	 $636.00
Over 100 mCi, but not over 500 mCi 	 $1,271.00
Over 500 mCi, but not over 1 curie (Ci)	 $2,543.00
Over 1 Ci, but not over 10 Ci	 $3,814.00
Over 10 Ci, but not over 100 Ci	 $5,085.00
Over 100 Ci	 $6,375.00;
(3) A fee for the sealed sources authorized to be possessed at any one time by the license provided such sealed sources have a combined total strength of over 100 mCi, as follows:

Over 100 mCi, but not over 1 Ci 	 $636.00
Over 1 Ci, but not over 5 Ci	 $1,271.00
Over 5 Ci, but not over 10 Ci	 $2,543.00
Over 10 Ci, but not over 100 Ci	 $3,814.00
Over 100 Ci, but not over 1,000 Ci	 $5,085.00
Over 1,000 Ci	 $6,357.00; and
(4) A fee for each location of use greater than one, authorized in a specific license pursuant to section 30194.1, which is determined by multiplying the number of authorized use locations minus one by the sum of the values of subsections (b)(1) through (3) and by 0.2.
(c) The amount of additional fee required pursuant section 30230(d), except as limited by this section, shall be the difference between the current annual fee and the total annual fees required for the new limits requested.
(d) Any licensee who fails to pay the annual fee by the anniversary of the effective date of the license shall immediately cease use of all sources of radiation by placing the sources in storage until such time as the annual fee and a late fee of 25 percent of the annual fee has been paid.
(e) The fee for persons authorized to operate under section 30225(a) shall be equal to the annual fee as specified in subsection (a) for the combined total strength of radioactive material that will be possessed while in this state. The fees shall be effective for the period in which reciprocity is granted under section 30225.
(f) The fees required by subsections (b) and (e) of section 30230 shall be as follows:
(1) $4,270.00 for evaluation of each device and sealed source;
(2) $3,270.00 for evaluation of each device only;
(3) $1,000.00 for evaluation of each sealed source only; and
(4) $400.00, annually, for each registry certificate maintained by the Department indicating that the sealed source or device is commercially manufactured and/or distributed and includes evaluations of modifications of the source or device identified on the certificate.
(g) Fees required by this section shall be nonrefundable.
NOTE

Authority cited: Sections 100275, 115000, 115060 and 115065, Health and Safety Code. Reference: Sections 114965, 114970, 114980 and 115165, Health and Safety Code.
HISTORY

1. Amendment filed 8-1-62; effective thirtieth day thereafter (Register 62, No. 16).
2. Amendment filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 27).
3. Editorial correction of NOTE filed 8-22-84 (Register 84, No. 34).
4. Amendment filed 7-7-86 as an emergency; effective upon filing (Register 86, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-4-86.
5. Certificate of Compliance transmitted to OAL 10-9-86 and filed 11-7-86 (Register 86, No. 45).
6. Amendment filed 3-6-89 as an emergency; operative 3-6-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-5-89.
7. Certificate of Compliance transmitted to OAL 6-12-89 and filed 6-28-89 (Register 89, No. 26).
8. New subsection (e) and amendment of Note filed 10-23-91; operative 11-22-91 (Register 92, No. 5).
9. Amendment of subsections (a)-(c) and (e) and Note filed 3-1-94 as an emergency; operative 3-1-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-28-94 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 3-1-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
11. Repealer and new section and amendment of NOTE filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
§30232. Fee Limitations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208, 25811 and 25816, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25816, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 7-2-82; effective thirtieth day thereafter (Register 82, No. 27).
2. Editorial correction of NOTE filed 8-22-84 (Register 84, No. 34).
3. Amendment filed 7-7-86 as an emergency; effective upon filing (Register 86, No. 28). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 11-4-86.
4. Certificate of Compliance transmitted to OAL 10-9-86 and filed 11-7-86 (Register 86, No. 45).
5. Amendment filed 3-6-89 as an emergency; operative 3-6-89 (Register 89, No. 10). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-5-89.
6. Certificate of Compliance transmitted to OAL 6-12-89 and filed 6-28-89 (Register 89, No. 26).
7. Amendment of subsections (a), (c)-(f) and Note filed 3-1-94  as an emergency; operative 3-1-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-28-94 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-1-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
9. Repealer filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
Article 9. Schedules
§30235. Schedule A. Exempt Quantities.
Note     •     History

View Graphic

View Graphic
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115165, 115230 and 115235, Health and Safety Code.
HISTORY

1. New Schedule A filed 7-22-71; effective thirtieth day thereafter (Register 71, No. 30). For history of former section, see Register 62, No. 16.
2. Amendment filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
3. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
4. Amendment of Note filed 7-28-2006; operative 8-27-2006 (Register 2006, No. 30).
§30236. Schedule B, Table I, In Vitro Clinical Tests. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25855, 25875 and 25876, Health and Safety Code.
HISTORY

1. New Schedule B filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For history of former Schedule B, see Registers 72, No. 42, and 67, No. 46.
2. Repealer filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30237. Schedule C.
Note     •     History

				Column I	Column II
				Gas	Liquid and solid	
				concentration	concentration
		Element (atomic number)	Isotope	(mCi/ml1)	(mCi/ml2)	

	Antimony (51)	Sb122				3 x 10-4
		Sb124				2 x 10-4
		Sb125				1 x 10-3
	Argon (18)	Ar37	 1 x 10-3			
		Ar41	 4 x 10-7			
	Arsenic (33)	As73				5 x 10-3
		As74				5 x 10-4
		As76				2 x 10-4
		As77				8 x 10-4
	Barium (56)	Ba131				2 x 10-3
		Ba140				3 x 10-4
	Beryllium (4)	Be7				2 x 10-2
	Bismuth (83)	Bi206				4 x 10-4
	Bromine (35)	Br42	 4 x 10-7		3 x 10-2
	Cadmium (48)	Cd109				2 x 10-2
		Cd115m				3 x 10-4
		Cd113				3 x 10-4
	Calcium (20)	Ca45				9 x 10-3
		Ca47				5 x 10-4
	Carbon (6)	C14	 1 x 10-6		8 x 10-3
	Cerium (58)	Ce141				9 x 10-4
		Ce143				4 x 10-4
		Ce144				1 x 10-4
	Cesium (55)	Cs131				2 x 10-2
		Cs134m				6 x 10-2
		Cs134				9 x 10-3
	Chlorine (17)	Cl36	 9 x 10-7		4 x 10-3
	Chromium (24)	Cr51				2 x 10-2
	Cobalt (27)	Co57				5 x 10-3
		Co58				1 x 10-3
		Co60				5 x 10-4
	Copper (29)	Cu64				3 x 10-3
	Dysprosium (66)	Dy165				4 x 10-3
		Dy166				4 x 10-4
	Erbium (68)	Er169				9 x 10-4
		Er171				1 x 10-3
	Europium (63)	Eu162				6 x 10-4
		(T/2=9.2 Hrs.)					
		Eu158				2 x 10-3
	Fluorine (9)	F18	 2 x 10-6		8 x 10-3
	Gadolinium (64)	Gd153				2 x 10-3
		Gd159				8 x 10-4
	Gallium (31)	Ga72				4 x 10-4
	Germanium (32)	Ge71				2 x 10-2
	Gold (79)	Au196				2 x 10-2
		Au198				5 x 10-4
		Au199				2 x 10-2
	Hafnium (72)	Hf181				7 x 10-4
	Hydrogen (1)	H3	 5 x 10-6		3 x 10-2
	Indium (49)	In113m				1 x 10-2
		In114m				2 x 10-4
	Iodine (53)	I126	 3 x 10-9		2 x 10-5
		I131	 3 x 10-9		2 x 10-3
		I132	 8 x 10-8		6 x 10-4
		I133	 1 x 10-8		7 x 10-3
		I134	 2 x 10-7		1 x 10-3
	Iridium (77)	Ir190				2 x 10-3
		Ir192				4 x 10-4
		Ir194				3 x 10-4
	Iron (26)	Fe53				8 x 10-2
		Fe59				6 x 10-4
	Krypton (36)	Kr86m	 1 x 10-6			
		Kr88	 3 x 10-6			
	Lanthanum (57)	La140				2 x 10-4
	Lead (82)	Pb203				4 x 10-3
	Lutetium (71)	Lu177				1 x 10-3
	Manganese (25)	Mn52				3 x 10-4
		Mn54				1 x 10-3
		Mn56				1 x 10-3
	Mercury (80)	Hg197m				2 x 10-3
		Hg197				3 x 10-3
		Hg203				2 x 10-4
	Molybdenum (42)	Mo99				2 x 10-3
	Neodymium (60)	Nd147				6 x 10-4
		Nd149				3 x 10-3

	Nickel (28)	Ni66				1 x 10-3
	Niobium (columbium)(41)	Nb95				1 x 10-3
		Nb97				9 x 10-3

	Osmium (76)	Os185				7 x 10-4
		Os191m				3 x 10-2
		Os191				2 x 10-3
		Os193				6 x 10-4
	Palladium (46)	Pd103				3 x 10-3
		Pd109				9 x 10-4
	Phosphorus (15)	P32				2 x 10-4
	Platinum (78)	Pt191				1 x 10-3
		Pt193m				1 x 10-2
		Pt197m				1 x 10-2
		Pt197				1 x 10-3
	Polonium (84)	Po210				7 x 10-4
	Potassium (19)	K42				3 x 10-3
	Praseodymium (59)	Pr142				3 x 10-4
		Pr143				5 x 10-4
	Promethium (61)	Pm147				2 x 10-3
		Pm149				4 x 10-4
	Radium (88)	Ra223				1 x 10-7
	Radon (86)	Rn230	 1 x 10-7			
		Rn222	 1 x 10-8			
	Rhenium (75)	Re183				6 x 10-3
		Re185				9 x 10-4
		Re188				6 x 10-4
	Rhodium (45)	Rh103m				1 x 10-1
		Rh105				1 x 10-3
	Rubidium (37)	Rb85				7 x 10-4
	Ruthenium (44)	Ru97				4 x 10-3
		Ru103				8 x 10-4
		Ru105				1 x 10-3
		Ru106				1 x 10-4
	Samarium (62)	Sm133				8 x 10-4
	Scandium (21)	Sc45				4 x 10-4
		Sc47				9 x 10-4
		Sc48				3 x 10-4
	Selenium (34)	Se73				3 x 10-2
	Silicon (14)	Si31				9 x 10-2
	Silver (47)	Ag105				1 x 10-3
		Ag110m				3 x 10-4
		Ag111				4 x 10-4
	Sodium (11)	Na24				2 x 10-3
	Strontium (38)	Sr85				1 x 10-3
		Sr89				1 x 10-4
		Sr91				7 x 10-4
		Sr92				7 x 10-4
	Sulfur (16)	S35	 9 x 10-8		6 x 10-8
	Tantalum (73)	Ta182				4 x 10-4
	Technetium (43)	Tc99m				1 x 10-1
		Tc98				1 x 10-3
	Tellurium (52)	Te125m				2 x 10-3
		Te127m				6 x 10-4
		Te127				3 x 10-3
		Te129m				3 x 10-4
		Te131m				6 x 10-4
		Te132				3 x 10-4
	Terbium (65)	Tb169				4 x 10-4
	Thallium (81)	Tl200				4 x 10-3
		Tl201				5 x 10-2
		Tl202				1 x 10-3
		Tl204				1 x 10-3
	Thulium (69)	Tm170				5 x 10-4
		Tm171				5 x 10-3
	Tin (50)	Sn113				9 x 10-4
		Sn123				2 x 10-4
	Tungsten (wolfram)(74)	W181				4 x 10-3
		W187				7 x 10-4
	Vanadium (23)	V48				3 x 10-4
	Xenon (54)	Xe131m	 4 x 10-6			
		Xe133	 3 x 10-6			
		Xe135	 1 x 10-6			
	Ytterbium (70)	Yb173				1 x 10-3
	Yttrium (39)	Y90				2 x 10-4
		Y91m				3 x 10-3
		Y91				3 x 10-4
		Y92				6 x 10-4
		Y93				3 x 10-4

	Zinc (30)	Zn65				1 x 10-3
		Zn69m				7 x 10-4
		Zn69				2 x 10-2
	Zirconium (40)	Zr95				6 x 10-4
		Zr97				2 x 10-4
	Beta and/or gamma emitting 
	radioactive material not
	listed above with half-life
	less than 3 years		 1 x 10-10		1 x 10-6

Note: 1: Many radioisotopes disintegrate into isotopes which are also radioactive. In expressing the concentrations in Schedule C, the activity stated is that of the parent isotope and takes into account the daughters. 

Note: 2: Where there is involved a combination of isotopes, the limit for the combination should be derived as follows:

 Determine for each isotope in the product the ratio between the concentration present in the product and the exempt concentration established in Schedule C for the specific isotope when not in combination. The sum of such ratios may not exceed “1” (i.e. unity).

	Example:

View Graphic
1 Values are given only for those materials normally used as gases.
2 mCi/gm for solids.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115165, 115230 and 115235, Health and Safety Code.
HISTORY

1. Amendment filed 7-22-71; effective thirtieth day thereafter (Register 71, No. 30).
2. Change without regulatory effect amending Arsenic and Beryllium and adoption of NOTE filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
3. Amendment of listings for argon and platinum and amendment of footnote 2 and Note filed 7-28-2006; operative 8-27-2006 (Register 2006, No. 30).
Group 3. Standards for Protection Against Radiation
Article 1. General
§30250. Authority. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of Article 1 and new Article 1 (30250 through 30255) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For former Article 1, see Register 62, No. 1.
2. Repealer filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30251. Purpose. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30252. Scope and Purpose.
Note     •     History

(a) Group 3 regulations apply to all persons who possess sources of radiation, except as exempt from the licensing and registration requirements or otherwise specifically exempted by the provisions of Group 1 and Group 2 of this subchapter.
(b) The limits in Group 3 do not apply to doses due to background radiation, to exposure of patients to radiation for the purpose of medical diagnosis or therapy, or to voluntary participation in medical research programs.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Repealer and new subsection (b) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 28.
2. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
3. Editorial correction deleting History 1 and amending and redesignating History 2  (Register 94, No. 28).
§30253. Standards for Protection Against Radiation.
Note     •     History

(a) The regulations governing standards for protection against radiation in title 10, Code of Federal Regulations, part 20, (10 CFR 20) sections 20.1001 through 20.2402 and Appendices A through G, (January 1, 2008) are hereby incorporated by reference with the following exceptions:
(1) Title 10, Code of Federal Regulations, sections 20.1001, 20.1002, 20.1006, 20.1007, 20.1008, 20.1009, 20.1401, 20.1402, 20.1403, 20.1404, 20.1405, 20.1406, 20.1905(g), 20.2106(d), 20.2203(c), 20.2206, 20.2302, 20.2401, and 20.2402, and Appendix D are not incorporated by reference.
(2) Any references to the United States Nuclear Regulatory Commission (NRC) or any component thereof shall be deemed to be a reference to the California Department of Public Health.
(3) The definition of the term “Byproduct material” in 10 CFR 20, section 20.1003 is replaced by the definition of the term “radioactive material” as defined in section 30100 of this regulation.
(4) The definition of the term “License” in 10 CFR 20, section 20.1003 is replaced by the definition of the term “License” as defined in section 30100 of this regulation.
(5) The definition of the term “Licensed material” in 10 CFR 20, section 20.1003 is modified to mean any radioactive material (including source material, special nuclear material, or byproduct material) received, possessed, used, transferred or disposed of under a general or specific license issued by the NRC, or by any other Agreement State or by any state that has been either provisionally or finally designated as a Licensing State by the Conference of Radiation Control Program Directors, Inc. With respect to dose limits and reporting requirements, the term “Licensed material” is to be construed broadly in context to include any source of ionizing radiation subject to the requirements of this regulation.
(6) The definition of the term “Licensee” as defined in 10 CFR 20, section 20.1003 is replaced by the definition of the term “User” as set forth in section 30100 of this regulation.
(7) The definition of the term “Person” as defined in 10 CFR 20, section 20.1003 is replaced by the definition of the term “Person” as set forth in section 114985(c) of the Health and Safety Code.
(8) The definition of the term “Radiation (ionizing radiation)” as defined in 10 CFR 20, section 20.1003 is replaced by the definition of the term “Ionizing radiation” as set forth in section 114985(b) of the Health and Safety Code.
(9) The definition of the term “Special nuclear materials” as defined in 10 CFR 20, section 20.1003 is replaced by the definition of the term “Special nuclear material” as set forth in section 114985(f) of the Health and Safety Code.
(10) Reports of transactions and inventories required in 10 CFR 20, section 20.2207 shall be submitted to the National Source Tracking System maintained by NRC as specified in section 20.2207. Methods of reporting specified in section 20.2207(f) are identified on NRC's form, referenced in section 20.2207(f)(4).
(b) The terms defined in 10 CFR 20, section 20.1003, as incorporated by reference, shall apply to this regulation, except that:
(1) The term “Act” as defined in 10 CFR 20, section 20.1003 is limited to the textual material incorporated by reference in subsection (a) above. The meaning of the term “Act” elsewhere in this regulation, is as defined in section 30100 of this regulation.
(2) The term “Department” as defined in 10 CFR 20, section 20.1003 is limited to the provisions incorporated by reference in subsection (a). The meaning of the term “Department” elsewhere in this regulation, is as defined in section 30100 of this regulation.
NOTE

Authority cited: Sections 114975, 115000, 131051, 131052, 131055 and 131200, Health and Safety Code. Reference: Sections 114960, 114965, 114970, 114985, 114990, 115060, 115105, 115110, 115120, 115165, 115230 and 115235, Health and Safety Code.
HISTORY

1. Repealer and new section filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 86, No. 28.
2. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
3. Editorial correction deleting History 1 and amending and redesignating History 3  (Register 94, No. 28).
4. Editorial correction of section heading (Register 99, No. 8).
5. Amendment of section and Note filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
6. Change without regulatory effect amending subsection (a)(1) and repealing subsections (a)(10)-(12) filed 8-8-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 32).
7. Amendment filed 7-20-2006; operative 8-19-2006 (Register 2006, No. 29).
8. Amendment of subsections (a)-(a)(3) and (a)(5), new subsection (a)(10), amendment of subsections (b)(1)-(2) and amendment of Note filed 11-9-2010; operative 12-9-2010 (Register 2010, No. 46).
Article 2. Notices, Instructions, and Reports to Workers; Inspections and Investigations
§30254. Inspection.
Note     •     History

(a) Each user shall afford to the Department or other official agency specifically designated by the Department, at all reasonable times, opportunity to inspect materials, machines, activities, facilities, premises, and records pursuant to these regulations.
(b) During an inspection, inspectors may consult privately with workers as specified below. The user may accompany inspectors during other phases of an inspection.
(1) Inspectors may consult privately with workers concerning matters of occupational radiation protection and other matters related to applicable provisions of Department regulations and licenses to the extent the inspectors deem necessary for the conduct of an effective and thorough inspection.
(2) During the course of an inspection any worker may bring privately to the attention of the inspectors, either orally or in writing, any past or present condition which he has reason to believe may have contributed to or caused any violation of the Radiation Control Law, these regulations, or license condition, or any unnecessary exposure of an individual to radiation from licensed radioactive material or a registered radiation machine under the user's control. Any such notice in writing shall comply with the requirements of subsection (h) hereof.
(3) The provision of paragraph (b)(2) of this section shall not be interpreted as authorization to disregard instructions pursuant to Section 30255(b)(1).
(c) If, at the time of inspection, an individual has been authorized by the workers to represent them during inspections, the user shall notify the inspectors of such authorization and shall give the workers' representative an opportunity to accompany the inspectors during the inspection of physical working conditions.
(d) Each worker's representative shall be routinely engaged in work under control of the user and shall have received instructions as specified in Section 30280(b)(1).
(e) Different representatives of users and workers may accompany the inspectors during different phases of an inspection if there is no resulting interference with the conduct of the inspection. However, only one workers' representative at a time may accompany the inspectors.
(f) With the approval of the user and the workers' representative, an individual who is not routinely engaged in work under control of the user, for example, a consultant to the user or to the workers' representative, shall be afforded the opportunity to accompany inspectors during the inspection of physical working conditions.
(g) Notwithstanding the other provisions of this section, inspectors are authorized to refuse to permit accompaniment by an individual who deliberately interferes with a fair and orderly inspection. With regard to any area containing proprietary information, the workers' representative for that area shall be an individual previously authorized by the user to enter that area.
(h) Any worker or representative of workers who believes that a violation of the Radiation Control Law, these regulations or license conditions exists, or has occurred in work under a license or registration with regard to radiological working conditions in which the worker is engaged, may request an inspection by giving notice of the alleged violation to the Department or other official agency specifically designated by the Department. Any such notice shall be in writing, shall set forth the specific grounds for the notice, and shall be signed by the worker or representative of the workers. A copy shall be provided to the user by the Department no later than at the time of inspection except that, upon the request of the worker giving such notice, his name and the name of individuals referred to therein shall not appear in such copy or on any record published, released, or made available by the Department except for good cause shown.
(i) If, upon receipt of such notice, the Chief, Radiologic Health Branch, of the Department, determines that the complaint meets the requirements set forth in subsection (h) hereof, and that there are reasonable grounds to believe that the alleged violation exists or has occurred, he shall cause an inspection to be made as soon as practicable, to determine if such alleged violation exists or has occurred. Inspections pursuant to this section need not be limited to matters referred to in the complaint.
(j) No user shall discharge or in any manner discriminate against any worker because such worker has filed any complaint or instituted or caused to be instituted any proceeding under these regulations or has testified or is about to testify in any such proceeding or because of the exercise by such worker on behalf of himself or others of any option afforded by this section.
(k) If the Chief, Radiologic Health Branch, of the Department, determines with respect to a complaint under subsection (h) hereof that an inspection is not warranted because there are no reasonable grounds to believe that a violation exists or has occurred, the complainant shall be notified in writing of such determination. The complainant may obtain review of such determination by submitting a written statement of position to the Director of the Department, who will provide the user with a copy of such statement by certified mail, excluding, at the request of the complainant, the name of the complainant. The user may submit an opposing written statement of position with the Director of the Department who will provide the complainant with a copy of such statement by certified mail. Upon the request of the complainant, the Director of the Department, or his designee, may hold an informal conference in which the complainant and the user may orally present their views. An informal conference may also be held at the request of the user, but disclosure of the identity of the complainant will be made only following receipt of written authorization from the complainant. After considering all written or oral views presented, the Director of the Department shall affirm, modify, or reverse the determination of the Chief, Radiologic Health Branch, of the Department, and furnish the complainant and the user a written notification of his decision and the reason therefor.
(l) If the Department determines that an inspection is not warranted because the requirements of subsection (h) hereof have not been met, it shall notify the complainant in writing of such determination. Such determination shall be without prejudice to the filing of a new complaint meeting the requirements of subsection (h) hereof.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Repealer and new section filed 8-19-75 as an emergency; effective upon filing (Register 75, No. 34). Approved by CAL/OSHA Standards Board 12-16-75.
2. Certificate of Compliance filed 11-28-75 (Register 75, No. 48).
3. Amendment of subsections (b)(3) and (d) filed 8-23-76; effective thirtieth day thereafter (Register 76, No. 35).
4. Amendment of subsections (h), (i) and (k) filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
5. New article 2 heading and amendment of subsection (b)(3) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30255. Notices, Instructions, and Reports to Personnel.
Note     •     History

(a) This section establishes requirements for notices, instructions, and reports by users to individuals engaged in work under a license or registration and options available to such individuals in connection with Department inspections of licensees or registrants to ascertain compliance with the provisions of the Radiation Control Law and regulations, orders, and licenses issued thereunder regarding radiological working conditions. The requirements in this section apply to all persons who receive, possess, use, own or transfer material licensed by or registered with the Department.
(b) Each user shall:
(1) Inform all individuals working in or frequenting any portion of a controlled area of the storage, transfer, or use of radioactive materials or of radiation in such portions of the controlled area; instruct such individuals in the health protection problems associated with exposure to such radioactive materials or radiation, in precautions or procedures to minimize exposure, and in the purposes and functions of protective devices employed; instruct such individuals in, and instruct them to observe, to the extent within their control, the applicable provisions of Department regulations and license conditions for the protection of personnel from exposures to radiation or radioactive materials occurring in such areas; instruct such individuals of their responsibility to report promptly to the licensee or registrant any condition which may lead to or cause a violation of department regulations or license conditions or unnecessary exposure to radiation or radioactive material, and of the inspection provisions of Section 30254; instruct such individuals in the appropriate response to warnings made in the event of any unusual occurrence or malfunction that may involve exposure to radiation or radioactive materials; and advise such individuals as to the radiation exposure reports which they may request pursuant to this section. The extent of these instructions shall be commensurate with potential radiological health protection problems in the controlled area.
(2) Conspicuously post a current copy of this regulation, a copy of applicable licenses for radioactive material, and a copy of operating and emergency procedures applicable to work with sources of radiation. If posting of documents specified in this paragraph is not practicable the user may post a notice which describes the document and states where it may be examined.
(3) Conspicuously post a current copy of Department Form RH-2364 (Notice to Employees) in a sufficient number of places to permit individuals working in or frequenting any portion of a controlled area to observe a copy on the way to or from such area.
(4) Conspicuously post any notice of violation involving radiological working conditions or any order issued pursuant to the Radiation Control Law and any required response from the user. Department documents posted pursuant to this paragraph shall be posted within two working days after receipt of the documents from the Department; the user's response, if any, shall be posted within two working days after dispatch by the user. Such documents shall remain posted for a minimum of five working days or until action correcting the violation has been completed, whichever is later.
(5) Assure that documents, notices, or forms posted pursuant to this section shall appear in a sufficient number of places to permit individuals engaged in work under the license or registration to observe them on the way to or from any particular work location to which the document applies, shall be conspicuous, and shall be replaced if defaced or altered.
(6) Provide reports to any individual of their radiation exposure data and the results of any measurements, analyses, and calculations of radioactive material deposited or retained in the body of that individual as specified in this section. The information reported shall include data and results obtained pursuant to Department regulations, orders, or license conditions, as shown in records maintained by the user pursuant to Department regulations. Each notification and report shall: be in writing; include appropriate identifying data such as the name of the user, the name of the individual, the individual's Social Security number; include the individual's exposure information; and contain the following statement:
“This report is furnished to you under the provisions of the California State Department of Public Health Regulations: Standards for Protection Against Radiation. You should preserve this report for future reference.”
These reports shall be provided as follows:
(A) Each user shall advise each worker annually of the worker's dose as shown in records maintained by the user pursuant to title 10, Code of Federal Regulations, part 20, (10 CFR 20), section 20.2106 as incorporated by reference in section 30253. The user shall provide an annual report to each monitored individual pursuant to section 20.1502, incorporated by reference in section 30253, of the dose received in that monitoring year if:
1. The individual's occupational dose exceeds 100 mrem total effective dose equivalent or 100 mrem to any individual organ or tissue; or
2. The individual requests his or her annual dose report. 
(B) At the request of a worker formerly engaged in work controlled by the user, the user shall furnish to the worker a report of the worker's  exposure to radiation or radioactive material as shown in records maintained by the user pursuant to 10 CFR 20, section 20.2106 that has been incorporated by reference in section 30253, for each year the worker was required to be monitored pursuant to section 20.1502 and for each year the worker was required to be monitored under the monitoring requirements in effect prior to March 3, 1994. Such report shall be furnished within 30 days from the time the request is made, or within 30 days after the exposure of the individual has been determined by the user, whichever is later. This report shall cover the period of time that the worker's activities involved exposure to radiation from radioactive material licensed by, or radiation machines registered with, the Department and shall include the dates and locations of work under the license or registration in which the worker participated during this period.
(C) When a user is required pursuant to 10 CFR 20, sections 20.2202, 20.2203, or 20.2204, as incorporated by reference in section 30253, to report to the Department any exposure of an individual to radiation or radioactive material, the user shall also provide the individual a report on his exposure data included therein. Such reports shall be transmitted at a time not later than the transmittal to the Department.
(D) At the request of a worker who is terminating employment with the user that involved exposure to radiation or radioactive materials, during the current calendar quarter or the current year, each user shall provide at termination to each worker, or to the worker's designee, a written report regarding the radiation dose received by that worker from operations of the user during the current year or fraction thereof. If the most recent individual monitoring results are not available at that time, a written estimate of the dose must be provided together with a clear indication that this is an estimate.
NOTE

Authority cited: Sections 114975, 115000, 131051, 131052, 131055 and 131200, Health and Safety Code. Reference: Sections 114940, 114965, 115000, 115060, 115110, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 30280 to section 30255 filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
3. Amendment of subsections (a)(6)-(a)(6)(D) and amendment of Note filed 11-9-2010; operative 12-9-2010 (Register 2010, No. 46).
§30256. Vacating Installations: Records and Notice.
Note     •     History

(a) Each person granted a specific license pursuant to Group 2 of this Subchapter shall keep records of information important to the decommissioning of a facility in an identified location until the site is released for unrestricted use by the Department. Before licensed activities are transferred or assigned in accordance with 30194(c), licensees shall transfer all records described in this section to the new licensee. In this case, the new licensee shall be responsible for maintaining these records until the license is terminated. If records important to the decommissioning of a facility are kept for other purposes, reference to these records and their locations may be used. The records shall include the following information important to decommissioning:
(1) Records of spills or other unusual occurrences involving the spread of contamination in and around the facility, equipment, or site. These records shall include but not be limited to a description of any instances when contamination remains after any cleanup procedures or when there is reasonable likelihood that contaminants may have spread to inaccessible areas, as for example, possible seepage into porous materials such as concrete. These records shall include any known information on identification of involved nuclides, quantities, forms, and concentrations.
(2) As-built drawings and modification drawings of structures and equipment in restricted areas where radioactive materials are used or stored, and of locations of possible inaccessible contamination such as buried pipes which may be subject to contamination. If required drawings are referenced, each relevant document need not be indexed individually. If drawings are not available, the licensee shall substitute appropriate records of available information concerning these areas and locations.
(3) Except for areas containing only sealed sources (provided the sources have not leaked or no contamination remains after any leak) or any radioactive materials having only half-lives of less than 65 days, a list contained in a single document and updated every 2 years, of the following:
(A) All areas designated and formerly designated restricted areas as defined in Title 10, Code of Federal Regulations, Section 20.1003 incorporated by reference pursuant to Title 17, California Code of Regulations, Section 30253;
(B) All areas outside restricted areas that require documentation under (a)(1);
(C) All areas outside of restricted areas where current and previous wastes have been buried as documented under Title 10, Code of Federal Regulations, Section 20.2108 incorporated by reference pursuant to Title 17, California Code of Regulations, Section 30253; and
(D) All areas outside of restricted areas which contain material such that, if the license expired, the licensee would be required to either decontaminate the area to unrestricted release levels or apply for approval for disposal under Title 10, Code of Federal Regulations, Section 20.2002 incorporated by reference pursuant to Title 17, California Code of Regulations, Section 30253.
(4) Records of the cost estimate performed for the decommissioning funding plan or of the amount certified for decommissioning, and records of the funding method used for assuring funds if either a funding plan or certification is used pursuant to Section 30195.1.
(b) Each person granted a specific license pursuant to Group 2 of this Subchapter shall, no less than 30 days before vacating any installation which may have been contaminated with radioactive material as a result of the licensee's activities, notify the department in writing of intent to vacate. This notice shall be submitted on form CDPH 5314 (06/09), entitled “Certificate of Disposition of Materials,” which is incorporated by reference herein, and shall address all requirements specified in subsection (c).
(c) If a licensee does not submit an application for license renewal under section 30194, the licensee shall on or before the expiration date specified in the license:
(1) Terminate use of radioactive material;
(2) Remove radioactive contamination to the extent practicable except for those procedures covered by Subsection (d) of this section;
(3) Dispose of radioactive material in accordance with applicable regulations;
(4) Submit a completed form CDPH 5314 (06/09), which certifies information concerning the disposition of materials; and
(5) Conduct a radiation survey of the premises where the licensed activities were carried out and submit a report of the results of this survey, unless the licensee demonstrates that the premises are suitable for release for unrestricted use in some other manner. The licensee shall, as appropriate:
(A) Report levels of radiation in units of microrads per hour of beta and gamma radiation at one centimeter and gamma radiation at one meter from surfaces, and report levels of radioactivity, including alpha, in units of disintegrations per minute (or microcuries) per 100 square centimeters removable and fixed for surfaces, microcuries per milliliter for water, and picocuries per gram for solids such as soils or concrete; and
(B) Specify the survey instrument(s) used and certify that each instrument is properly calibrated and tested.
(d) In addition to the information required under Subsections (c)(4) and (5), the licensee shall submit a plan for completion of decommissioning if the procedures necessary to carry out decommissioning have not been previously approved by the Department and could increase potential health and safety impacts to workers or to the public such as in any of the following cases:
(1) Procedures would involve techniques not applied routinely during cleanup or maintenance operations; or
(2) Workers would be entering areas not normally occupied where surface contamination and radiation levels are significantly higher than routinely encountered during operation; or
(3) Procedures could result in significantly greater airborne concentrations of radioactive materials than are present during operation; or
(4) Procedures could result in significantly greater releases of radioactive material to the environment than those associated with operation.
(e) Procedures with potential health and safety impacts shall not be carried out prior to approval of the decommissioning plan.
(f) The proposed decommissioning plan, if required by Subsection (d) of this section or by license condition, shall include:
(1) Description of planned decommissioning activities;
(2) Description of methods used to assure protection of workers and the environment against radiation hazards during decommissioning;
(3) A description of the planned final radiation survey;
(4) The information required in (a) (3) and any other information required by (a) that is considered necessary to support the adequacy of the decommissioning plan for approval; and
(5) An updated detailed cost estimate for decommissioning, comparison of that estimate with present funds set aside for decommissioning, and plan for assuring the availability of adequate funds for completion of decommissioning.
(g) The proposed decommissioning plan will be approved by the Department if the Department determines that the decommissioning will be completed as soon as is reasonable and that the health and safety of workers and the public will be adequately protected.
(h) Upon approval of the decommissioning plan by the Department, the licensee shall complete decommissioning in accordance with the approved plan. As a final step in decommissioning, the licensee shall again submit the information required in subsection (c)(5) and shall certify the disposition of accumulated wastes from decommissioning by completing form CDPH 5314 (06/09).
(i) If the information submitted under subsection (c)(5) or (h) does not adequately demonstrate that the premises are suitable for release for unrestricted use, the Department shall inform the licensee of the appropriate further actions required for termination of license.
(j) Each specific license continues in effect, beyond the expiration date if necessary, with respect to possession of residual radioactive material present as contamination until the Department notifies the licensee in writing that the license is terminated. During this time, the licensee shall:
(1) Limit actions involving radioactive material to those related to decommissioning; and
(2) Continue to control entry to restricted areas until they are suitable for release for unrestricted use and the Department notifies the licensee in writing that the license is terminated.
(k) Specific licenses shall be terminated by written notice to the licensee when the Department determines that:
(1) Radioactive material has been properly disposed;
(2) Reasonable effort has been made to eliminate residual radioactive contamination, if present; and
(3) A radiation survey has been performed which demonstrates that the premises are suitable for release for unrestricted use; or other information submitted by the licensee is sufficient to demonstrate that the premises are suitable for release for unrestricted use.
NOTE

Authority cited: Sections 114975, 115000, 131051, 131052, 131055 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering of former section 30298 to section 30256 filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
3. Amendment of section heading and section filed 10-16-95 as an emergency; operative 10-16-95 (Register 95, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-13-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-16-95 order, including amendment of subsections (a), (c)(4) and (f)(3), new (f)(4) and subsection renumbering, and amendment of subsection (h) and Note, transmitted to OAL 2-9-96 and filed 3-25-96 (Register 96, No. 13).
5. Amendment of subsection (a) filed 9-9-97; operative  10-9-97 (Register 97, No. 37).
6. Amendment of subsections (b), (c)(4) and (h) and amendment of Note filed 11-9-2010; operative 12-9-2010 (Register 2010, No. 46).
§30257. Bankruptcy Notification.
Note     •     History

(a) Each general licensee required to register pursuant to sections 30192.1(d)(1) or 30192.6(b)(1), and each specific licensee, shall notify the Department in writing immediately following the filing of a voluntary or involuntary petition for bankruptcy under any chapter of title 11 (Bankruptcy) of the United States Code (11 U.S.C.) by or against:
(1) The licensee;
(2) An entity (as that term is defined in 11 U.S.C. 101 (14)) controlling the licensee or listing the license or licensee as property of the estate; or
(3) An affiliate (as that term is defined in 11 U.S.C. 101 (2)) of the licensee.
(b) The notification to the Department shall indicate:
(1) The bankruptcy court in which the petition for bankruptcy was filed; and
(2) The date of the filing of the petition.
NOTE

Authority cited: Sections 114975, 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115175, 115205, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. Renumbering of former section 30299 to section 30257 filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
3. Amendment of section and Note filed 6-8-2011; operative 7-8-2011 (Register 2011, No. 23).
§30258. General Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of  article 2 and new article 2 (section 30258) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For former article 2, see Register 62, No. 1.
2. Amendment filed 1-22-76; effective thirtieth day thereafter (Register 76, No. 4).
3. Repealer filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
4. Editorial correction deleting article heading (Register 94, No. 15).
Article 3. Surveys and Tests
§30265. Occupational Dose Limits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of article 3 and new article 3 (sections 30265 and 30266) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history of article 3, see Register 62, No. 1.
2. Repealer of subsection (c) filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
3. Amendment of article heading and repealer of section filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30265.1. Determination of Prior Dose. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Change without regulatory effect of subsection (b) (Register 87, No. 6).
3. Repealer filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30266. Exposure of Individuals to Concentrations of Radioactive Material in Controlled Areas. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25875 and 25876, Health ad Safety Code.
HISTORY

1. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 8). 
2. Change without regulatory effect of NOTE (Register 88, No. 6).
3. Repealer and amendment of Note filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30268. Permissible Levels of Radiation in Uncontrolled Areas. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding Note (Register 87, No. 11).
2. Change without regulatory effect of subsection (a) (Register 88, No. 6).
3. Editorial correction of printing error restoring inadvertantly deleted History 2 (Register 92, No. 34).
4. Repealer  filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30269. Concentrations in Effluents to Uncontrolled Areas. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding Note (Register 87, No. 11).
2. Change without regulatory effect of subsection (a) (Register 88, No. 6).
3. Editorial correction of printing error restoring inadvertently deleted section  (Register 92, No. 34).
4. Repealer  filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30275. Surveys and Tests.
Note     •     History

(a) Each user shall make or cause to be made such surveys as are necessary for compliance with all provisions of this regulation.
(b) Upon instruction from the Department or other official agency specifically designated by the Department, each user shall perform or cause to have performed, and shall permit the Department or said agency to perform, such reasonable tests as the Department or said agency deems necessary for the protection of life, health, or property, including, but not limited to, tests of:
(1) Sources of radiation.
(2) Facilities wherein sources of radiation are used or stored.
(3) Radiation detection and monitoring instruments.
(4) Other equipment and devices used in connection with utilization or storage of sources of radiation.
(c) Each sealed source other than sources listed below, shall be tested for contamination prior to initial use and for leakage at least every six months:
(1) Hydrogen-3 or krypton-85 sources.
(2) Sealed sources containing licensed radioactive material in gaseous form.
(3) Source material.
(4) Sources containing radioactive material with a half life of 30 days or less.
(5) Sources of beta- and/or gamma-emitting radioactive material with an activity of 100 microcuries or less.
(6) Sources of alpha and/or neutron-emitting radioactive material with an activity of 10 microcuries or less.
In the absence of a certificate from a transferor indicating that a test has been made prior to the transfer, the sealed source shall not be put into use until tested. If there is reason to suspect that a source might have been damaged, it shall be tested for leakage before further use. Contamination and leak tests shall be capable of determining the presence of 0.005 microcuries of removable contamination. When any contamination or leak test reveals the presence of 0.005 microcuries or more of removable contamination the user shall immediately withdraw the source from use and shall cause it to be decontaminated and repaired or to be disposed of in accordance with applicable provisions of Group 2 of this subchapter. Two copies of a report shall be filed, within 5 days of the test, with the Department or other official agency specifically designated by the Department, describing the source involved, the test results, and the corrective action taken.
(d) The test sample shall be taken from the surface of the source, or source holder, or from the surface of the device in which the source is stored or mounted and on which one might expect contamination to accumulate. Where sealed sources are permanently mounted in devices or equipment, alternate tests for contamination and leakage may be approved by the Department.
(e) Tests for contamination and leakage, decontamination, and repair of sealed sources shall be performed only by persons specifically authorized by the Department to do so in accordance with provisions of Group 2 of this subchapter.
(f) Records of leak tests shall be maintained as specified in United States, title 10, Code of Federal Regulations, part 20, subpart L as incorporated by reference in section 30253..
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of article 4 and new article 4 (sections 30275 through 30281) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For former article 4, see Register 62, No. 1.
2. Change without regulatory effect adding NOTE (Register 87, No. 11).
3. Amendment filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
4. Editorial correction of printing error restoring inadvertantly deleted article heading (Register 92, No. 34).
5. Repealer  of article heading and amendment of subsection (f) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30276. Personnel Monitoring. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 87, No. 11).
2. Amendment of subsection (a), new subsection (b) and subsection renumbering filed 10-10-91; operative 11-9-91 (Register 91, No. 52).
3. Repealer  filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30277. Bio-Assays and Medical Review. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
2. Certificate Compliance filed 12-28-73 (Register 73, No. 52).
3. Change without regulatory effect adding NOTE (Register 87, No. 11).
4. Repealer  filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30278. Caution Signs and Labels. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 11-16-67; effective thirtieth day thereafter (Register 67, No. 46).
2. Change without regulatory effect adding NOTE (Register 87, No. 10).
3. Repealer  filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30278.1. Removal of Caution Labels from Empty Containers.
Note     •     History

Each user shall, prior to disposal of an empty uncontaminated container to unrestricted areas, remove or deface the radioactive material label or otherwise clearly indicate that the container no longer contains radioactive materials.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25875 and 25876, Health and Safety Code; and 10 CFR 20. 203 (f)(4) (43 FR 22171).
HISTORY

1. New section filed 3-6-87; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 87, No. 10).
§30279. Special Requirements for High Radiation Areas and Radiation Machines Capable of Producing High Radiation Areas. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 7-22-71; effective thirtieth day thereafter (Register 71, No. 30).
2. Change without regulatory effect adding NOTE (Register 87, No. 11).
3. Repealer  filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30279.1. Additional Special Requirements for Very High Radiation Areas. [Repealed]
Note     •     History

NOTE

(1) Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). 
2. Change without regulatory effect of NOTE (Register 88, No. 6).
3. Repealer  and amendment of Note filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30280. Notices, Instructions, and Reports to Personnel. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25826, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 8-19-75 as an emergency; effective upon filing (Register 75, No. 34). Approved by CAL/OSHA Standards Board 12-16-75.
2. Certificate of Compliance filed 11-28-75 (Register 75, No. 48). 
3. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). 
4. Change without regulatory effect of subsections (b)(4) and (b)(6)(B) (Register 88, No. 6).
5. Renumbering of former section 30280 to new section 30255 filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30281. Storage and Control of Radioactive Material. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendments filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Repealer filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30282. Procedures for Opening Packages. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 6-19-73; effective thirtieth day thereafter (Register 73, No. 25).
2. Change without regulatory effect adding NOTE (Register 87, No. 11).
3. Repealer filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30285. General Requirement. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25812 and 25815, Health and Safety Code.
HISTORY

1. Repealer of article 5 and new article 5 (sections 30285, 30287, 30288) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For former article 5, see Register 62, No. 1.
2. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
3. Repealer of  article  heading and section f iled 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30287. Disposal by Release into Sanitary Sewerage Systems. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 87, No. 11).
2. Repealer filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30288. Disposal by Burial in Soil. [Repealed]
History

HISTORY

1. Repealer filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
§30289. Treatment or Disposal by Incineration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 7-22-71; effective thirtieth day thereafter (Register 71, No. 30).
2. Change without regulatory effect adding NOTE (Register 87, No. 11).
3. Repealer filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
Article 3.1. Records and Notification
§30293. Records.
Note     •     History

(a) Each user shall keep records showing the receipt, transfer, and disposal of each source of radiation which is subject to licensure or registration pursuant to groups 1.5 and 2 of this subchapter as follows:
(1) The user shall retain each record of receipt of a source of radiation as long as the source of radiation is possessed and for three years following transfer or disposal of the source of radiation.
(2) The user who transferred the source of radiation shall retain each record of transfer for three years after each transfer unless a specific requirement in another part of the regulations in this subchapter dictates otherwise.
(3) The user who disposed of the radioactive material shall retain each record of disposal of the radioactive material until the Department terminates each license that authorizes disposal of the radioactive material.
(b) The user shall retain each record that is required by the regulations in this subchapter or by license condition for the period specified by the appropriate regulation or license condition. If a retention period is not otherwise specified by regulation or license condition, the record shall be retained until the Department terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
(c) Records which shall be maintained pursuant to this subchapter may be the original or a reproduced copy or microform if such reproduced copy or microform is duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by department regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, shall include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records.
(d) If there is a conflict between the Department's regulations in this subchapter, license condition, or other written Department approval or authorization pertaining to the retention period for the same type of record, the retention period specified in the regulations in this subchapter for such records shall apply unless the Department, pursuant to 30104, has granted a specific exemption from the record retention requirements specified in the regulations in this subchapter.
(e) Prior to license termination, each licensee authorized to possess radioactive material with a half-life greater than 120 days, in an unsealed form, shall, if requested by the Department, forward the following records to the Department:
(1) Records of disposal of licensed material made under Title 10, Code of Federal Regulations, sections 20.2002, 20.2003, 20.2004, 20.2005, incorporated by reference in section 30253; and
(2) Records required by Title 10, Code of Federal Regulations section 20.2103(b)(4), incorporated by reference in section 30253.
(f) If licensed activities are transferred or assigned in accordance with section 30194(c), each licensee authorized to possess radioactive material, with a half-life greater than 120 days, in an unsealed form, shall transfer the following records to the new licensee and the new licensee will be responsible for maintaining these records until the license is terminated:
(1) Records of disposal of licensed material made under Title 10, Code of Federal Regulations, sections 20.2002, 20.2003, 20.2004, 20.2005, incorporated by reference in section 30253; and
(2) Records required by Title 10, Code of Federal Regulations, section 20.2103(b)(4), incorporated by reference in section 30243.
(g) Prior to license termination, each licensee shall, if requested by the Department, forward the records required by section 30256(a) to the Department.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections  114965, 114970, 115105, 115110, and 115235, Health and Safety Code.
HISTORY

1. New article 3.1 (sections 30293 and 30295) and section filed 9-9-97; operative 10-9-97 (Register 97, No. 37). For prior history, see Register 94, No. 28.
§30294. Reports of Theft or Loss of Sources of Radiation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 6-19-73; effective thirtieth day thereafter (Register 73, No. 25).
2. Amendment filed 1-22-76; effective thirtieth day thereafter (Register 76, No. 4).
3. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
4. Repealer filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30295. Notification of Incidents.
Note     •     History

(a) Each user shall notify the Department as soon as possible but not later than four hours after the discovery of an event that prevents immediate protective actions necessary to avoid exposures to radiation or radioactive materials that could exceed regulatory limits.
(b) Each user shall notify the Department within 24 hours after the discovery of any of the following events involving radiation or radioactive materials:
(1) An unplanned contamination event involving licensed radioactive material that:
(A) Requires access to the contaminated area by workers or the public, to be restricted for more than 24 hours by imposing additional radiological controls or by prohibiting entry into the  area;
(B) Involves a quantity of material greater than five times the lowest annual limit on intake specified in Appendix B of Title 10, Code of Federal Regulations, part 20, incorporated by reference in section 30253 for the material; and
(C) Has access to the area restricted for a reason other than to allow isotopes with a half-life of less than 24 hours to decay prior to decontamination.
(2) An event in which equipment is disabled or fails to function as designed when:
(A) The equipment is required by regulation or license condition to prevent releases exceeding regulatory limits, to prevent exposures to radiation and radioactive materials exceeding regulatory limits, or to mitigate the consequences of an accident;
(B) The equipment is required to be available and operable when it is disabled or fails to function; and
(C) No redundant equipment is available and operable to perform the required safety function.
(3) An event that requires unplanned medical treatment at a medical facility of an individual with spreadable radioactive contamination on the individual's clothing or body.
(4) An unplanned fire or explosion damaging any licensed material or any device, container, or equipment containing licensed material when:
(A) The quantity of material involved is greater than five times the lowest annual limit on intake specified in Appendix B of Title 10, Code of Federal Regulations, part 20, incorporated by reference in section 30253 for the material; and
(B) The damage affects the integrity of the licensed material or its container.
(c) Reports made by users in response to the requirements of this section shall be made as follows:
Each user shall make reports required by subsections (a) and (b) by telephone to the Department. To the extent that the information is available at the time of notification, the information provided in these reports shall include:
(1) The caller's name and call back telephone number;
(2) A description of the event, including date and time;
(3) The exact location of the event;
(4) The isotopes, quantities, and chemical and physical form of the licensed material involved; and
(5) Any personnel radiation exposure data available.
(d) Each user who makes a report required by this section shall submit a written follow-up report within 30 days of the initial report. These written reports shall be sent to the Department and include:
(1) A description of the event, including the probable cause and the manufacturer and model number (if applicable) of any equipment that failed or malfunctioned;
(2) The exact location of the event;
(3) The isotopes, quantities, and chemical and physical form of the licensed material involved;
(4) Date and time of the event;
(5) Corrective actions taken or planned and the results of any evaluation or assessment; and
(6) The extent of exposure of individuals to radiation or to radioactive materials without identification of individuals by name.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200,  Health and Safety Code. Reference: Sections  114965, 114970, 115105, 115110, and 115235, Health and Safety Code.
HISTORY

1. New section filed 9-9-97; operative 10-9-97 (Register 97, No. 37). For prior history, see Register 94, No. 28.
2. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30297. Reports of Overexposures and Excessive Levels and Concentrations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New subsections (c) and (d) filed 5-13-69; effective thirtieth day thereafter (Register 69, No. 20).
2. Amendment of subsections (a) and (b) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
3. Amendment of subsection (a) filed 1-22-76; effective thirtieth day thereafter (Register 76, No. 4).
4. Amendment of subsection (a) filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
5. Repealer filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30298. Vacating Installations. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Change without regulatory effect adding NOTE (Register 87, No. 11).
2. Renumbering of former section 30298 to new section 30256 filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30299. Bankruptcy Notification. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 28501, 28502, 25815, 25860, 25863, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 4-19-91; operative 5-19-91 (Register 91, No. 20).
2. Renumbering of former section 30299 to new section 30257 filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
Article 4. Special Requirements for the Use of X-Ray in the Healing Arts
§30305. General Provisions.
Note     •     History

(a)(1) This article pertains to use of X-rays in medicine, dentistry, osteopathy, chiropractic, podiatry, and veterinary medicine. The provisions of this article are in addition to, and not in substitution for, other applicable provisions of this regulation and of Group 1 of this subchapter.
(2) Any existing machine or installation need not be replaced or substantially modified to conform to the requirements of this regulation provided that the user demonstrates to the Department's satisfaction achievement of equivalent protection through other means.
(3) No person shall make, sell, lease, transfer, lend, or install X-ray or fluoroscopic equipment or the supplies used in connection with such equipment unless such supplies and equipment, when properly placed in operation or properly used, will meet the requirements of this regulation. This includes responsibility for the delivery of cones or collimators, filters, adequate timers and fluoroscopic shutters (where applicable).
(4) For X-ray equipment manufactured after July 31, 1974, the user shall provide sufficient maintenance to keep the equipment in compliance with all applicable radiation protection sections of the Code of Federal Regulations, Title 21, Chapter 1, Subchapter J, Part 1020, Sections 1020.30, 1020.31, and 1020.32.
(5) Each installation shall be provided with such primary barriers and/or secondary barriers as are necessary to ensure compliance with title 10, Code of Federal Regulations, part 20, (10 CFR 20) subparts C and D incorporated by reference in section 30253. Special requirements are contained in title 24, California Code of Regulations, Part 2, Chapter 31C, sections 3101C through 3104C.
(b) Use.
(1) The user shall assure that all X-ray equipment under his jurisdiction is operated only by persons adequately instructed in safe operating procedures and competent in safe use of the equipment.
(2) The user shall provide safety rules to each individual operating X-ray equipment under his control, including any restrictions of the operating technique required for the safe operation of the particular X-ray apparatus, and require that the operator demonstrate familiarity with these rules.
(3) No user shall operate or permit the operation of X-ray equipment unless the equipment and installation meet the applicable requirements of these regulations and are appropriate for the procedures to be performed.
(4) Deliberate exposure of an individual to the useful beam for training or demonstration purposes shall not be permitted unless there is also a medical or dental indication for the exposure and the exposure is prescribed by a physician or dentist.
(c) Areas or rooms that contain permanently installed X-ray machines as the only source of radiation shall be posted with a sign or signs

CAUTION
X-RAY

in lieu of other signs required by the United States, title 10, Code of Federal Regulations, part 20, section 20.1902 as incorporated by reference in section 30253.
(d) High radiation areas caused by radiographic and fluoroscopic machines used solely in the healing arts and which are in compliance with the access control and signal requirements of title 24, California Code of Regulations, Part 2, Chapter 31C, sections 3101C through 3104C shall be exempt from the access control and signal requirements of 10 CFR 20, section 20.1601 as incorporated by reference in section 30253.
NOTE

Authority cited: Sections 100275, 114975, 115000, 131051, 131052, 131055 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000 and 115060, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71. (Register 71, No. 10).
2. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
3. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
4. Amendment filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
5. New subsection (a)(5) and repealer of subsection (c) filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
6. Amendment of article heading and new subsections (c) and (d) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
8. Change without regulatory effect amending subsections (a)(5) and (d) and amending Note filed 11-12-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 46).
§30306. Definitions.
Note     •     History

(a) “Automatic exposure control” means a device which automatically controls one or more technique factors in order to obtain at a preselected location(s) a required quantity of radiation.
(b) “Cineradiography” means the making of a motion picture record of the successive images appearing on a fluorescent screen.
(c) “Contact therapy” means irradiation of accessible lesions usually employing a very short source-skin distance and potentials of 40-50 KV.
(d) “Dead-man switch” means a switch so constructed that a circuit-closing contact can only be maintained by continuous pressure by the operator.
(e) “Diagnostic-type tube housing” means an X-ray tube housing so constructed that the leakage radiation measured at a distance of 1 meter from the source cannot exceed 100 milliroentgens in 1 hour when the tube is operated at its maximum continuous rate of current for the maximum rated tube potential.
(f) “Filter” means material placed in the useful beam to absorb preferentially the less penetrating radiations.
(g) “Interlock” means a device for precluding access to an area of radiation hazard either by preventing entry or by automatically removing the hazard.
(h) “Leakage radiation” means all radiation coming from within the tube housing except the useful beam.
(i) “Protective barrier” means a barrier of attenuating materials used to reduce radiation exposure.
(j) “Primary protective barrier” means a barrier sufficient to attenuate the useful beam to the required degree.
(k) “Scattered radiation” means radiation that, during passage through matter, has been deviated in direction.
(l) “Secondary protective barrier” means a barrier sufficient to attenuate stray radiation to the required degree.
(m) “Shutter” means a device, generally of lead, fixed to an X-ray tube housing to intercept the useful beam.
(n) “Stray radiation” means radiation not serving any useful purpose. It includes leakage and scattered radiation.
(o) “Therapeutic-type tube housing” means,
(1) For X-ray therapy equipment not capable of operating at 500 kVp or above, an X-ray tube housing so constructed that the leakage radiation at a distance of 1 meter from the source does not exceed 1 roentgen in an hour when the tube is operated at its maximum rated continuous current for the maximum rated tube potential.
(2) For X-ray therapy equipment capable of operating at 500 kVp or above, an X-ray tube housing so constructed that the leakage radiation at a distance of 1 meter from the source does not exceed either 1 roentgen in an hour or 0.1 percent of the useful beam dose rate at 1 meter from the source, whichever is greater, when the machine is operated at its maximum rated continuous current for the maximum rated accelerating potential.
(3) In either case, small areas of reduced protection are acceptable provided the average reading over any 100 square centimeters area at 1 meter distance from the source does not exceed the values given above.
(p) “Useful beam” means that part of the radiation which passes through the window, aperture, cone, or other collimating device of the tube housing. (T17-30306-T24).
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
2. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
3. Amendment of subsection (e) filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30307. Fluoroscopic Installations
Note     •     History

(a) Equipment.
(1) The tube housing shall be of diagnostic type.
(2) The target-to-panel or target-to-table top distance should not be less than 18 inches and shall not be less than 12 inches.
(3) The total filtration permanently in the useful beam shall not be less than 2.5 millimeters aluminum equivalent. This requirement may be assumed to have been met if the half-value layer is not less than 2.5 millimeters aluminum at normal operating voltages.
(4) The equipment shall be so constructed that the entire cross-section of the useful beam is attenuated by a primary barrier. This barrier is usually the viewing device, either a conventional fluoroscopic screen or an image intensification mechanism.
(A) The lead equivalent of the barrier of conventional fluoroscopes shall be at least 1.5 millimeters for equipment capable of operating up to 100 kVp, at least 1.8 millimeters for equipment whose maximum operating potential is greater than 100 kVp and less than 125 kVp, and at least 2.0 millimeters for equipment whose maximum operating potential is 125 kVp or greater. Special attention must be paid to the shielding of image intensifiers so that neither the useful beam nor scattered radiation from the intensifier can produce a radiation hazard to the operator or personnel. With the fluorescent screen 14 inches (35 cm) from the panel or table top, the exposure rate 2 inches 5 cm) beyond the viewing surface of the screen shall not exceed 30 mR/hr for each R per minute at the table top with the screen in the useful beam without a patient and with the fluoroscope operating at the highest potential employed.
(B) Collimators shall be provided to restrict the size of the useful beam to less than the area of the barrier. For conventional fluoroscopes this requirement is met if, when the adjustable diaphragm is opened to its fullest extent, an unilluminated margin is left at all edges of the fluorescent screen with the screen centered in the beam at a distance of 35 cm (14 inches) from the panel or table top.
For image intensified fluoroscopy, shutters shall be provided which can be adjusted to restrict the X-ray field to the visible portion of the image receptor during fluoroscopy. For systems employing rectangular X-ray fields and circular image receptors, this requirement is met if the collimated beam forms a square which circumscribes, and is tangent to, the circular margin of the image receptor.
(C) The tube mounting and the carrier shall be so linked together that the carrier always intercepts the entire useful beam. The X-ray exposure shall automatically terminate when the carrier is removed from the useful beam.
(D) Collimators and adjustable diaphragms or shutters to restrict the size of the useful beam shall provide the same degree of protection as is required of the tube housing.
(5) The exposure switch shall be of the dead-man type.
(6) Each fluoroscopic unit shall be equipped with a manual-reset cumulative timing device, activated by the exposure switch, which will either indicate elapsed exposure time by a signal audible to the fluorocopist or turn off the apparatus when the total exposure exceeds a predetermined limit not exceeding five minutes in one or a series of exposures.
(7) Useful beam exposure rate.
(A) All fluoroscopic equipment. For routine fluoroscopy, the exposure rate measured at the point where the center of the useful beam enters a typical patient shall be as low as is practicable and shall not exceed 5 roentgens per minute under the conditions specified herein. This limit shall not apply during magnification procedures or the recording of fluoroscopic images where higher exposure rates are required. Compliance with this paragraph shall be determined using the measuring specifications of Section 30307(a)(7)(D), plus the following procedures when the automatic exposure rate control is used:
1. The useful beam exposure rate shall be measured with a phantom equivalent to 9 inches of water or 7 7/8 inches of lucite, intercepting the entire useful beam.
2. If the X-ray source is below the table, the X-ray exposure rate shall be measured with the nearest part of the imaging assembly located at 14 inches above the table top.
3. The field size at the point of exposure rate measurement shall be at least 6 1/4 square inches in area in the plane perpendicular to the central ray.
(B) Fluoroscopic equipment manufactured after August 1, 1974, and equipped with automatic exposure rate controls. Fluoroscopic equipment which is provided with automatic exposure rate control shall not be operable at any combination of tube potential and current which will result in an exposure rate in excess of 10 roentgens per minute at the point where the center of the useful beam enters the patient, except during recording of fluoroscopicimages, or when an optional high level control is provided. When so provided, the equipment shall not be operable at any combination of tube potential and current which will result in an exposure rate in excess of 5 roentgens per minute at the point where the center of the useful beam enters the patient unless the high level control is activated. Special means of activation of high level controls shall be required. The high level control shall only be operable when continuous manual activation is provided by the operator. A continuous signal audible to the fluoroscopist shall indicate that the high level control is being employed.
(C) Fluoroscopic equipment manufactured after August 1, 1974, without automatic exposure rate controls. Fluoroscopic equipment which is not provided with automatic exposure rate control shall not be operable at any combination of tube potential and current which will result in an exposure rate in excess of 5 roentgens per minute at the point where the center of the useful beam enters the patient, except during recording of fluoroscopic images, or when an optional high level control is activated. Special means of activation of high level controls shall be required. The high level control shall only be operable when continuous manual activation is provided by the operator. A continuous signal audible to the fluoroscopist shall indicate that the high level control is being employed.
(D) Measuring useful beam exposure rate compliance.
1. If the X-ray tube is below the table, the exposure rate shall be measured 1 centimeter above the tabletop or cradle.
2. If the X-ray tube is above the table, the exposure rate shall be measured at 30 centimeters above the tabletop with the end of the beam-limiting device or spacer positioned as closely as possible to the point of measurement.
3. In a C-arm type of fluoroscope, the exposure rate shall be measured at 30 centimeters from the input surface of the fluoroscopic imaging assembly.
(8) Mobile fluoroscopic equipment shall meet the requirements of this section where applicable, except that:
(A) Inherent provisions shall be made so that the machine is not operated at a source-skin distance of less than 30 cm (12 inches).
(B) Image intensification shall always be provided. Conventional fluoroscopic screens shall not be used.
(C) It shall be impossible to operate a machine when the collimating cone or diaphragm is not in place.
(D) It shall be impossible to energize the useful beam of a mobile fluoroscope unless the entire useful beam is intercepted by the image receptor.
(9) Devices which indicate the X-ray tube potential and current shall be provided, and should be located in such a manner that the operator may monitor the tube potential and current during fluoroscopy.
(10) A shielding device of at least 0.25 millimeters lead equivalent shall be provided for covering the bucky-slot during fluoroscopy.
(11) Whenever practicable, protective drapes, or hinged or sliding panels, of at least 0.25 millimeters lead equivalent shall be provided between the patient and the fluoroscopist to intercept scattered radiation which would otherwise reach the fluoroscopist and others near the machine. Such devices shall not substitute for wearing of a protective apron.
(b) Operating Procedures.
(1) Protective aprons of at least 0.25 mm lead equivalent shall be worn in the fluoroscopy room by each person, except the patient, whose body is likely to be exposed to 5 mR/hr or more.
(2) On fluoroscopes with automatic exposure controls the operator shall monitor the tube current and potential at least once each week to ascertain that they are in their usual ranges for a given set of operating parameters. This requirement may be met by adjusting the controls to usual settings for fluoroscoping an average patient, and using a phantom of any suitable material with attenuation roughly equivalent to six to ten inches of water. Whenever the monitored tube current or potential vary in a way which could increase the patient X-ray exposure rate by more than 25% over the latest exposure rate measurement required by Section 30307(b)(3), the cause(s) for the change shall be determined promptly and the patient exposure rate shall be remeasured. On fluoroscopes with manual exposure control only, the operator shall monitor the tube current and potential at least once each day during use to ascertain that they are within the normal ranges used by the facility. A written log shall be kept of all monitored readings and shall include at least the tube current and potential, the date, identification of the fluoroscope, and name of the person who did the monitoring. Records of all monitored readings shall be preserved at the facility for at least three years.
(3) Measurements of the table top or patient exposure rate shall be made at least once each year for units with automatic exposure control, and at least once each 3 years for units without automatic exposure control, and immediately following alteration or replacement of a major component, such as the X-ray tube, the exposure controls, the imaging assembly, and the power source.
(4) On cineradiography equipment, the exposure rates to which patients are normally subjected shall be determined at least once each year, and immediately following alterations or replacement of a major component, such as the X-ray tube, the exposure controls, the imaging assembly, and the power source.
NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
2. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
3. Amendment filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
4. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30308. Radiographic Installations (Other Than Dental and Veterinary Medicine).
Note     •     History

(a) Equipment.
(1) The tube housing shall be of diagnostic type.
(2) Suitable devices (diaphragms, cones, adjustable collimators), capable of restricting the useful beam to the area of clinical interest shall be provided to define the beam and shall provide the same degree of attenuation as that required of the tube housing. Such devices shall be calibrated in terms of the size of the projected useful beam at specified source-film distances. For chest photofluorographic equipment, the collimator shall restrict the beam to dimensions no greater than those of the fluorographic screen. The field size indication on adjustable collimators shall be accurate to within 2 percent of the source-film distance. The light field shall be aligned with the X-ray field with the same degree of accuracy.
(3) For equipment manufactured prior to August 1, 1974, the aluminum equivalent of the total filtration in the useful beam shall be not less than that shown in Table 1:

Table 1

	Minimum Total Filter
Operating kVp	(Inherent plus added)
Below 50 kVp 	 0.5 mm aluminum
50-70 kVp 	 1.5 mm aluminum
Above 70 kVp 	 2.5 mm aluminum

For equipment manufactured on or after August 1, 1974, the half-value layer (HVL) of the useful beam for a given X-ray tube potential shall not be less than the appropriate value specified in Table 2. 

Table 2

              X-ray tube voltage (kilovolt peak)     
      Designed	Measured	Minimum HVL
Operating Range	Minimum HVL	(mm of Al)

Below 50 	30	0.3
	40	0.4
	49	0.5
50 to 70	50	1.2
	60	1.3
	70	1.5
Above 70 	70	2.1
	80	2.3
	90	2.5
	100	2.7
	110	3.0
	120	3.2
	130	3.5
	140	3.8
	150	4.1

(4) A device shall be provided to terminate the exposure after a pre-set time or exposure.
(5) A dead-man type of exposure switch shall be provided and so arranged that it cannot be conveniently operated outside a shielded area, except that exposure switches for “spot film” devices used in conjunction with fluoroscopic tables are excepted from this shielding requirement.
(6) The control panel shall include a device (usually a milliammeter) to give positive indication of the production of X-rays whenever the X-ray tube is energized.
(7) The control panel shall include devices (labeled control settings and/or meters) indicating the physical factors (such as kVp, mA, exposure time, or whether timing is automatic) used for the exposure.
(8) Machines equipped with beryllium window X-ray tubes shall contain keyed filter interlock switches in the tube housing and suitable indication on the control panel of the added filter in the useful beam if the total filtration permanently in the useful beam is less than 0.5 mm aluminum equivalent. The total filtration permanently in the useful beam shall be clearly indicated on the tube housing.
(9) The aluminum equivalent of the table top when a cassette tray is used under the table top, or the aluminum equivalent of the front panel of the vertical cassette holder, shall not be more than 1 mm at 100 kVp.
(b) Operating Procedures.
(1) No individual occupationally exposed to radiation shall be permitted to hold patients during exposures except during emergencies, nor shall any individual be regularly used for this service. If the patient must be held by an individual, that individual shall be protected with appropriate shielding devices such as protective gloves and apron and he shall be so positioned that no part of his body will be struck by the useful beam.
(2) Only individuals required for the radiographic procedure shall be in the radiographic room during exposure; and, except for the patient, all such persons shall be equipped with appropriate protective devices.
(3) The radiographic field shall be restricted to the area of clinical interest.
(4) Gonadal shielding of not less than 0.5 mm lead equivalent shall be used for patients who have not passed the reproductive age during radiographic procedures in which the gonads are in the direct beam, except for cases in which this would interfere with the diagnostic procedure.
(5) The operator shall stand behind the barrier provided for his protection during radiographic exposures.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
2. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
3. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30309. Special Requirements for Mobile Radiographic Equipment.
Note     •     History

(a) Equipment.
(1) All requirements of Section 30308(a) apply except 30308 (a)(5) and 30308 (a)(9).
(2) The exposure control switch shall be of the dead-man type and shall be so arranged that the operator can stand at least 6 feet from the patient and well away from the useful beam.
(3) Inherent provisions shall be made so that the equipment is not operated at source-skin distances of less than 12 inches.
(b) Operating Procedures.
(1) All provisions of Section 30308(b) apply except 30308(b)(5).
(2) The target-to-skin distance shall be not less than 12 inches.
(3) Personnel monitoring shall be required for all individuals operating mobile X-ray equipment.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71. (Register 71, No. 10).
2. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
3. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
4. Amendment of subsection (b)(1) filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30310. Special Requirements for Chest Photofluorographic Installations.
Note     •     History

(a) Equipment.
(1) All provisions of Section 30308 (a) apply.
(2) A collimator shall restrict the useful beam to the area of the photofluorographic screen.
(3) The incident X-ray exposure where the central ray enters the patient shall not exceed 200 milliroentgens per radiograph for the average patient, and should not exceed 100 milliroentgens per radiograph.
(b) Operating Procedures.
(1) All provisions of Section 30308(b) apply.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
3. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
4. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30311. Dental Radiographic Installations.
Note     •     History

(a) Equipment.
(1) The tube housing shall be of diagnostic type.
(2) Diaphragms or cones shall be used for collimating the useful beam and shall provide the same degree of protection as the housing.
(A) For intra-oral radiography the useful beam shall be restricted to a diameter of not more than 7 cm (2.75 inches) at the surface of the skin.
(3) For intra-oral film exposures a cone or spacer frame shall provide a target-to-skin distance of not less than 18 cm (7 inches) with apparatus operating above 50 kVp or 10 cm (4 inches) with apparatus operating at 50 kVp or below.
(4) The total filtration permanently in the useful beam shall be equivalent to at least 0.5 millimeters of aluminum for equipment operating below 50 kVp, equivalent to at least 1.5 millimeters of aluminum for equipment operating from 50 kVp through 70 kVp, and equivalent to at least 2.5 millimeters of aluminum for equipment operating above 70 kVp.
(5) A device shall be provided to terminate the exposure after a pre-set time or exposure.
(6) The exposure control switch shall be of the dead-man type. If a recycling timer is employed it shall not be possible to make a repeat exposure without release of the exposure switch to reset the timer.
(7) Each installation shall be provided with a protective barrier for the operator or shall be so arranged that the operator can stand at least 6 feet from the patient and well away from the useful beam.
(8) Mechanical support of the tube head and cone shall maintain the exposure position without drift or vibration.
(9) Panoramic installations. This part applies to those installations which consist of a tube head with a collimator providing a narrow useful beam and an extra oral film carrier which are interlocked in their motion about the patient.
(A) All provisions of Section 30311 (a) apply except 30311 (a)(2)(A), 30311 (a)(3), 30311 (a)(10).
(10) Cephalometric installations.
(A) All provisions of Section 30311 (a) apply except 30311 (a)(2)(A), 30311 (a)(3), and 30311 (a)(9).
(B) The radiographic field shall be restricted to the area of the image receptor.
(11) The X-ray control panel shall include means for indicating X-ray tube voltage (kVp), tube current (mA), and exposure duration. The tube voltage and current shall be indicated by meters or by control settings. A milliammeter, a light or other device shall give clear and distinct visual or audible indication to the operator when X-rays are being produced.
(b) Operating Procedures.
(1) No individual occupationally exposed to radiation shall be permitted to hold patients or films during exposure, nor shall any individual be regularly used for this service.
(2) During each exposure, the operator shall stand at least 6 feet from the patient or behind a protective barrier.
(3) Only the patient shall be in the useful beam.
(4) Neither the tube housing nor the position indicating device (cone, cylinder) shall be hand-held during exposure.
(5) Fluoroscopy shall not be used in dental examinations.
(6) Each patient undergoing dental radiography shall be draped with a protective apron of not less than 0.25 millimeter lead-equivalent to cover the gonadal area.
(7) For intra-oral and cephalometric radiography the X-ray beam and the film shall be aligned very carefully with the area to be radiographed.
(8) Only persons required for the radiographic procedure shall be in the radiographic room during exposures.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
2. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
3. Editorial correction (Register 74, No. 6).
4. Amendment filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
5. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
§30312. Therapeutic X-Ray Installations.
Note     •     History

(a) Equipment.
(1) The tube housing shall be of therapeutic type.
(2) For equipment installed on or before August 1, 1979, permanent diaphragms or cones used for collimating the useful beam shall afford the same degree of protection as the housing. Adjustable or removable beam-defining diaphragms or cones shall transmit not more than 5 percent of the useful beam obtained at the maximum kilovoltage and with maximum treatment filter.
(3) For equipment installed after August 1, 1979, permanent beam-defining devices or diaphragms shall afford the same degree of protection as the housing. Adjustable or interchangeable beam-defining devices shall transmit no more than 2 percent of the useful beam for the portion of the useful beam which is to be attenuated by the beam limiting device. Measurements shall be averaged over an area up to but not exceeding 100 square centimeters at the normal treatment distance.
(4) Filters shall be secured in place to prevent them from dropping out during treatment. A filter indication system shall be used on all therapy machines using interchangeable filters. It shall indicate, from the control panel, or from the control station, the presence or absence of any filter except compensating filters, and it shall be designed to permit easy identification of the filter in place. The filter slot shall be so constructed that the radiation escaping through it does not exceed 1 roentgen per hour at 1 meter, or, if the patient is likely to be exposed to radiation escaping from the slot, 30 roentgens per hour at 5 centimeters from the external opening. Each interchangeable filter shall be marked with its thickness and material.
(5) The X-ray tube shall be so mounted that it cannot turn or slide with respect to the aperture.
(6) Means shall be provided to immobilize the tube housing during stationary portal treatment.
(7) A suitable exposure control device such as an automatic timer, exposure meter, or dose meter shall be provided to terminate the exposure after a preset time interval or preset exposure or dose limit. A timer shall be provided to terminate the exposure after a preset time regardless of what other exposure limiting devices are present. Means shall be provided for the operator to terminate the exposure at any time.
(8) Equipment utilizing shutters to control the useful beam shall have a shutter position indicator on the control.
(9) An easily discernible indicator which shows whether or not X-rays are being produced shall be on the control panel.
(10) Mechanical and/or electrical stops shall be provided on X-ray machines capable of operating at 150 kVp or above to insure that the useful beam is oriented only toward primary barriers.
(11) When the relationship between the beam interceptor (when present) and the useful beam is not permanently fixed, mechanical or electrical stops shall be provided to insure that the beam is oriented only toward primary barriers.
(b) Operating Procedures.
(1) When a patient must be held in position for radiation therapy, mechanical supporting or restraining devices shall be used.
(2) No patient other than the one being treated shall be in the treatment room during exposure.
(3) No person other than the patient shall be in the treatment room when the tube is operated at potentials exceeding 150 kVp. At operating potentials of 150 kVp or below, persons other than the patient and operator may be in the treatment room for good reason but only if they are adequately protected and their radiation exposure is appropriately monitored.
(4) A calibration of the output of each radiation therapy system shall be performed before the system is first used for irradiation of a patient, and thereafter at intervals not to exceed 24 months. Therapy equipment shall not be used for any therapy treatments except at those combinations of effective energy, field size, and treatment distance for which the equipment has been calibrated. The calibration shall be performed by or under the direct supervision of a person who has been determined by the Department to have adequate training, experience and knowledge in radiation therapy physics, and who shall be present at the facility during such calibration. After any change which might significantly alter the output, spatial distribution, or other characteristics of the therapy beam, the parameters which might be affected shall be measured.
(A) For therapy systems operating at potentials above 500 kVp, the determinations included in the calibration shall be provided in sufficient detail so that the absorbed dose in tissue in the useful beam may be calculated to within 5 percent. The calibration shall include, but shall not be limited to, the following determinations:
1. Verification that the equipment is operating in compliance with the design specifications concerning the light localizer, the side light and back-pointer alignment with the isocenter when these specifications are known and applicable, variation in the axis of rotation for the table, gantry and jaw system, and beam flatness and symmetry at specified depths.
2. The relative dose at various depths in a tissue equivalent phantom for each effective energy and the ranges of field sizes and treatment distances used for radiation therapy.
3. The congruence between the radiation field and the field indicated by the localizing device.
4. The uniformity of the radiation field and its dependency upon the direction of the useful beam.
5. The absolute dose per unit time and dose per monitor setting.
(B) For therapy systems operating at potentials between 150 kVp and 500 kVp inclusive, the calibration shall include, but shall not be limited to, the following determinations:
1. The exposure rates and/or dose rates for each combination of field size, technique factors, filter, and treatment distance used.
2. The degree of congruence between the radiation field and the field indicated by the localizing device if such device is present.
3. An evaluation of the uniformity of the radiation field symmetry for the field sizes used, and any dependence upon tube housing assembly orientation.
(5) All new installations and existing installations not previously surveyed shall have a radiation protection survey performed by or under the direction of a person determined by the Department to have adequate knowledge and training to advise regarding radiation protection needs, to measure ionizing radiation and to evaluate safety techniques. If the survey shows that supplementary shielding is required a resurvey shall be performed after its installation. In addition, a resurvey shall be made after every change which might decrease radiation protection significantly. The surveyor shall report his findings in writing to the user. The report shall indicate whether or not the installation is in compliance with all applicable radiation protection requirements of this section. The user shall report the findings of the survey in writing to the Department within 15 days of his receipt of the survey report.
(6) The exposure rate or dose rate of the useful beam and the size and shape of the useful beam shall be known with reasonable certainty at all times during operation of the radiation therapy apparatus for medical purposes.
(7) Spot checks shall be performed at least once each week for therapy systems operating at potentials above 500 kVp, and at least once each month for therapy systems operating at 500 kVp or below.
(A) The measurements taken during spot checks shall demonstrate the degree of consistency of the operating characteristics which can affect the radiation output of the system or the radiation delivered to a patient during a therapy procedure.
(B) For systems in which the calibrating person believes beam quality can vary significantly, spot checks shall include beam quality checks.
(C) The spot check procedures shall be in writing and shall have been developed or approved by the individual who made the most recent calibration of the system pursuant to Section 30312(b)(4). The written spot check procedures shall specify when measurements and determinations indicate an inconsistency or potential change in radiation output. When more than the minimum frequency of spot checking is necessary, the spot check procedures shall specify the frequency at which spot checks are to be performed.
(D) When spot check results are erratic or inconsistent with calibration data, the person who designed the spot check procedures, or a person of equivalent competence, shall be consulted immediately and the reason(s) for the inconsistency corrected before the system is used for patient irradiation.
(8) Calibration of the therapy beam shall be performed with a measurement instrument which has been calibrated within the preceding two years directly, or through no more than one exchange, at the National Institute of Standards and Technology, or facility determined acceptable by the Department. In addition, indirect spot checks or intercomparisons of measurement instruments with secondary standards shall be made at least each six months.
(9) Reports of each radiation safety survey spot check and calibration performed pursuant to this section shall be maintained at the facility for at least three years. A copy of the treatment data developed from the latest calibration shall be available for use by the operator at the treatment control station.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
2. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
3. Amendment of subsection (c)(5) filed 12-12-75; effective thirtieth day thereafter (Register 75, No. 50).
4. Amendment filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
5. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
6. Change without regulatory effect amending subsection (b)(7)(C) and (b)(8) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
§30313. Special Requirements for X-Ray Therapy Equipment Operated at Potentials of 50 kV and Below.
Note     •     History

(a) Equipment.
(1) All provisions of Section 30312(a) apply.
(2) A therapeutic-type protective tube housing shall be used. Contact therapy machines shall meet the additional requirement that the leakage radiation at 2 inches from the surface of the housing not exceed 0.1 R/hr.
(3) Automatic timers shall be provided which will permit accurate presetting and determination of exposures as short as one second.
(b) Operating Procedures.
(1) All provisions of Section 30312(b) apply except 30312(b)(1) and 30312(b)(7).
(2) In the therapeutic application of apparatus constructed with beryllium or other low-filtration windows adequate shielding shall be required to protect against unnecessary exposure from the useful beam, and special safeguards are essential to avoid accidental exposures to the useful beam. There shall be on the control panel some easily discernible device which will give positive information as to whether or not the tube is energized.
(3) Machines having an output of more than 1,000 roentgens per minute at any accessible place shall not be left unattended without the power being shut off at the primary disconnecting source.
(4) If the X-ray tube of a contact therapy machine is hand-held during irradiation, the operator shall wear protective gloves and apron.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Renumbering and amendment filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
3. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
4. Amendment of subsections (a)(1), (b)(1) and (b)(4) filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
5. Change without regulatory effect amending subsection (b)(3) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
6. Amendment of section heading filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30314. Veterinary Medicine Radiographic Installations.
Note     •     History

(a) Equipment.
(1) The tube housing shall be of diagnostic type.
(2) Diaphragms or cones shall be provided for collimating the useful beam to the area of clinical interest and shall provide the same degree of protection as is required of the housing.
(3) The total filtration permanently in the useful beam shall not be less than 1.5 millimeters aluminum-equivalent for equipment operating up to 70 kvp and 2.0 millimeters aluminum-equivalent for machines operated in excess of 70 kvp.
(4) A device shall be provided to terminate the exposure after a pre-set time or exposure.
(5) A dead-man type of exposure switch shall be provided, together with an electrical cord of sufficient length so that the operator can stand out of the useful beam and at least 6 feet from the animal during all X-ray exposures.
(b) Operating Procedures.
(1) The operator shall stand well away from the tube housing and the animal during radiographic exposures. The operator shall not stand in the useful beam. If film must be held, it shall be held by individuals not occupationally exposed to radiation. Hand-held fluoroscopic screens shall not be used. The tube housing shall not be held by the operator. No individuals other than the operator shall be in the X-ray room while exposures are being made unless such person's assistance is required.
(2) In any application in which the operator is not located behind a protective barrier, clothing consisting of a protective apron having a lead-equivalent of not less than 0.25 millimeter shall be worn by the operator and any other individuals in the room during exposures.
(3) No individual shall be regularly employed to hold or support animals during radiation exposures. Operating personnel shall not perform this service except very infrequently and then only in cases in which no other method is available. Any individual holding or supporting an animal during radiation exposure shall wear protective gloves and apron having a lead-equivalent of not less than 0.25 millimeter.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811 and 25815, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71. (Register 71, No. 10).
2. Renumbering filed 9-4-73 as an emergency; effective upon filing (Register 73, No. 36). Approved by State Building Standards Commission 11-30-73.
3. Certificate of Compliance filed 12-28-73 (Register 73, No. 52).
4. Amendment filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
Article 4.5. Requirements for the Use of X-Ray in Mammography
§30315.10. Definitions.
Note     •     History

(a) The definitions in section 30100 shall apply to this article. 
(b) As used in this article: 
(1) “Action limit” means the minimum or maximum value of a quality assurance measurement representing acceptable performance. 
(2) “Activities” means the operation of a mammography system to produce the mammogram, the initial interpretation of the mammogram, and the maintenance of the viewing conditions for that interpretation. 
(3) “Adverse event” means an undesirable experience associated with mammography activities such as: 
(A) Poor image quality; 
(B) Failure to send mammography reports within 30 calendar days from the date of the mammographic examination to the referring physician or to the patient; and 
(C) Use of personnel that do not meet the applicable requirements of sections 30315.50, 30315.51 or 30315.52. 
(4) “Air kerma” means the kerma, measured in Gray (Gy), in a given mass of air. 
(5) “Automatic exposure control” (AEC) means a device that automatically controls one or more technique factors in order to obtain at pre-selected locations a required quantity of radiation. 
(6) “Average glandular dose” means the value in millirad (mrad) or milligray (mGy) for a given breast or phantom thickness that estimates the average absorbed dose to the glandular tissue extrapolated from free air exposures and based on fixed filter thickness and target material. 
(7) “Category I” means medical educational activities that have been designated as Category I by the Accreditation Council for Continuing Medical Education, the American Osteopathic Association, or a state medical society. 
(8) “Clinical image review” means the process whereby the mammograms produced by a specific mammography system are evaluated for image quality. 
(9) “Consumer” means an individual who chooses to comment on or complain in reference to a mammographic examination, including the patient or representative of the patient, such as a family member or referring physician. 
(10) “Continuing education unit” means one hour of training received through either: 
(A) Face-to-face interaction between instructor(s) and student(s), as when the instructor provides a lecture, conducts demonstrations, or reviews student performance; or 
(B) The administration and correction of student examinations by an instructor(s) with subsequent feedback to the student(s). 
(11) “Direct supervision” means the oversight of operations that include the following: 
(A) During joint interpretation of mammograms, the supervising interpreting physician reviews, discusses, and confirms the diagnosis of the physician being supervised and signs the resulting report before it is entered into the patient's record. 
(B) During performance of a mammographic examination, the supervising mammographic radiologic technologist is physically present to observe, and correct, as needed, the performance of the individual who is performing the mammographic examination. 
(C) During performance of a survey, the supervising medical physicist is physically present to observe, and correct, as needed, the performance of the individual who is performing the survey. 
(12) “Established operating level” means the value of a particular quality assurance parameter that has been established as an acceptable normal level by the facility's quality assurance program. 
(13) “Facility” means a hospital, outpatient department, clinic, radiology practice, an office of a physician, mobile setting, or other place or building in which a person conducts: 
(A) Mammography activities; and/or 
(B) Interventional mammography or research mammography. 
(14) “Facility accreditation certificate” means a document issued by the Department authorizing a facility to perform mammography. 
(15) “FDA” means the United States Food and Drug Administration. 
(16) “Image receptor” means any device that transforms incident X-ray photons either into a visible image or into another form that can be made into a visible image by further transformations. 
(17) “Interpreting physician” means a licensed physician who interprets mammograms and meets the requirements of section 30315.50. 
(18) “Interim Facility Accreditation Certificate” means a document issued by the Department pursuant to section 30315.24. 
(19) “Interventional mammography” means the creation of a mammogram during invasive interventions for localization, biopsy procedures, or therapeutic procedures. 
(20) “Kerma” means the sum of the initial energies of all the charged particles liberated by uncharged ionizing particles in a material of given mass. 
(21) “Lead interpreting physician” means the interpreting physician designated either by the person who owns or leases the facility, or an authorized agent of that person to ensure that the facility's quality assurance program meets all of the requirements of this article. 
(22) “Mammogram” means an X-ray image of the human breast. 
(23) “Mammographic examination” means the performance of mammography on a human being. 
(24) “Mammographic modality” means a technology for radiography of the breast such as screen-film mammography, digital mammography and xeromammography. 
(25) “Mammography” means the procedure for creating a mammogram. 
(26) “Mammography medical outcomes audit” means a systematic collection of mammography results and the comparison of those results with outcome data. 
(27) “Mammography system” means a system that includes all of the following: 
(A) A radiation machine used as a source of radiation to produce a mammogram; 
(B) An imaging receptor used for the formation of a latent image of a mammogram or for converting X-ray photons to a digital signal; 
(C) A processing device for changing a latent image of a mammogram or a digital signal to a visual image that can be used for diagnostic or therapeutic purposes; and 
(D) A viewing device, such as a view box or computer monitor, used to visually evaluate a mammogram. 
(28) “Mammography system evaluation” means an evaluation of the mammography system by a medical physicist to ensure the system is in compliance with sections 30316 and 30316.20(e). 
(29) “Medical physicist” means an individual trained in performing mammography system evaluations, quality assurance testing evaluations and surveys. 
(30) “Mobile service provider” means a person who performs mammography in a mobile setting. 
(31) “Mobile setting” means a setting in which mammography is performed with a radiation machine that is fixed or used exclusively in a mobile vehicle or unit, or is transported to a different location for the purpose of providing mammography, but does not include a radiation machine moved from room to room within a facility. 
(32) “Multi-reading” means two or more physicians interpreting the same mammogram, at least one of whom meets the requirements of section 30315.50. 
(33) “Overall assessment of findings” means the results of an interpreting physician's evaluation of mammograms produced during a mammographic examination and categorized using the assessment categories specified in section 30317.40(a)(4). 
(34) “Phantom” means a test object used to simulate radiographic characteristics of compressed breast tissue and containing components that radiographically model aspects of breast disease and cancer. 
(35) “Phantom image” means a radiographic image of a phantom. 
(36) “Physical science” means physics, chemistry, radiation science (including medical physics and health physics), and engineering. 
(37) “Positive mammogram” means a mammogram that has an overall assessment of findings that are either “suspicious” or “highly suggestive of malignancy.” 
(38) “Quality assurance technologist” means an individual who meets the requirements of section 30315.51 and has experience performing or assisting in the performance of quality assurance tests specified in section 30316.20(a) through (d) and (f) 
(39) “Quality assurance testing evaluation” means an evaluation of a facility's quality assurance testing by a medical physicist to ensure quality assurance testing is performed in accordance with section 30316.20 excluding subsection (e) of section 30316.20. 
(40) “Research mammography” means the creation of a mammogram with an investigational mammography device as part of a scientific study conducted in accordance with FDA's investigational device exemption regulations in part 812 of title 21, Code of Federal Regulations. 
(41) “Serious adverse event” means an adverse event that may significantly compromise clinical outcomes, or an adverse event for which appropriate corrective action was not taken in a timely manner. 
(42) “Serious complaint” means a report of a serious adverse event. 
(43) “Source-to-image receptor distance” (SID) means the distance from the X-ray source to the center of the input surface of the image receptor. 
(44) “Standard breast” means a 4.2 cm thick compressed breast consisting of 50 percent glandular and 50 percent adipose tissue. 
(45) “Survey,” in lieu of the definition found in title 10, Code of Federal Regulations, section 20.1001 incorporated by reference in section 30253, means the on-site performance of a mammography system evaluation and a quality assurance testing evaluation by a medical physicist. 
(46) “Traceable to a national standard” means that the instrument used to quantitatively measure radiation has been calibrated at: 
(A) The National Institute of Standards and Technology (NIST); or 
(B) A calibration laboratory that participates in a proficiency program with NIST at least once every two years during which the calibration laboratory achieves agreement within plus or minus 3.0 percent of the NIST standard at mammography energy levels. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New article 4.5 (sections 30315.10-30320.90) and section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsections (b)(17) and (b)(33), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.20. Facility Accreditation Certificate and Interim Facility Accreditation Certificate.
Note     •     History

(a) Except for persons only performing interventional mammography or research mammography, a person shall not perform mammography activities unless performed in a facility that: 
(1) Possesses a current and valid Facility Accreditation Certificate or an Interim Facility Accreditation Certificate; and 
(2) Meets the requirements of this subchapter. 
(b) An Interim Facility Accreditation Certificate shall be valid for six months beginning on the date of issuance. 
(c) A Facility Accreditation Certificate shall be valid for three years beginning on the date of issuance. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction adding inadvertently omitted History 1 (Register 2003, No. 8).
3. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.22. Eligibility for a Facility Accreditation Certificate.
Note     •     History

(a) To be eligible for a Facility Accreditation Certificate a facility shall: 
(1) Submit the application described in section 30315.33; 
(2) Comply with section 30108; 
(3) Pass a Department inspection verifying that: 
(A) Physicians interpreting mammograms meet the requirements of section 30315.50; 
(B) Mammographic radiologic technologists meet the requirements of section 30315.51; 
(C) Medical physicists meet the requirements of section 30315.52; 
(D) Mammography systems meet the requirements of section 30316; 
(E) The mammography quality assurance program is capable of meeting the requirements of section 30317.10; 
(F) By following the procedure specified in section 30316.20(b), phantom images of a phantom that meets the requirements of section 30316.22 produced by all mammography systems, meet the criteria specified in section 30316.20(b)(1) through (3); 
(G) By use of the facility's proposed technique factors for a standard breast, the average glandular dose for each radiation machine used for mammography does not exceed the value specified in section 30316.20(e)(10); 
(H) The quality assurance manual meets the requirements of section 30317.20; 
(I) The mammography procedures manual meets the requirements of section 30317.30; 
(J) The facility is capable of ensuring mammograms and mammographic examination reports meet the requirements of sections 30316.50 and 30317.40; 
(K) The facility is capable of conducting a mammography medical outcomes audit that meets the requirements of section 30317.60; 
(L) The facility has a consumer complaint procedure that meets the requirements of section 30317.70; and 
(M) The requirements of Group 3 of this regulation are met. 
(4) After receipt of an interim facility accreditation certificate issued pursuant to section 30315.24, for each machine that will be used to perform mammography, pass a clinical image review conducted by the Department pursuant to section 30315.35, or conducted by an entity approved by the FDA pursuant to 42 United States Code Section 263b(e)(1)(A); and 
(5) After receipt of an interim facility accreditation certificate issued pursuant to section 30315.24, possess a current and valid certificate issued by FDA pursuant to title 21, Code of Federal Regulations, section 900.11(b). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.23. Renewal of a Facility Accreditation Certificate.
Note     •     History

(a) To renew a Facility Accreditation Certificate, a facility shall: 
(1) Seven months prior to the expiration date of the facility accreditation certificate submit the facility application described in section 30315.33; 
(2) For each radiation machine that will be used for mammography, either: 
(A) Pass a clinical image review conducted by the Department pursuant to section 30315.35(c) prior to the expiration date of the current facility accreditation certificate; or 
(B) Have the machine's accreditation renewed by an entity approved by FDA pursuant to 42 United States Code Section 263b(e)(1)(A); and 
(3) Possess a current and valid certificate issued by FDA pursuant to title 21, Code of Federal Regulations, section 900.11(b). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.24. Interim Facility Accreditation Certificate.
Note     •     History

An interim facility accreditation certificate shall not be issued until a facility has complied with section 30315.22(a)(1) through (3) and has obtained a provisional certificate issued by FDA pursuant to title 21, Code of Federal Regulations, section 900.11(b)(2). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of section, transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.33. Complete Facility Application.
Note     •     History

(a) An application submitted for compliance with sections 30315.22 or 30315.23 shall be considered complete if the application contains the following: 
(1) The legal name of the applicant, the mailing address, and the telephone number; 
(2) The name under which the applicant's facility does business and, if doing business under a fictitious name, a copy of the applicant's fictitious name permit; 
(3) The name of the contact person for the facility; 
(4) The facility location address and mailing address if different from location address. 
(5) The registration number issued by the Department pursuant to section 30108 and the expiration date of registration; 
(6) The applicant's federal employer identification number and California taxpayer identification number; 
(7) If the facility is accredited by an entity approved by the FDA pursuant to 42 United States Code Section 263b(e)(1)(A), the name of that entity. 
(8) If the applicant requests approval to perform mammography in a mobile setting: 
(A) The physical address of each location where mammography will be performed; 
(B) For each location where mammography will be performed, the name and telephone number of the responsible person who is allowing the service to be provided at the location; 
(C) Whether the mammograms will be processed with an on-board processor or at specific locations. If the facility will process mammograms at specific locations, the physical address of each location where mammograms will be processed; 
(D) Whether the radiation machine is fixed or used, exclusively, in a mobile vehicle or is transported to the use location and moved to where mammographic examinations will be performed. If the radiation machine is moved to where mammographic examinations will be performed, the designated room number within the physical building at each location of use; and 
(E) A description of the quality assurance tests that will be performed each time the radiation machine is relocated. 
(9) Responses to the following questions: 
(A) “Have you ever performed mammography authorized pursuant to a certificate issued by FDA?” If the answer is yes, provide in your response the names under which mammography was performed; 
(B) “If you have been certified by FDA to perform mammography, has that certificate ever been revoked or suspended, or has FDA ever denied to renew that certificate?” If the answer is yes, provide in your response the following: 
1. The identity of any specific radiation machine(s) that failed to pass clinical image review; 
2. The dates of failure; 
3. The actions taken to correct any clinical image review deficiencies including physician or technologist training, radiation machine or processor repair and acquisition of replacement equipment or image receptors; 
4. Whether the radiation machine passed the clinical image review subsequent to actions taken as identified in subsection (a)(9)(B)3 and when; 
5. If, within the three years prior to the date of application, any radiation machine used for mammography identified in subsection (a)(15) failed clinical image review during a time when accredited by an entity approved by the FDA pursuant to 42 United States Code Section 263b(e)(1)(A), copies of the failure reports; and 
6. If accreditation issued by an entity approved by the FDA pursuant to 42 United States Code Section 263b(e)(1)(A), was suspended or revoked, a description of the circumstances that led to suspension or revocation. 
(C) “Is any interpreting physician you seek to allow to interpret mammograms currently under a Department-directed plan of corrective action for interpretation done at some other facility?” If the answer is yes, provide in your response the following: 
1. The name and medical license number of the interpreting physician; and 
2. The facility's name and registration number where the interpreting physician was required to complete a directed plan of corrective action. 
(10) The name of the individual designated as the lead interpreting physician. 
(11) The name, medical license number, certificate number and expiration date as shown on the individuals certificate issued pursuant sections 30466(d) or 30467 of each physician who will interpret mammograms produced by the facility; 
(12) The name, certificate number and expiration date of certification shown on the certificate issued pursuant to section 30455.1 for each mammographic radiologic technologist who will perform mammographic examinations for the facility; 
(13) The name of each medical physicist who will perform the tests specified in section 30316.20(e) for the facility; 
(14) The name of the quality assurance technologist; 
(15) For each radiation machine that will be used to perform mammographic examinations: 
(A) The machine's manufacturer, model number, and the facility's radiation machine identification number as specified in section 30317(g); 
(B) Whether the machine will be used in a mobile setting. If the machine will not be used in a mobile setting, the designated room number within the facility where the machine is installed or fixed; 
(C) Whether the machine is a screen-film, xeromammography or digital system. If the machine is a screen-film system, the name of the manufacturer of the screen and film, and the type of screen and film used; and 
(D) If the machine requires a screen-film image receptor, a phantom image of a phantom that meets the requirements of section 30316.22. 
(16) A copy of the report indicating the results of a mammography system evaluation performed less than 6 months prior to the date of the application by a medical physicist or in lieu thereof for renewal applications, a copy of the report indicating the results of a survey performed less than 12 months prior to the date of the renewal application by a medical physicist and if the mammography system evaluation report or the survey report identifies deficiencies or recommendations for improvements in facility operations: 
(A) A list and description of corrective actions taken and the date corrections were achieved; 
(B) Copies of work invoices; 
(C) Documentation that those corrective actions were taken and those actions corrected the deficiencies or that those recommendations were followed. 
(17) For each film processor that is used to process mammograms: 
(A) The make and model number; and 
(B) Whether the processor uses extended processing or standard processing. 
(18) If this is a renewal application, the number of the following procedures performed in the previous year: 
(A) Screening procedures; 
(B) Diagnostic procedures; 
(C) The total number of screening and diagnostic procedures; 
(D) Biopsy procedures; 
(E) Needle localization procedures; and 
(F) Therapeutic procedures. 
(19) If this is a renewal application, the identification number and expiration date shown on the FDA certificate issued to the applicant's facility; 
(20) Whether the applicant participates or intends to participate in either the Breast Cancer Early Detection Program or the Breast and Cervical Cancer Control Program of the Department or any of their successors; 
(21) If the applicant is a Medi-Cal provider, the nine-digit Medi-Cal number used to bill for mammographic examinations performed at the facility's location; 
(22) If the applicant is a Medicare provider, the nine-digit Medicare number used to bill for mammographic examinations performed at the facility's location; 
(23) Name, title, signature and date of signature of the applicant and lead interpreting physician. 
NOTE

Authority cited: Sections 115060, 131051 and 131200, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
3. Amendment of subsection (a)(15)(A) and Note filed 7-11-2007; operative 8-10-2007 (Register 2007, No. 28).
§30315.34. Application Processing Times.
Note     •     History

(a) Within 30 calendar days of receipt of an application for or renewal of a facility accreditation certificate, the Department shall: 
(1) Notify the applicant that the application is complete; or 
(2) Notify the applicant that the application is incomplete and identify what is required for the Department to consider it complete. 
(b) Unless the applicant responds to the notification in subsection (a)(2) within 30 calendar days the application shall be deemed withdrawn and the applicant may reapply by submitting a new application. 
(c) Within six months of receipt of a complete application, the Department shall issue or deny the facility accreditation certificate. 
(d) The Department's time periods for processing an application for or renewal of a facility accreditation certificate from receipt of the initial application to the date the final decision is made, are as follows: 
(1) The median time is five and one-half months; 
(2) The minimum time is four months; 
(3) The maximum time is 12 months. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 15376, Government Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (b), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.35. Clinical Image Review.
Note     •     History

(a) After receipt of an interim facility accreditation certificate issued pursuant to section 30315.24, applicants for a facility accreditation certificate shall: 
(1) Select mammograms in accordance with the criteria specified in title 21, Code of Federal Regulations, section 900.4(c)(4); and 
(2) Within 75 calendar days of the date of issuance as shown on the interim facility accreditation certificate, submit those mammograms for clinical image review. 
(b) If the mammograms fail the review, additional mammograms may be submitted if the resubmission is made no less than 75 calendar days prior to the expiration date of the interim facility accreditation certificate. 
(c) Applicants for renewal of a facility accreditation certificate shall: 
(1) Select mammograms in accordance with the criteria specified in title 21, Code of Federal Regulations, section 900.4(c)(4); and 
(2) Submit those mammograms for clinical image review no less than 75 calendar days prior to the expiration date of the facility accreditation certificate. 
(d) Mammograms submitted pursuant to this section shall meet the FDA-accepted attributes as specified in title 21, Code of Federal Regulations, section 900.4(c)(2). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.36. Mammography Review.
Note     •     History

(a) Each facility possessing a facility accreditation certificate shall, upon request, make mammograms and reports specified in section 30317.40(a) available to the Department and allow those mammograms and reports to be removed from the facility for the purpose of evaluating mammogram image quality. 
(b) For sample sizes of two mammographic examinations: 
(1) If one mammographic examination fails the review, the facility shall submit a plan of corrective action, acceptable to the Department, addressing those areas that resulted in the failure and satisfactorily complete that plan; or 
(2) If both mammographic examinations fail the review, the facility shall satisfactorily complete a plan of corrective action as directed by the Department addressing those areas of the review that resulted in the failure. The facility shall be subject to additional review using a larger sample. 
(c) For sample sizes greater than two mammographic examinations: 
(1) If 20 percent of the mammographic examinations fail the review, the facility shall submit a plan of corrective action, acceptable to the Department, addressing those areas that resulted in the failure and satisfactorily complete that plan; 
(2) If 40 percent of the mammographic examinations fail the review, the facility shall satisfactorily complete a plan of corrective action as directed by the Department addressing those areas of the review that resulted in the failure; or 
(3) If 80 percent or more of the mammographic examinations fail the review, the facility shall cease the performance of mammography and submit to additional review and: 
(A) If 70 percent or more of the mammographic examinations pass this additional review, the facility may restart the performance of mammography after satisfactorily completing a plan of corrective action as directed by the Department and shall, within 75 calendar days of notification that the mammograms passed the review, submit mammograms in accordance with section 30315.35(a)(1); or 
(B) If less than 70 percent of the mammographic examinations pass this additional review, the facility shall not restart the performance of mammography and shall notify every patient who had a mammogram at the facility during the two-year period preceding the date of failure. The notification shall be approved by the Department prior to mailing and include: 
1. The name of the patient; 
2. The date the patient's mammogram was performed; 
3. The statement, “The Department of Health Services of the State of California has conducted a review of the mammograms produced by (the name of the facility) and has determined that the mammograms do not meet the standards set by the Department. Therefore, we strongly advise you to consult with your physician as soon as possible regarding a repeat mammographic examination.” 
(d) Mammograms reviewed pursuant to this section shall meet the FDA-accepted attributes as specified in title 21, Code of Federal Regulations, section 900.4(c)(2). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (c)(3)(B)3., transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.50. Interpreting Physician Requirements.
Note     •     History

(a) An interpreting physician for a facility shall: 
(1) Possess a current and valid radiology supervisor and operator certificate issued pursuant to sections 30467 or 30466(d); and 
(2) Meet the requirements specified in title 21, Code of Federal Regulations, section 900.12(a)(1). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.51. Personnel Requirements for Individuals Who Perform Mammography.
Note     •     History

(a) Mammographic examinations shall not be performed unless the individual who performs the mammographic examination: 
(1) Possesses a current and valid mammographic radiologic technology certificate issued pursuant to section 30455.1; and 
(2) Meets the requirements specified in title 21, Code of Federal Regulations, section 900.12(a)(2). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.52. Medical Physicist Requirements.
Note     •     History

(a) A medical physicist for a facility shall: 
(1) Be authorized by the Department pursuant to section 30315.60; 
(2) Have a masters degree or higher in a physical science from an accredited institution, with no less than 20 semester hours or 30 quarter hours of college undergraduate or graduate level physics; 
(3) Complete 20 hours of documented specialized training in conducting surveys of mammography facilities; and 
(4) Conduct a survey of at least one mammography facility and a total of at least ten mammography radiation machines under the direct supervision of a medical physicist who has already met the requirements of this section, but in no case may more than one survey of a specific radiation machine conducted within a period of 60 calendar days be counted towards the total number of radiation machines surveyed. The period of time spent in meeting the survey requirement may be counted toward meeting the 20-hour training requirement in subsection (a)(3). After April 28, 1999, experience conducting surveys shall be acquired under the direct supervision of a medical physicist who meets the requirements of subsections (a)(1) through (4) and (b); or 
(5) In lieu of subsections (a)(2) through (4), qualify as a medical physicist under Title 21, Code of Federal Regulations, section 900.12(a)(3), as published in the December 21, 1993 Federal Register (58 Fed.Reg. 67571) and have retained that qualification by maintenance of the active status of any licensure, approval, or certification required under those regulations and prior to April 28, 1999: 
(A) Received a bachelor's degree or higher in a physical science from an accredited institution with no less than 10 semester hours or equivalent of college undergraduate or graduate level physics; 
(B) After meeting the requirements of subsection (a)(5)(A), completed forty hours of documented specialized training in conducting surveys of mammography facilities; and 
(C) After meeting the requirements of subsection (a)(5)(A), conducted surveys of at least one mammography facility and a total of at least 20 mammography radiation machines but in no case may more than one survey of a specific radiation machine conducted within a period of 60 calendar days be counted towards the total radiation machine survey requirement. The period of time spent in meeting the survey requirement may be counted toward meeting the 40-hour training requirement in subsection (a)(5)(B). 
(b) A medical physicist for a facility shall meet the requirements specified in title 21, Code of Federal Regulations, section 900.12(a)(3)(iii) and (iv). 
NOTE

Authority cited: Sections 100275, 115060 and 115100, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (a)(5), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30315.60. Authorization and Renewal of Authorization to Conduct Mammography Surveys, Revocation and Suspension of Authorization and Application Processing Times.
Note     •     History

(a) To be eligible for authorization to conduct mammography surveys an individual shall submit a complete application consisting of the following: 
(1) Name, social security number (pursuant to the authority found in sections 100275 and 115100 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), mailing address, daytime telephone number, and FAX number; 
(2) Documentation that the applicant meets the requirements of: 
(A) Sections 30315.52(a)(2) through (4); or 
(B) Section 30315.52(a)(5). 
(3) Documentation that the applicant meets the requirements of section 30315.52(b); 
(4) Three sample survey reports, meeting the requirements of section 30316.60, indicating the name of the medical physicist providing direct supervision and that the applicant performed all tests. Each report shall include language and data that establishes that all tests were performed to determine if the facility meets the requirements of this article and that, if a test method is specified, the test method was followed; and 
(5) The following information: 
(A) Manufacturer, model and serial number of the phantom used to produce phantom images; 
(B) Whether the type of system resolution tool used to evaluate system resolution is a bar pattern or, until October 28, 2002, a star pattern; 
(C) Method used to evaluate kVp; 
(D) Method used to evaluate compression; 
(E) Type of instruments used to determine average glandular dose and a copy of the most recent calibration report for that instrument indicating that it complies with section 30316.61; 
(F) Whether aluminum filters used to determine the radiation machine's half-value layer of the useful beam is type 1100 or type 1145; 
(G) Manufacturer, model and serial number of the densitometer, sensitometer and photometer used during surveys; and 
(H) A list of equipment used to evaluate the mammography system for artifacts and the radiation machine's AEC performance; or 
(6) In lieu of subsections (a)(2) and (3), a copy of the letter issued to the applicant by FDA stating that the applicant met the requirements of title 21, Code of Federal Regulations, section 900.12(a)(3). 
(b) Individuals approved by use of subsection (a)(2)(B) shall not provide direct supervision. 
(c) Surveys of radiation machines used to perform interventional mammography or research mammography shall not be used to comply with this section. 
(d) Authorization shall be valid for three years. 
(e) To be eligible for renewal of authorization to conduct mammography surveys an individual shall submit a complete application consisting of the following: 
(1) Name, social security number (pursuant to the authority found in sections 100275 and 115100 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification), mailing address, daytime telephone number, and FAX number; 
(2) The following information: 
(A) If changes to the information submitted pursuant to subsection (a)(5) have occurred, the updated information; 
(B) A copy of the most recent calibration report for the instrument used to determine average glandular dose. 
(3) Documentation indicating that at least 8 hours of training in surveying radiation machines were received for each new mammographic modality; and 
(4) Documentation that the applicant meets the requirements of section 30315.52(b). 
(f) Authorization to conduct mammography surveys may be revoked, suspended, amended or restricted for any of the following: 
(1) Failure to comply with section 30315.52(b); 
(2) Knowingly conduct or perform mammography system evaluations, quality assurance testing evaluations or surveys that cause or would have caused, if not detected, a facility to be in violation of any provision of the Act, any regulation promulgated pursuant to the Act, any provision of the Radiologic Technology Act, as defined in Health and Safety Code section 27, any regulation promulgated pursuant to the Radiologic Technology Act, or any order of the Department; 
(3) Knowingly submits to the Department false, incorrect or fraudulent information; 
(4) Failure to inform a facility that a violation of this article has occurred when the medical physicist knows of the violation; or 
(5) Procuring authorization by fraud, or misrepresentation, or because of mistake. 
(g) Within 10 calendar days of receipt of an application for or renewal of authorization, the Department shall: 
(1) Notify the applicant that the application is complete; or 
(2) Notify the applicant that the application is incomplete and identify what is required for the Department to consider it complete. 
(h) Unless the applicant responds to the notification in subsection (g)(2) within 30 calendar days the application shall be deemed withdrawn. 
(i) Within 30 calendar days of receipt of a complete application, the Department shall issue or deny the authorization. 
(j) Any applicant deemed by the Department to have withdrawn an application pursuant to subsection (e) may reapply by submitting a new application. 
(k) The Department's time periods for processing an application for authorization from receipt of the initial application to the date the final decision is made, are as follows: 
(1) The median time is 30 calendar days; 
(2) The minimum time is seven days; 
(3) The maximum time is 90 calendar days. 
NOTE

Authority cited: Sections 100275, 115060 and 115100, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code; and Section 15376, Government Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (a)(4), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316. Mammography System Requirements.
Note     •     History

(a) A radiation machine designed for general purpose radiography, or special nonmammography procedures or that has been modified or equipped with special attachments for mammography shall not be used for mammography. 
(b) Radiation machines used for mammography shall: 
(1) Be specifically designed and manufactured for mammography and meet the requirements of section 30305(a)(4). 
(2) Provide a tube-image receptor assembly that is capable of being fixed in any operating position where it is designed to operate and once fixed in any such position, does not undergo unintended motion and does not fail in the event of power interruption. 
(3) If equipped with screen-film image receptors: 
(A) Be able to be operated with image receptors of 18 x 24 centimeters (cm) and 24 x 30 cm; 
(B) Have moving grids matched to all image receptor sizes provided; and 
(C) Be able to be operated with the grid removed, if the system is used for magnification procedures; 
(4) If used to perform noninterventional problem solving procedures, have a radiographic magnification capability with at least one magnification value within the range of 1.4 to 2.0. 
(5) When equipped with more than one focal spot, indicate, prior to exposure, which focal spot has been selected. 
(6) When equipped with more than one target material, indicate, prior to exposure, the preselected target material. 
(7) When equipped such that the target material and/or focal spot are selected by a system algorithm that is based on the exposure or on a test exposure, display, after the exposure, the target material and/or focal spot actually used during the exposure. 
(8) Incorporate a compression device that: 
(A) Effective October 28, 2002, provides: 
1. An initial power-driven compression activated by hands-free controls operable from both sides of the patient; and 
2. Fine adjustment compression controls operable from both sides of the patient. 
(B) Provides different sized compression paddles that match the sizes of all full-field image receptors provided for the system. Compression paddles for special purposes, including those smaller than the full size of the image receptor (for “spot compression”) may be provided but shall be exempt from the requirements of subsection (b)(8)(C); and 
(C) Except as provided in subsection (b)(8)(D), provides a compression paddle that is flat and parallel to the image receptor holder assembly and does not deflect from parallel by more than 1.0 cm at any point on the surface of the compression paddle when compression is applied. The chest wall edge of the compression paddle shall be straight and parallel to the edge of the image receptor. The chest wall edge shall not appear on the image; 
(D) If the compression paddle is intended by the manufacturer's design to not be flat and parallel to the image receptor holder assembly during compression, the paddle shall meet the manufacturer's design specifications and maintenance requirements; and 
(E) If the chest wall edge is bent upward for patient comfort, the edge shall not appear on the image. 
(9) Provide manual selection of milliampere-seconds (mAs) or milliamperes (mA) and time, and; 
(10) Indicate kVp, mA and time and/or mAs before the exposure begins, or when AEC is used, the technique factors that are set prior to the exposure; 
(11) When the AEC mode is used, indicate the actual technique factors (kVp and mAs or mA and time) used, after completion of the exposure; 
(12) If it is a screen-film system, provide an AEC mode that is operable in all combinations of equipment configuration provided on that unit, such as grid, nongrid, magnification, nonmagnification and various target-filter combinations, and: 
(A) Provides a positioning or selection of the detector that is flexible in the placement of the detector under the target tissue; 
(B) Clearly indicates the size and available positions of the detector at the X-ray input surface of the compression paddle; 
(C) Clearly indicates the selected position of the detector; and 
(D) Provides a means to vary the selected optical density from the normal or baseline setting. 
(13) If equipped with a light beam that passes through the X-ray beam-limiting device, the light provides an average illumination of 160 lux (15 foot candles) at the lesser of: 
(A) 100 centimeters; or 
(B) The maximum source-to-image-distance the machine can obtain. 
(c) A facility shall not perform mammography using a screen-film mammography system unless: 
(1) There are at least four image receptors of 18 x 24 centimeters (cm) and at least four image receptors of 24 x 30 cm available for use by the person performing mammographic examinations; 
(2) The X-ray film and intensifying-screens are designated by the film manufacturer and the screen manufacturer as appropriate for mammography and the X-ray film matches the screen's spectral output as specified by the screen manufacturer; 
(3) Chemical solutions used for processing mammograms are capable of developing the film so as to meet the minimum requirements specified by the film manufacturer; 
(4) Special lights for film illumination, or hot lights, that are capable of producing light levels greater than that provided by the view box are available; and 
(5) Film masking devices that can limit the illuminated area to a region equal to or smaller than the exposed portion of the film are available to all physicians interpreting mammograms for the facility. 
(d) Documentation demonstrating compliance with this section shall be maintained in accordance with section 30319.20. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (b)(9), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316.10. Evaluations of New, Replaced or Repaired Equipment.
Note     •     History

(a) Whenever the following occur, the affected equipment shall meet the requirements specified in sections 30316 and 30316.20 before the affected equipment is used to produce or process mammograms: 
(1) Installation of a new radiation machine or processor; 
(2) Disassembly and reassembling of a radiation machine or processor at the same or a new location; or 
(3) Repair or replacement of any major component of the mammography system. 
(b) The evaluation to determine if equipment specified in subsections (a)(1) through (3) are in compliance with subsection (a) shall be performed by a medical physicist or an individual under the direct supervision of a medical physicist. 
(c) To use a new radiation machine, a facility shall: 
(1) Possess a current and valid facility accreditation certificate issued pursuant to section 30315.22 or interim facility accreditation certificate issued pursuant to section 30315.24; 
(2) Submit the results of tests with measurements and calculated data used to establish compliance with subsection (a), the information specified in section 30315.33(a)(1), (a)(4), (a)(7), (a)(15), (a)(17) and (a)(23) and the calibration record required in section 30316.61(a); and
(3) Pass a clinical image review conducted by an entity approved by FDA pursuant to 42 United States Code Section 263b(e)(1)(A) or by the Department in which mammograms shall: 
(A) Be selected in accordance with the criteria specified in title 21, Code of Federal Regulations, section 900.4(c)(4); 
(B) Be submitted within 75 calendar days of being notified by the Department that subsections (c)(1) and (2) have been met; and 
(C) Meet the FDA-accepted attributes as specified in title 21, Code of Federal Regulations, section 900.4(c)(2). 
(d) To use a radiation machine that was disassembled and reassembled for mammography, a facility shall: 
(1) Possess a current and valid facility accreditation certificate issued pursuant to section 30315.22 or interim facility accreditation certificate issued pursuant to section 30315.24; 
(2) Submit the results of tests with measurements and calculated data used to establish compliance with subsection (a), the information specified in section 30315.33(a)(1), (a)(4), (a)(7), (a)(15), (a)(17) and (a)(23) and the calibration record required in section 30316.61(a); and
(3) Submit a mammography system evaluation performed by a medical physicist or an individual under the direct supervision of a medical physicist. 
(e) Documentation of the tests performed, the analysis of data obtained, corrective actions and the effectiveness of those actions taken pursuant to this section shall be maintained in accordance with section 30319.20. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsections (a), (c)(1)-(2) and (d)(1)-(2), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316.20. Quality Assurance Testing.
Note     •     History

(a) Each facility using screen-film systems for mammography shall adjust and maintain each processor used to develop mammograms so that the manufacturer's technical development specifications for the mammography film in use are met. Each day mammograms are processed and before processing mammograms the facility shall determine that the processor used to develop mammograms, using the mammography film of the type used clinically, meets the following: 
(1) Base plus fog-density is within plus 0.03 of the established operating level; 
(2) Mid-density is within plus or minus 0.15 of the established operating level; and 
(3) Density difference is within plus or minus 0.15 of the established operating level. 
(b) Each facility using screen-film systems for mammography shall, each week in which mammography is performed, produce an image of a phantom that meets the requirements of section 30316.22. The test shall be performed prior to mammography on the day the test is performed. Before exposing the phantom an acrylic disc measuring one centimeter in diameter and four millimeters thick shall be placed on the phantom in the image area so it will not obscure details in the phantom and where it cannot cast a shadow on any portion of the AEC detector. The phantom shall then be exposed using the mammography film of the type used clinically and the techniques used for clinical images of a standard breast. The resulting phantom image shall meet the following: 
(1) The center of the image has an optical density (OD) of at least 1.40 and once an established operating level is determined, the difference does not change by more than plus or minus 0.20 OD when compared to the established operating level; 
(2) The difference between the OD measured inside the image of the disc and the OD measured adjacent to the image of the disc is at least 0.40 and once an established operating level is determined, the difference does not change by more than plus or minus 0.05 OD when compared to the established operating level; and 
(3) Obtains a score of at least 4.0 for fibers, 3.0 for specks and 3.0 for masses using the phantom image scoring protocol in section 30316.30. 
(c) Each facility conducting mammography shall, at intervals not to exceed three months: 
(1) Test the residual fixer retained in the film to determine that it is no more than 5 micrograms per square centimeter; and 
(2) Perform a repeat analysis on mammograms repeated or rejected. If the total repeat or reject rate changes from the previously determined rate by more than 2.0% of the total films included in the analysis, the reason(s) for the change shall be determined by the facility. Any corrective actions shall be documented and the results of those corrective actions shall be assessed. Test films, cleared films, or film processed as a result of exposure of a film bin shall not be included in the count for repeat analysis but shall be counted to determine reject rate changes and may be disposed of following completion of the analysis. 
(d) Each facility conducting mammography shall, prior to initial use and at intervals not to exceed six months: 
(1) Determine that the optical density attributable to darkroom fog does not exceed 0.05, by performing a test which uses mammography film of the type used clinically in the facility in which the film is exposed such that the film has a mid-density of no less than 1.4 OD, and is exposed to typical darkroom conditions for two minutes while such film, with one-half of the film covered, is placed on the counter top, emulsion side up. If the darkroom has a safelight used for mammography film, it shall be on during this test; 
(2) Conduct testing on all cassettes used for mammography in the facility for screen-film contact using 40 mesh copper screen during which the entire area of the cassette that may be clinically exposed shall be tested; and 
(3) Determine that the X-ray system is able to compress the breast with a force of at least 25 pounds and maintain this compression for at least 15 seconds, except that for systems with automatic compression, the maximum force applied without manual assistance shall be greater than 25 pounds and shall not exceed 45 pounds. 
(e) Each facility conducting mammography shall, annually, ensure that a medical physicist verifies that: 
(1) Until October 28, 2002, the automatic exposure control (AEC) can maintain film optical density within plus or minus 0.30 of the average of the optical densities measured using homogeneous acrylic thicknesses of 2, 4, and 6 centimeters and the kilovoltage peak (kVp) is varied appropriately for such thicknesses over the kVp range used clinically in the facility. Each image of the homogenous acrylic shall have an optical density (OD) of at least 1.20. If the AEC cannot meet this requirement, a chart shall be posted that specifies appropriate techniques (kVp and density control settings) for different breast thicknesses and compositions so that optical densities within plus or minus 0.30 of the average under phototimed conditions can be produced; 
(2) After October 28, 2002, the AEC can maintain film optical density within plus or minus 0.15 of the average of the optical densities measured using homogeneous breast-tissue equivalent material thicknesses of 2, 4, and 6 centimeters (cm) and the kVp is varied appropriately for such thicknesses over the kVp range used clinically in the facility. Each image of the homogenous breast-tissue equivalent material shall have an OD of at least 1.20; 
(3) When the AEC mode is used and the OD is increased or decreased  from the normal or baseline setting, the net overall change in OD across the range of clinically used density control settings shall exceed the OD range established under subsection (e)(12) and if that net overall change in OD is equal to or greater than the maximum difference in OD allowed under subsection (e)(12), this change shall be distributed over a minimum of two density control settings removed from the normal or baseline setting; 
(4) By using the protocol specified in subsection (b), the mammography system, if a screen-film system, can produce a phantom image that meets the following: 
(A) The center of the image has an OD of at least 1.40; 
(B) The difference between the OD measured inside the image of the disc and the OD measured adjacent to the image of the disc is at least 0.40; and 
(C) Obtains a score of 4.0 for fibers, 3.0 for specks and 3.0 for masses using the phantom image scoring protocol in section 30316.30. 
(D) The difference between the OD measured inside the image of the disc and the OD measured adjacent to the image of the disc is at least 0.40 and the difference is not more than plus or minus 0.05 OD when compared to the facility's established operating level. 
(5) At the most commonly used clinical settings of kVp, the coefficient of variation of reproducibility of the kVp is equal to or less than 0.02; 
(6) The kVp is accurate to within plus or minus 5.0% of the indicated or selected kVp at the following: 
(A) The lowest clinical kVp that can be measured by a kVp test device; 
(B) The most commonly used clinical kVp; and 
(C) The highest available clinical kVp. 
(7) The focal spot condition meets one of the following: 
(A) Until October 28, 2002, the measured focal spot length (dimension parallel to the anode cathode axis) and width (dimension perpendicular to the anode cathode axis) shall be within the tolerance limits specified in Table 1. If a star pattern is used to evaluate focal spot condition, the star pattern shall, for evaluation of the large focal spot, be no larger than 1.5 degrees and, for evaluation of the small focal spot, be no larger than 1.0 degree. 

Table 1 
Focal Spot Tolerance Limit 

Nominal Focal Spot Size (mm) 	Maximum Measured Dimensions 
	Width (mm)	Length (mm) 

	0.10 	0.15 	0.15
	0.15 	0.23 	0.23
	0.20 	0.30 	0.30
	0.30 	0.45 	0.65
	0.40 	0.60 	0.85
	0.60 	0.90 	1.30
(B) The focal spot condition shall be evaluated by determining the mammography system resolution in accordance with the following and meet the specified criteria: 
(1) Each mammography system used for mammography, in combination with the mammography screen-film combination used in the facility, shall provide a minimum resolution of 11 cycles/millimeter (mm) (line-pairs/mm) when a high contrast resolution bar test pattern is oriented with the bars perpendicular to the anode-cathode axis, and a minimum resolution of 13 line-pairs/mm when the bars are parallel to that axis; 
(2) The bar pattern shall be placed 4.5 cm above the breast support surface, centered with respect to the chest wall edge of the image receptor, and with the edge of the pattern within 1 cm of the chest wall edge of the image receptor; 
(3) When more than one target material is provided, the measurement in subsection (e)(7)(A) shall be made using the appropriate focal spot for each target material; 
(4) When more than one source-image-distance (SID) is provided, the test shall be performed at the SID most commonly used clinically; and 
(5) Test kVp shall be set at the value used clinically by the facility for a standard breast and shall be performed in the AEC mode, if available. If necessary, a suitable absorber may be placed in the beam to increase exposure times. The screen-film cassette combination used by the facility shall be used to test for this requirement and shall be placed in the normal location used for clinical procedures. 
(8) The half-value layer (HVL) of the useful beam is not less than the value specified in Table 2 of section 30308(a)(3) for the minimum HVL. These values, extrapolated to the mammographic range, are shown as follows, except that values not shown in Table 2 may be determined by linear interpolation or extrapolation: 

Table 2 
X-ray Tube Voltage (kilovolt peak) and Minimum HVL 

Designed 	Measured Operating 	Minimum HVL 
Operating Range (kV) 	Voltage (kV) 	(mm of aluminum) 

Below 50 	20 	0.20
	25 	0.25
	30 	0.30 
(9) The coefficient of variation for both air kerma and milliampere-seconds (mAs) does not exceed 0.05; 
(10) By performance of a test using the techniques the facility uses clinically for a standard breast, the average glandular dose delivered by screen-film systems during a single craniocaudal view of an FDA accepted phantom simulating a standard breast does not exceed 3.0 milligray (mGy) (0.3 rad) per exposure; 
(11) All systems meet the following: 
(A) Possess beam-limiting devices that allow the entire chest wall edge of the X-ray field to extend to the chest wall edge of the image receptor and provide means to assure that the X-ray field does not extend beyond any edge of the image receptor by more than 2.0% of the SID; 
(B) Provide that if a light field that passes through the X-ray beam limitation device is used, it is aligned with the X-ray field so that the total of any misalignment of the edges of the light field and the X-ray field along either the length or the width of the visually defined field at the plane of the breast support surface shall not exceed 2.0% of the SID; and 
(C) The chest wall edge of the compression paddle does not extend beyond the chest wall edge of the image receptor by more than 1.0% of the SID when tested with the compression paddle placed above the breast support surface at a distance equivalent to standard breast thickness. The shadow of the vertical edge of the compression paddle shall not be visible on the image. 
(12) The uniformity of screen speed of all cassettes in the facility are tested, and that the difference between the maximum and minimum optical densities do not exceed 0.30. The optical density of the test films shall be no less than 1.4; 
(13) During the uniformity of screen speed test specified in subsection (e)(12), system artifacts are evaluated with a high-grade, defect-free sheet of homogeneous material large enough to cover the mammography cassette and performed on all cassette sizes used in the facility using a grid appropriate for the cassette size being tested. The optical density of the test films shall be no less than 1.4; 
(14) System artifacts are evaluated for all available focal spot sizes and target/filter combinations used clinically; 
(15) Until October 28, 2002, each machine produces, over 3.0 seconds, a minimum output of 4.5 mGy air kerma per second (513 milliroentgen (mR) per second) when operating at 28 kVp in the standard mammography (molybdenum/molybdenum) mode at any SID where the system is designed to operate and when measured by a detector with its center located 4.5 cm above the breast support surface with the compression paddle in place between the source and the detector; 
(16) After October 28, 2002, each machine produces, over 3.0 seconds, a minimum output of 7.0 mGy air kerma per second (800 milliroentgen (mR) per second) when operating at 28 kVp in the standard mammography (molybdenum/molybdenum) mode at any SID where the system is designed to operate and when measured by a detector with its center located 4.5 cm above the breast support surface with the compression paddle in place between the source and the detector; 
(17) If the system is equipped with a provision for automatic decompression after completion of an exposure or interruption of power to the system, it provides: 
(A) An override capability to allow maintenance of compression; 
(B) A continuous display of the override status; and 
(C) A manual emergency compression release that can be activated in the event of power or automatic release failure. 
(18) The calibration of the densitometer and sensitometer used by the facility meets the manufacturer's specifications; and 
(19) For systems with image receptor modalities other than screen-film, the quality assurance program meets the quality assurance program recommended by the image receptor manufacturer, except that the maximum allowable dose shall not exceed the maximum allowable dose for screen-film systems specified in subsection (e)(10). 
(f) Each facility conducting mammography shall ensure that: 
(1) The darkroom or the area used to load or unload mammography film is cleaned each day before any mammography is performed; 
(2) Intensifying screens are cleaned each week using a screen cleaner recommended by the screen manufacturer; and 
(3) All view boxes used to score phantom images and interpret mammograms are cleaned each week. If the view box used to interpret mammograms is at a different location than where the mammograms are taken, the facility shall ensure that documentation establishing the following is available to personnel and Department inspectors: 
(A) Physical location(s) where the mammograms produced by the facility are interpreted; 
(B) For each location, the individual responsible for ensuring the view boxes are cleaned at intervals not to exceed seven calendar days; and 
(C) A log indicating the date and who cleaned the view boxes. 
(g) After completion of the tests specified in subsections (a), (b), (d) and (e)(4), (10) and (19), if any of the test results fail to meet the specified criteria, the source of the problem shall be identified and corrective actions shall be taken before any further mammographic examinations are performed or any films are processed using the component of the mammography system that failed the test. 
(h) Each facility conducting mammography shall, if any of the results of the tests specified in subsections (c), (e)(1) through (3), (5) through (9) and (11) through (18) and (f) fall outside the action limits, identify the source of the problem and take corrective actions within 30 days of the test date. 
(i) All quality assurance data collected during tests conducted pursuant to this section shall be analyzed and if any problems are detected by analysis of that data, the problems shall be corrected to ensure compliance with this section. 
(j) Documentation of the tests performed, the analysis of data obtained, corrective actions and the effectiveness of those actions taken pursuant to this section shall be maintained in accordance with section 30319.20. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsections (b)-(b)(2), (c), (e)(2)-(3), (e)(6)(A), (e)(13) and (f)(2)-(3), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316.22. Acceptable Phantoms.
Note     •     History

(a) A phantom shall not be used unless it is approved by the FDA and is: 
(1) Mammographic Accreditation Phantom Model 156 produced by Radiation Measurement, Inc.; 
(2) Mammographic Accreditation Phantom Model 18-220 produced by Nuclear Associates; or 
(3) Equivalent in thickness to a standard breast and; 
(A) Contains six nylon fibers with the following diameters: 
1. 1.56 millimeters (mm); 
2. 1.12 mm; 
3. 0.89 mm; 
4. 0.75 mm; 
5. 0.54 mm; 
6. 0.40 mm; 
(B) Contains five aluminum oxide speck groups, each containing six specks and each speck in the group has the same diameter. The diameter of the specks shall be: 
1. 0.54 mm; 
2. 0.40 mm; 
3. 0.32 mm; 
4. 0.24 mm; 
5. 0.16 mm; and 
(C) Contains five nylon massess with decreasing diameters and the following thicknesses: 
1. 2.00 mm; 
2. 1.00 mm; 
3. 0.75 mm; 
4. 0.50 mm; 
5. 0.25 mm. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (a), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316.30. Phantom Image Scoring Protocol.
Note     •     History

(a) This section shall apply only to screen-film mammography systems. 
(b) Phantom images shall be scored in accordance with the following protocol. Each of the following object groups shall be scored separately and shall meet the criteria specified in section 30316.20(b)(3) and (e)(4): 
(1) Score the fibers as follows: 
(A) Begin with the largest fiber and move down in size, adding one point for each full fiber until a score of zero or one half is given, then stop. 
(B) If the entire length of the fiber can be seen and its location and orientation are correct, that fiber receives a score of one. 
(C) If at least half, but not all, of the fiber can be seen and its location and orientation are correct, that fiber receives a score of one half. 
(D) If less than one half of a fiber can be seen or if the location or orientation is incorrect, that fiber receives a score of zero. 
(E) After determining the last fiber to be counted, look at the overall background for artifacts. If there are background objects that are fiber-like in appearance and are of equal or greater brightness than the last visible half or full fiber counted, subtract the last half or full fiber scored. 
(2) Score the speck groups as follows: 
(A) Begin with the largest speck group and move down in size adding one point for each full speck group until a score of one half or zero is given, then stop. 
(B) If at least four of the specks in any group are visualized, the speck group is scored as one. 
(C) If two or three specks in a group are visualized, the score for the group is one half. 
(D) If one speck or no specks from a group are visualized, the score is zero. 
(E) After determining the last speck group to receive a full or one-half point, look at the overall background for artifacts. If there are speck-like artifacts within the insert region of the phantom that are of equal or greater brightness than individual specks counted in the last visible half or full speck group counted, subtract the artifact speck from the observed specks, one by one. Repeat the scoring of the last visible speck group after these deductions. 
(3) Score the masses as follows: 
(A) Begin with the largest mass and add one point for each full mass observed until a score of one half or zero is assigned, then stop. 
(B) Score one for each mass that appears as a minus density object in the correct location that can be seen clearly enough to observe round, circumscribed borders. 
(C) Score one-half if the mass is clearly present in the correct location, but the borders are not visualized as circular. 
(D) After determining the last full or half mass to be counted, look at the overall background for artifacts. If there are background objects that are mass-like in appearance and are of equal or greater visibility than the last visible mass, subtract the last full or half point assigned from the original score. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316.40. Processing of Mammograms and Phantom Images.
Note     •     History

Each facility possessing a facility accreditation certificate and conducting screen-film mammography shall process phantom images in the processor(s) designated by the facility to process mammograms. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316.50. Mammographic Image Identification.
Note     •     History

(a) The following information shall be placed on each mammogram in a permanent, legible manner that does not obscure anatomic structures: 
(1) Name of patient and an additional patient identifier; 
(2) Date of examination; 
(3) View and laterality, which shall be indicated on the image in a position near the axilla using the abbreviations specified in subsections (b) and (c); 
(4) Facility name, city, state and zip code of the facility that performed the mammogram; 
(5) Technologist identification; 
(6) Identification of the cassette/screen used in producing the mammographic image; and 
(7) Radiation machine identification if there is more than one radiation machine used for mammography at the facility. 
(b) The following abbreviations shall be used to indicate laterality: 
(1) Right: “R”; 
(2) Left: “L”. 
(c) At a minimum, the following abbreviations shall be used to indicate the view: 
(1) Craniocaudal: “CC”; 
(2) Mediolateral oblique: “MLO”; 
(3) Mediolateral: “ML”; 
(4) Lateromedial: “LM”; 
(5) Lateromedial oblique: “LMO”. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30316.60. Medical Physicist Survey Reports.
Note     •     History

(a) Each facility conducting mammography shall undergo an annual survey by a medical physicist or an individual under the direct supervision of a medical physicist, and shall obtain a survey report, dated and signed by the medical physicist and, if an individual performed the survey under the direct supervision of a medical physicist, the individual being supervised, showing: 
(1) The results with measurements and calculated data used for the mammography system evaluation and the calibration record required in section 30316.61(a); 
(2) The results of the quality assurance testing evaluation, as well as written documentation of any corrective actions taken and their results; and 
(3) Written recommendations for corrective actions according to all results required to be in the report, if applicable. 
(b) The survey report, specified in subsection (a), shall be obtained within 30 calendar days of the date the medical physicist performed and completed the survey. A facility shall require the medical physicist to notify them within 72 hours of the date the tests were performed of any deficiencies that involve any of the items listed in subsection (g) of section 30316.20. 
(c) The survey report shall identify each radiation machine by the facility's radiation machine identification number as specified in section 30317(g). 
(d) The survey report, reviews, and calibration documentation required by this section shall be maintained in accordance with section 30319.20. 
NOTE

Authority cited: Sections 115060, 131051 and 131200, Health and Safety Code. Reference: Sections 115060 and 115100, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (a)(1), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
3. Amendment of subsection (c) and Note filed 7-11-2007; operative 8-10-2007 (Register 2007, No. 28).
§30316.61. Instruments Used by Medical Physicists.
Note     •     History

(a) Instruments used by medical physicists to measure the air kerma or air kerma rate from a radiation machine shall be calibrated at least once every two years and each time the instrument is repaired. The instrument calibration shall be traceable to a national standard and calibrated with an accuracy of plus or minus 6.0% (95% confidence level) in the mammography energy range. The calibration record shall be maintained in accordance with section 30319.20. 
(b) Instrumentation used by the medical physicist to measure the illumination as specified in section 30316(b)(13) shall be calibrated in units of lux or foot candles and shall meet manufacturer specifications. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060 and 115100, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30317. General Facility Requirements.
Note     •     History

(a) The facility shall designate a quality assurance technologist. 
(b) Tests specified in section 30316.20(a) through (d) and (f) shall be performed by the quality assurance (QA) technologist or by other personnel qualified to perform the tasks. When other personnel are utilized for these tasks, the QA technologist shall ensure that the specified tests are performed correctly. The QA technologist shall maintain documentation of training received by the other personnel. 
(c) The facility's lead interpreting physician shall verify that the provisions of this section and sections 30316.20, 30316.40, 30316.50, 30316.60, 30317.10, 30317.20, 30317.30, 30317.40, 30317.60, and 30319.20 are met. 
(d) A facility shall ensure an interpreting physician is available by telephone or in person for consultation when mammographic examinations are performed. 
(e) A facility shall ensure that mammographic examinations are performed under the supervision, as defined in Health and Safety Code section 114850(g), of an individual who meets the requirements of section 30315.50. 
(f) Each facility shall provide and require that all operators of radiation machines used for mammography use a chart or manual that specifies technique factors to be utilized relative to the patient's body habitus. 
(g) Each facility shall maintain an inventory of each mammography X-ray machine. The inventory shall identify each machine by a unique radiation machine identification number. That number shall be permanently affixed to the machine.
NOTE

Authority cited: Sections 115060, 131051 and 131200, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
3. New subsection (g) and amendment of Note filed 7-11-2007; operative 8-10-2007 (Register 2007, No. 28).
§30317.10. Mammography Quality Assurance Program.
Note     •     History

(a) Each facility shall establish and maintain a mammography quality assurance (QA) program to ensure the safety, reliability, clarity and accuracy of mammography services performed at the facility. A review of the QA program shall be conducted and documented by the lead interpreting physician at intervals not to exceed six months. The QA program shall, at a minimum, include the following: 
(1) Establishment of operating levels meeting manufacturer specifications by which the criteria specified in section 30316.20(a) is compared. 
(2) Documentation of accreditation by an entity approved by the FDA pursuant to 42 United States Code Section 263b(e)(1)(A) and certification by FDA; 
(3) Documentation that each interpreting physician who interprets mammograms for the facility meets the requirements of section 30315.50. 
(4) Documentation that each mammographic radiologic technologist who performs mammography meets the requirements of section 30315.51; 
(5) Documentation that each medical physicist who performs the tests specified in section 30316.20(e) meets the requirements of section 30315.52; 
(6) The QA manual required by section 30317.20; 
(7) The mammography procedures manual required by section 30317.30; and 
(8) If the facility is a mobile service provider, a list identifying the physical location where radiation machines are used. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30317.20. Quality Assurance Manual.
Note     •     History

(a) Each facility that performs mammography shall establish and maintain a written quality assurance (QA) manual. The lead interpreting physician shall document a review of the QA manual at intervals not to exceed six months. At a minimum, the QA manual shall contain: 
(1) A list of names identifying the following: 
(A) The lead interpreting physician designated by the facility; 
(B) The quality assurance technologist; 
(C) The medical physicist who will perform the tests specified in subsection (e) of section 30316.20; and 
(D) The company providing processor and equipment services. 
(2) The procedures to be used to ensure that the tests specified in section 30316.20(a) through (d) and (f) are performed and the criteria have been met; 
(3) The procedure for correcting each finding that fails to meet the requirements of section 30316.20(a) through (f); 
(4) Examples of the forms to be used for each test specified in section 30316.20 (a) through (d) and (f); 
(5) Documentation that equipment used during QA tests specified in section 30316.20 meet manufacturer specifications; 
(6) The most recent survey report required to be obtained pursuant to section 30316.60 and evidence that instruments used by the medical physicist are calibrated pursuant to section 30316.61; 
(7) Documentation of all QA tests required to be performed pursuant to section 30316.20(a) through (d) and (f); 
(8) Documentation of compliance with section 30316.20(g) and (h); 
(9) Documentation of compliance with section 30316.10 covering the previous two years; 
(10) Documentation that each interpreting physician, mammographic radiologic technologist and medical physicist has reviewed the manual annually or, if any update has occurred, evidence that the manual has been reviewed by the said individuals; and 
(11) Documentation of preventive and corrective maintenance, chemistry replacement and cleaning of each processor used to process mammograms. The documentation shall contain the signature of the individual who performed the maintenance. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30317.30. Mammography Procedures Manual.
Note     •     History

(a) Each facility shall establish a written mammography procedures manual. The lead interpreting physician shall document a review of the manual at intervals not to exceed six months. The mammography procedures manual shall, at a minimum, contain the following: 
(1) The procedure for corrective action when the images interpreting physicians are asked to interpret are of poor quality and documentation that the procedure is followed; 
(2) A policy that requires each interpreting physician to participate in the mammography medical outcomes audit as specified in section 30317.60; 
(3) Examples of mammographic examination reports in lay language for each assessment of findings category and the procedures used to ensure the patient, if the patient does not indicate a health care provider, is referred to a health care provider if the patient's mammogram is interpreted by an interpreting physician as a positive mammogram; 
(4) The procedure used to inquire whether or not the patient has prosthetic devices implanted in the breast prior to the mammographic examination and evidence that the procedure is followed. The procedure shall specify that except where contraindicated, or unless modified by a physician's directions, patients with such implants shall have mammographic views to maximize the visualization of breast tissue; 
(5) The procedure to be used by each mammographic radiologic technologist to ensure that prior to each mammographic examination the mammography equipment is disinfected. The procedure shall comply with title 29, Code of Federal Regulations section 1910.1030 as of July 1, 2001, title 8, California Code of Regulations section 5193 and with the manufacturer's recommended procedures for cleaning and disinfection of the mammography equipment used in the facility; 
(6) The procedures used to comply with section 30317.70 pertaining to consumer complaints; 
(7) The procedure used to ensure mammographic examination reports are sent as required by section 30317.40; and 
(8) Documentation that the mammography medical outcomes audit is performed as specified in section 30317.60. 
(b) Procedures and policies developed to comply with this section shall be followed by the facility. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (a)(5), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30317.40. Mammographic Examination Reports.
Note     •     History

(a) Each facility shall ensure that a written report of the results of each mammographic examination conducted at that facility is prepared and includes at least the following: 
(1) Name of the patient and an additional patient identifier; 
(2) Date of the examination; 
(3) Name of the interpreting physician who interpreted the mammogram; 
(4) Overall assessment of findings, classified in one of the following categories: 
(A) “Negative:” Nothing to comment upon (if the interpreting physician is aware of clinical findings or symptoms, despite the negative assessment, these shall be explained); 
(B) “Benign:” Also a negative assessment; 
(C) “Probably Benign:” Finding(s) has a high probability of being benign; 
(D) “Suspicious:” Finding(s) without all the characteristic morphology of breast cancer but indicating a definite probability of being malignant; 
(E) “Highly suggestive of malignancy:” Finding(s) has a high probability of being malignant; 
(5) In cases where a final assessment category cannot be assigned due to incomplete work-up, “Incomplete: Need additional imaging evaluation” shall be assigned as an assessment and reasons why no assessment can be made shall be stated by the interpreting physician; and 
(6) Recommendations made to the patient's health care provider about what additional actions, if any, should be taken. All clinical questions raised by the referring physician shall be addressed in the report to the extent possible, even if the assessment of findings is negative or benign. 
(b) Each facility shall ensure that the report specified in subsection (a) is summarized in lay terms and sent no later than 30 calendar days from the date of the mammographic examination to the patient. 
(c) Each facility shall ensure that the report specified in subsection (a) is sent no later than 30 calendar days from the date of the mammographic examination to the referring physician(s), or if the patient is self-referred, to the physician indicated by the patient or the physician to whom the facility refers the patient. 
(d) Each facility shall verify that: 
(1) Patients with an overall assessment of findings of “suspicious” or “highly suggestive of malignancy” and patients needing repeat examinations have received notification; and 
(2) Physicians have received notification of patients with an overall assessment of findings of “suspicious” or “highly suggestive of malignancy” and needing repeat examinations. 
(e) If an interpreting physician has given a mammogram an assessment of findings as “suspicious” or “highly suggestive of malignancy,” the facility shall attempt to communicate the results to the patient within five working days and the health care provider or if the health care provider is unavailable, to a responsible designee of the health care provider within three working days. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsections (a)(6) and (e), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30317.50. Mammogram and Report Retention.
Note     •     History

Unless otherwise required by law, each facility that performs mammography shall: 
(a) Unless transferred in accordance with subsection (b), maintain mammograms and the reports specified in section 30317.40 for a minimum of seven years and if no additional mammograms of the patient are taken by the facility, mammograms and reports shall be maintained for a minimum of ten years. 
(b) Upon request or on behalf of the patient, permanently or temporarily transfer the original mammograms and copies of the patient's mammographic examination reports to a medical institution, a physician or to the patient directly. Any fee charged for this service shall not exceed the documented cost of the service. 
(c) If the facility will discontinue the performance of mammography, notify the Department prior to discontinuing mammography of how all records kept pursuant to subsection (a) will be maintained. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060 and 123145, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30317.60. Mammography Medical Outcomes Audit.
Note     •     History

(a) Each facility possessing a facility accreditation certificate shall collect and review outcome data for all mammograms interpreted by the facility as a positive mammogram, including follow-up on the disposition of all positive mammograms and correlation of pathology results with the interpreting physician's mammographic examination report. Each facility shall analyze these outcome data for all interpreting physicians, both individually and collectively. The lead interpreting physician or an interpreting physician designated by the lead interpreting physician shall perform the analysis. 
(b) For any cases of an individual diagnosed with breast cancer who was imaged at the facility and whose identity became known to the facility, the facility shall initiate follow-up on surgical and/or pathology results and conduct a review of any mammogram taken prior to the diagnosis of a malignancy. These cases shall be included in the analysis required pursuant to subsection (a). 
(c) Each facility possessing a facility accreditation certificate shall ensure that the analysis required by subsection (a) is initiated no later than 12 months after the date of issuance of the facility accreditation certificate. The analysis shall be completed within 12 months of the date the analysis was initiated. Subsequent audit analyses shall be performed at least once every 12 months thereafter. 
(d) The facility's lead interpreting physician or an interpreting physician designated by the lead interpreting physician, shall: 
(1) Record the dates of the audit period(s); 
(2) Document the results; 
(3) Review the medical outcomes audit data; 
(4) Analyze the results of the audit; 
(5) Provide the results of the review of a specific interpreting physician to that interpreting physician and the overall results of the review for the facility review; and 
(6) Provide a written description of any follow-up actions and the nature of the follow-up actions taken. 
(e) Each facility shall maintain reports, outcome data, analyses and documentation of actions taken specified in this section in accordance with section 30319.20. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30317.70. Consumer Complaints.
Note     •     History

Each facility possessing a facility accreditation certificate shall: 
(a) Establish a written procedure for collecting and resolving consumer complaints; 
(b) Maintain a record of each serious complaint received by the facility in accordance with section 30319.20; 
(c) Provide to the consumer, upon request, a copy of the facility's procedure required in subsection (a) and instructions for filing serious complaints to the entity approved by the FDA pursuant to 42 United States Code Section 263b(e)(1)(A) that accredited the facility; 
(d) Report unresolved serious complaints to the Department within 30 calendar days of receiving the complaint. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsection (b), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30318.10. Additional Requirements for Mobile Service Providers.
Note     •     History

(a) Prior to the performance of mammography by a mobile service provider at a location other than a location identified on the application submitted pursuant to section 30315.22 or 30315.23, the provider shall notify the Department. The notification shall include: 
(1) The name and address of the mobile service provider; 
(2) The certificate number as shown on the facility accreditation certificate of the mobile service provider; 
(3) The physical location of the new location where mammography will be performed; 
(4) The name and telephone number of the individual who is allowing the service to be provided at the new location; 
(5) If the radiation machine is moved to where the mammographic examinations will be performed, the designated room number within the physical building at the new location of use; and 
(6) The physical location where mammograms produced at the new location will be processed. 
(b) After each relocation of the radiation machine and before the performance of mammography on humans, the processor shall be tested to ensure that the criteria specified in section 30316.20(a) are met, and the radiation machine shall be tested to ensure that it meets the requirements of section 30316.20(b)(1) through (3). If a processor is not available at the location where mammography is performed, a phantom image shall be produced by using the procedure specified in section 30316.20(b). The selected kilovoltage-peak and milliampere-seconds (mAs) shall be recorded and compared to the mAs value previously established as meeting the phantom image criteria specified in section 30316.20(b). If the two mAs values are within plus or minus 10 percent of each other, mammography may be performed. If the values exceed the limits, mammography shall not be performed and corrective actions shall be taken to bring the two values within the limit. 
(c) If a mobile service provider processes mammograms at a location other than where the mammograms are taken: 
(1) The mammograms shall be transported in a container that protects the film from exposure to light, heat, humidity, radiation, and conditions that may damage the mammograms and processed within 48 hours from the time the mammogram is taken; 
(2) A log shall be maintained that includes the name of each patient and unique identification number, date, and time of the first exam of each batch, and date and time of batch processing in accordance with section 30319.20; and 
(3) The container used to transport the mammograms shall be cleaned at intervals not to exceed seven days or if mammography is performed at greater intervals, before the mammograms are transported. 
(d) Prior to processing mammograms, the provider shall ensure that the test specified in section 30316.20(a) has been met and that the phantom image produced during the test specified in subsection (c) of this section meets the phantom image criteria specified in section 30316.20(b) and if the phantom image fails due to processing problems, the problems shall be corrected prior to processing the mammograms. If the phantom image fails due to a non-processor problem, the provider may process the mammograms, but the lead interpreting physician shall evaluate each mammogram to determine whether any patient must be recalled to have their mammograms repeated. Prior to further clinical use, the mammography system shall be evaluated and problems corrected to ensure that the mammography system is in compliance with all requirements of this article. 
(e) Documentation demonstrating compliance with this section shall be maintained in accordance with section 30319.20. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order, including amendment of subsections (b) and (c)(1), transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30318.11. Posting Requirements for Mobile Service Providers.
Note     •     History

(a) Each mobile service provider shall ensure the following are kept with each radiation machine used to perform mammography in a mobile setting: 
(1) All items required to be posted pursuant to section 30255; 
(2) The mammographic radiologic technologist's certificate issued pursuant to section 30455.1 to the individual performing the mammographic examination and posted so the patient can view it during the examination; 
(3) For facilities performing mammography, the lead interpreting physician's radiology supervisor and operator certificate issued pursuant to section 30466(d) or 30467 and posted so the patient can view it during the examination; 
(4) The document required to be posted on the radiation machine pursuant to Health and Safety Code section 115115(b) so the patient can view it during the examination; 
(5) A copy of the certificate issued by FDA and posted so the patient can view it during the examination; 
(6) The quality assurance records for on-board processors as specified in section 30316.20(a) for at least the last 30 calendar days. 
(7) Documentation that, for each location of use visited in the last 30 calendar days, section 30318.10(b) has been met; and 
(8) The quality assurance manual as specified in section 30317.10. 
(b) Each provider shall maintain a log that identifies the date and physical location where each radiation machine is used. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100 and 115115, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30319. Notification Requirements.
Note     •     History

(a) Within 30 calendar days of the occurrence of any of the following events, each facility that performs mammography shall inform the Department of the event: 
(1) Change in the information submitted in response to section 30315.22(a)(1); 
(2) Change in the identity of the entity approved by the FDA pursuant to 42 United States Code Section 263b(e)(1)(A) that accredited the facility; 
(3) Change in certification status with the FDA; 
(4) Change in facility personnel and, if adding an interpreting physician, mammographic radiologic technologist, or medical physicist; 
(5) Change in location of a radiation machine within the facility; 
(6) Change in facility name or owner; 
(7) Disassembly and reassembly of any radiation machine or processing equipment; 
(8) Change in the accreditation status; 
(9) Change in the facility's contact person. 
(b) Notifications made pursuant to this section shall be made in writing and contain the name, signature and date of signature of the facility administrator, owner or designee. 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
§30319.20. Record Keeping Requirements.
Note     •     History

(a) Each facility shall maintain and make available for inspection by the Department the records specified in Table 1 until Department inspection or the time interval specified which ever is greater: 
Table 1. Record Keeping Requirements 

View Graphic
(b) Each facility shall maintain records for inspection by the Department showing calibrations, maintenance, and modifications performed on each radiation machine for three years. These records shall include the date of the calibration, maintenance, or modification performed, the name of the individual making the record, and the manufacturer's model and the facility's radiation machine identification number as specified in section 30317(g).
(c) Each facility shall maintain records showing the receipt, transfer, and disposal of radiation machines pursuant to section 30293. These records shall include the date of receipt, transfers, or disposal, the name and signature of the individual making the record, and the manufacturer's model and the facility's radiation machine identification number as specified in section 30317(g). Records shall be maintained for inspection by the Department until the facility ceases use and disposes of the radiation machine. 
NOTE

Authority cited: Sections 115060, 131051 and 131200, Health and Safety Code. Reference: Section 115060, Health and Safety Code. 
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
3. Amendment of subsections (b)-(c) and amendment of Note filed 7-11-2007; operative 8-10-2007 (Register 2007, No. 28).
§30320.90. Grounds for Suspension, Revocation, Amendment or Restriction of a Facility Accreditation Certificate.
Note     •     History

(a) A facility accreditation certificate may be revoked, suspended, amended or restricted for any of the following: 
(1) Violation of any provision of the Act, any regulation promulgated pursuant to the Act, any provision of the Radiologic Technology Act, as defined in Health and Safety Code section 27, any regulation promulgated pursuant to the Radiologic Technology Act, or any order of the Department; 
(2) Failure to pay fees pursuant to sections 30145 or 30145.1; 
(3) Refusal to submit to clinical image review or mammography review as directed by the Department; 
(4) Failure of clinical images to pass clinical image review or mammography review; 
(5) Failure to take corrective action when directed by the Department; 
(6) Failure to report changes pursuant to section 30319; 
(7) Procuring a facility accreditation certificate by fraud, or misrepresentation, or because of mistake; 
(8) Failure to maintain mammograms and reports pursuant to section 30317.50; 
(9) Failure to ensure the average glandular dose criteria specified in section 30316.20(e)(10) is not exceeded; 
(10) Failure during a Department inspection to obtain the phantom image score specified in section 30316.20(b)(3); 
(11) Failure to comply with policies or procedures required to be developed pursuant to section 30317.30; and 
(12) Suspension or revocation of the facility's certificate issued by FDA pursuant to title 21, Code of Federal Regulations, section 900.11(a). 
NOTE

Authority cited: Sections 100275 and 115060, Health and Safety Code. Reference: Sections 115060, 115100, 115115, 115145, 115165 and 115215, Health and Safety Code.
HISTORY

1. New section filed 2-10-2003 as an emergency; operative 2-10-2003 (Register 2003, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-10-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-10-2003 order transmitted to OAL 6-6-2003 and filed 7-18-2003 (Register 2003, No. 29).
Article 5. Special Requirements for the Use of Radioactive Material in the Healing Arts [Repealed]
§30321. Accountability, Storage, and Transit. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of  article 8 (30320, 30321) and new article 8 (30321) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For former article 8 see Register 62, No. 1.
2. Change without regulatory effect adding NOTE (Register 87, No. 11).
3. Amendment of article heading and subsection (b) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
5. Repealer of article 5 (sections 30321-30322) and section filed 10-13-2010; operative 1-1-2011 (Register 2010, No. 42).
§30321.1. Confirming Removal of Implants. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815, 25875 and 25876, Health and Safety Code; and 10 CFR 35.15(b) (vi) and (vii) (39 FR 26143 and 43 FR 553467).
HISTORY

1. New section filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
2. Repealer filed 10-13-2010; operative 1-1-2011 (Register 2010, No. 42).
§30322. Records and Reports of Misadministration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section field 9-5-89; operative 10-5-89 (Register 89, No. 36)
2. Repealer filed 10-13-2010; operative 1-1-2011 (Register 2010, No. 42).
Article 6. Special Requirements for Radiographic Operations in Industrial Radiography
§30330. Definitions Specific to Industrial Radiography.
Note     •     History

(a) The definitions in section 30100 apply to this article.
(b) As used in this article:
(1) “Annual refresher safety training” means training conducted or provided by a licensee or registrant for its employees on radiation safety aspects of industrial radiography including the topics specified in sections 30333(d) or 30336.1(q);
(2) “Associated equipment” means equipment that is used in conjunction with a radiographic exposure device to make radiographic exposures that drives, guides, or comes in contact with the sealed source (e.g., guide tube, control tube, control cable, removable source stop, “J” tube and collimator when it is used as an exposure head);
(3) “Cabinet X-ray system” means an X-ray system with the X-ray tube installed in an enclosure independent of existing architectural structures except the floor on which it may be placed and intended to contain at least that portion of a material being irradiated, provide radiation attenuation, and exclude personnel from its interior during generation of radiation. An X-ray tube used within a shielded part of a building, or X-ray equipment that may temporarily or occasionally incorporate portable shielding, is not considered a cabinet X-ray system;
(4) “Collimator” means a radiation shield that is placed on the end of the guide tube or directly onto a radiographic exposure device to restrict the size of the radiation beam when the sealed source is cranked into position to make a radiographic exposure;
(5) “Control cable” means the cable that is connected to the source assembly and used to drive the source to and from the exposure location;
(6) “Control mechanism” means a device that enables the source assembly to be moved to and from the radiographic exposure device;
(7) “Control tube” means a protective sheath for guiding the control cable, which connects the control mechanism to the radiographic exposure device;
(8) “Exposure head” means a device that locates the sealed source in the selected working position; 
(9) “Field radiography” means industrial radiography using a radiation machine but excludes cabinet X-ray systems and shielded-room radiography machines;
(10) “Field station” means a facility where licensed material may be stored or used and from which equipment is dispatched;
(11) “Guide tube” means a flexible or rigid tube (i.e., “J” tube) for guiding the source assembly and the attached control cable from the radiographic exposure device to the exposure head;
(12) “Identification card” (ID) means either an ID card issued by:
(A) A licensee, pursuant to section 30333(b)(2), designating the individual as a radioactive materials radiographer's assistant;
(B) A registrant, pursuant to section 30336.5, designating the individual as a radiation machine radiographer's assistant; or 
(C) The Department indicating the individual is certified pursuant to sections 30335.2 or 30335.4;
(13) “Industrial radiography” means the examination of the physical structure, but not the microscopic structure, or elemental or chemical composition, of materials, other than human beings or animals, utilizing radiation;
(14) “Permanent radiographic installation” means a shielded installation or structure designed or intended for industrial radiography and in which industrial radiography is performed;
(15) “Practical examination” means a demonstration through practical application of the safety rules and principles in industrial radiography including use of all appropriate equipment and procedures;
(16) “Radiation Safety Officer” means an individual with the responsibility for the overall radiation safety program on behalf of the:
(A) Licensee and who meets the requirements of section 30333.07; or
(B) Registrant and who meets the requirements of section 30336.7;
(17) “Radiographer” means any individual who performs radiographic operations or who, while in attendance at the site where radiographic operations are being performed, personally supervises such operations and who is responsible to the user for assuring compliance with the requirements of this regulation, license or registration conditions and is certified pursuant to sections 30335.2 or 30335.4 or is in compliance with section 30335.3;
(18) “Radiographer certification” means written approval indicating that an individual has satisfactorily met the requirements to be a radiographer;
(19) “Radiographer trainer” means a radiographer who meets the requirements of sections 30333.05 or 30336.6; 
(20) “Radiographer's assistant” means any individual who has met the requirements of sections 30333(b) or 30336.5(a)(1) and who must be under personal supervision as required by sections 30333(c) or 30336.1(o); 
(21) “Radiographic exposure device” means any device containing a sealed source used to make a radiograph;
(22) “Radiographic operations” means all activities associated with the presence of radiation machines or radioactive sources for the performance of industrial radiography (except when being transported by a common or contract transport), and includes surveys to confirm the adequacy of boundaries, setting up equipment and any activity inside a restricted area;
(23) “Radiographic personnel” means any radiographer, radiographer trainer, or radiographer's assistant;
(24) “Shielded position” means the location within the radiographic exposure device or source changer where the sealed source is secured and restricted from movement;
(25) “Shielded-room radiography” means industrial radiography using a radiation machine such that irradiation of the material occurs in an enclosed room designed to allow admittance of individuals and the room meets the requirements of subsections (d), (e) and (h) of section 30336;
(26) “Source assembly” means an assembly that consists of the sealed source and a connector that attaches the source to the control cable;
(27) “Source changer” means a device designed and used for replacement of sealed sources in radiographic exposure devices, including those also used for transporting and storage of sealed sources;
(28) “Storage area” means any location, facility, or vehicle which is used to store, to transport, or to secure a radiographic exposure device, a storage container, or a sealed source when it is not in use and which is locked or has a physical barrier to prevent accidental exposure, tampering with, or unauthorized removal of the device, container, or source;
(29) “Storage container” means a container in which sealed sources are secured and stored;
(30) “S-tube” means a tube through which the radioactive source travels when inside a radiographic exposure device;
(31) “Temporary jobsite” means a location where radiographic operations are conducted and where licensed material may be stored other than those location(s) of use authorized on the license.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115230 and 115235, Health and Safety Code.
HISTORY

1. Repealer of article 9 and new article 9 (sections 30330 through 30336) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For former article 9, see Register 62, No. 1.
2. Change without regulatory effect adding NOTE (Register 87, No. 11).
3. Amendment of article heading filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9).  A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
5. Amendment of article heading and repealer and new section heading, section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30331. Eligibility for and Renewal of Approval as a Radiation Safety Training Provider and Provider Requirements.
Note     •     History

(a) To be eligible for or renewal of approval as a radiation safety training provider an applicant shall submit a complete application consisting of:
(1) The legal name, the mailing address and the telephone number of the applicant;
(2) The applicant's federal employer identification number and California taxpayer identification number, or if the applicant is an individual, the applicant's social security number (pursuant to the authority found in sections 131200 and 115000(b) of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification);
(3) Proof that the applicant's curriculum covers the subjects specified in section 30335.10 and includes, at a minimum:
(A) A description of course content covering those subjects;
(B) The number of hours spent on each subject; and
(C) A description of all reference materials used in the training such as handouts, slides, and overhead transparencies; 
(4) The names of all instructors including each individual's training and experience in industrial radiography. There shall be at least one instructor who meets the requirements specified in sections 30333.05 and 30336.6 or at least two instructors such that one meets the requirements specified in section 30333.05 and the other meets the requirements of section 30336.6; 
(5) A copy of a sample written examination and the correct answers to the test questions used for determining an individual's understanding of and competency in the subjects specified in section 30335.10. The examination shall be at least 50 questions in length. Successful completion shall be correctly answering at least 80 percent of the questions in a closed-book testing session; and
(6) The application fee specified in section 30336.8.
(b) Approval as a radiation safety training provider shall be valid for five years except that, for providers who possess a specific license issued pursuant to section 30195.3, the approval shall be valid for the period of time up to and including the expiration date as stated on the specific license unless that period of time is less than five years.
(c) Each approved provider shall:
(1) Issue a certificate of training to each individual who satisfactorily completes radiation safety training. The certificate shall contain, at a minimum, the:
(A) Legal Name of the individual;
(B) Name and provider number as shown on the provider's approval;
(C) Dates of training; 
(D) Statement “I (printed name of trainer or radiation safety officer) certify that the individual named on this certificate has satisfactorily completed the radiation safety training curriculum specified in Title 17, California Code of Regulations, section 30335.10;” and
(E) Original signature and date of signature of the provider's trainer or radiation safety officer;
(2) Maintain records of attendance for five years from the individual's completion of the radiation safety training; 
(3) Notify the Department 30 calendar days prior to any change in the information submitted pursuant to subsections (a)(1) through (a)(4); 
(4) Meet and continually maintain all standards set forth in the application and this section; and
(5) Be subject to Department audit.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965 and 114970, Health and Safety Code.
HISTORY

1. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Renumbering of former subsections (a)(5) and (a)(6) to subsections (a)(6) and (a)(7), and the new subsection (a)(5) filed 7-12-89; operative 8-11-89 (Register 89, No. 28).
3. Repealer and new section heading, section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332. Performance Requirements for Radiographic Exposure Devices, Storage Containers, and Source Changers.
Note     •     History

(a) All radiographic exposure devices and associated equipment used after January 10, 1996 shall comply with the following:
(1) Except as provided in subsection (b), each radiographic exposure device, source assembly or sealed source and all associated equipment shall meet the requirements specified in American National Standard N432-1980 “Radiological Safety for the Design and Construction of Apparatus for Gamma Radiography,” published as NBS Handbook 136, issued January 1981 (ANSI N432)*;
(2) Each radiographic exposure device shall have attached to it a durable, legible, clearly visible label bearing the:
(A) Chemical symbol and mass number of the radionuclide in the device;
(B) Activity and date on which this activity was last measured;
(C) Model number and serial number of the sealed source;
(D) Manufacturer of the sealed source; and
(E) Licensee's name, address and telephone number;
(3) Radiographic exposure devices intended for use as Type B transport containers shall meet the applicable requirements of section 30373;
(4) Modification of radiographic exposure devices, source changers, source assemblies and associated equipment is prohibited, unless the design of any replacement component, including source holder, source assembly, controls or guide tubes would not compromise the safety design features of the system;
(5) For radiographic exposure devices and associated equipment that allow the source to be moved out of the device for routine operation:
(A) The coupling between the source assembly and the control cable shall be designed in such a manner that the source assembly will not become disconnected if cranked outside the guide tube. The coupling shall be such that it cannot be unintentionally disconnected under normal and reasonably foreseeable abnormal conditions;
(B) The device shall automatically secure the source assembly when it is cranked back into the fully shielded position within the device. This securing system may only be released by means of a deliberate operation on the exposure device;
(C) The outlet fittings, lock box, and control cable fittings on each radiographic exposure device shall be equipped with safety plugs or covers which shall be installed during storage and transportation to protect the source assembly from water, mud, sand or other foreign matter;
(D) Each sealed source or source assembly shall have attached to it or engraved in it, a durable, legible, visible label with the words “Danger--Radioactive.” The label shall not interfere with the safe operation of the exposure device or associated equipment;
(E) The guide tube shall have passed the crushing tests for the control tube as specified in ANSI N432 and a kinking resistance test that closely approximates the kinking forces likely to be encountered during use;
(F) Guide tubes shall be used when moving the source out of the device.
(G) An exposure head or similar device designed to prevent the source assembly from passing out of the end of the guide tube shall be attached to the outermost end of the guide tube during radiographic operations;
(H) The guide tube exposure head connection shall be able to withstand the tensile test for control units specified in ANSI N432; and
(I) Source changers shall provide a system for assuring that the source will not be accidentally withdrawn from the changer when connecting or disconnecting the control cable to or from a source assembly.
(b) Equipment used in radiographic operations need not comply with section 8.9.2(c) of the Endurance Test in ANSI N432, if the prototype equipment has been tested using a torque value representative of the torque that an individual using the industrial radiography equipment can realistically exert on the lever or crankshaft of the control mechanism.
(c) Storage containers and source changers shall not exceed a radiation exposure rate of 200 millirems per hour (mrem/hr) at any exterior surface and 10 mrem/hr at one meter from any exterior surface with the sealed source in the shielded position.

________

*Copies of American National Standard N432-1980 “Radiological Safety for the Design and Construction of Apparatus for Gamma Radiography” (published as NBS Handbook 136, issued January 1981) may be purchased from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 and from the American National Standards Institute, Inc., Global Engineering Documents, 1819 L Street, NW, Suite 600, Washington DC 20036 or at “http://global.ihs.com” using the title as the search parameter.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 30332(a) to section 30332(a) and (b), renumbering and amendment of former section 30332(b) to section 30332.1, renumbering and amendment of former section 30332(c) to section 30332.3, renumbering and amendment of former section 30332(d) to section 30332.4, renumbering and amendment of former section 30332(e) to section 30332.5, renumbering and amendment of former section 30332(f) to section 30332.6, and renumbering and amendment of former section 30332(g) to section 30332.7 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Registers 72, No. 42 and 67, No. 46.
2. Amendment of section heading and Note and new subsections (c)-(c)(5)(I) filed 9-16-92; operative 10-16-92 (Register 92, No. 38).
3. Amendment of section, Note and footnote filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.1. Security of Radiographic Exposure Devices, Storage Containers and Source Changers.
Note     •     History

(a) Each radiographic exposure device shall be provided with a lock or outer locked container designed to prevent unauthorized or accidental exposure and shall be kept locked, and if a keyed-lock, with the key removed, at all times except during authorized use or when under the direct surveillance of a radiographer or radiographer's assistant. In addition, during radiographic operations a sealed source assembly shall be secured in the shielded position each time the source is returned to that position.
(b) Each storage container and source changer shall be provided with a lock and kept locked, and if a keyed-lock, with the key removed, when containing a sealed source except when the container is under the direct surveillance of a radiographer or radiographer's assistant.
(c) Locked radiographic exposure devices, storage containers and source changers shall be physically secured to prevent tampering or unauthorized removal.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30332(b) to Section 30332.1 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Registers 72, No. 42 and 67, No. 46.
2. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.2. Security of Permanent Radiographic Installations.
Note     •     History

(a) Each entrance that is used for personnel access to the high radiation area, defined in title 10, Code of Federal Regulations, Part 20 (10 CFR 20), section 20.1003 incorporated by reference in section 30253, in a permanent radiographic installation shall have either:
(1) A control device that, upon entry into the area, causes the level of radiation to be reduced below that level at which an individual might receive a deep-dose equivalent, defined in 10 CFR 20, section 20.1003 incorporated by reference in section 30253, of 0.1 rem in one hour at 30 centimeters from the radiation source or from any surface that the radiation penetrates; or
(2) Both conspicuously visible and audible warning signals to warn of the presence of radiation. The visible signal shall be continuously actuated by radiation whenever a source is exposed. The audible signal shall be actuated when an attempt is made to enter the installation while the source is exposed.
(b) If access is controlled pursuant to subsection (a)(1), the entrance control device shall be tested monthly. If access is controlled pursuant to subsection (a)(2), the system shall be tested with a radiation source each day before the installation is used for radiographic operations and shall include a check of both the visible and audible warning signals. In either case, if an entrance control device or warning signal is operating improperly, it shall be immediately labeled as defective and repaired within 30 calendar days. The installation may continue to be used during this 30-day period provided the licensee complies with section 30334 and each individual wears an alarming ratemeter in addition to other dosimeters required by section 30333.2(a). 
(c) Documentation demonstrating compliance with this section shall be maintained for three years and kept available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
2. Repealer and new section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.3. Radiation Survey Instruments.
Note     •     History

(a) Each user shall maintain a sufficient number of calibrated and operable radiation survey instruments to make radiation surveys as required by this regulation. Each instrument shall be capable of measuring a range of two millirems per hour through one rem per hour.
(b) Each radiation survey instrument shall be calibrated:
(1) At intervals not to exceed six months and after each instrument servicing;
(2) For linear scale instruments, at two points located approximately one-third and two-thirds of full-scale on each scale; for logarithmic scale instruments, at mid-range of each decade, and at two points of at least one decade; and for digital instruments at three points between two and 1000 millirems per hour; and
(3) So that an accuracy within plus or minus 20 percent of the calibration source can be demonstrated at each point checked.
(c) Records of the results of instrument calibrations shall be maintained for three years and kept available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30332(c) to Section 30332.3 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Registers 72, No. 42 and 67, No. 46.
2. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.4. Leak Testing, Repair, Tagging, Opening, Modification, and Replacement of Sealed Sources and Depleted Uranium Shielding.
Note     •     History

(a) Replacement of any sealed source in a radiographic exposure device, and leak testing, repair, tagging, opening or any other modification of any sealed source shall be performed only by persons specifically authorized by the Department to do so pursuant to Group 2 of this subchapter.
(b) Leak testing of sealed sources and radiographic exposure devices using depleted uranium (DU) shielding and an S-tube configuration shall be performed in accordance with section 30275 except that testing of radiographic exposure devices shall be tested for DU contamination at intervals not to exceed 12 months. If the test reveals the presence of 0.005 microcuries or more of removable DU contamination, the radiographic exposure device shall be removed from service and an evaluation of the S-tube shall be made. If the evaluation reveals that the S-tube is worn through, the radiographic exposure device shall not be used. Radiographic exposure devices with DU shielding need not be tested while in storage and not in use except that before using or transferring such a device, the device shall be tested for DU contamination if the interval of storage or non-use exceeded 12 months.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30332(d) to Section 30332.4 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Registers 72, No. 42 and 67, No. 46.
2. Amendment of section heading, section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.5. Quarterly Inventory of Sealed Sources.
Note     •     History

(a) Each user shall conduct a quarterly physical inventory to account for all sealed sources under his control. 
(b) Records of the inventories shall be maintained for three years, kept available for inspection and include the: 
(1) Quantities and kinds of radioactive material; 
(2) Location of sealed sources; 
(3) Date of the inventory; and
(4) Name of the individual conducting the inventory.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30332(e) to Section 30332.5 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Registers 72, No. 42 and 67, No. 46.
2. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.6. Utilization Logs.
Note     •     History

(a) Each user shall maintain current logs, which shall be maintained for three years and kept available for inspection at the address specified in his license, containing the following information for each sealed source:
(1) A description (or make, model, and serial number) of the radiographic exposure device or transport or storage container in which the sealed source is located;
(2) The identity and signature of the radiographer to whom assigned; and
(3) Locations where used and dates of use including the dates removed and returned to storage.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30332(f) to Section 30332.6 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Registers 72, No. 42 and 67, No. 46.
2. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.7. Inspection and Maintenance of Radiographic Exposure Devices, Storage Containers, Source Changers and Survey Instruments.
Note     •     History

(a) Each user shall perform visual and operability checks on survey instruments, radiographic exposure devices, transport and storage containers, associated equipment and source changers before use on each day the equipment is to be used to ensure that the equipment is in good working condition, that the sources are adequately shielded, and that required labeling is present. Survey instrument operability shall be performed using a radiation source. If equipment problems are found, the equipment shall be removed from service until repaired.
(b) Each user shall establish and implement written procedures for:
(1) Inspection and routine maintenance of radiographic exposure devices, source changers, associated equipment, transport and storage containers, and survey instruments at intervals not to exceed three months or before the first use thereafter to ensure components important to safety are functioning. Replacement components shall meet design specifications. If equipment problems are found, the equipment shall be removed from service until repaired; and
(2) Inspection and maintenance necessary to assure that Type B packages are shipped and maintained in accordance with section 30373. 
(c) Records of equipment problems and of any maintenance performed pursuant to this section shall be maintained for three years after the record is made. The record shall include the date of check or inspection, name of inspector, equipment involved, any problems found, and what repair and/or maintenance, if any, was done.
(d) Documentation demonstrating compliance with this section shall be maintained for three years and kept available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30332(g) to Section 30332.7 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Registers 72, No. 42 and 67, No. 46.
2. Amendment of section heading and repealer and new section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30332.8. Reporting Requirements.
Note     •     History

(a) In addition to the reporting requirements specified in section 30295 and under other sections of this subchapter, each licensee shall provide a written report to the Department within 30 days of the occurrence of any of the following incidents involving radiographic exposure devices and associated equipment:
(1) Unintentional disconnection of the source assembly from the control cable;
(2) Inability to retract the source assembly to its fully shielded position and secure it in this position; or
(3) Failure of any component (critical to safe operation of the device) to properly perform its intended function.
(b) The licensee shall include the following information in each report submitted under subsection (a):
(1) A description of the equipment problem;
(2) Cause of each incident, if known;
(3) Manufacturer and model number of equipment involved in the incident;
(4) Place, time and date of the incident;
(5) Actions taken to establish normal operations;
(6) Corrective actions taken or planned to prevent recurrence; and
(7) Qualifications of personnel involved in the incident.
(c) Any licensee conducting radiographic operations or storing radioactive material at any location not listed on the license for a period in excess of 180 days in a calendar year shall notify the Department prior to exceeding the 180 days. 
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115105, 115110, and 115235, Health and Safety Code.
HISTORY

1. New section filed 9-9-97; operative 10-9-97 (Register 97, No. 37). For prior history, see Register 94, No. 28.
2. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30333. Training and Supervision for Radiographers and Radiographer's Assistants Using Sealed Sources.
Note     •     History

(a) Prior to allowing an individual to perform as a radiographer, a user shall ensure the individual is a certified radioactive materials radiographer and has:
(1) Received copies of, instruction in, and demonstrated understanding of, applicable provisions of Group 3 of this subchapter, the conditions of the user's radioactive material license and operating and emergency procedures by successful completion of a written or oral examination covering this material. Instruction in this material shall be at least eight hours long. The examination shall be at least 50 questions in length. Successful completion shall be correctly answering at least 80 percent of the questions in a closed-book testing session; 
(2) Demonstrated competence to use the radiographic exposure devices, sealed sources, related handling tools, and radiation survey instruments employed by the user by successful completion of a practical examination covering this material. Instruction in this material shall be at least four hours long; and
(3) Received the instruction and training specified in subsections (a)(1) and (a)(2) from a radioactive materials radiographer trainer or radiation safety officer.
(b) Prior to allowing an individual to perform as a radioactive materials radiographer's assistant, a user shall:
(1) Ensure the individual has:
(A) Received copies of, instruction in, and demonstrated understanding of, applicable provisions of Group 3 of this subchapter, the conditions of the user's radioactive material license and operating and emergency procedures by successful completion of a written examination covering this material. Instruction in this material shall be at least eight hours long. The examination shall be at least 50 questions in length. Successful completion shall be correctly answering at least 80 percent of the questions in a closed-book testing session; 
(B) Demonstrated competence to use the radiographic exposure devices, sealed sources, related handling tools, and radiation survey instruments employed by the user by successful completion of a practical examination covering this material. Instruction in this material shall be at least four hours long; and
(C) Received the instruction and training specified in subsections (b)(1)(A) and (b)(1)(B) from a radioactive materials radiographer trainer or the user's radiation safety officer.
(2) Once the individual has met the requirements of subsection (b)(1), issue to the individual a durable identification card, resistant to water, containing:
(A) The statement “I certify that (the printed name of the individual) has met the requirements to be a radiographer's assistant.”;
(B) The name and license number, as shown on the specific license, of the user issuing the card; and
(C) The printed name, signature and date of signature of the instructor or the user's radiation safety officer.
(c) Whenever a radiographer's assistant uses radiographic exposure devices, sealed sources or related source handling tools, or conducts radiation surveys required by section 30334 to determine that the sealed source has returned to the shielded position after an exposure, the radiographer's assistant shall be under the personal supervision of a radiographer trainer. The personal supervision shall include:
(1) The radiographer trainer's physical presence at the site where the sealed sources are being used;
(2) The ability of the radiographer trainer to give immediate assistance if required; and
(3) The radiographer trainer's watching the assistant's performance of the operations referred to in this section.
(d) Each user shall provide annual refresher safety training to all radiographic personnel at intervals not to exceed 12 months. The radiation safety officer (RSO) or an individual designated by the RSO shall conduct this training and, at a minimum, address or provide:
(1) Results of internal and Department inspections;
(2) New procedures or equipment;
(3) New or revised regulations about industrial radiography using sealed sources;
(4) Accidents or errors that have been observed and steps to prevent their recurrence; and
(5) Opportunities for individuals to ask safety questions.
(e) Except in those operations where a single individual serves as one of the radiographers required by section 30334(b) and the radiation safety officer (RSO) and performs all radiographic operations, the RSO or the RSO's designee shall conduct an internal inspection program to assure that radiographers and radiographer's assistants comply with this regulation and license conditions and the licensee's operating and emergency procedures. The inspection program shall include or provide:
(1) Observation of the performance of each radiographer and radiographer's assistants during an actual radiographic operation at intervals not to exceed six months; and
(2) That, if a radiographer or a radiographer's assistant has not participated in a radiographic operation for more than six months since the last inspection, that individual's performance shall be observed and recorded the next time the individual participates in a radiographic operation.
(f) Documentation demonstrating compliance with this section shall be maintained for three years and kept available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30333(a) to Section 30333(a)-(c), renumbering and amendment of former Section 30333(b) to Section 30333.1, and renumbering and amendment of former Section 30333(c) to Section 30333.2 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Register 72, No. 42.
2. Amendment of section heading, section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30333.05. Radioactive Materials Radiographer Trainer Requirements.
Note     •     History

(a) A user shall not allow any individual to act as a radioactive materials radiographer trainer unless the: 
(1) Individual is a radioactive materials radiographer who:
(A) Is certified pursuant to section 30335.2 or is in compliance with section 30335.3; 
(B) Has complied with the requirements of section 30333(a)(1) and (2); and 
(C) Has at least 2,000 hours of experience as a radiographer using sealed sources, performing radiographic operations, radiation surveys and radiation safety related activities. The experience may not include film development and interpretation, darkroom activities, travel, safety meetings, classroom training, and any work activity not related to the performance of industrial radiography; and
(2) User has received, pursuant to subsection (b), an amended license identifying the individual as a radiographer trainer.
(b) A user may apply for amendment of the specific license to identify a radiographer trainer by submitting:
(1) The name and license number as shown on the applicant's specific license; and
(2) For each individual who will perform as a radiographer trainer:
(A) The name and number as shown on the individual's radiographer certificate issued by the Department or a copy of both sides of the certification identification card issued by one of the entities listed in section 30335.3(b); and
(B) Documentation that the individual has complied with subsections (a)(1)(B) and (a)(1)(C). The documentation shall include the beginning and ending dates of the experience, the name of licensee under whom the experience was obtained and, for each radiographic exposure device used, the model and manufacturer's name. 
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30333.07. Radioactive Material Radiation Safety Officer Requirements.
Note     •     History

(a) For an individual to be a radiation safety officer (RSO) for a specific licensee, the individual shall:
(1) Meet the requirements of section 30333.05(a)(1). Possession of a provisional radiographer certificate issued pursuant to section 30335.4 is not acceptable for complying with this section. No more than 900 hours of experience as a radiographer using radiation machines may be counted toward meeting the 2,000 hours specified in section 30333.05(a)(1)(C); and 
(2) Have completed 4,000 hours of experience using radioactive materials and experience in radiation protection activities such as developing or implementing procedures relating to the protection of workers and the public from radiation including the development or implementation of procedures for radiation surveys, leak testing of radioactive sources, assessment of dosimetry for radiation work, determination of necessary radiation shielding, review of survey, leak testing, and personnel dose measurements, training of personnel, use and maintenance of sealed sources and devices, monitoring of radiation emergency events, sealed source and device security, disposal of radioactive material, audits of radiographic operations, survey meter maintenance and calibration, and transportation of radioactive material. 
(b) The RSO shall ensure that radiation safety activities are being performed in accordance with approved procedures, conditions of the licensee's license, and the requirements of this regulation in the daily operation of the licensee's radiation safety program. Designation of an RSO does not relieve the specific licensee of any of its responsibility for complying with the Act and this regulation.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30333.1. Operating and Emergency Procedures.
Note     •     History

(a) Each user shall establish, implement, maintain and keep current written operating and emergency procedures which shall include detailed instructions in at least the following matters:
(1) The handling and use of radiographic exposure devices and the manner of employment to control and limit radiation exposures to individuals;
(2) Methods and occasions for conducting radiation surveys;
(3) Methods and occasions for controlling access to radiography areas;
(4) Methods and occasions for locking and securing radiographic exposure devices, transport and storage containers and sealed sources;
(5) Personnel monitoring and the use of personnel monitoring devices;
(6) Steps that must be taken immediately by radiographic personnel in the event a pocket dosimeter is found to be off scale or an alarm ratemeter alarms unexpectedly;
(7) Transporting sealed sources to field locations, including packing of radiographic exposure devices and storage containers in the vehicle, placarding of vehicles when needed and control of the sealed sources during transportation;
(8) Procedures in the event of an accident, including sealed source handling, minimizing radiation exposure to individuals, and notifying proper persons;
(9) Maintenance of records;
(10) The inspection, maintenance, and operability checks of radiographic exposure devices, survey instruments, transport and storage containers and source changers; and
(11) Source recovery procedures if licensee will perform source recovery.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Section 30333(b) to Section 30333.2 filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28). For prior history, see Register 72, No. 42.
2. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30333.2. Personnel Monitoring Control.
Note     •     History

(a) Radiographic operations using sealed sources shall not be performed unless, at all times during radiographic operations, all radiographic personnel wear, on the trunk of the body, a direct reading pocket dosimeter, an operating alarm ratemeter, and a personnel dosimeter that requires processing to determine the radiation dose except that at permanent radiographic installations, the wearing of an alarming ratemeter is not required. Each personnel dosimeter shall be assigned to and worn by only one individual.
(b) Film badges shall be replaced at periods not to exceed one month and other personnel dosimeters that require processing to determine the radiation dose shall be replaced at periods not to exceed three months. After replacement, personnel dosimeters shall be sent for processing by the users' dosimetry processor meeting the requirements of section 20.1501(c) of title 10, Code of Federal Regulations incorporated by reference in section 30253 as soon as possible but no later than recommended by the dosimetry processor.
(c) Pocket dosimeters shall have a range from zero to 200 millirems and be recharged at the start of each shift. Electronic personal dosimeters may only be used in place of ion-chamber pocket dosimeters.
(d) Pocket or electronic personal dosimeters shall be read and exposures recorded at the beginning and end of each shift. A record of these exposures shall be retained for three years after the record is made and indicate, for each dosimeter used, the manufacturers name, model and serial number and name of individual to whom assigned.
(e) Pocket and electronic personal dosimeters shall be checked at periods not to exceed one year for correct response to radiation and shall read within plus or minus 20 percent of the true radiation exposure.
(f) If an individual's pocket dosimeter is found to be discharged beyond its range or if the individual's electronic personal dosimeter reads greater than 200 millirems and the possibility of radiation exposure cannot be ruled out as the cause, the individual's personnel dosimeter shall be sent for processing within 24 hours. The individual may not resume work associated with any source of radiation until the individual's radiation exposure has been determined. The user's radiation safety officer or his designee shall make this determination and the results shall be kept available for inspection and maintained until the Department terminates the license.
(g) Reports received from the dosimetry processor shall be retained for inspection until the Department terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
(h) Each alarming ratemeter shall:
(1) Be checked to ensure that the alarm functions properly (sounds) prior to use at the start of each shift;
(2) Be set to give an alarm signal at a preset dose rate of 500 millirems per hour;
(3) Require special means to change the preset alarm function;
(4) Be calibrated at periods not to exceed one year for correct response to radiation; and
(5) Alarm within plus or minus 20 percent of the true radiation dose rate.
(i) Alarming ratemeter calibration records shall be maintained for three years.
(j) If a personnel dosimeter that requires processing to determine the radiation dose is lost or damaged during radiographic operations, the worker shall cease work immediately until a replacement personnel dosimeter is provided and the exposure is calculated for the time period from issuance to loss or damage of the personnel dosimeter. The radiation safety officer shall perform the calculation. The results with measurements, calculated data, and assumptions made to obtain the calculated exposure and the time period for which the personnel dosimeter was lost or damaged shall be retained for inspection until the Department terminates the license.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060 and 115235, Health and Safety Code.
HISTORY

1. Repealer and new section filed 7-18-94 as an emergency; operative 7-18-94 (Register 94, No. 29). A Certificate of Compliance must be transmitted to OAL by 11-15-94 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 86, No. 28.
2. Editorial correction of subsection (a) (Register 94, No. 51).
3. Certificate of Compliance as to 7-18-94 order including amendment of Note transmitted to OAL 11-7-94 and filed 12-21-94 (Register 94, No. 51).
4. Amendment of section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30333.3. Location of Documents and Records.
Note     •     History

(a) In addition to the requirements of section 30293, each licensee shall maintain copies of records required by this regulation at the location identified in the specific license.
(b) Each licensee shall also maintain copies of the following documents and records sufficient to demonstrate compliance at each applicable field station and each temporary jobsite:
(1) The license authorizing the use of licensed material;
(2) A copy this regulation, as defined in section 30100;
(3) Utilization records for each radiographic exposure device dispatched from that location as required by section 30332.6.
(4) Records of equipment problems identified in daily checks of equipment as required by section 30332.7;
(5) Records of alarm system and entrance control checks required by section 30332.2, if applicable;
(6) Records of direct reading dosimeters such as pocket dosimeter and/or electronic personal dosimeters readings as required by section 30333.2;
(7) Operating and emergency procedures required by section 30333.1;
(8) Evidence of the latest calibration of the radiation survey instruments in use at the site, as required by section 30332.3;
(9) Evidence of the latest calibrations of alarm ratemeters and operability checks of pocket dosimeters and/or electronic personal dosimeters as required by section 30333.2;
(10) Latest survey records required by section 30334(h);
(11) Shipping papers for the transportation of radioactive materials required by section 30373; and
(12) When operating under reciprocity pursuant to section 30225, a copy of the Department's Notice of Reciprocal Recognition.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30334. Precautionary Procedures in Radiographic Operations Using Sealed Sources.
Note     •     History

(a) Radiographic operations shall not be performed unless performed by radiographic personnel.
(b) Industrial radiography, at a location other than at a permanent radiographic installation, shall not be performed, unless there are at least two radiographic personnel one of whom is a radiographer. If one of the personnel is a radiographer's assistant, the other shall be a radiographer trainer indicated as such on the specific license. 
(c) Radiographic operations shall not be performed unless, during such operations: 
(1) Each radiographer has in their possession a current and valid certification identification (ID) card issued to them by the Department or the radiographer is in compliance with section 30335.3(a); and
(2) Each radiographer's assistant has in their possession the ID card issued to them by the licensee pursuant to section 30333(b)(2).
(d) During each radiographic operation, radiographic personnel shall maintain visual surveillance of the operation to protect against unauthorized entry into a high radiation area, except  at permanent radiographic installations where all entryways are locked and the requirements of section 30332.2 are met.
(e) Areas in which industrial radiography is being performed shall be conspicuously posted as required by section 20.1902 of title 10, Code of Federal Regulations, part 20 (10 CFR 20) incorporated by reference in section 30253. Section 20.1903 of 10 CFR 20 shall not apply to industrial radiography.
(f) Radiographic operations shall not be performed unless calibrated and operable radiation survey instruments meeting the requirements of  section 30332.3 are available and used.
(g) A radiation survey shall be made after each radiographic exposure and before exchanging films, repositioning the exposure head, or dismantling equipment to determine that the sealed source has been returned to its shielded position. The entire circumferences of the radiographic exposure device shall be surveyed. If the radiographic exposure device has a source guide tube, the survey shall include the guide tube.
(h) A radiation survey shall be made to determine that each sealed source is in its shielded condition prior to locking a radiographic exposure device, storage container or source changer as required by section 30332.1. Records of all such surveys shall indicate the manufacturer's name, model and serial number of the alarming ratemeter worn by and survey instrument used by the surveyor and the exposure value obtained. These records shall be maintained for three years and kept available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. Amendment of subsection (b) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
2. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
3. Change without regulatory effect of subsection (c) (Register 87, No. 4).
4. Amendment of subsections (c)-(e), relettering of former subsection (f) to subsection (g) and new subsection (f) filed 7-12-89; operative 8-11-89 (Register 89, No. 28).
5. Change without regulatory effect amending subsection (f) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
6. Amendment of subsections (a)(1) and (b) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
8. Amendment of section heading, section and Note filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335. Minimum Subjects to Be Covered in Training Radiographers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25811, 25815 and 25876, Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 11-16-67; effective thirtieth day thereafter (Register 67, No. 46).
2. New subsections (b)(3)(D), (d) and (e) filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28)
3. Repealer filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335.1. Radiographer Certification Categories.
Note     •     History

(a) The categories for radiographer certificates are:
(1) Radioactive materials;
(2) Radiation machines; and
(3) Combination (Radioactive materials and radiation machines).
(b) A radiographer certificate in the:
(1) Category of radioactive materials authorizes the individual to perform radiographic operations using sealed sources under a specific licensee;
(2) Category of radiation machines authorizes the individual to perform radiographic operations using radiation machines under a registrant; and
(3) Combination category authorizes the individual to perform radiographic operations using sealed sources and radiation machines under a licensee and registrant as applicable.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335.2. Eligibility for and Renewal of a Radiographer Certificate.
Note     •     History

(a) Except as provided in sections 30335.3 or 30335.4, to be eligible for or renewal of a radiographer certificate an individual shall:
(1) Submit the application described in section 30335.5; and
(2) Pass a Department examination. If any applicant fails the test three times, the individual shall no longer be eligible unless they obtain additional radiation safety training and experience as directed by the Department. If any applicant fails the test on the fourth try, the individual shall not be eligible to take the exam for one year after which they may reapply pursuant to this section if the radiation safety training and experience requirements have been met in the year immediately preceding the date of re-application. 
(b) The radiographer certificate shall be valid for five years. 
(c) To renew an expired radiographer certificate, an applicant shall comply with subsection (a) and shall be considered as an initial applicant.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335.3. Reciprocal Recognition.
Note     •     History

(a) Individuals certified by one of the entities listed in subsection (b) for the specified category need not possess a Department issued radiographer certificate provided:
(1) The individual's certification is current and valid;
(2) No escalated enforcement action is pending with the U.S. Nuclear Regulatory Commission, the certifying entity or any other state; and
(3) The certification identification card issued by the certifying entity is in the possession of the individual during radiographic operations within the jurisdiction of the Department in which the individual participates.
(b) The following certifying entities are recognized for compliance with subsection (a) in the: 
(1) Category of radioactive materials by the:
(A) State of Alabama, Georgia, Illinois, Iowa, Louisiana, Maine, North Dakota, Oklahoma, South Carolina, or Texas; or
(B) American Society of Nondestructive Testing, Inc. in Industrial Radiography Radiation Safety Personnel Certification; 
(2) Category of radiation machines by the:
(A) State of Alabama, Illinois, Iowa, Louisiana, Maine, North Dakota, or Texas; or
(B) American Society of Nondestructive Testing, Inc. in Industrial Radiography Radiation Safety Personnel Certification; or
(3) Combination category (radioactive materials and radiation machines) by the:
(A) State of Alabama, Illinois, Iowa, Louisiana, Maine, North Dakota, or Texas; or
(B) American Society of Nondestructive Testing, Inc. in Industrial Radiography Radiation Safety Personnel Certification.
(c) Reciprocal recognition granted pursuant to this section may be revoked, suspended, amended or restricted for any of the following:
(1) Failure to maintain the certification upon which the reciprocal recognition was granted;
(2) Violation of any provision of the Act, any regulation promulgated pursuant to the Act, or any order of the Department;
(3) Incompetence or gross negligence in performing radiographic operations; or
(4) Exposing any individual to radiation with the intent to harm that individual.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335.4. Provisional Radiographer Certificates.
Note     •     History

(a) Until December 31, 2009, an application for a provisional radiographer certificate shall be considered complete if the applicant submits the information for the certificate category as specified below. After December 31, 2009, applications for provisional radiographer certificates will not be accepted. To obtain a provisional radiographer certificate in the:
(1) Radioactive materials category, submit the information specified in section 30335.5(b)(1) and (2), the application fee specified in section 30336.8 and: 
(A) If specified on a specific license as a radiographer, the name and license number as shown on the specific license; or
(B) Except as provided in subsection (b), if designated as a radiographer by a licensee, the name and license number of the licensee as shown on the specific license, and a letter from the licensee signed by the licensee's radiation safety officer verifying that the applicant has met the requirements of section 30335.10, has participated in (number of hours) hours of radiographic operations using radioactive materials and has demonstrated the capability of working independently as a radiographer. The number of hours of participation shall be at least 200 but shall not include the number of hours spent in safety meetings, classroom training, travel, darkroom activities, film development and interpretation, and any work activity not related to the performance of industrial radiography. If the training specified in section 30335.10 and the required hours were obtained under multiple licensees, the applicant shall submit enough documents to support completion of all required training;
(2) Radiation machine category, submit the information specified in section 30335.5(b)(1) and (2), the application fee specified in section 30336.8 and, except as provided in subsection (b):
(A) Documentation that the requirements of section 30335.10 have been met. Documentation shall indicate where the training occurred, total number of hours spent on the subjects listed in section 30335.10, and include a copy of the training certificate if one was issued. If a training certificate was not issued, the applicant shall so state; and
(B) Documentation of at least 120 hours of participation in radiographic operations using radiation machines. The hours of participation shall not include safety meetings, classroom training, travel, darkroom activities, film development and interpretation, and any work activity not related to the performance of industrial radiography. Documentation shall indicate the name and registration number of the registrant under whom the operations were performed, the dates and total number of hours of participation. If participation occurred under multiple registrants, the applicant shall submit enough documents to support completion of the 120 hours; or
(3) Combination category, submit the information specified in section 30335.5(b)(1) and (2), the information specified in subsections (a)(1) and (a)(2)(B) of this section and the application fee specified in section 30336.8. Individuals applying for the combination category must complete both the 200 hours of participation using radioactive material and 120 hours using radiation machines for a total of 320 hours.
(b) In lieu of the requirement in subsections (a)(1)(B) or (a)(2), training obtained through providers approved by one of the entities listed in section 30335.3(b) for the specified certificate category shall be accepted if the applicant completed that training. Documentation of completion shall be submitted. 
(c) Certificates issued pursuant to this section shall be valid for two years and shall not be renewable. Applications for a renewable radiographer certificate shall be submitted pursuant to section 30335.2 and be considered as initial applications.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335.5. Complete Radiographer Certificate Application.
Note     •     History

(a) For applicants possessing a current provisional radiographer certificate in a specified category issued pursuant to section 30335.4, an application submitted for compliance with section 30335.2 shall be considered complete if the application contains the applicant's legal name, mailing address, telephone number, the certificate number as shown on their provisional certificate and the examination fee as specified in section 30336.8. 
(b) For applicants who do not possess a current provisional radiographer certificate, an application submitted for compliance with section 30335.2 shall be considered complete if the application contains:
(1) The legal name, mailing address, and telephone number of the applicant;
(2) The applicant's social security number (pursuant to the authority found in sections 131200 and 115000(b) of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification);
(3) Except as provided in subsection (c), for a radiographer certificate in the radioactive materials category:
(A) A copy of the applicant's certificate of training issued by a radiation safety training provider approved pursuant to section 30331 or if renewing the radiographer certificate, the certificate number as shown on the certificate; and
(B) Except for renewal applicants, documentation of at least 200 hours of participation in radiographic operations using radioactive material. The hours of participation shall not include the time spent on completing the requirements specified in section 30333(b)(1), safety meetings, classroom training, travel, darkroom activities, film development and interpretation, and any work activity not related to the performance of industrial radiography. Documentation shall be a letter from the licensee under whom the operations were performed verifying that the applicant has demonstrated the capability of independently working as a radiographer. The letter shall indicate the licensee's name and license number as shown on the specific license, the dates and total number of hours of participation and be signed by the licensee's radiation safety officer. If participation occurred under multiple licensees, the applicant shall submit enough documents to support completion of the 200 hours;
(4) Except as provided in subsection (c), for a radiographer certificate in the radiation machine category:
(A) A copy of the applicant's certificate of training issued by a radiation safety training provider approved pursuant to section 30331 or if renewing the radiographer certificate, the certificate number as shown on the certificate; and
(B) Except for renewal applicants, documentation of at least 120 hours of participation in radiographic operations using radiation machines. The hours of participation shall not include the time spent on completing the requirements specified in section 30336.5(a)(1), safety meetings, classroom training, travel, darkroom activities, film development and interpretation, and any work activity not related to the performance of industrial radiography. Documentation shall indicate the name and registration number of the registrant under whom the operations were performed, the dates and total number of hours of participation. If participation occurred under multiple registrants, the applicant shall submit enough documents to support completion of the 120 hours;
(5) Except as provided in subsection (c), for a radiographer certificate in the combination category, all items specified in subsections (b)(3) and (b)(4)(B). Individuals applying for the combination category must complete both the 200 hours of participation using radioactive material and 120 hours using radiation machines for a total of 320 hours; and
(6) An application fee and an examination fee as specified in section 30336.8.
(c) In lieu of the requirement in subsections (b)(3), (b)(4) or (b)(5) to obtain training from providers approved pursuant to section 30331 and experience under a licensee or registrant, training obtained through providers approved by one of the entities listed in section 30335.3(b) for the specified certificate category shall be accepted if the applicant has completed that training. Documentation of completion shall be submitted.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335.6. Notification of Change of Name or Address.
Note     •     History

Each individual certified pursuant to this Article shall report to the Department in writing any change of name or mailing address within 30 calendar days of the change. 
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30335.10. Radiation Safety Training Curriculum.
Note     •     History

An applicant for approval as a radiation safety training provider shall ensure each student completes at least 40 hours of training in:
(a) Fundamentals of Radiation Safety that addresses: 
(1) Characteristics of radiation; 
(2) Units of radiation dose and quantity of radioactivity;
(3) Significance of radiation dose to include hazards of excessive exposure to radiation, biological effects of radiation dose, radiation protection standards and case histories of industrial radiography accidents;
(4) Levels of radiation from radiation machines and radiographic exposure devices; and
(5) Methods of controlling radiation dose: working time, working distance, shielding.
(b) Radiation instrumentation that addresses: 
(1) Use of radiation survey instruments: operation, calibration, and limitations; 
(2) Radiation survey techniques; and
(3) Characteristics and use of personnel monitoring equipment: film badges, pocket dosimeters and chambers, thermoluminescent dosimeters, alarming ratemeters, and optically stimulated luminescent dosimeters. 
(c) Radiographic equipment that addresses: 
(1) Operation and control of radiographic exposure devices, remote handling equipment, storage and transport containers, source changers, storage, control and disposal of radioactive material; 
(2) Operation and control of radiation machines; and
(3) Inspection and maintenance of equipment. 
(d) Federal and State radiation control regulations pertaining to industrial radiography.
(e) Generic written operating and emergency procedures addressing the procedures specified in section 30333.1.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30336. Requirements for Shielded-Room Radiography.
Note     •     History

(a) A user conducting shielded-room radiography shall designate an individual as the radiation safety officer. This individual shall meet the criteria specified in section 30336.7.
(b) A user shall not allow any individual to perform shielded-room radiography unless the individual:
(1) Has completed the training specified in section 30335.10 from a provider approved pursuant to section 30331;
(2) Has received copies of, instruction in, and demonstrated understanding of, the user's operating and emergency procedures by obtaining a passing grade of at least 80 percent on a written examination covering this material. The written examination shall be at least 50 questions in length. Instruction in this material shall be at least eight hours long; and
(3) Has demonstrated competence to use the radiation machines and survey instruments employed by the user and in the kinds of radiographic operations that will be performed by obtaining a passing grade of at least 80 percent on a practical examination covering this material. The practical examination shall be at least 25 questions in length. Instruction in this material shall be at least four hours long.
(c) A user shall supply personnel dosimeters that require processing to determine the radiation dose to and require the use by every individual who operates, who makes “setups,” or who performs maintenance on a shielded-room radiography unit. Each personnel dosimeter shall be assigned to and worn by only one individual and processed in accordance with section 30333.2(b). Reports received from the dosimetry processor shall be available for inspection and maintained until the Department terminates the user's registration. If a personnel dosimeter is lost or damaged during radiographic operations, the worker shall immediately cease work using radiation sources until a replacement personnel dosimeter is provided and the exposure is calculated for the time period from issuance to loss or damage of the personnel dosimeter. The radiation safety officer shall perform the calculation. The results with measurements, calculated data, and assumptions made to obtain the calculated exposure and the time period for which the personnel dosimeter was lost or damaged shall be retained for inspection until the Department terminates the user's registration.
(d) All openings through which an individual could gain access to the room shall be interlocked so that the radiation machine will not operate unless all openings are securely closed. The required controls shall be designed such that an individual is not prevented from leaving the room.
(e) The room shall not be occupied during radiation exposures.
(f) A device shall be installed within the room that will, upon actuation, terminate production of radiation. It shall not be possible to reset, override, or bypass the device from outside the room.
(g) Radiation machines used in shielded-room radiography shall meet the requirements specified in American National Standard N537-1976 “Radiological Safety Standard for the Design of Radiographic and Fluoroscopic Industrial X-ray Equipment” published as NBS Handbook 123, issued August 1977*, which is incorporated by reference.
(h) The interior of the room shall be shielded so that every location on the exterior does not exceed the dose limits for an unrestricted area as specified in 10 CFR 20, subpart D incorporated by reference in section 30253. 
(i) Documentation demonstrating compliance with this section shall be maintained for three years and kept available for inspection.

____________

*Copies of American National Standard N537-1976 “Radiological Safety Standard for the Design of Radiographic and Fluoroscopic Industrial X-ray Equipment” (published as NBS Handbook 123, issued August 1977) may be purchased from the American National Standards Institute, Inc., Global Engineering Documents, 1819 L Street, NW, Suite 600, Washington DC 20036 or at “http://global.ihs.com” document number “NBS HDBK 123.”
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970 and 115060, Health and Safety Code.
HISTORY

1. Amendment of subsection (c)(4) filed 5-13-69; effective thirtieth day thereafter (Register 69, No. 20).
2. Amendment of subsection (c)(5) filed 10-12-72; effective thirtieth day thereafter (Register 72, No. 42).
3. Change without regulatory effect adding NOTE (Register 87, No. 11).
4. Amendment of subsections (a), (b) and (c)(5) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
6. Repealer and new section heading, section and Note and filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30336.1. Requirements for Field Radiography.
Note     •     History

(a) A user conducting field radiography shall designate an individual as the radiation safety officer. This individual shall meet the criteria specified in section 30336.7.
(b) Except as provided in subsection (e), field radiography shall not be performed unless:
(1) Performed by radiographic personnel; and
(2) There are at least two radiographic personnel one of whom is a radiation machine radiographer. If one of the personnel is a radiation machine radiographer's assistant, the other shall be a radiation machine radiographer trainer; and
(3) During each radiographic operation, radiographic personnel maintain visual surveillance of the operation to protect against unauthorized entry into a high radiation area.
(c) Except as provided in subsection (e), a user shall not allow any individual to act as a radiation machine radiographer unless the individual:
(1) Is a certified radiation machine radiographer or is in compliance with section 30335.3; and
(2) Has met the requirements of section 30336.5(a)(1).
(d) Except as provided in subsection (e), a user shall not allow any individual to act as a radiation machine radiographer's assistant unless the individual meets the requirements of section 30336.5(a)(1) and is under personal supervision of a radiation machine radiographer trainer or the radiation safety officer as required pursuant to subsection (o).
(e) The requirements of subsections (b), (c), (d), (n) and (o) do not apply if:
(1) Field radiography is performed with a radiation machine that is not capable of exceeding an operating potential of 150 kVp;
(2) The operator of the radiation machine has received at least eight hours of instruction in, and demonstrated, by successful completion of a written examination, an understanding of the following subjects. The examination shall be at least 50 questions in length. Successful completion shall be correctly answering at least 80 percent of the questions in a closed-book testing session:
(A) Characteristics of X-radiation;
(B) Units of radiation dose;
(C) Radiation hazards;
(D) Radiation levels from radiation machines;
(E) Methods of controlling radiation exposure: time, distance, and shielding;
(F) Use of radiation survey instruments: operation, calibration, and limitations;
(G) Radiation survey techniques;
(H) Characteristics and use of personnel monitoring equipment; and
(I) Use of radiation machines in radiography; and
(3) The operator has demonstrated competence to safely use the radiation machine in the kinds of radiographic operations that will be performed. Demonstration shall be by successful completion of a practical examination covering this material. Instruction in this material shall be at least four hours long.
(f) Each user shall implement, keep current, and maintain written operating procedures for the kinds of radiation machines and the kinds of radiographic procedures employed. These procedures shall include detailed instructions in at least the following:
(1) Means to be employed to control and limit exposure to individuals;
(2) Methods and occasions for conducting radiation surveys and for controlling access to radiography areas; and
(3) The use of radiation survey instruments and personnel monitoring devices.
(g) Radiographic operations shall not be performed unless, for each radiation machine energized, at least one radiation survey instrument, which meets the requirements of section 30332.3, capable of measuring radiation of the energies and at the dose rates to be encountered is available and used. Each registrant shall perform visual and operability checks on all survey instruments before use on each day the radiographic equipment is to be used to ensure that the radiographic equipment is in good working condition. Survey instrument operability shall be performed using a radiation source. If equipment problems are found, the equipment shall be removed from service until repaired.
(h) Areas in which field radiography is being performed shall be conspicuously posted as required by title 10 Code of Federal Regulation (CFR) Part 20, subpart J incorporated by reference in section 30253. The limits of a high radiation area need not be separately defined and posted if the surrounding radiation area is posted and controlled as a high radiation area.
(i) The boundaries of the controlled area for each “setup” shall be determined by a radiation survey during the first radiographic exposure to confirm that subsection (e) has been met and that unrestricted areas do not have radiation levels in excess of the limits specified in 10 CFR 20, subpart D incorporated by reference in section 30253. A radiation survey shall be made after each radiographic exposure to determine that the radiation machine is “off.” Survey results and records of boundary locations shall be maintained for three years and kept available for inspection.
(j) Protection against unauthorized entry into a high radiation area shall be controlled in accordance with section 20.1601(a) through (d) of 10 CFR 20 incorporated by reference in section 30253.
(k) Each user shall maintain current utilization logs, which shall be maintained for three years and kept available for inspection, containing the following information for each radiation machine:
(1) The identity of the machine;
(2) The location, date, and the identity of the individual operator for each use; and
(3) The voltage, current, and exposure time for each use.
(l) All requirements of section 30333.2 apply.
(m) Radiation machines used in field radiography shall meet the requirements specified in American National Standard N537-1976 “Radiological Safety Standard for the Design of Radiographic and Fluoroscopic Industrial X-ray Equipment” published as NBS Handbook 123, issued August 1977*, which is incorporated by reference.
(n) Unless exempted pursuant to subsection (e), field radiography shall not be performed unless, during radiographic operations: 
(1) Each radiographer has in their possession the identification (ID) card issued to them by the Department and the ID card is current and valid or the radiographer is in compliance with section 30335.3(a); and
(2) Each radiographer's assistant has in their possession the ID card issued to them by the registrant pursuant to section 30336.5(a)(2).
(o) Unless exempted pursuant to subsection (e), whenever a radiation machine radiographer's assistant (RA) uses radiation machines or conducts radiation surveys to determine that the radiation machine is “off,” the RA shall be under the personal supervision of a radiation machine radiographer trainer or the radiation safety officer. The personal supervision shall include:
(1) The radiographer trainer's physical presence at the site where the radiation machine is being used;
(2) The ability of the radiographer trainer to give immediate assistance if required; and
(3) The radiographer trainer's watching the RA's performance of the operations referred to in this section.
(p) If a user possesses a radiation machine such that an individual could, in a single exposure to the primary beam with the machine set at maximum exposure factors, receive an exposure exceeding 10 percent of the occupational dose limits specified in title 10, Code of Federal Regulations, Part 20, subpart C incorporated by reference in section 30253, the user shall establish and maintain an internal inspection program to ensure radiographers and radiographer's assistants comply with this regulation and registration conditions and the registrant's operating and emergency procedures. The inspection program shall include or provide:
(1) Observation of the performance of each radiographer and radiographer's assistant during an actual radiographic operation at intervals not to exceed six months;
(2) That, if a radiographer or a radiographer's assistant has not participated in a radiographic operation for more than six months since the last inspection, that individual's performance shall be observed and recorded the next time the individual participates in a radiographic operation; and
(3) Retention of inspection records on the performance of radiographers or radiographer's assistants for three years.
(q) Each user shall provide annual refresher safety training to each radiographer and radiographer's assistant at intervals not to exceed 12 months. This training shall, at a minimum, address or provide:
(1) If an inspection program is required pursuant to subsection (p), results of internal inspections;
(2) Results of Department inspections;
(3) New procedures or equipment;
(4) New or revised regulations about industrial radiography using radiation machines;
(5) Accidents or errors that have been observed and steps to prevent recurrence; and
(6) Opportunities for individuals to ask safety questions.
(r) Unless otherwise stated in this section, documentation demonstrating compliance with this section shall be maintained for three years and available for inspection.

___________

*Copies of American National Standard N537-1976 “Radiological Safety Standard for the Design of Radiographic and Fluoroscopic Industrial X-ray Equipment” (published as NBS Handbook 123, issued August 1977) may be purchased from the American National Standards Institute, Inc., Global Engineering Documents, 1819 L Street, NW, Suite 600, Washington DC 20036 or at “http://global.ihs.com” document number “NBS HDBK 123.”
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970 and 115060, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30336.5. Requirements for Radiation Machine Radiographer's Assistants.
Note     •     History

(a) Prior to allowing an individual to perform as a radiation machine radiographer's assistant, a user shall:
(1) Ensure the individual has:
(A) Received copies of, instruction in, and demonstrated understanding of, the user's operating and emergency procedures by obtaining a passing grade of at least 80 percent on a written examination covering this material. The written examination shall be at least 50 questions in length. Instruction in this material shall be at least eight hours long; and
(B) Demonstrated competence to use the radiation machines and survey instruments employed by the user and in the kinds of radiographic operations that will be performed by obtaining a passing grade of at least 80 percent on a practical examination covering this material. The practical examination shall be at least 25 questions in length. Instruction in this material shall be at lest four hours long; and
(C) Received the instruction and training specified in subsections (a)(1)(A) and (a)(1)(B) from a radiation machine radiographer trainer or the registrant's radiation safety officer.
(2) Once the individual has met the requirements of subsection (a)(1), issue to the individual a durable identification (ID) card, resistant to water, containing the:
(A) Statement “I certify that (the name of the individual) has met the requirements to be a radiation machine radiographer's assistant.”;
(B) Name and registration number of the registrant issuing the ID card; and
(C) Printed name, signature and date of signature of the registrant's radiation safety officer or radiation machine radiographer trainer.
(b) A user may apply to be an approved provider of radiation safety training in accordance with section 30331.
(c) Documentation demonstrating compliance with this section shall be maintained and available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 115060, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970 and 115060, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30336.6. Radiation Machine Radiographer Trainer Requirements.
Note     •     History

(a) A user shall not allow any individual to act as a radiation machine radiographer trainer unless the individual:
(1) Is a certified radiation machine radiographer or is in compliance with section 30335.3;
(2) Has complied with the requirements of section 30336.5(a)(1); and
(3) Has at least 2,000 hours of experience using radiation machines, performing radiographic operations, radiation surveys and radiation safety related activities. The experience shall not include film development and interpretation, darkroom activities, travel, safety meetings, classroom training, performance of cabinet radiography, and/or any work activity not related to the performance of industrial radiography. Documentation shall specify: 
(A) The user's name, registration number and name of the user's radiation safety officer; 
(B) The beginning and ending dates of the experience; and 
(C) For each radiation machine used, the model and manufacturer's name. 
(b) Documentation demonstrating compliance with this section shall be maintained and available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 115060, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970 and 115060, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30336.7. Radiation Machine Radiation Safety Officer Requirements.
Note     •     History

(a) Except as specified in subsection (c), for an individual to be a radiation safety officer (RSO) for a registrant, the individual shall:
(1) Meet the requirements of section 30336.6(a). Possession of a provisional radiographer certificate issued pursuant to section 30335.4 is not acceptable for complying with this section. No more than 900 hours of experience as a radiographer using radioactive material may be counted toward meeting the 2,000 hours specified in section 30336.6(a)(3); and
(2) Have completed 4,000 hours of experience using radiation machines and experience in radiation protection activities such as developing or implementing procedures relating to the protection of workers and the public from radiation including the development or implementation of procedures for radiation surveys, assessment of dosimetry for radiation work, determination of necessary radiation shielding, review of survey and personnel dose measurements, training of personnel, use and maintenance of radiation machines, monitoring of radiation emergency events, radiation machine security, audits of radiographic operations, and survey meter maintenance and calibration. 
(b) The RSO shall ensure that radiation safety activities are being performed in accordance with the requirements of this regulation in the daily operation of the registrant's radiation safety program. Designation of an RSO does not relieve the registrant of any of its responsibility for complying with the Act and this regulation.
(c) Registrants only using cabinet X-ray systems shall be exempt from this section.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000 and 115060, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30336.8. Industrial Radiography Certification and Provider Fees.
Note     •     History

(a) The application fee for any category of radiographer certificate shall be $75.00.
(b) The examination fee for any category of radiographer certificate shall be $75.00. Each individual repeating a failed examination shall pay a fee of $75.00.
(c) The application fee for a provider of radiation safety training specified in section 30331 shall be $768.00. 
(d) The fee for replacement of a Department identification card shall be $10.00.
(e) Fees required by this section shall be nonrefundable.
NOTE

Authority cited: Sections 114975, 115000, 115065, 115080, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115065 and 115080, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30337. Requirements for Use of Cabinet X-ray Systems.
Note     •     History

(a) As used in this section:
(1) “Access panel” means any barrier or panel which is designed to be removed or opened for maintenance or service purposes, requires tools to open, and permits access to the interior of the cabinet;
(2) “Aperture” means any opening in the outside surface of the cabinet, other than a port, which remains open during generation of X-rays; 
(3) “Door” means any barrier which is designed to be movable or opened for routine operation purposes, does not generally require tools to open, and permits access to the interior of the cabinet; 
(4) “External surface” means the outside surface of the radiation machine, including the high-voltage generator, doors, access panels, latches, control knobs, and other permanently mounted hardware and including the plane across any aperture or port;
(5) “Ground fault” means an accidental electrical grounding of an electrical conductor;
(6) “Port” means any opening in the outside surface of the radiation machine which is designed to remain open, during generation of X-rays, for the purpose of conveying material to be irradiated into and out of the cabinet, or for partial insertion for irradiation of an object whose dimensions do not permit complete insertion into the cabinet;
(7) “Primary beam” means the radiation emitted directly from the target and passing through the window of the X-ray tube;
(8) “Safety interlock” means a device, which is intended to prevent the generation of radiation when access by any part of the human body to the interior of the detection system through a door or access panel is possible;
(9) X-ray system means an assemblage of components for the controlled generation of X-rays;
(10) “X-ray tube” means any electron tube, which is designed for the conversion of electrical energy into X-ray energy.
(b) Cabinet X-ray systems shall meet and be continually maintained to ensure the following are met:
(1) Radiation emitted from the system shall not, under any condition of use, exceed an exposure of 0.5 milliroentgen in one hour at any point five centimeters (cm) outside the external surface, or any door or port. The exposure shall be determined by measurements averaged over a cross-sectional area of ten square cm with no linear dimension greater than five cm with doors and access panels fully closed as well as fixed at any position, which will allow the generation of X-rays;
(2) The insertion of any part of the human body through any port into the primary beam shall not be possible. The insertion of any part of the human body through any aperture shall not be possible;
(3) The system shall have a lock-and-key control, which will ensure that X-ray generation is not possible with the key removed. When the system is not in use, the key shall be removed and controlled to prohibit unauthorized use of the system;
(4) The system shall have a control or controls to initiate and terminate the generation of X-rays other than by functioning of a safety interlock or the main power control;
(5) The system shall have two independent means (indicators), which indicate when and only when X-rays are being generated. At least one of the indicators shall be illuminated when X-rays are being generated. One, but not both, of the required indicators may be a milliammeter labeled to indicate X-ray tube current. All other indicators shall be legibly labeled “X-RAY ON.” If the X-ray generation period is less than one-half second, the indicators shall be activated for one-half second and shall be discernible from any point at which initiation of X-ray generation is possible. Failure of a single component of the system shall not cause failure of both indicators to perform their intended function. The system shall have additional means other than milliammeters as needed to insure that at least one indicator is visible from each door, access panel, and port. If the X-ray generation period is less than one-half second, the indicators shall be activated for one-half second and be legibly labeled “X-RAY ON”;
(6) In systems used to inspect objects such as, but not limited to, baggage, boxes, backpacks, purses, and mail, the system shall be designed such that:
(A) During an exposure or preset succession of exposures of one-half second or greater duration, the operator can terminate the exposure or preset succession of exposures at any time and is in a position that permits surveillance of the ports and doors during X-ray generation; and
(B) During an exposure or preset succession of exposures of less than one-half second duration, completion of the exposure in progress may continue but shall enable the operator to prevent additional exposures;
(7) There shall be permanently affixed or inscribed:
(A) At the location of any controls which can be used to initiate X-ray generation, a clearly legible and visible label bearing the statement: “Caution: X-Rays Produced When Energized;” and
(B) Adjacent to each port a clearly legible and visible label bearing the statement: “Caution: Do Not Insert Any Part of the Body When System is Energized--X-ray Hazard;”
(8) Each door shall have a minimum of two safety interlocks. One, but not both of the required interlocks shall be such that door opening results in physical disconnection of the energy supply circuit to the high-voltage generator, and such disconnection shall not be dependent upon any moving part other than the door;
(9) Each access panel shall have at least one safety interlock;
(10) Following interruption of X-ray generation by the functioning of any safety interlock, use of a control provided in accordance with subsection (b)(4) shall be necessary for resumption of X-ray generation;
(11) Failure of any single component of the system shall not cause failure of more than one required safety interlock; and
(12) A ground fault shall not result in the generation of X-rays.
(c) A user shall not allow any individual to operate a cabinet X-ray system until such individual has:
(1) Received copies of, instruction in, and demonstrated understanding of, the user's operating and emergency procedures by obtaining a passing grade of at least 80 percent on a written examination covering this material. The written examination shall be at least 50 questions in length; and
(2) Demonstrated competence to use the radiation machines by obtaining a passing grade of at least 80 percent on a practical examination covering this material. The practical examination shall be at least 25 questions in length. An individual operating such a system need not obtain radiographer certification.
(d) Interlocks shall be annually tested to ensure they function as designed.
(e) The user shall conduct an annual evaluation of the cabinet X-ray system to ensure compliance with title 10, Code of Federal Regulations, Part 20, subpart D incorporated by reference in section 30253.
(f) Individuals shall not be exposed to the primary beam.
(g) Documentation demonstrating compliance with this section shall be maintained for three years and kept available for inspection.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970 and 115060, Health and Safety Code.
HISTORY

1. New section filed 10-29-73 as an emergency; effective upon filing (Register 73, No. 44).
2. Certificate of Compliance filed 2-22-74 (Register 74, No. 8).
3. Change without regulatory effect adding NOTE (Register 87, No. 11).
4. Amendment of section heading, section and Note and filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
§30338. Grounds for Suspension, Revocation, Amendment, or Restriction of Radiographer Certificates and Radiation Safety Training Provider Approvals.
Note     •     History

Radiographer certificates and any approval as a radiation safety training provider issued under this article may be revoked, suspended, amended or restricted for any of the following:
(a) Violation of any provision of the Act, any regulation promulgated pursuant to the Act, or any order of the Department.
(b) Failure to pay fees pursuant to section 30336.8.
(c) Failure to report changes pursuant to sections 30331 or 30335.6.
(d) Failure to take corrective action when directed by the Department.
(e) Failure to maintain the standard under which the training provider was approved pursuant to section 30331.
(f) Incompetence or gross negligence in performing radiographic operations.
(g) Procuring any certificate or approval by fraud, or misrepresentation, or because of mistake.
(h) Exposing any individual to radiation deliberately.
(i) Failure to comply with policies or procedures required to be developed pursuant to sections 30333.1 or 30336.1(e).
(j) Failure to provide complete and accurate information to the Department when required.
(k) Failure to pass a Department audit or inspection.
NOTE

Authority cited: Sections 114975, 115000, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115000, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-11-2008; operative 5-11-2008 (Register 2008, No. 15).
Article 7. Radiation Safety Requirements for Well Logging Operations
§30345.1. Scope.
Note     •     History

The regulations in this Article shall apply to all licensees or registrants who use sources of radiation for well logging operations including oil, gas, mineral-logging, radioactive markers, or subsurface tracer studies.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5). For prior history of former article 10, see Register 85, No. 48.
2. Amendment of article heading filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9).  A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30345.2. Definitions.
Note     •     History

(a) The definitions in section 30100 apply to this article.
(b) As used in this article:
(1) “Energy compensation source” means a small sealed source (not exceeding an activity of 100 microcuries), used within a logging tool, or other tool components, to provide a reference standard to maintain the tool's calibration when in use;
(2) “Field station” means a facility where licensed radioactive material or radiation machines may be stored or used and from which equipment is dispatched to temporary jobsites;
(3) “Fresh Water Aquifer” means a geologic formation that is capable of yielding fresh water to a well or spring;
(4) “Injection tool” means a device used for controlled subsurface injection of radioactive tracer material;
(5) “Irretrievable well logging source” means any sealed source containing radioactive material that is pulled off or not connected to the wireline that suspends the source in the well and for which all reasonable effort at recovery has been expended;
(6) “Logging assistant” means any individual who, under the personal supervision of a logging supervisor, handles radiation sources that are not in logging tools or shipping containers or who performs surveys required by section 30348.4;
(7) “Logging supervisor” means any individual who uses radiation sources or provides personal supervision in the use of radiation sources at a temporary jobsite and who is responsible to the user for assuring compliance with the requirements of this regulation and the conditions of the license;
(8) “Logging tool” means a device used subsurface to perform well logging;
(9) “Personal supervision” means guidance and instruction by a logging supervisor who is physically present at a temporary jobsite, who is in personal contact with logging assistants, and who can give immediate assistance;
(10) “Radioactive marker” means radioactive material used for depth determination or direction orientation. The term includes radioactive collar markers and radioactive iron nails;
(11) “Safety review” means a periodic review provided by the user for its employees on radiation safety as it relates to well logging. The review may include, as appropriate, the results of internal inspections, new procedures or equipment, accidents or errors that have been observed, and safety questions by employees;
(12) “Source holder” means a housing or assembly into which a sealed source is placed to facilitate the handling and use of the source in well logging;
(13) “Subsurface tracer study” means the release of unsealed radioactive material or a substance labeled with radioactive material in a single well for the purpose of tracing the movement or position of the material or substance in the well or adjacent formation;
(14) “Surface casing for protecting fresh water aquifers” means a pipe or tube used as a lining in a well to isolate fresh water aquifers from the well;
(15) “Temporary jobsite” means a place where licensed radioactive materials or radiation machines are present for the purpose of performing well logging or subsurface tracer studies;
(16) “Tritium neutron generator target source” means a tritium source used within a neutron generator tube to produce neutrons for use in well logging applications;
(17) “Uranium sinker bar” means a weight containing depleted uranium used to pull a logging tool towards the bottom of a well;
(18) “Well” means a drilled hole in which well logging may be performed and includes drilled holes for the purpose of oil, gas, mineral, groundwater, or geological exploration;
(19) “Well logging” means all operations involving the lowering and raising of measuring devices or tools which contain radiation sources or are used to detect radiation sources in wells for the purpose of obtaining information about the well or adjacent formations which may be used in oil, gas, mineral, groundwater, or geological exploration;
(20) “Wireline” means a cable containing one or more electrical conductors, which is used to lower and raise logging tools in the well-bore.
NOTE

Authority cited: Sections 100275, 114975, 115000 and 115060, Health and Safety Code. Reference: Sections 114965, 114970, 114985, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Amendment of section and Note filed 4-10-2006; operative 5-10-2006 (Register 2006, No. 15).
§30345.3. Specific License for Well Logging.
Note     •     History

(a) The applicant for licensure or registration as described in Section 30194 shall meet the requirements specified in that section and any special requirements contained in this section.
(b) The applicant shall develop a program for training logging supervisors and logging assistants and submit to the Department a description of this program which specifies:
(1) Initial training;
(2) On the job training;
(3) Annual safety reviews provided by the licensee;
(4) Means the applicant will use to demonstrate the logging supervisor's knowledge and understanding of and ability to comply with the regulations and licensing requirements and the applicant's operating and emergency procedures; and
(5) Means the applicant will use to demonstrate the logging assistant's knowledge and understanding of and ability to comply with the regulations and licensing requirements and the applicant's operating and emergency procedures.
(c) The applicant shall submit to the Department written operating and emergency procedures as described in Section 30348.2 or an outline or summary of the procedures that include the important radiation safety aspects of the procedures.
(d) The applicant shall establish and submit to the Department its program for annual inspections of the job performance of each logging supervisor to ensure that the Department regulations, license requirements, and the applicant's operating and emergency procedures are followed. Inspection records must be retained for three years after each annual internal inspection.
(e) The applicant shall submit a description of its overall organizational structure as it applies to the radiation safety responsibilities in well logging, including specified delegations of authority and responsibility.
(f) If an applicant wants to perform leak testing of sealed sources, the applicant shall identify the manufacturers and the model numbers of the leak test kits to be used. If the applicant wants to analyze its own wipe samples, the applicant shall establish procedures to be followed and submit a description of these procedures to the Department. The description shall include:
(1) Instruments to be used;
(2) Methods of performing the analysis; and
(3) Pertinent experience of the person who will analyze the wipe samples.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346. Agreement with Well Owner or Operator.
Note     •     History

(a) No licensee shall perform well logging services operations with a sealed source unless, prior to commencement of the operation, the licensee has a written agreement with the well operator, well-owner, drilling contractor, or land owner describing who shall be responsible for meeting the following requirements:
(1) In the event a sealed source is lodged downhole, a reasonable effort shall be made to recover it.
(2) A person shall not attempt to recover a sealed source in a manner which, in the licensee's opinion, could result in its rupture.
(3) Radiation monitoring required in Section 30348.5(a) shall be performed.
(4) If the environment, any equipment, or personnel are contaminated with licensed radioactive material, they shall be decontaminated before release from the site or release for unrestricted use.
(5) If the sealed source is classified as irretrievable after reasonable efforts at recovery have been expended, the following requirements shall be implemented within 30 days:
(A) Each irretrievable well logging source shall be immobilized and sealed in place with a cement plug.
(B) A mechanical device to prevent inadvertent intrusion on the source shall be set at some point in the well above the cement plug, unless the cement plug and source are not accessible to any subsequent drilling operations.
(C) A permanent identification plaque, constructed of long lasting material such as stainless steel, brass, bronze, or monel, shall be mounted at the surface of the well, unless the mounting of the plaque is not practical. The size of the plaque shall be at least 7 inches square and 1/8 inch thick. The plaque shall contain the word “Caution”, the radiation symbol (color requirements as described in Section 30278(a) do not have to be met), the date the source was abandoned, the name of the well owner or well operator as appropriate, the well name and well identification number(s) or other designations, an identification of the sealed source(s) by radionuclide and quantity, the depth of the source and the depth to the top of the plug and an appropriate warning such as “Do not reenter this well”.
(b) The licensee shall retain a copy of the written agreement for three years after the completion of the well logging operation.
(c) A licensee may apply, pursuant to Section 30104, for approval on a case-by-case basis of proposed procedures to abandon an irretrievable well logging source in a manner not otherwise authorized in paragraph (a)(5) above.
(d) A written agreement between the licensee and the well owner or operator is not required if the licensee and the well owner or operator are part of the same corporate structure or otherwise similarly affiliated. However, the licensee shall still otherwise meet the requirements in Sections (a)(1) through (a)(5).
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5). For prior history, see Register 87, No. 28.
§30346.1. Labels, Security and Transportation.
Note     •     History

(a) The license shall not use a radiation source or source holder or logging tool that contains radioactive material unless the smallest component that is transported as a separate piece of equipment with the radioactive material inside bears a durable, legible, and clearly visible marking or label. The marking or label shall contain the radiation symbol specified in the United States, title 10, Code of Federal Regulations, part 20, subpart J as incorporated by reference in section 30253 and the wording “Danger (or Caution) Radioactive Material”.
(b) The licensee shall not use a container to store radioactive material unless the container has securely attached to it a durable, legible, and clearly visible label. The label must contain the radiation symbol specified in the United States, title 10, Code of Federal Regulations, part 20, subpart J as incorporated by reference in section 30253 and the wording “CAUTION (or DANGER) RADIOACTIVE MATERIAL. NOTIFY CIVIL AUTHORITIES (OR NAME OF COMPANY)”.
(c) For transportation of radioactive material, the licensee shall comply with section 30373.
(d) The licensee shall store each source containing radioactive material in a storage container or transportation package. The container or package must be locked and physically secured to prevent tampering or removal of radiation sources from storage by unauthorized personnel. The licensee shall store radiation sources in a manner which will minimize danger from explosion or fire.
(e) The licensee shall lock and physically secure the transport package containing radiation sources in the transporting vehicle to prevent accidental loss, tampering, or unauthorized removal of the radioactive material from the vehicle.
NOTE

Authority cited: Sections 115000 and 131200, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230, 115235, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Amendment of  subsections  (a) and (b) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
4. Amendment of subsection (c) and Note filed 4-24-2009; operative 5-24-2009 (Register 2009, No. 17).
§30346.2. Radiation Detection Instruments.
Note     •     History

(a) The licensee or registrant shall keep a calibrated and operable radiation survey instrument capable of detecting beta and gamma radiation at each field station and temporary jobsite to make the radiation surveys required by this section and by Section 30275. To satisfy this requirement, the radiation survey instrument must be capable of measuring 0.1 mR per hour through at least 50 mR per hour. Survey instruments acquired before the effective date of these regulations shall be capable of measuring 0.1 mR per hour through at least 20 mR per hour.
(b) The licensee or registrant shall have available additional calibrated and operable radiation survey instruments with the sensitivity to detect the low radiation and contamination levels that could be encountered if a sealed source ruptured. The licensee may own the instrument or may have a procedure to obtain them quickly from a second party.
(c) The licensee or registrant shall have each radiation survey instrument required under subsection (a) above calibrated:
(1) At intervals not to exceed six months and after instrument servicing;
(2) At two points located approximately 1/3 and 2/3 of full scale on each scale for linear scale instruments, at mid range of each decade and at two points on each decade for logarithmic scale instruments, and at appropriate points for digital instruments; and
(3) So that an accuracy within plus or minus 20 percent of the calibration standards can be demonstrated on each scale.
(d) The licensee or registrant shall retain calibration records for at least three years after the date of calibration for inspection by the Department.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346.3. Leak Testing of Sealed Sources.
Note     •     History

Each licensee who uses a sealed source shall have the source tested for leakage as described in section 30275, except that energy compensation sources (ECS) that are not exempt from testing pursuant to section 30275(c) shall be tested at intervals not to exceed three years. In the absence of a certificate from a transferor that a test has been made within the three years before the transfer, the ECS may not be used until tested.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Amendment of section and Note filed 3-1-2007; operative 3-31-2007 (Register 2007, No. 9).
§30346.4. Physical Inventory.
Note     •     History

Each licensee shall conduct a semi-annual physical inventory to account for all licensed radioactive material received and possessed under the license. The licensee shall retain records of the inventory for three years from the date of the inventory for inspection by the Department. The inventory shall indicate the quantity and kind of radioactive material, the location of the radioactive material, the date of the inventory, and the name of the individual conducting the inventory. Physical inventory records may be combined with leak test records.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346.5. Records of Material Use.
Note     •     History

(a) Each licensee or registrant user shall maintain records for each use of radiation sources showing:
(1) The make, model number, and a serial number or a description of each radiation source used;
(2) In the case of unsealed radioactive material used for subsurface tracer studies, the radionuclide and quantity of activity used in a particular well and the disposition of any unused tracer materials;
(3) The identity of the logging supervisor who is responsible for the radiation sources and the identity of logging assistants present; and
(4) The location and date of use of the radiation source.
(b) The licensee or registrant shall make the records required by subsection (a) of this section available for inspection by the Department. The records shall be kept for three years from the date of the recorded event.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346.6. Design and Performance Criteria for Sealed Sources.
Note     •     History

(a) A licensee shall not use a sealed source in well logging unless the sealed source:
(1) Is doubly encapsulated;
(2) Contains licensed radioactive material whose chemical and physical forms are as insoluble and nondispersible as practical; and
(3) Meets one of the following:
(A) For a sealed source manufactured on or before July 14, 1989, meets the requirements of USASI N5.10-1968, “Classification of Sealed Radioactive Sources”* which is incorporated by reference; or
(B) For a sealed source manufactured after July 14, 1989, meets the oil-well logging requirements of ANSI/HPS N43.6-1997, “Sealed Radioactive Sources Classification”* which is incorporated by reference; or
(C) For a sealed source manufactured after July 14, 1989, if the sealed source's prototype has been tested and found to maintain its integrity after each of the following tests:
1. The test source shall be held at - 40 deg. C. for 20 minutes, 600 deg. C. for one hour, and then be subject to a thermal shock test with a temperature drop from 600 deg. C. to 20 deg. C. within 15 seconds;
2. A 5 kg. steel hammer, 2.5 cm. in diameter, shall be dropped from a height of 1 meter onto the test source;
3. The test source shall be subject to a vibration from 25 Hz to 500 Hz at 5 g amplitude for 30 minutes;
4. A one gram hammer and pin, 0.3 cm pin diameter, shall be dropped from a height of 1 m onto the test source; and
5. The test source shall be subjected to an external pressure of 24,600 pounds per square inch absolute (1.695 X 107 pascals).
(b) The requirements in subsection (a) do not apply to sealed sources that contain radioactive material in gaseous form or to energy compensation sources (ECS). ECSs shall be registered pursuant to section 30192.1(b).

_______

*Copies of USASI N5.10-1968, “Classification of Sealed Radioactive Sources” may be obtained from the Department. Copies of American National Standard N43.6-1997,” Sealed Radioactive Sources--Classification” may be purchased from the American National Standards Institute, Inc., Global Engineering Documents, 1819 L Street, NW, Suite 600, Washington DC 20036 or at “http://global.ihs.com” using “ANSI N43.6” as the document number; or the Health Physics Society at http://hps.org/documents/hpsstandardsorder.pdf.
NOTE

Authority cited: Sections 100275, 114975, 115000 and 115060, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Amendment of section and Note filed 4-10-2006; operative 5-10-2006 (Register 2006, No. 15).
§30346.7. Inspection, Maintenance and Opening of a Source Holder.
Note     •     History

(a) Each licensee shall visually check source holders, logging tools, and source handling tools, for defects before each use to ensure that the equipment is in good working condition and that required labeling is present. If defects are found, the equipment must be removed from service until repaired, and a record must be made listing the date of check, name of inspector, equipment involved, defects found, and repairs made. These record shall be retained for three years after the defect is found.
(b) Each licensee shall have a program of semi-annual visual inspection and routine maintenance of source holders, logging tools, injection tools, source handling tools, storage containers, transport containers, and uranium sinker bars to ensure that the required labeling is legible and that no physical damage is visible. If defects are found, the equipment must be removed from service until repaired, and a record must be made listing date, equipment involved, inspection and maintenance operations performed, any defects found, and any actions taken to correct the defects. These records must be retained for three years after the defect is found.
(c) Removal of a sealed source from a source holder or logging tool, and maintenance on sealed sources or holders in which sealed sources are contained shall not be performed by the licensee unless a written procedure developed pursuant to Section 30348.2 has been approved by the Department.
(d) If a sealed source is stuck in the source holder, the licensee shall not perform any operation, such as drilling, cutting, or chiseling on the source holder unless the licensee is specifically approved by the Department.
(e) The opening, repair, or modification of any sealed source is prohibited unless performed by persons specifically approved to do so by the Department.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346.8. Subsurface Tracer Studies.
Note     •     History

(a) The licensee shall require all personnel handling radioactive tracer material to use protective gloves and, if required by the license, other protective clothing and equipment. The licensee shall take precautions to avoid ingestion or inhalation of radioactive tracer material and to avoid contamination of field stations and temporary jobsites.
(b) The licensee shall not knowingly inject radioactive material into fresh water aquifers unless specifically authorized to do so by the Department.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25608, 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346.9. Radioactive Markers.
Note     •     History

The licensee shall use radioactive markers in wells only if the individual markers contain quantities of radioactive material not exceeding the quantities specified in Section 30235 Schedule A. The use of markers is subject to the requirements of Section 30346.4 only.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346.10. Uranium Sinker Bars.
Note     •     History

The licensee shall use a uranium sinker bar in well logging, only if it is legibly impressed with the words “Caution--Radioactive-Depleted Uranium” and “Notify Civil Authorities (or Company Name) If Found.”
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30346.11. Use of Energy Compensation Sources.
Note     •     History

A licensee may use an energy compensation source (ECS), which is contained in a logging tool, or other tool components, provided the ECS contains quantities of licensed materials not exceeding 100 microcuries. For well logging applications with a surface casing for protecting fresh water aquifers, use of the ECS is only subject to the requirements of sections 30346.3, 30346.4 and 30346.5. For well logging applications without a surface casing for protecting fresh water aquifers, use of the ECS is only subject to the requirements of sections 30346, 30346.3, 30346.4, 30346.5 and 30350.3 and the procedure required to be developed and implemented pursuant to section 30348.2(a)(1).
NOTE

Authority cited: Sections 100275, 114975, 115000 and 115060, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-10-2006; operative 5-10-2006 (Register 2006, No. 15).
§30346.12. Use of Tritium Neutron Generator Target Sources.
Note     •     History

(a) Use of a tritium neutron generator target source shall be subject to the requirements of this article except:
(1) Sections 30346, 30346.6, and 30350.3 shall not apply when the:
(A) Activity of the source is no more than 30 curies; and
(B) Source is used in a well with a surface casing for protecting fresh water acquifers; or
(2) Section 30346.6 shall not apply when the:
(A) Activity of the source is greater than 30 curies; or
(B) Source is used in a well without a surface casing to protect fresh water acquifers.
NOTE

Authority cited: Sections 100275, 114975, 115000 and 115060, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 4-10-2006; operative 5-10-2006 (Register 2006, No. 15).
§30348.1. Training Requirements.
Note     •     History

(a) The licensee or registrant shall not permit an individual to act as a logging supervisor until that person:
(1) Has completed training in the subjects outlined in subsection (e) of this section;
(2) Has received copies of, and instruction in:
(A) Regulations contained in Subchapter 4, Title 17, California Code of Regulations;
(B) The Department license or registration under which the logging supervisor will perform well logging; and
(C) The licensee or registrant's operating and emergency procedures required by Section 30348.2;
(3) Has completed on-the-job training and demonstrated competence in the use of radiation sources, remote handling tools, and radiation survey instruments by a field evaluation; and
(4) Has demonstrated understanding of the requirements in paragraphs (a)(1) and (2) of this section by successfully completing a written test.
(b) The licensee or registrant shall not permit an individual to act as a logging assistant until that person:
(1) Has received instruction in applicable requirements of the United States, title 10, Code of Federal Regulations, part 20, subparts C, D, F, G, I, J, K, L, and M as incorporated by reference in section 30253;
(2) Has received copies of, and instruction in, the licensee's or registrant's operating and emergency procedures required by Section 30365.2;
(3) Has demonstrated understanding of the materials listed in paragraphs (b)(1) and (2) of this section by successfully completing a written or oral test; and
(4) Has received instruction in the use of radiation sources, remote handling tools, and radiation survey instruments, as appropriate for the logging assistant's intended job responsibilities.
(c) The licensee or registrant shall provide safety reviews for logging supervisors and logging assistants at least once during each calendar year.
(d) The licensee or registrant shall maintain a record on each logging supervisor's and logging assistant's training and annual safety review. The training records must include copies of written tests and dates of oral tests. The training records must be retained for three years following the date of termination of employment. Records of annual safety reviews must list the topics discussed and be retained for three years.
(e) The licensee or registrant shall include the following subjects in the training required in paragraph (a)(1) of this section:
(1) Fundamentals of radiation safety including:
(A) Characteristics of radiation;
(B) Units of radiation dose and quantity of radioactivity;
(C) Hazards of exposure to radiation;
(D) Levels of radiation from licensed material;
(E) Methods of controlling radiation dose (time, distance, and shielding); and
(F) Radiation safety practices, including prevention of contamination, and methods of decontamination.
(2) Radiation detection instruments including:
(A) Use, operation, calibration, and limitations of radiation survey instruments;
(B) Survey techniques; and
(C) Use of personnel monitoring equipment;
(3) Equipment to be used including:
(A) Operation of equipment, including source handling equipment and remote handling tools;
(B) Storage, control, and disposal of licensed material; and
(C) Maintenance of equipment.
(4) The requirement of pertinent regulations, and
(5) Case histories of accidents in well logging.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Amendment of subsection (b)(1) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30348.2. Operating and Emergency Procedures.
Note     •     History

(a) Each licensee shall develop and follow written operating and emergency procedures that cover:
(1) The handling and use of radiation sources, including protection of fresh water aquifers, if appropriate;
(2) The use of remote handling tools for handling sealed sources and radioactive tracer material except low-activity calibration sources;
(3) Methods and occasions for conducting radiation surveys, including surveys for detecting contamination, as required by Section 30348.4 (c)-(e);
(4) Minimizing personnel exposure including exposures from inhalation and ingestion of radioactive tracer materials;
(5) Methods and occasions for locking and securing stored radioactive materials;
(6) Personnel monitoring and the use of personnel monitoring equipment;
(7) Transportation of radioactive materials to field stations or temporary jobsites, packaging of licensed materials for transport in vehicles, placarding of vehicles when needed, and physically securing radioactive materials in transport vehicles during transportation to prevent accidental loss, tampering, or unauthorized removal;
(8) Picking up, receiving, and opening packages containing radioactive materials, in accordance with the United States, title 10, Code of Federal Regulations, part 20, section 20.1906 as incorporated by reference in section 30253;
(9) For the use of tracers, decontamination of the environment, equipment, and personnel;
(10) Maintenance of records generated by logging personnel at temporary fieldsites;
(11) Inspection and maintenance of sealed sources, source holders, logging tools, injection tools, source handling tools, storage containers, transport containers, and uranium sinker bars as required by Section 30346.10;
(12) Actions to be taken if a sealed source is lodged in a well;
(13) Notifying proper persons in the event of an accident; and
(14) Actions to be taken if a sealed source is ruptured including actions to prevent the spread of contamination and minimize inhalation and ingestion of radioactive materials and actions to obtain suitable radiation survey instruments as required by Section 30346.2(b).
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Amendment of subsection (a)(8) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30348.3. Personnel Monitoring.
Note     •     History

(a) The user shall not permit an individual to act as a logging supervisor or logging assistant unless that person wears, at all times during the handling of radiation sources, a personnel dosimeter that requires processing to determine the radiation dose. Each personnel dosimeter shall be assigned to and worn by only one individual. Film badges shall be replaced at least monthly and other personnel dosimeters replaced at least quarterly. After replacement, personnel dosimeters shall be sent for processing by the users' dosimetry processor meeting the requirements of section 20.1501(c) of title 10, Code of Federal Regulations incorporated by reference in section 30253 as soon as possible but no later than recommended by the dosimetry processor.
(b) The licensee shall provide bioassay services to individuals using radioactive materials in subsurface tracer studies if required by the license.
(c) Reports received from the dosimetry processor shall be retained for inspection until the Department terminates each license or registration that authorizes the activity that is subject to the recordkeeping requirement.
NOTE

Authority cited: Sections 100275, 114975, 115000 and 115060, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115110, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Repealer of subsection (c) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
4. Amendment of subsection (a), new subsection (c) and amendment of Note filed 4-10-2006; operative 5-10-2006 (Register 2006, No. 15).
§30348.4. Radiation Surveys.
Note     •     History

(a) The licensee shall make radiation surveys including, but not limited to, the surveys required under subsections (b) through (e) of this section, of each area where radioactive materials are used and stored.
(b) Before transporting radioactive materials, the licensee shall make a radiation survey of the position occupied by each individual in the vehicle and of the exterior of each vehicle used to transport radioactive materials.
(c) If the sealed source assembly is removed from the logging tool before departure from the temporary jobsite, the licensee shall confirm that the logging tool is free of contamination by energizing the logging tool detector or by using a survey meter.
(d) If the licensee has reason to believe that, as a result of any operation involving a sealed source, the encapsulation of the sealed source could be damaged by the operation, the licensee shall conduct a radiation survey, including a contamination survey, during and after the operation.
(e) The licensee shall make a radiation survey at the temporary jobsite before and after each subsurface tracer study to confirm the absence of contamination.
(f) The results of surveys required under subsections (a) through (e) of this section must be recorded and must include the date of the survey, the name of the individual making the survey, the identification of the survey instrument used, and the location of the survey. The licensee shall retain records of surveys for inspection by the Department for three years after they are made.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30348.5. Radioactive Contamination Control.
Note     •     History

(a) If the licensee detects evidence that a sealed source has ruptured or radioactive materials have caused contamination, the licensee shall initiate immediately the emergency procedures required by Section 30348.2.
(b) If contamination results from the use of radioactive material in well logging, the licensee shall decontaminate all work areas, equipment, and unrestricted areas.
(c) During efforts to recover a sealed source lodged in a well, the licensee shall continuously monitor, with an appropriate radiation detection instrument or a logging tool with a radiation detector, the circulating fluids from the well, if any, to check for contamination resulting from damage to the sealed source.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30350. Security.
Note     •     History

(a) A logging supervisor shall be physically present at a temporary jobsite whenever radioactive materials or particle accelerators are being handled or are not stored and locked in a vehicle or storage place. The logging supervisor may leave the jobsite in order to obtain assistance if a source becomes lodged in a well.
(b) During well logging, except when radiation sources are below ground or in shipping or storage containers, the logging supervisor or other individual designated by the logging supervisor shall maintain direct surveillance of the operation to prevent unauthorized entry into a “controlled area”, as defined in title 10, Code of Federal Regulations, section 20.1003, as incorporated by reference by section 30253.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5). For prior history, see Register 87, No. 28.
2. Repealer of article 11 heading filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9).  A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28)
4. Amendment of subsection (b) and Note filed 10-15-2001; operative 11-14-2001 (Register 2001, No. 42).
§30350.1. Documents and Records Required at Field Stations.
Note     •     History

(a) Each licensee or registrant shall maintain the following documents and records at the field station:
(1) A copy of the California Code of Regulations, Title 17; Subchapter 4;
(2) The license or registration authorizing the use of radioactive material or particle accelerators;
(3) Operating and emergency procedures required by Section 30348.2.
(4) The record of radiation survey instrument calibrations required by Section 30346.2.
(5) The record of leak test results required by Section 30346.3.
(6) Physical inventory records required by Section 30346.4.
(7) Utilization records required by Section 30346.5.
(8) Records of inspection and maintenance required by Section 30346.7.
(9) Training records required by Section 30348.1; and
(10) Survey records required by Section 30348.4.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30350.2. Documents and Records Required at Temporary Jobsites.
Note     •     History

(a) Each licensee or registrant conducting operations at a temporary jobsite shall maintain the following documents and records at the temporary jobsite until the well logging operation is completed:
(1) Operating and emergency procedures required by Section 30348.2.
(2) Evidence of latest calibration of the radiation survey instruments in use at the site required by Section 30346.2.
(3) Latest survey records required by Section 30348.4(a)(2), (3), and (5).
(4) The shipping papers for the transportation of radioactive materials required by Group 4, Article 1 of this chapter; and
(5) When operating under reciprocity pursuant to Section 30225 of this chapter, a copy of the U.S. Nuclear Regulatory Commission or Agreement State license authorizing use of radioactive materials.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
§30350.3. Notification of Incidents and Lost Sources; Abandonment Procedures for Irretrievable Sources.
Note     •     History

(a) The licensee shall immediately notify the Department by telephone and subsequently, within 30 days, by confirmation letter if the licensee knows or has reason to believe that a sealed source has been ruptured. The letter must designate the well or other location, describe the magnitude and extent of the escape of radioactive materials, assess the consequences of the rupture, and explain efforts planned or being taken to mitigate these consequences.
(b) If a sealed source becomes lodged in a well, and when it becomes apparent that efforts to recover the sealed source will not be successful, the licensee shall:
(1) Notify the Department by telephone of the circumstances that resulted in the inability to retrieve the source and: 
(A) Obtain approval to implement abandonment procedures; or
(B) Report that abandonment was implemented before receiving Department approval because the licensee believed there was an immediate threat to public health and safety;
(2) Advise the well owner or operator, as appropriate, of the abandonment procedures under section 30346(a)(5); and
(3) Either ensure that abandonment procedures are implemented within 30 days after the sealed source has been classified as irretrievable or request an extension of time if unable to complete the abandonment procedures.
(c) The licensee shall, within 30 days after a sealed source has been classified as irretrievable, make a report in writing to the Department. The licensee shall send a copy of the report to each appropriate State or Federal agency that issued permits or otherwise approved of the drilling operation. The report shall contain the following information:
(1) Date of occurrence;
(2) A description of the irretrievable well logging source involved including the radionuclide and its quantity, chemical, and physical form;
(3) Surface location and identification of the well;
(4) Results of efforts to immobilize and seal the source in place;
(5) A brief description of the attempted recovery effort;
(6) Depth of the source;
(7) Depth of the top of the cement plug;
(8) Depth of the well;
(9) If the licensee implemented abandonment procedures prior to Department approval pursuant to subsection (b)(1)(B), the reasons why the licensee believed there was an immediate threat to public health and safety including any documents on which those reasons are based;
(10) Any other information, such as a warning statement, contained on the permanent identification plaque; and
(11) State and Federal agencies receiving a copy of this report.
NOTE

Authority cited: Sections 100275 and 115000, Health and Safety Code. Reference: Sections 114965, 114970, 115060, 115230 and 115235, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Repealer of subsection (b) and subsection redesignation filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
4. Amendment of subsection (b)(1), new subsections (b)(1)(A)-(B), amendment of subsection (b)(2), new subsection (b)(9), subsection renumbering and amendment of Note filed 3-1-2007; operative 3-31-2007 (Register 2007, No. 9).
§30353. Particle Accelerators For Well Logging.
Note     •     History

(a) Registrants who use particle accelerators for well logging purposes shall comply with Group 1.5, and Articles 1, 3, 4, and 13 of Group 3.
(b) No registrant shall permit above ground testing of particle accelerators designed for use in well logging which results in the production of radiation except in areas or facilities controlled or shielded so that the requirements of the United States, title 10, Code of Federal Regulations, part 20, subpart C and D as incorporated by reference in section 30253 are met.
NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, and 25815, Health and Safety Code.
HISTORY

1. New section filed 11-4-91; operative 12-4-91 (Register 92, No. 5).
2. Amendment of subsection (b) filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30355. Appendix A. Concentrations in Air and Water Above Natural Background. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 102, 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For former section see Register 62, No. 1, and 63, No. 26.
2. Repealer and new section filed 11-16-67; effective thirtieth day thereafter (Register 67, No. 46).
3. Amendment filed 7-22-71; effective thirtieth day thereafter (Register 71, No. 30).
4. Amendment filed 6-19-73; effective thirtieth day thereafter (Register 73, No. 25).
5. Amendment filed 7-7-86; effective thirtieth day thereafter (Register 86, No. 28).
6. Repealer  of article 12 heading and section filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30356. Appendix B. [Repealed]
History

HISTORY

1. Amendment filed 6-19-73; effective thirtieth day thereafter (Register 73, No. 25). For prior history, see Register 71, No. 46.
2. Repealer  filed 3-3-94 as an emergency; operative 3-3-94 (Register 94, No. 9). A Certificate of Compliance must be transmitted to OAL by 7-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-3-94 order transmitted to OAL 6-7-94 and filed 7-14-94 (Register 94, No. 28).
§30357. Form RH 2364--Notice to Employees. [Repealed]
History

HISTORY

1. Repealer filed 8-23-76; effective thirtieth day thereafter (Register 76, No. 35). For prior history, see Register 73, No. 25.
§30358. Form RH 2365--Current Occupational External Radiation Exposure. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 25811, Health and Safety Code. Reference: Sections 25801, 25802, 25815, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 5-13-69; effective thirtieth day thereafter (Register 69, No. 20).
2. Repealer filed 6-18-87; operative 7-18-87 (Register 87, No. 28).
Group 4. Transportation of Radioactive Material
Article 1. Requirements for Transportation of Radioactive Material
§30373. Transportation Regulations.
Note     •     History

(a) Except as authorized in a general license or a specific license, or as exempted in this subchapter, a licensee may not deliver radioactive material to a carrier for transport or transport radioactive material. Licensees authorized to receive, possess, use or transfer radioactive material shall, if they deliver radioactive material to a carrier for transport, transport it outside the site of usage as specified in the specific license, or on public highways, comply with, appropriate to the mode of transport, title 10, Code of Federal Regulations, part 71 (10 CFR 71) and Appendix A (as of January 1, 2007), which is hereby incorporated by reference with the following exceptions:
(1) 10 CFR 71, sections 71.0 through 71.3, 71.6 through 71.13, 71.14(b), 71.16, 71.18, 71.19, 71.24, 71.25, 71.31 through 71.45, 71.51 through 71.81, 71.91, 71.93, 71.95, 71.99, 71.100, 71.101(c)(2), (d), (e), and (f), 71.103(a), (c) through (f), and 71.107 through 71.131 are not incorporated by reference;
(2) Any references to the United States Nuclear Regulatory Commission or any component thereof shall be deemed to be a reference to the “Department” as defined in section 30100, except for the reference found in the definition of “certificate of compliance” in 10 CFR 71.4;
(3) The terms “Close reflection by water,” “Containment system,” “Maximum normal operating pressure,” “Optimum interspersed hydrogenous moderation,” “Spent nuclear fuel or spent fuel,” and “State” found in 10 CFR 71.4 are not incorporated by reference;
(4) When the term “licensed material” is used within the material incorporated by this section, it shall mean any radioactive material including source material, special nuclear material, or byproduct material received, possessed, used, transferred or disposed of under a general or specific license issued by the NRC, or by any other Agreement State or by any state that has been either provisionally or finally designated as a Licensing State by the Conference of Radiation Control Program Directors, Inc.; and
(5) Federal Department of Transportation regulations as of January 1, 2007 referenced in 10 CFR 71.5 are hereby incorporated by reference.
(b) Persons are exempt from this regulation to the extent that they transport any radioactive material or offer any radioactive material to a carrier for transportation where such transportation is subject to the exclusive jurisdiction of the United States Federal Government.
(c) Physicians are exempt from the requirements of this section to the extent that they transport radioactive material for use in the practice of medicine. However, any physician operating under this exemption shall possess a specific license issued pursuant to section 30195 authorizing human use of radioactive material.
NOTE

(1) Authority cited: Sections 114765, 114820, 115000 and 131200, Health and Safety Code. Reference: Sections 114740, 114765, 131050, 131051 and 131052, Health and Safety Code.
Note: (2) Copies of Title 10, Code of Federal Regulations --Energy, and Title 49, Code of Federal Regulations--Transportation, are for sale by the Superintendent of Documents, U.S.Government Printing Office, Washington, D.C. 20402. Copies can also be obtained at: http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1.
HISTORY

1. Repealer of group 4 and new group 4 (sections 30365-30380) filed 11-29-65; effective thirtieth day thereafter (Register 65, No. 23). For prior history, see Register 62, No. 1.
2. Repealer of article 1 (sections 30365, 30366 and 30368); repealer of article 2 (section 30370); renumbering and amendment of former article 3 (section 30373) to article 1 (section 30373); repealer of article 4 (section 30378) and repealer of article 5 (section 30380) filed 6-6-85; effective thirtieth day thereafter (Register 85, No. 23). For prior history, see Registers 76, No. 4; 73, No. 25; 69, No. 20; and 67, No. 46.
3. Change without regulatory effect of NOTE (Register 88, No. 6). 
4. Amendment of subsection (a) filed 9-16-92; operative 10-16-92 (Register 92, No. 38).
5. Amendment of section and Note filed 4-24-2009; operative 5-24-2009 (Register 2009, No. 17).
Group 5. Participation by Local Health Departments
§30385. Authority. [Repealed]
History

HISTORY

1. Repealer of Article 1 (Sections 30385 and 30386) filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2).
§30390. General Definitions. [Repealed]
History

HISTORY

1. Amendment filed 1-22-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Repealer of Article 2 (Section 30390) filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2).
Article 1. Local Health Departments
§30393. Participation in Control Program.
Note     •     History

Participation in the State radiation control program shall be pursuant to an approved contract between the Department and the local health department. A local health department desiring to participate in the State radiation control program within its area of jurisdiction shall apply to the Department.
NOTE

Authority cited: Sections 208, 25651 and 25811, Health and Safety Code. Reference: Sections 25801, 25810, 25875 and 25876, Health and Safety Code.
HISTORY

1. Renumbering of former Article 3 to Article 1 and amendment of Section 30393 filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2).
§30394. Application for Participation.
Note     •     History

Application shall be made in writing, and shall set forth:
(a) The names and qualifications of personnel to be assigned to the radiation control program;
(b) The numbers and types of radiation survey instruments available;
(c) The administrative relationship between the radiation control program and other programs of the local health department; and
(d) A showing that the radiation control program proposed by the local health department is compatible with standards imposed upon the State by the U.S. Nuclear Regulatory Commission pursuant to the agreement contained in the Health and Safety Code, Section 25876, and the general policy statement “Guidelines for NRC Review of Agreement State Radiation Control Programs” (46 FR 59341).
NOTE

Authority cited: Sections 208, 25651 and 25811, Health and Safety Code. Reference: Sections 25801, 25810, 25875 and 25876, Health and Safety Code.
HISTORY

1. Amendment filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2). 
2. Change without regulatory effect of subsection (d) (Register 88, No. 6).
§30395. Contract Authorizing Participation.
Note     •     History

(a) An application will be approved if the Department determines with the concurrence of the Department of Industrial Relations that the showings required by Section 30394 are complete.
(b) Any authorization pursuant to this article shall be in the form of a contract setting forth, as a minimum:
(1) Duties and responsibilities of the local health department;
(2) Conditions of financial reimbursement to the local health department; and
(3) Terms and conditions for termination of the contract.
NOTE

Authority cited: Sections 208, 25651 and 25811, Health and Safety Code. Reference: Sections 25801, 25810, 25875 and 25876, Health and Safety Code.
HISTORY

1. Repealer of former Section 30395, and renumbering and amendment of former Section 30396 to Section 30395 filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2).
§30397. Terms of Participation.
History

HISTORY

1. Amendment filed 1-22-76; effective thirtieth day thereafter (Register 76, No. 4).
2. Repealer filed 1-10-86; effective thirtieth day thereafter (Register 86, No. 2).
Subchapter 4.5. Radiologic Technology
Group 1. Administration
Article 1. Definitions
§30400. Fluoroscopy.
Note     •     History

NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668, Health and Safety Code.
HISTORY

1. New Subchapter 4.5 (Sections 30400-30438) filed 12-3-70; effective thirtieth day thereafter (Register 70, No. 49).
2. Repealer of Group 1 (Articles 1-6, Sections 30400-30407 and Articles 8-10, Sections 30409-30411); repealer of Group 2 (Articles 1-4, Sections 30412-30419); repealer of Group 3 (Articles 1-9, Sections 30420-30437.1); repealer of Group 5 (Articles 1-6, Sections 30439-30451, not consecutive); repealer of Group 6 (Articles 1-6, Sections 30460-30468, not consecutive) and new Group 1 (Articles 1-5, Sections 30400-30405); new Group 2 (Articles 1-7, Sections 30420-30436, not consecutive); new Group 3 (Articles 1 and 2, Sections 30440-30447); new Group 4 (Article 1, Sections 30450-30452); and new Group 5 (Article 1, Sections 30460-30468) filed 8-21-85; effective thirtieth day thereafter (Register 85, No. 34). For prior history, see Registers 78, No. 10; 76, No. 49; 76, No. 4; 72, No. 32; 72, No. 26; 71, No. 41; 71, No. 25; 71, No. 17 and 71, No. 16.
3. Renumbering of former section 30400 to new section 30400.40 filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30400.5. Approved Continuing Education Credit.
Note     •     History

“Approved continuing education credit” means one hour of instruction received in subjects related to the application of X-ray to the human body and accepted for purposes of credentialing, assigning professional status or certification by the:
(a) American Registry of Radiologic Technologists;
(b) Medical Board of California;
(c) Osteopathic Medical Board of California;
(d) California Board of Chiropractic Examiners;
(e) Board of Podiatric Medicine; or
(f) Board of Dental Examiners.
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 106995, 114840, 114845, 114870(b), (c) and (e), Health and Safety Code.
HISTORY

1. New section filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30400.40. Fluoroscopy.
Note     •     History

“Fluoroscopy” means a radiological examination utilizing fluorescence for the observation of the transient image.
NOTE

Authority cited: Sections  100275 and 114870(a), Health and Safety Code. Reference: Sections 106965, 107110, 114870(b), (c) and (e), Health and Safety Code.
HISTORY

1. Renumbering of former section 30400 to new section 30400.40, including amendment of Note, filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30400.60. Mammographic Examination.
Note     •     History

“Mammographic examination” means the performance of mammography on a human being.
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 106995, 114845, 114870(b) and (c), Health and Safety Code.
HISTORY

1. New section filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30400.85. Radiography.
Note     •     History

“Radiography” means the recording of static images on any suitable medium by passing X-rays through portions of the human body, and includes one or more of the following:
(a) Positioning the patient.
(b) Selecting exposure factors.
(c) Exposing the patient and the recording medium to X-rays.
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 106965, 106975, 107045, 107110, 114850, 114870(b), (c) and (e), Health and Safety Code.
HISTORY

1. Renumbering of former section 30401 to new section 30400.85, including amendment of Note, filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30400.95. X-ray Bone Densitometry.
Note     •     History

“X-ray bone densitometry” means a radiologic examination of all or part of the skeleton utilizing X-rays from an X-ray source which is mechanically ganged to a detector for scanning all or part of the skeleton under computer control.
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 106965, 107045 and 114870(c), Health and Safety Code.
HISTORY

1. Renumbering of former section 30401.6 to new section 30400.95, including amendment of Note, filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30401. Radiography.
Note     •     History

NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668, Health and Safety Code.
HISTORY

1. Renumbering of former section 30401 to new section 30400.85 filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30401.6. X-ray Bone Densitometry.
Note     •     History

NOTE

Authority cited: Section 114870(a), Health and Safety Code. Reference: Section 114870(c), Health and Safety Code.
HISTORY

1. New section filed 9-15-97 as an emergency; operative 9-15-97 (Register 97, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-13-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-15-97 order, including amendment of section heading and section, transmitted to OAL 1-8-98 and filed 2-24-98 (Register 98, No. 9).
3. Renumbering of former section 30401.6 to new section 30400.95 filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
Article 2. Special Permits
§30402. Special Permits.
Note

(a) To obtain a special permit an applicant shall have on file with the Department a complete application.
(b) The Department considers an application for a special permit complete if all of the following conditions have been met:
(1) Application is made on forms furnished by the Department.
(2) Fee is paid pursuant to Section 30408.
(3) The application is accompanied by:
(A) A statement from a licentiate of the healing arts who holds a certificate or permit issued pursuant to Sections 30466 or 30467 attesting that efforts to employ a Certified Radiologic Technologist were unsuccessful.
(B) A copy of a notice of employment opportunity for a radiologic technologist in a local newspaper or periodical for the position for which the special permit is being sought.
(4) The Department ascertains, by reviewing X-ray machine registration records, that no other medical X-ray facility capable of providing the same radiologic health care that would be delivered at the applicant's facility is available in the locality where the special permit is being sought.
(c) Special permits shall be issued for a period of time not to exceed one year.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25670, Health and Safety Code.
Article 3. Requirements for Continuing Education Performance, and Renewal of Certificates and Permits
§30403. Requirements for Continuing Education and Performance of Mammographic Examinations.
Note     •     History

(a) Each individual certified or permitted pursuant to sections 30440, 30444, and/or 30451 shall, in the two years immediately preceding the expiration date of the certificate or permit, earn 24 approved continuing education credits, except that each individual who is certified pursuant to sections 30440(a) and 30455.1 shall meet the requirements of subsection (c).
(b) Each individual certified or permitted pursuant to sections 30466 and 30467 shall, in the two years immediately preceding the expiration date of the certificate or permit, earn 10 approved continuing education credits.
(c) Each individual certified pursuant to sections 30440(a) and 30455.1 shall, in the two years immediately preceding the expiration date of the certificate or permit:
(1) Earn 24 approved continuing education credits, 10 of which shall be in mammography; and
(2) Perform at least 200 mammographic examinations.
(d) The two-year period referred to in subsections (a), (b) and (c) and in section 30403.5 shall begin on the expiration date of the certificate or permit:
(1) In the year 2001 for individuals with a certificate or permit that ends in an odd number; and
(2) In the year 2002 for individuals with a certificate or permit that ends in an even number.
NOTE

Authority cited: Sections 100275 and 114870(a) Health and Safety Code. Reference: Sections 106965, 106995, 107015, 107070, 107110, 114840, 114845, 114870(b), (c) and (e), Health and Safety Code.
HISTORY

1. Amendment of article 3 heading and repealer and new section heading, section and Note filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30403.5. Renewal Procedures.
Note     •     History

Each individual seeking renewal of a certificate or permit issued pursuant to this subchapter shall:
(a) At least 30 calendar days prior to the expiration date on the certificate or permit, submit to the Department a complete application for renewal consisting of the applicant's name, mailing address, telephone number, and certificate or permit type and number.
(b) Every two years, submit to the Department the following information for each approved continuing education credit as required by section 30403 subsections (a), (b) and (c)(1):
(1) The identity of the group listed in section 30400.5 that has accepted the instruction;
(2) The provider of the instruction;
(3) The title, if any, of the instruction;
(4) The date(s) of the instruction; and
(5) The location of the instruction;
(c) Submit to the Department an attestation every two years of having completed mammographic examinations as required pursuant to section 30403 subsection (c)(2); and
(d) Pay the fee as required by section 30408.
NOTE

Authority cited: Sections 100275 and 114870(a) Health and Safety Code. Reference: Sections 106965, 106995, 107015, 107070, 107110, 114840, 114845, 114870(b), (c) and (e), Health and Safety Code.
HISTORY

1. New section filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30403.8. Recordkeeping Requirement.
Note     •     History

Each individual certified or permitted pursuant to this subchapter shall maintain the document(s) that evidence the individual having earned approved continuing education credits and/or completing mammographic examinations for five years following the dates the credits were earned and/or the mammographic examinations were completed. Such document(s) shall be made available to the Department upon request.
NOTE

Authority cited: Sections 100275 and 114870(a) Health and Safety Code. Reference: Sections 106965, 106995, 107015, 107035, 107070, 107110, 114840, 114845, 114870(b), (c) and (e), Health and Safety Code.
HISTORY

1. New section filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
Article 4. Display of Certificates and Permits
§30404. Display.
Note

(a) Any radiologic technologist who holds a certificate pursuant to Section 30440 or a fluoroscopy permit pursuant to Section 30451 shall prominently display such certificate or permit, or a copy thereof, at each place where the technologist performs activities which require a radiologic technologist certificate or permit.
(b) Any limited permittee who holds a permit pursuant to Section 30444 shall prominently display such permit, or a copy thereof, at each place where the limited permittee performs functions which require a limited permit.
(c) Any licentiate who holds a certificate or permit pursuant to Sections 30466 or 30467 shall prominently display such certificate or permit, or a copy thereof, at each place of practice where the licentiate performs activities which require a licentiate certificate or permit.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25671 and 25699, Health and Safety Code.
Article 5. Deadlines
§30405. Deadlines.
Note

(a) For purposes of this subchapter:
(1) Submission of an application or information, documents, or fees supporting an application shall be deemed to occur on the date the application, information, documents, or fees are received by the Department.
(2) An application is considered complete when all documents, information, or fees required to be submitted on or with the application have been received by the Department, and the applicant has passed required examinations.
(3) Written notification by the Department to applicants shall be deemed to occur on the date the notifications are postmarked.
(b) The Department shall notify the applicant, within 30 calendar days of submission of an application for any certificate or permit issued under this subchapter, of one of the following:
(1) That the application is complete and the Department's decision regarding the application.
(2) That the application is not accepted for filing and what specific information, documentation or fee the applicant shall submit within 30 calendar days in order for the Department to consider the application acceptable.
(3) That the application is acceptable and what examinations the applicant shall pass within 180 calendar days in order to complete the application.
(c) The Department shall deem an application to have been withdrawn by any applicant who fails to:
(1) Within 30 calendar days of notification pursuant to subsection (b), respond to the Department's request to submit specific information, documentation or fee, or
(2) Within 180 calendar days of notification pursuant to subsection (b), pass Department-approved examinations.
(d) Any applicant deemed by the Department to have withdrawn an application pursuant to paragraph (c) may reapply by submitting a new application.
(e) The Department's time periods for processing an application, from the date the initial application is received by the Department to the date the application is complete and the final decision is made regarding any certificate or permit issued under this subchapter are as follows:
(1) The median time for processing an application is 90 calendar days.
(2) The minimum time for processing an application is one day.
(3) The maximum time for processing an application is 240 calendar days.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 15376, Government Code.
Article 6. Change of Name and Address
§30406. Change of Name and Address.
Note     •     History

Each individual certified or permitted pursuant to this subchapter shall report to the Department any change of name or mailing address within 30 calendar days of the change.
NOTE

Authority cited: Sections 100275 and 114870(a) Health and Safety Code. Reference: Sections 106965, 107015, 107110, 114870(b), (c) and (e), Health and Safety Code.
HISTORY

1. New article 6 (section 30406) and section filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
Article 7. Fees
§30408. Fees.
Note     •     History

(a) For any certificate or permit issued pursuant to this subchapter in accordance with the Radiologic Technology Act (Health and Safety Code section 27(f)), the application fee shall be $85.00 for licentiates and $75.00 for technologists and limited permittees. If required to pass an examination to obtain the certificate or permit, the examination fee shall be $75.00 for each examination administered by the Department or as specified by the entities or organizations designated by the Department to administer Department-approved examinations.
(b) The fee for repeating an examination failed within the previous 12 months shall be $75.00 per examination.
(c) Each individual applying to renew a certificate or permit shall pay an annual renewal fee of $35.00. The renewal fee shall be collected biennially and such fee shall be twice the annual renewal fee.
(d) The fee for a duplicate certificate or permit shall be $1.09.
(e) The penalty fee for renewal of any expired certificate or permit shall be $5.44 and shall be in addition to the fee for renewal.
(f) Failure to pay the annual fee for renewal on or before the expiration date of the certificate or permit shall automatically suspend the certificate or permit. If the annual renewal fee is not paid within six months following such date, the certificate or permit shall be revoked. A certificate or permit revoked for nonpayment of the renewal fee may be reinstated within five years from the time of revocation upon payment of the penalty fee specified in subsection (e) plus twice the annual renewal fee specified in subsection (c). If the application for reinstatement is not made within five years from the date of suspension of the certificate or permit, the certificate or permit shall be canceled and shall not be subject to reinstatement.
(g) Each person applying to be an approved school of radiologic technology shall pay an application fee of $1,175.00 with the application for approval.
(h) Each approved school of radiologic technology shall, on or before the anniversary of the effective date of approval, pay a fee of $190.00 and, for each physical location where clinical education is given, a fee of $110.00
(i) Each person approved as a limited permit X-ray technician school pursuant to sections 30424, 30425, 30427, or 30427.2 that requests approval to provide training in a new limited permit category as specified in sections 30442 and 30443 shall pay an application fee of $430.00 with the application for approval.
(j) Any school failing to pay the annual fees by the anniversary of the effective date of the approval shall immediately cease operations requiring Department approval until such time as the annual fees and a late fee of 25 percent of the annual fees has been paid.
(k) Fees required by this section shall be nonrefundable.
NOTE

Authority cited: Sections 100275, 114870 and 115000, Health and Safety Code. Reference: Sections 107080, 107085, 107090, 107095 and 107100, Health and Safety Code.
HISTORY

1. Amendment filed 3-7-78; effective thirtieth day thereafter (Register 78, No. 10).
2. Amendment of subsections (a)-(f), and adoption of subsections (g), (h), and Note filed 11-1-93 as an emergency; operative 11-1-93 (Register 93, No. 45).  A Certificate of Compliance must be transmitted to OAL by 3-1-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-1-93 order transmitted to OAL 2-24-94; disapproved by OAL 4-7-94 (Register 94, No. 27).
4. Amendment of subsections (a)-(f) and new subsections (g)-(h) and Note  refiled 7-6-94 as an emergency; operative 7-6-94 (Register 94, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-3-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-6-94 order transmitted to OAL 6-30-94 and filed 7-20-94 (Register 94, No. 29).
6. Amendment of section and NOTE filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
Article 8. Authorization to X-Ray Technicians to Perform Digital Radiography
§30410. Authorization to X-Ray Technicians to Perform Digital Radiography.
Note     •     History

(a) Any individual holding a current and valid limited permit in the following categories, as defined in section 30443, may perform digital radiography within their respective scopes of practice if the individual has completed 20 hours or more of the instruction specified in section 30410.2: 
(1) Chest radiography. 
(2) Extremities radiography. 
(3) Gastrointestinal radiography. 
(4) Genitourinary radiography. 
(5) Leg-podiatric radiography. 
(6) Skull radiography. 
(7) Torso-skeletal radiography. 
(b) To be eligible for authorization pursuant to subsection (a), the individual shall submit the following to the department: 
(1) Name and permit number as specified on the individual's limited permit issued by the Department; and 
(2) Documentation that the individual has completed the instruction in digital radiologic technology specified in section 30410.2 from a: 
(A) Diagnostic radiologic technology school approved by the Department as meeting the requirements of section 30421; 
(B) Limited permit X-ray technician school approved by the Department as meeting the requirements of section 30424; or 
(C) Provider whose continuing education activity pertaining to the subject areas specified in section 30410.2 is designated as “Category A” credit by an organization approved by the American Registry of Radiologic Technologists as a Recognized Continuing Education Evaluation  Mechanism. 
(c) Completion of the instruction specified in section 30410.2 shall be considered 20 approved continuing education credits for purposes of complying with section 30403 only if the credit is identified in accordance with section 30403.5(b). 
NOTE

Authority cited: Sections 114870, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 106995, 114840, 114845 and 114870, Health and Safety Code. 
HISTORY

1. New article 8 (sections 30410-30140.2) and section filed 2-14-2008; operative 3-15-2008 (Register 2008, No. 7).
§30410.2. Instruction in Digital Radiologic Technology.
Note     •     History

(a) Instruction in digital radiologic technology shall be no less than 20 hours in length and shall include all of the following: 
(1) Basic principles of digital radiography addressing digital image characteristics, types of digital receptors in cassette-less systems and cassette-based systems, comparison of detector properties and evaluative criteria, and dynamic range versus latitude; 
(2) Image acquisition addressing raw data acquisition, and image extraction and exposure indicators in cassette-less and cassette-based systems; 
(3) Image acquisition errors addressing exposure field recognition, histogram analysis error, low intensity radiation response, scatter control such as coning and use of optimal exposures, and grid use including Moiré effect; 
(4) Software (default) image processing addressing automatic rescaling, final image processing, effects of excessive processing, and recognition of image processing errors that affect image clarity; 
(5) Fundamental principles of exposure addressing optimal receptor exposure, receptor response and detective quantum efficiency, selection of exposure factors, exposure myths associated with digital imaging systems, controlling patient exposure, monitoring patient exposure; 
(6) Image evaluation addressing evidence of appropriate exposure level and exposure recognition failure or histogram analysis error, contrast, recorded detail, and artifacts;
(7) Quality assurance and maintenance issues addressing initial acceptance testing, cassette-based system reader preventive maintenance, plate maintenance, uniformity of default processing codes, and reject analysis; and 
(8) Image display issues to include types of viewing monitors as compared to film/screen, picture archiving and communication systems, teleradiology, and operator responsibilities such as image annotation and manipulation, and patient confidentiality. 
NOTE

Authority cited: Sections 114870, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 106995, 114840, 114845 and 114870, Health and Safety Code. 
HISTORY

1. New section filed 2-14-2008; operative 3-15-2008 (Register 2008, No. 7).
Group 2. Training of Students of Radiologic Technology
Article 1. General
§30420. Application Procedure.
Note     •     History

Applicants seeking approval of a school or a course of study in radiologic technology shall submit to the Department all of the following:
(a) An application on forms furnished by the Department.
(b) Documents which explain the nature and extent of education and training to be offered.
(c) Course descriptions, curricula plans, and study plans.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25668(d) and 25686, Health and Safety Code.
HISTORY

1. New Group 2 (Articles 1-7, Sections 30420-30436, not consecutive) filed 8-21-85; effective thirtieth day thereafter (Register 85, No. 34). For prior history, see Registers 78, No. 10; 72, No. 32; 72, No. 26; 71, No. 25; 71, No. 17 and 71, No. 16.
Article 2. Radiologic Technology Schools
§30421. Diagnostic Radiologic Technology Schools.
Note     •     History

(a) In order to be approved by the Department as a diagnostic radiologic technology school, a training facility shall include in its curriculum all requirements of subsections (b) through (g), inclusive, of this section.
(b) The course of study shall meet at least the following:
(1) 520 hours of formal classroom instruction.
(2) 50 hours of general radiographic laboratory.
(3) 75 hours of positioning laboratory.
(4) 25 hours of radiation protection laboratory.
(5) 1850 hours of supervised clinical education.
(c) The classroom instruction shall include at least the following: 

		Subject	Hours of Instruction

	(1) Radiation protection pertaining to radiography	 50
	(2) Introduction to radiologic technology 	 5
	(3) Professional ethics 	 5
	(4) Anatomy and physiology 	 50
	(5) Medical terminology 	 15
	(6) Physics and electricity 	 40
	(7) Principles of radiographic exposure 	 30
	(8) Film/image receptor processing (theory and equipment) 	 10
	(9) Survey of diseases 	 10
	(10) Nursing procedures 	 15
	(11) Pediatric radiography 	 10
	(12) Procedures involving contrast media 	 80
	(13) Departmental administrative and office procedures 	 5
	(14) Equipment and accessory care 	 5
	(15) Radiographic positioning 	 70
	(16) Film critique 	 80
	(17) Senior student seminar 	 20

	(18) Digital radiologic technology as specified in 
	 section 30410.2 	 20
	
(d) In the general radiographic laboratory each student shall perform experiments, using phantoms, to illustrate at least the following:
(1) X-ray output (effects of kilovoltage, milliamperage, filtration, distance, and heel effect).
(2) Radiographic contrast--subject and film (kilovoltage, filtration, scatter radiation, film type and speed, exposure, processing).
(3) Control of scatter radiation (collimation, field size accuracy, X-ray/light-field congruence, grids, air gap technique)
(4) Intensifying screens (type and speed, screen-film contact, cassette types).
(5) Image sharpness (penumbra, inverse square law, source and subject-film distance, size of the focal spot, motion, magnification and distortion).
(6) Quality control experiments.
(e) In the positioning laboratory each student shall:
(1) Position simulated patients for routine X-ray procedures to illustrate different patient care situations.
(2) Perform on phantoms X-ray procedures to illustrate the selection of exposure factors, proper positioning, film and other image receptor processing/developing techniques.
(f) In the radiation protection laboratory each student shall perform experiments to illustrate at least all of the following:
(1) Methods of reducing dose per exposure to patient (limiting exposure field, use of filters, optimum kilovoltage techniques, film-intensifying screen combinations, gonadal shielding, source-film distance).
(2) Reduction of dose to personnel (shielding, such as X-ray tube housing and primary protective barriers, protection against secondary or scatter radiation).
(3) Safe practice for protection of personnel (monitoring, use of protective shielding and distance in portable work, use of protective clothing).
(g) In the supervised clinical education each student shall perform or assist in the performance of not less than the following number of radiographic procedures: 

		Procedures 	Number   

	(1) Chest 	 200
	(2) Bony skeleton 	 400
	(3) Gastrointestinal and genitourinary 	 200
	(4) Vascular and contrast studies 	 50
	(5) Special studies and X-ray imaging modalities 	 50
	(6) Bedside and surgical 	 50
	
(h) Each training facility approved as a diagnostic radiologic technology school shall meet and maintain all standards set forth in this section. Failure of an applicant to meet any of these standards shall be grounds for denial of approval. Failure of an approved diagnostic radiologic technology school to maintain any of these standards shall be grounds for suspension or revocation of approval. 
NOTE

Authority cited: Sections 114870, 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 107045 and 114870(d), Health and Safety Code.
HISTORY

1. Amendment of subsection (b)(1), new subsection (c)(18) and amendment of Note filed 2-14-2008; operative 3-15-2008 (Register 2008, No. 7).
§30422. Therapeutic Radiologic Technology Schools.
Note

(a) In order to be approved by the Department as a therapeutic radiologic technology school, a training facility shall include in its curriculum all requirements of subsections (b) through (g), inclusive, of this section.
(b) The course of study shall meet at least all of the following: 
(1) 455 hours of formal classroom instruction.
(2) 15 hours of general radiographic laboratory.
(3) 60 hours of physics and radiation protection laboratory.
(4) 75 hours of radiotherapy laboratory.
(5) 1500 hours of supervised clinical education.
(c) The classroom instruction shall include at least the following: 

		Subject 	Hours of Instruction

	(1) Radiation protection pertaining to 
	  radiation therapy 	 50
	(2) Introduction and orientation 	 5
	(3) Professional ethics 	 5
	(4) Anatomy and physiology 	 50
	(5) Medical terminology 	 10
	(6) Physics of radiation therapy 	 85
	(7) Mathematics 	 15
	(8) Pathology 	 25
	(9) Nursing procedures 	 25
	(10) Radiobiology and chemotherapy 	 25
	(11) Principles of radiation therapy 	 25
	(12) Technical radiation therapy and treatment planning 	 55
	(13) Intercavitary and interstitial therapy 	 25
	(14) Principles of radiography 	 35
	(15) Senior student seminar 	 20
	
(d) In the general radiographic laboratory each student shall perform experiments, using phantoms, to illustrate at least the following:
(1) X-ray output (effects of kilovoltage, milliamperage, filtration, distance).
(2) Radiographic contrast (kilovoltage, filtration, scatter, film type, exposure, processing).
(3) Control of scatter (collimation, grids).
(4) Intensifying screens (type, screen-film contact, cassette).
(5) Sharpness (penumbra, inverse square law, source and phantom-film distance, size of the focal spot, motion, magnification and distortion).
(e) In the physics and radiation protection laboratory each student shall perform experiments that will illustrate at least all of the following:
(1) Method of reducing dose to the patient (shutters, cones, collimators, filters, optimum exposure techniques, optimum film and screen use, gonadal shielding, source-film distance).
(2) Reduction of dose to personnel (shielding of the X-ray tube and treatment room, protection against secondary radiation, monitoring, protective clothing).
(3) Quality control procedures:
(A) Identification of parts of basic therapy equipment.
(B) Functions of various types of therapy equipment.
(C) Methods of calculating dosage throughout the irradiated area. 
(D) Use of computer in treatment planning.
(E) Calibration of therapy equipment and use of ionization chambers.
(F) Care and safe operation of equipment (testing for safety, interlocks, shutters, communication and viewing systems, erratic operation of machinery, daily inspection and routine maintenance, emergency procedures).
(G) Handling of radioactive materials (use of radiation measuring devices, area surveys, wipe and leak tests, storage and disposal, emergency decontamination).
(f) In the radiotherapy procedures laboratory each student shall: 
(1) Manipulate treatment and simulator units.
(2) Operate darkroom equipment and accessories, including automatic processor.
(3) On simulated patients and phantoms, position and select exposure factors for routine localization procedures such as chest, abdomen, head and neck, and pelvis.
(4) Position simulated patients and phantoms for treatment of chest, pelvis and abdomen.
(g) During the supervised clinical education each student shall perform or assist in performing radiation therapy procedures involving the following:
(1) Head and neck.
(2) Central nervous system.
(3) Respiratory system.
(4) Digestive system.
(5) Reproductive system.
(6) Urinary system.
(7) Endocrine system.
(8) Circulatory system.
(9) Reticulo-endothelial system.
(10) Skin.
(11) Soft tissue.
(12) Pediatric.
(13) Metastases.
(h) Each training facility approved as a therapeutic radiologic technology school shall meet and maintain all standards set forth in this section. Failure of an applicant to meet any of these standards shall be grounds for denial of approval. Failure of an approved therapeutic radiologic technology school to maintain any of these standards shall be grounds for suspension or revocation of approval. 
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25668(d) and 25686, Health and Safety Code.
Article 3. Radiologic Technologist Fluoroscopy Permit Schools
§30423. Radiologic Technologist Fluoroscopy Permit Schools.
Note

(a) In order to be approved by the Department as a radiologic technologist fluoroscopy permit school, a school shall offer a course of study that includes in its curriculum all requirements of subsections (b) and (c) of this section.
(b) The classroom instruction shall include at least the following: 

 	Subject 	Hours of Instruction 

	(1) Fluoroscopy regulations and radiation safety 	 10 
	(2) Fluoroscopy equipment 	 5 
	(3) X-ray image intensifiers 	 4 
	(4) Television, including closed circuit equipment 	 4 
	(5) Image recording and image recording equipment 	 6 
	(6) Special fluoroscopy equipment 	 5 
	(7) Mobile image intensified units 	 2 
	(8) Anatomy and physiology of the eye 	 2 
	(9) Three-dimensional and radiological anatomy 	 2 
	
(c) At least 15 hours of laboratory in which each student shall conduct experiments on phantoms to illustrate at least the following:
(1) Methods of reducing dose to patients during fluoroscopy procedures.
(2) Methods of reducing exposure to self and personnel.
(3) Image recording during the exposure of phantom.
(4) Quality control of fluoroscopy equipment.
(d) Each training facility approved as a radiologic technology fluoroscopy permit school shall meet and maintain all standards set forth in this section. Failure of an applicant to meet any of these standards shall be grounds for denial of approval. Failure of an approved radiologic technology fluoroscopy permit school to maintain any of these standards shall be grounds for suspension or revocation of approval.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25668(d) and 25686, Health and Safety Code.
Article 4. Limited Permit X-Ray Technician Schools
§30424. Limited Permit X-Ray Technician Schools Teaching the Chest, Extremities, Gastrointestinal, Genitourinary, Leg-Podiatric, Skull, or Torso-Skeletal Categories.
Note     •     History

(a) An applicant for approval as a Limited Permit X-ray Technician School teaching chest, extremities, gastrointestinal, genitourinary, leg-podiatric, skull, or torso-skeletal categories shall require that each student who graduates from the school complete, for each limited permit category, the following course of study, within 24 months of beginning the course of study, and the supervised clinical education within one consecutive period of 12 months during that 24 month period:
(1) One hundred forty (140) hours of formal classroom education for each limited permit category, which shall include the following:

 	Subject	Hours of Instruction

	(A) Radiation protection and safety 	 50
	(B) Radiological physics 	 15

	(C) X-ray technical factors 	 15
	(D) Equipment operation and care 	 10

	(E) Darkroom and film processing 	 10
	(F) Medical terminology 	 5
	(G) Medical ethics 	 1
	(H) Nursing procedures 	4
	(I) Film critique 	 5
	(J) Anatomy and physiology 	 5
	(K) Digital radiologic technology as specified in 
	 section 30410.2 	 20
	
(2) For each category, the following hours of specialized classroom instruction in anatomy and physiology, and positioning:

	Category	Hours of Instruction

	(A) Chest 	 10
	(B) Extremities 	 20
	(C) Gastrointestinal 	 20
	(D) Genitourinary 	 10
	(E) Leg-podiatric 	 10
	(F) Skull 	 30
	(G) Torso-skeletal 	 30
	
(3) Fifteen (15) hours of radiation protection laboratory during which each student shall conduct experiments that demonstrate:
(A) Methods of reducing dose per exposure to patient.
(B) Methods of reducing dose to personnel.
(4) Ten (10) hours of general radiographic laboratory during which each student shall conduct experiments that demonstrate:
(A) Effects of kilovoltage, milliamperage, filtration, distance, and heel effect on radiographic contrast and detail.
(B) Control of scatter.
(C) Quality control.
(5) Supervised clinical education for each category during which each student shall perform or assist in the performance of the following number of radiographic procedures:

 	Category 	Number of Procedures

	(A) Chest 	 100
	(B) Extremities 	 100
	(C) Gastrointestinal 	 100
	(D) Genitourinary 	 100
	(E) Leg-podiatric 	 50
	(F) Skull 	 100
	(G) Torso-skeletal 	 200
	
NOTE

Authority cited: Sections 114870(a), 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 106975, 107045, 114850, 114870(c) and (d) and 114880, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (b)(2)(E) (Register 2000. No. 1).
2. Amendment of section heading, section and Note filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
3. Amendment of subsections (a)(1) and (a)(1)(A), new subsection (a)(1)(K) and amendment of Note filed 2-14-2008; operative 3-15-2008 (Register 2008, No. 7).
§30425. Limited Permit X-Ray Technician Schools Teaching the Dental Laboratory Category.
Note     •     History

(a) An applicant for approval as a limited permit X-ray technician school teaching the Dental Laboratory category shall require that each student who graduates from the school complete the following course of study within 24 months of beginning the course of study, and the supervised clinical education within one consecutive period of 12 months during that 24 month period:
(1) One hundred and twenty (120) hours of formal classroom education, extending over a period of no less than six months, which shall include the following:

 	Subject 	Hours of Instruction

	(A) Radiation protection and safety 	 30
	(B) Radiological physics 	 15
	(C) X-ray technical factors 	 15
	(D) Equipment operation and care 	 10
	(E) Darkroom, dental and medical film processing 	 10
	(F) Professional ethics and hygienic procedures 	 4
	(G) Cephalometrics 	 16
	(H) Terminology 	 5
	(I) Film critique 	 5
	(J) Computers and image formation	10
	
(2) Forty-five (45) hours of specialized instruction in: 

 	Subject 	Hours of Instruction

	(A) Intra-oral anatomy and physiology, and positioning 	 20
	(B) Extra-oral anatomy and physiology, and positioning 	 20
	(C) Anatomy of the hand and wrist, and positioning for 
	dental bone age determination 	 5
	
(3) Twenty-five (25) hours of laboratory during which each student shall perform experiments using phantoms that demonstrate:
(A) Methods of reducing dose per exposure to the patient and operator.
(B) Effects of kilovoltage, milliamperage, filtration and distance on radiographic contrast and detail.
(C) Quality control.
(4) Supervised clinical education during which each student shall perform or assist in the performance of the following number of radiographic procedures:

 	Procedures 	Minimum Number

	(A) Peri-apical survey (consisting of at least 14 films) 	 100
	(B) Bitewing survey (consisting of at least four films) 	 50
	(C) Occlusal, mandible and maxilla 	 50
	(D) Cephalometrics 	 100
	(E) Mandible, lateral view 	 50
	(F) Panographic 	 50
	(G) Temporo-mandibular joints 	 20
	(H) Dental bone age studies 	 20
	
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 106975, 107045, 114850, 114870(c) and (d) and 114880, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30426. Photofluorographic Chest X-Ray Technician Courses of Study.
Note     •     History

NOTE

Authority cited: Section 114870(a), Health and Safety Code. Reference: Sections 114870(c), 114870(d) and 107045, Health and Safety Code.
HISTORY

1. Repealer of section and amendment of Note filed 11-24-98; operative 12-24-98 (Register 98, No. 48).
§30427. Limited Permit X-Ray Technician Schools Teaching the Dermatology X-Ray Therapy Category.
Note     •     History

An applicant for approval as a limited permit X-ray technician school teaching the dermatology X-ray therapy category shall require that each student who graduates from the school complete the following course of study within 12 months of beginning the course of study:
(a) Thirty hours (30) of formal classroom education, which shall include the following: 

 	Subject 	Hours of Instruction

	(1) Radiation protection and safety 	 5
	(2) Biological effects of radiation 	 5
	(3) Radiological physics and equipment 	 10
	(4) Structure and function of the skin 	 2
	(5) Application of X-rays to dermatology 	 8
	
(b) Supervised clinical education during which each student shall assist or perform procedures on at least the following malignancies: Basal cell carcinoma, squamous carcinoma, and mycosis fungoides.
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 106975, 107045, 114850, 114870(c) and (d) and 114880, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
§30427.2. Limited Permit X-Ray Technician Schools Teaching the X-Ray Bone Densitometry Category.
Note     •     History

An applicant for approval as a limited permit X-ray technician school teaching the X-ray bone densitometry category shall require that each student who graduates from the school complete the following course of study within 12 months of beginning the course of study:
(a) Eighteen (18) hours of formal classroom education consisting of the following:

Subject	Hours of Instruction

(1) Radiation physics, biology, and protection	3
(2) Bone biology, bone disease and therapy, and 
 densitometry parameters	3
(3) X-ray bone densitometry equipment	4
(4) Computers and image formation	3
(5) Anatomy and positioning	4
(6) Ethics and patient handling	1
(b) Four (4) hours of laboratory training during which each student shall perform experiments using phantoms and evaluate images.
(c) Supervised clinical education during which each student shall perform the following number of radiographic procedures:

	  Procedure	Number

	(1) Posterior/Anterior spine	5
	(2) Hip	5
	(3) Extremity	10
	
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 106975, 107045, 114850, 114870(c) and (d) and 114880, Health and Safety Code.
HISTORY

1. New section filed 9-15-97 as an emergency; operative 9-15-97 (Register 97, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-13-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-15-97 order, including amendment of section heading and section, transmitted to OAL 1-8-98 and filed 2-24-98 (Register 98, No. 9).
3. Amendment of section heading, section and Note filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
Article 5. On-the-Job Training for X-Ray Technicians
§30428. Approval of On-the-Job Training.
Note     •     History

(a) In order to be approved by the Department as an on-the-job training program, the supervisor and operator and the prospective student of radiologic technology shall submit to the Department an application for each limited permit category on forms furnished by the Department.
(b) The application for approval shall include a training schedule for each limited permit category applied for.
(c) The standards for approval of on-the-job training programs shall be those standards required of approved schools for limited permits as outlined in Sections 30424 and 30425 or for limited permit courses of study as outlined in Section 30427.
(d) Limited permit categories for on-the-job training programs shall be restricted to the categories listed in Section 30442.
(e) Each approved on-the-job training program shall meet and maintain all applicable standards set forth in this section and in Sections 30424, 30425 and 30427. Failure of an applicant to meet the applicable standards shall be grounds for denial of approval. Failure of an approved on-the-job training program to maintain any of the applicable standards shall be grounds for suspension or revocation of approval.
NOTE

Authority cited: Section 114870(a), Health and Safety Code. Reference: Section 114875, Health and Safety Code.
HISTORY

1. Amendment of subsections (c) and (e) and Note filed 11-24-98; operative 12-24-98 (Register 98, No. 48).
Article 6. Notification
§30435. Notification Requirements.
Note

Within 30 days after any of the following, an official of an approved school, course of study, or on-the-job training program shall, on forms furnished by the Department, inform the Department of:
(a) Change in facility location or telephone number.
(b) Change in course offerings.
(c) Change of program director or faculty.
(d) Change of affiliation agreements.
(e) Names and addresses of students who have been dismissed, suspended or who have voluntarily withdrawn from the clinical education.
(f) Names and addresses of students who have graduated.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668, Health and Safety Code.
Article 7. Disciplinary Action
§30436. Standards for Suspension or Revocation of Approval.
Note     •     History

(a) Approval of any school or on-the-job training program, which has been granted pursuant to section 30420 or 30428, may be revoked, suspended, limited or conditioned for any of the following reasons:
(1) Violation of any provision of the Radiologic Technology Act, as defined in Health and Safety Code section 27, or any regulation promulgated pursuant thereto; or
(2) If, at any time, fewer than 75% of the Department-approved examinations referenced in sections 30440, 30444, 30451 and 30455.1 and administered in the previous five years to graduates of the school have received a passing score.
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 107045, 114840, 114870(b)-(d), 114875 and 114880, Health and Safety Code. 
HISTORY

1. Repealer and new section heading, section and Note filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
Article 8. Additional School Requirements and Recordkeeping
§30437. Additional School Requirements and Recordkeeping.
Note     •     History

(a) A school approved pursuant to section 30420 shall:
(1) Issue to each student who graduates or who successfully completes a required course of study, a certificate or diploma, which includes:
(A) The student's name;
(B) The name or the category listed in section 30442 or course of study completed by the student;
(C) The date(s) of attendance;
(D) The number of the certificate issued by the Department to the school; and
(E) The signature of the school's chief executive officer, dean or department administrator.
(2) Within 30 days of discontinuance of the school:
(A) Notify the Department of how all records kept pursuant to subsection (b) will be preserved and surrender the school approval certificate to the Department; or
(B) Notify the Department, transmit all records required to be kept pursuant to subsection (b) to the Department and surrender the school approval certificate to the Department.
(3) Within 30 days of discontinuance of instruction in any limited permit category notify the Department.
(b) Each school approved pursuant to section 30420 and each on-the-job training program approved pursuant to 30428 shall retain for at least five years:
(1) Records of attendance;
(2) Proof of participation in clinical education;
(3) Proof of performance of laboratory procedures;
(4) Certificates or diplomas issued; and
(5) Program transcripts.
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Sections 107000, 107045, 114850, 114870(c) and (d) and 114880, Health and Safety Code. 
HISTORY

1. New article 8 (section 30437) and section filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
Group 3. Certificates for Radiologic Technologists and Permits for Limited Permit X-Ray Technicians
Article 1. Certification of Technologists
§30440. Issuance of Certificates.
Note     •     History

To obtain a radiologic technology certificate an applicant shall have on file with the Department an application as described in Section 30441, and in addition:
(a) For the diagnostic radiologic technology certificate, shall pass Department-approved examinations in:
(1) Diagnostic radiation protection and safety, and
(2) Diagnostic radiologic technology.
(b) For the therapeutic radiologic technology certificate, shall pass Department-approved examinations in:
(1) Therapeutic radiation protection and safety, and
(2) Therapeutic radiologic technology.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25668(b) and 25677, Health and Safety Code.
HISTORY

1. New Group 3 (Articles 1 and 2, Sections 30440-30447) filed 8-21-85; effective thirtieth day thereafter (Register 85, No. 34). For prior history, see Registers 78, No. 10; 72, No. 32; 72, No. 26; and 71, No. 16.
§30441. Acceptable Applications.
Note     •     History

The Department considers an application for a radiologic technologist certificate acceptable if all of the following conditions have been met:
(a) Application is made on forms furnished by the Department.
(b) Fee is paid pursuant to Section 30408.
(c) Appropriate radiologic technologist school graduation diploma or certificate is submitted.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25675, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 11-1-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
Article 2. Permits for Limited Permit X-Ray Technicians
§30442. Categories.
Note     •     History

The categories for limited permits are:
(a) Chest radiography.
(b) Dental laboratory radiography.
(c) Dermatology X-ray therapy.
(d) Extremities radiography.
(e) Gastrointestinal radiography.
(f) Genitourinary radiography.
(g) Leg-podiatric radiography.
(h) Skull radiography.
(i) Torso-skeletal radiography.
(j) X-ray bone densitometry.
NOTE

Authority cited: Section 114870(a), Health and Safety Code. Reference: Section 114870(c), Health and Safety Code.
HISTORY

1. New subsection (k) and amendment of Note filed 9-15-97 as an emergency; operative 9-15-97 (Register 97, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-13-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-15-97 order, including amendment of subsection (k), transmitted to OAL 1-8-98 and filed 2-24-98 (Register 98, No. 9).
3. Repealer of subsection (h) and subsection relettering filed 11-24-98; operative 12-24-98 (Register 98, No. 48).
§30443. Scopes.
Note     •     History

The scope of each limited permit is as follows:
(a) Chest radiography permit: radiography of the heart and lungs. 
(b) Dental laboratory radiography permit: radiography of the intra-oral cavity, skull, and hand and wrist, for dental purposes.
(c) Dermatology X-ray therapy permit: application of X-ray to human beings for the treatment of diseases and tumors of the skin.
(d) Extremities radiography permit: radiography of the upper extremities, including shoulder girdle, and lower extremities, excluding pelvis.
(e) Gastrointestinal radiography permit: radiography of the esophagus, stomach, small and large intestine, and biliary tract.
(f) Genitourinary radiography permit: radiography of the kidneys, ureters, urinary bladder, urethra, and internal and external genitalia.
(g) Leg-podiatric radiography permit: radiography of the knee, tibia and fibula, and ankle and foot.
(h) Skull radiography permit: radiography of the bone and soft tissues of the skull and upper neck.
(i) Torso-skeletal radiography permit: radiography of the shoulder girdle, rib cage and sternum, vertebral column, pelvis and hip joints.
(j) X-ray bone densitometry permit: radiography of the total skeleton or part thereof, using X-ray bone densitometry.
NOTE

Authority cited: Section 114870(a), Health and Safety Code. Reference: Section 114870(c), Health and Safety Code.
HISTORY

1. New subsection (k) and amendment of Note filed 9-15-97 as an emergency; operative 9-15-97 (Register 97, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-13-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-15-97 order, including amendment of subsection (k), transmitted to OAL 1-8-98 and filed 2-24-98 (Register 98, No. 9).
3. Repealer of subsection (h) and subsection relettering filed 11-24-98; operative 12-24-98 (Register 98, No. 48).
§30444. Issuance of Limited Permits.
Note

To obtain any of the limited permits described in Section 30442 an applicant shall fulfill all of the following conditions:
(a) Have on file with the Department an application, as described in Section 30445, for each permit applied for, and
(b) Pass Department approved examinations in:
(1) Radiation protection and safety, for each permit category applied for, and
(2) Radiologic technology, for each permit category applied for.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25668(c) and 25675, Health and Safety Code.
§30445. Acceptable Applications.
Note     •     History

The Department considers an application for a limited permit acceptable if all of the following conditions have been met:
(a) The following is submitted to the Department:
(1) The legal name, mailing address, and telephone number of the applicant;
(2) The applicant's social security number (pursuant to the authority found in sections 131050, 131051, 131200 and 114870 of the Health and Safety Code and as required by section 17520 of the Family Code, providing the social security number is mandatory. The social security number will be used for purposes of identification); and
(3) Identification of the permit category for which the individual is applying.
(b) Fee is paid pursuant to Section 30408.
(c) For each permit requested an applicant submits any of the following:
(1) A limited permit X-ray technician school graduation diploma or certificate in the limited permit category applied for.
(2) A statement, signed by the supervisor and operator who provided the training, attesting that the applicant has completed Department-approved on-the-job training in the limited permit category applied for.
(3) A resume showing that education, training, and clinical experience is equivalent to the limited permit X-ray technician school curriculum in the limited permit category applied for.
(d) For authorization to perform procedures involving digital radiography upon issuance of the limited permit pursuant to section 30444, documentation is submitted showing completion of instruction in digital radiologic technology specified in section 30410.2 from any entity specified in section 30410(b)(2).
NOTE

Authority cited: Sections 114870, 131050, 131051 and 131200, Health and Safety Code. Reference: Section 106995, Health and Safety Code.
HISTORY

1. Repealer and new subsection (a), new subsections (a)(1)-(3), amendment of subsection (c)(1), new subsection (d) and amendment of Note filed 2-14-2008; operative 3-15-2008 (Register 2008, No. 7).
§30445.1. Acceptable Applications: X-ray Bone Densitometry.
Note     •     History

All persons authorized by the Department to perform X-ray bone densitometry as of September 1, 1997, who make application for limited permit in the category of X-ray bone densitometry on or before September 1, 1998, shall be deemed to have met the requirements of sections 30444(b) and 30445(c) for the purpose of making application for a limited permit in the category of X-ray bone densitometry.
NOTE

Authority cited: Section 114870(a), Health and Safety Code. Reference: Section 114870(c), Health and Safety Code.
HISTORY

1. New section filed 9-15-97 as an emergency; operative 9-15-97 (Register 97, No. 38). A Certificate of Compliance must be transmitted to OAL by 1-13-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-15-97 order, including amendment of section heading and section, transmitted to OAL 1-8-98 and filed 2-24-98 (Register 98, No. 9).
§30446. Title.
Note     •     History

No person other than an individual to whom the Department has issued a limited permit described in section 30442 shall use the title “X-ray Technician” or “XT.”
NOTE

Authority cited: Sections 100275 and 114870(a), Health and Safety Code. Reference: Section 106990, Health and Safety Code.
HISTORY

1. Repealer and new section and amendment of Note filed 6-26-97; operative 7-26-97 (Register 97, No. 26).
§30447. Restrictions.
Note     •     History

(a) Limited permits issued pursuant to section 30444 exclude authorization to:
(1) Operate fluoroscopy equipment during exposure of a patient to X-rays.
(2) Operate portable or mobile X-ray equipment.
(3) Perform procedures involving computerized tomography.
(4) Perform mammography procedures.
(5) Perform vascular procedures.
(6) Perform procedures involving scanned projection radiography (digital radiography or digital tomography), or digital fluorography.
(b) Exclusions listed in subsections (a)(2) and (a)(6) shall not apply to individuals who possess a current and valid limited permit in X-ray Bone Densitometry, issued pursuant to section 30444.
(c) The exclusions listed in subsection (a)(6) shall not apply to individuals who possess a current and valid limited permit in Dental Laboratory Radiography, issued pursuant to section 30444.
(d) The exclusion listed in subsection (a)(6) shall not apply to individuals who have been issued:
(1) Authorization to perform digital radiography pursuant to section 30410.
(2) A limited permit pursuant to section 30444 indicating the individual has met the requirements of section 30410.
NOTE

Authority cited: Sections 114870(a), 131050, 131051 and 131200, Health and Safety Code. Reference: Sections 106965, 106975, 114845, 114850, 114870(c), 114875 and 114880, Health and Safety Code. 
HISTORY

1. Amendment of section and Note filed 10-29-2001; operative 11-28-2001 (Register 2001, No. 44).
2. New subsections (d)-(d)(2) and amendment of Note filed 2-14-2008; operative 3-15-2008 (Register 2008, No. 7).
Group 4. Use of Fluoroscopy Equipment by Radiologic Technologists
Article 1. Radiologic Technologist Fluoroscopy Permits
§30450. Permit Requirement.
Note     •     History

A radiologic technologist fluoroscopy permit issued by the Department shall be required of any technologist who exposes a patient to X-rays in a fluoroscopy mode, or who does one or more of the following during fluoroscopy of a patient:
(a) Positions the patient.
(b) Positions the fluoroscopy equipment.
(c) Selects exposure factors.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25668(c) and 25675, Health and Safety Code.
HISTORY

1. New Group 4 (Article 1, Sections 30450-30452) filed 8-21-85; effective thirtieth day thereafter (Register 85, No. 34). For prior history, see Register 78, No. 10.
§30451. Issuance of Technologist Fluoroscopy Permits.
Note

To obtain a radiologic technologist fluoroscopy permit an applicant shall fulfill all of the following:
(a) File with the Department an application as described in Section 30452, and
(b) Pass Department-approved examinations in:
(1) Fluoroscopy radiation protection and safety, and
(2) Use of fluoroscopy and ancillary equipment.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Sections 25668(c) and 25675, Health and Safety Code.
§30452. Acceptable Applications.
Note

The Department considers an application for a radiologic technologist fluoroscopy permit acceptable if all of the following conditions have been met:
(a) Application is made on forms furnished by the Department.
(b) Fee is paid pursuant to Section 30408.
(c) The technologist submits one of the following:
(1) A copy of technologist fluoroscopy school graduation diploma or certificate.
(2) A resume showing that education, training and experience is equivalent to that of the radiologic technologist fluoroscopy school curriculum as specified in Section 30423.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25675, Health and Safety Code. 
Group 4.5 Use of Mammography Equipment by Radiologic Technologists
Article 1. Mammographic Technology Certificates
§30455.1. Issuance of a Mammographic Radiologic Technology Certificate.
Note     •     History

(a) To obtain  a Mammographic Radiologic Technology Certificate an applicant shall hold a valid and current Diagnostic Radiologic Technology Certificate issued pursuant to Section 30440(a) and shall comply with all of the following:
(1) File with the Department a complete application on the Department form entitled “Application for a Certificate in Radiologic Technology”, Form DHS 8200 (6/96);
(2) Submit a fee pursuant to Section 30408;
(3) Submit evidence of having been awarded a mammographic radiologic technology school graduation diploma or certificate; and
(4) Pass a Department examination in mammography technology, including radiation protection and mammography quality assurance.
(b) The following may be substituted for the requirement in subsection (a)(3) with respect to applications filed prior to July 1, 2000:
(1) Advanced certification in mammography issued to the applicant by the American Registry of Radiologic Technologists; or
(2) Evidence of having completed 40 hours of continuing education in mammography courses.
NOTE

Authority cited: Sections 100275 and 114870, Health and Safety Code. Reference: Sections 114840, 114845 and 114870, Health and Safety Code.
HISTORY

1. New group 4.5, article 1, and section filed 11-1-93 as an emergency; operative 11-1-93 (Register 93, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-93 order transmitted to OAL 2-24-94; disapproved by OAL 4-7-94 (Register 94, No. 27).
3. New group 4.5, article 1 and section refiled with amendments 7-6-94 as an emergency; operative 7-6-94 (Register 94, No. 27). A Certificate of Compliance must be transmitted to OAL by 11-3-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-6-94 order transmitted to OAL 6-30-94 and filed 7-20-94 (Register 94, No. 29).
5. Amendment of subsections (a)(1), (a)(2), (b) and (b)(2), repealer of subsection (b)(3) and amendment of subsection (c) and Note filed 7-26-96 as an emergency; operative 7-26-96 (Register 96, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-25-96 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of subsection (b) (Register 96, No. 49).
7. Certificate of Compliance as to 7-26-96 order transmitted to OAL 11-1-96 and filed 12-2-96 (Register 96, No. 49).
8. Amendment of subsection (b) and repealer of subsection (c) filed 7-29-98; operative 8-28-98 (Register 98, No. 31).
Group 5. Certification of Licentiates
Article 1. Licentiate Certificates and Permits
§30460. Licentiate Certificate.
Note     •     History

The certificate category for licentiates of the healing arts is: Radiology supervisor and operator.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code.
HISTORY

1. New Group 5 (Article 1, Sections 30460-30468) filed 8-21-85; effective thirtieth day thereafter (Register 85, No. 34). For prior history, see Registers 78, No. 10; 72, No. 26 and 71, No. 41.
§30461. Licentiate Permits.
Note

The permit categories for licentiates of the healing arts are:
(a) Fluoroscopy supervisor and operator.
(b) Radiography supervisor and operator.
(c) Dermatology supervisor and operator.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code.
§30462. Radiology Certificate.
Note

A radiology supervisor and operator certificate issued by the Department shall be required of any licentiate of the healing arts who practices as a radiologist.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code.
§30463. Fluoroscopy Permits.
Note

A fluoroscopy supervisor and operator permit issued by the Department shall be required of any licentiate of the healing arts who does one or more of the following:
(a) Actuates or energizes fluoroscopy equipment.
(b) Directly controls radiation exposure to the patient during fluoroscopy procedures.
(c) Supervises one or more persons who hold radiologic technologist fluoroscopy permits pursuant to Section 30451.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code.
§30464. Radiography Permits.
Note

A radiography supervisor and operator permit issued by the Department shall be required of any licentiate of the healing arts who does one or more of the following:
(a) Actuates or energizes radiography X-ray equipment.
(b) Supervises one or more persons who hold radiologic technologist certificates pursuant to Section 30440(a).
(c) Supervises one or more persons who hold limited permits pursuant to Section 30444.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code.
§30465. Dermatology Permits.
Note

A dermatology supervisor and operator permit issued by the Department shall be required of any licentiate of the healing arts who practices dermatology and who uses X-ray therapy equipment for the treatment of diseases and tumors of the skin.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code.
§30466. Issuance of Licentiate Certificates or Permits.
Note

To obtain a licentiate certificate or any licentiate permit an applicant shall have on file with the Department an application as described in Section 30468, and in addition:
(a) For obtaining a fluoroscopy supervisor and operator permit, shall pass a Department approved examination in fluoroscopy radiation protection and safety, and use and supervision of use of fluoroscopy and ancillary equipment.
(b) For obtaining a radiography supervisor and operator permit, shall pass a Department approved examination in radiography radiation protection and safety, and use and supervision of use of radiography and ancillary equipment.
(c) For obtaining a dermatology supervisor and operator permit, shall pass a Department approved examination in dermatology radiation protection and safety, and application and supervision of application of X-rays for treating diseases and tumors of the skin.
(d) For obtaining a radiology supervisor and operator certificate, shall pass examinations specified in subsections (a) and (b) of this section, unless qualified for a certificate pursuant to Section 30467.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code.
§30467. Certification of Qualified Licentiates.
Note

An applicant who is certified by the American Board of Radiology or the American Osteopathic Board of Radiology, upon submission of an application, fee and documentary evidence of board certification, shall be issued a radiology supervisor and operator certificate.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25699.1, Health and Safety Code.
§30468. Acceptable Applications.
Note

The Department considers an application for a licentiate certificate or permit acceptable if:
(a) Application is made on forms furnished by the Department.
(b) Fee is paid pursuant to Section 30408, and
(c) Evidence is provided that the applicant has one of the following valid California healing arts licenses:
(1) Physician and surgeon.
(2) Osteopathic physician and surgeon.
(3) Podiatrist.
(4) Chiropractor.
NOTE

Authority cited: Section 25668(a), Health and Safety Code. Reference: Section 25668(e), Health and Safety Code. 
Group 7. Requirements for Land Disposal of Radioactive Waste
Article 1. Applicable Federal Regulations
§30470. Low-Level Radioactive Waste Disposal.
Note     •     History

The regulations governing low-level radioactive waste in the U.S. Government Code of Federal Regulations (CFR), Title 10, Code of Federal Regulations Part 61, as published in the Federal Register on June 22, 1993 (58 Fed. Reg. 33886) are hereby adopted by reference with the following exceptions:
(a) The Department of Health Services shall be substituted in all cases where Commission, Office of Nuclear Material Safety and Safeguards or U.S. Nuclear Regulatory Commission are cited and the Department of Industrial Relations shall be substituted in all cases where the U.S. Department of Labor is cited.
(b) The following sections are deleted: 61.4, 61.5, 61.8, 61.23(i), 61.23(j).
NOTE

Authority cited: Sections 100275, 115010, 115230 and 115235, Health and Safety Code. Reference: Section 115010, Health and Safety Code.
HISTORY

1. New Group 7 (Articles 1-8, Sections 30470-30499, not consecutive) filed 4-5-84 as an emergency; effective upon filing (Register 84, No. 14). No Certificate of Compliance required to be filed with OAL pursuant to Health and Safety Code Section 25812.
2. Editorial correction of HISTORY NOTE No. 1 and reprinting of Group 7 (Articles 1-8, Sections 30470-30499, not consecutive) which was inadvertently deleted in Register 85, No. 34. The text of Group 7 as filed with the Secretary of State on 4-5-84 remains in effect uninterrupted (Register 85, No. 45).
3. Amendment of first paragraph and Note filed 3-16-99; operative 4-15-99 (Register 99, No. 12).
§30471. Transfer for Disposal, Manifests and Record Keeping.
Note     •     History

The regulations governing the transfer of radioactive materials and manifests in Title 10, Code of Federal Regulations, Parts 20.2006, 61.12(n), 61.80(f) and (l), as published in the March 27, 1995 Federal Register (60 Fed. Reg. 15649) are hereby incorporated by reference.
NOTE

Authority cited: Sections 100275, 115010, 115230 and 115235, Health and Safety Code. Reference: Section 115010, Health and Safety Code.
HISTORY

1. Amendment of section heading, section and Note filed 6-17-99; operative 7-17-99 (Register 99, No. 25).
Article 2. General
§30473. Definitions.
Note

(a) “Debt” means the obligations of the licensee or the named owner thereof which are fixed as to amount and which give the obligee rights as to assets of the licensee or any portion thereof which are superior to the rights of the licensee.
(b) “Equity” means the total book value of tangible and intangible assets which exceeds the amount of debt.
(c) “Letter of Acceptance” means a confirmation by the applicant that it agrees to be the license designee and commits itself to perform in accordance with statements, representations and procedures contained in its application.
(d) “Reasonable cost” means a cost which is reasonable if, in its nature or amount, does not exceed that which would be incurred by a prudent person under the circumstances prevailing at the time the decision was made to incur the cost.
NOTE

Authority cited: Sections 208 and 25812(b), Health and Safety Code. Reference: Section 25812(b), Health and Safety Code.
Article 3. Proprietary Documents
§30475. Proprietary Documents.
Note

All documents submitted pursuant to the instructions in this group which are proprietary, private or confidential shall be so identified by the applying license designee or licensee as appropriate.
NOTE

Authority cited: Sections 208 and 25812(b), Health and Safety Code. Reference: Section 25812(b), Health and Safety Code. 
Article 4. Selection of License Designee
§30477. Application for Selection as License Designee.
Note

(a) Application for designation shall be made to the Department and shall be accompanied by a filing fee of ten thousand dollars.
(b) The application for designation shall contain all of the following:
(1) The information described in Title 10, Code of Federal Regulations, Part 61.11 and 61.12, as published in the December 28, 1982 Federal Register (Vol. 27, No. 248), except 61.11(c)(1), (2) and (3) and 61.12(a), (h) and (i).
(2) A description of any limitation in the site design which would restrict the receipt for disposal of low-level waste due to radiation levels, waste form, waste class or waste packaging.
(3) A description of the natural and demographic characteristics which will be emphasized in selection of the disposal site, including geologic, hydrologic, meteorologic, climatologic and biotic features of the disposal site and vicinity.
(4) A plan for community involvement in the site selection and development process, including brief descriptions of the applicant's experience with waste disposal or other developments requiring community involvement.
(5) The financial information called for in Title 10, Code of Federal Regulations, Parts 61.15, 61.61, 61.62, 61.63, as published in the December 28, 1982 Federal Register (Vol. 27, No. 248); a description of the sources of financing, the terms of financing; the filing of a financial pro forma; and revenue documentation.
(6) An estimate in 1984 dollars of the charges to be levied on waste received for disposal. The estimate shall assume the following:
(A) A preoperational period of five years, commencing in August 1984.
(B) An operating period of 20 years.
(C) A closure period of five years.
(D) Administrative controls extending for 100 years following the operating period.
(E) A site capacity of 250,000 cubic meters.
(F) A waste mix as described for Region 4 in Table D.9 “Untreated” Waste Volumes Projected to be Generated to the Year 2000 per Region (m3), U.S. Nuclear Regulatory Commission, Draft Environmental Impact Statement on 10 CFR Part 61 NUREG-0782, Volume 3, September 1981.
NOTE

Authority cited: Sections 208, 25812.5(c) and 25812.5(e), Health and Safety Code. Reference: Sections 25812.5(c) and (e), Health and Safety Code.
§30479. Standards for Selecting the License Designee.
Note

(a) The applicants shall be ranked in accordance with the degree to which their application demonstrates their ability to:
(1) Meet the financial standards and qualifications by reason of training, experience and character to carry out the disposal operations;
(2) Provide the best concept for site development and operation as required by Title 10, Code of Federal Regulations, Part 61.23, as published in the December 28, 1982 Federal Register (Vol. 27, No. 248) except that information which would pertain only to a specific site;
(3) Present an effective program to deal with concerns of the public regarding establishment of a low-level radioactive waste disposal site; and
(4) Establish, based on estimates, a reasonable schedule of charges for disposal of low-level radioactive waste.
NOTE

Authority cited: Sections 208 and 25812.5(c), Health and Safety Code. Reference: Section 25812.5(c), Health and Safety Code.
§30481. Acceptance by License Designee.
Note

(a) The applicant ranked highest pursuant to Section 30479 shall, within five days of notification of its ranking, either:
(1) File a letter of acceptance, post a performance bond of one million dollars in favor of the Department and pay the annual license fee; or
(2) File a letter withdrawing their application.
(b) In the event that the highest ranked applicant withdraws its application, the next highest ranked applicant shall follow the processes set forth in Section 30481(a).
NOTE

Authority cited: Sections 208 and 25812.5(c), Health and Safety Code. Reference: Section 25812.5(c), Health and Safety Code.
Article 5. Forfeiture of Performance Bond
§30483. Standards for Forfeiture of the Performance Bond.
Note

(a) The performance bond posted pursuant to Section 30481 shall be forfeited upon:
(1) Declaration of insolvency or voluntary reorganization under the bankruptcy laws, or
(2) Failure to maintain the promised schedule and such failure is not the result of an act of God or Departmentally caused delay and the license designee cannot provide assurance that this delay will be remedied without jeopardizing the overall project schedule.
(3) Failure to comply with requirements of this group, or
(4) Failure to pay the performance bond premium 30 days prior to its expiration.
(b) Upon the issuance of the operating license the licensee shall be relieved of its obligation to maintain the performance bond.
NOTE

Authority cited: Sections 208 and 25812.5(f), Health and Safety Code. Reference: Section 25812.5(f), Health and Safety Code.
Article 6. Fees
§30485. License Fee.
Note

The license designee or the licensee shall pay an annual license fee of two-hundred fifty thousand dollars.
NOTE

Authority cited: Sections 208 and 25812(d), Health and Safety Code. Reference: Section 25812(d), Health and Safety Code.
Article 7. Financial Assurances
§30487. Additional Licensee Requirements and Financial Assurances.
Note

(a) The licensee shall retain a certified public accounting firm approved by the Department for the purpose of making reports and audits of the operation of the low-level radioactive waste disposal site.
(b) An unqualified audit statement shall be prepared annually with respect to all matters which bear upon the license designee's or the licensee's ability to operate pursuant to the Letter of Acceptance or license. The unqualified annual audited statement shall be submitted to the Department no later than three months after the end of the license designee's or licensee's fiscal year in each year following the filing of the Letter of Acceptance, or issuance of the license.
(c) No security interest in the site shall be executed by the licensee without the consent of the Department which would give a creditor any right to stop the operation of the site.
NOTE

Authority cited: Sections 208 and 25812(b), Health and Safety Code. Reference: Section 25812(b), Health and Safety Code.
§30489. Funding for Disposal Site Closure and Stabilization.
Note

(a) Funding for the approved plan for closure and stabilization shall be obtained from a closure surcharge of ten percent of the disposal charges levied by the licensee on disposers of low-level radioactive waste.
(b) The surcharge shall be deposited, within thirty days following collection, with a trustee approved by the Department, in a fund which shall be known as the Low-Level Radioactive Waste Disposal Site Closure Trust Fund. All balances in the fund shall be invested by the trustee in accordance with the investment standards set forth in Government Code, Section 16408.2.
(c) The amount of the financial assurance mechanism, Title 10, Code of Federal Regulations, Part 61.62, as published in the December 28, 1982 Federal Register (Vol. 27, No. 248), shall change as necessary to take into account both the increased costs of closure and the available balance in the Low-Level Radioactive Waste Disposal Site Closure Trust Fund. Changes in costs caused by inflation shall be calculated using an inflation factor derived from the annual Implicit Price Deflator for Gross National Product as published by the U.S. Department of Commerce in its Survey of Current Business. The inflation factor is calculated by dividing the latest published annual Deflator by the Deflator for the previous year.
(d) Payment for site closure and stabilization shall be made from the Low-Level Radioactive Waste Disposal Site Closure Trust Fund. Upon filing a petition to close, a licensee or any other person authorized to perform closure shall request payment for closure expenditures by submitting itemized bills to the trustee. The trustee is authorized to pay those bills which the trustee finds to be in accord with the approved plan and shall make reports of the expenditures to the Department quarterly in the first 12 months of closure and annually thereafter.
NOTE

Authority cited: Sections 208 and 25812(b), Health and Safety Code. Reference: Section 25812(b), Health and Safety Code.
§30491. Liability Insurance.
Note

The licensee shall carry nuclear liability insurance of no less than ten million dollars for both sudden and accidental or slow and gradual contamination to people or property off site.
NOTE

Authority cited: Sections 208 and 25812(b), Health and Safety Code. Reference: Section 25812(b), Health and Safety Code.
Article 8. Rate Review and Approval Process
§30493. Establishment and Approval of Rates.
Note

(a) The licensee shall establish a schedule of rates for waste disposal subject to approval by the Department.
(b) The rates for disposing of waste shall remain in effect for no less than two years from the effective date of the rates and shall be subject to review by the Department biennially.
(c) Any proposal to establish or change disposal rates shall be made to the Department by the licensee or a waste generator.
NOTE

Authority cited: Sections 208 and 25812.7, Health and Safety Code. Reference: Section 25812.7, Health and Safety Code.
§30495. Calculation of the Rate Schedule.
Note

(a) The rate schedule shall be determined by dividing the total rate base, as calculated pursuant to Section 30495(c), by the sum of the estimated or actual amounts of all classes of waste received.
(b) Twenty-two months following establishment of the rate schedule, the licensee shall furnish the Department with the actual monthly disposal volumes by class compared with those assumed for that year.
(c) The rate base shall be calculated by analyzing the following components:
(1) Amortization on a straight-line basis, over a 20 year operating period, of costs incurred prior to the start of site operations. Costs shall include:
(A) Site acquisition costs, including but not limited to acquiring the land for the low-level radioactive disposal site and deeding the land to the State;
(B) Licensing costs, including but not limited to the costs associated with initial site selection, and the development of any plans, reports, designs, manuals and schedules necessitated by this group;
(C) Site development costs, including but not limited to grading, development of roads, installation of fencing and lighting, or installation of a system of wells and air monitors;
(D) Administrative costs, incurred during the time between approval of the Letter of Acceptance and licensure that have not been included in prior items.
(2) Depreciation on a twenty year straight-line basis of all buildings and equipment used in the operation of the disposal site and not including those costs specified in Section 30495(c)(1).
(3) Site operating costs consisting of those necessary and reasonable costs incurred during the daily operations of the disposal site.
(A) Costs applicable to services, facilities, equipment or supplies furnished to the licensee by organizations related to the licensee by common ownership or control are includable as site operating costs for the purpose of rate determination at the actual cost to the related organization.
(B) Fines or penalties are not includable as site operating costs in the rate base.
(4) The actual interest costs for any necessary short-term or long-term debt provided that the borrowed funds were devoted to the disposal site.
(5) A return factor specified by the licensee.
NOTE

Authority cited: Sections 208 and 25812.7, Health and Safety Code. Reference: Section 25812.7, Health and Safety Code.
§30497. Rate Review Documentation.
Note

(a) For the purpose of verifying the rate base upon which rates have been proposed or established, including any rate base changes affecting the calculating of proposed rates, the licensee shall supply the following reports:
(1) Semiannual reports of all costs specified in Section 30495(c) incurred prior to the issuance of the license.
(2) An annual financial report which includes data used or proposed to be used by the licensee in the calculation of the rate base and/or rates for disposal of waste. This report shall be due within three (3) months of the licensee's fiscal year.
(3) The books and records supporting the reports referred to in this section shall be maintained in a form capable of and subject to review and audit by the Department.
(4) All contracts made by the licensee which require payments by the licensee of five percent or more of the latest annual reported gross revenue shall require that an independent audit report be made available to the Department.
NOTE

Authority cited: Sections 208 and 25812.7, Health and Safety Code. Reference: Section 25812.7, Health and Safety Code.
§30499. Adjustment of Rate Schedule.
Note

If the actual volumes differ by five percent or more from the estimated total for the twenty-two month period, the rates shall be adjusted on the biennial review date to reflect the over- or under-estimation.
NOTE

Authority cited: Sections 208 and 25812.7, Health and Safety Code. Reference: Section 25812.7, Health and Safety Code.
Subchapter 4.6. Nuclear Medicine Technology
Article 1. Definitions
§30500. Certified Technologist, Nuclear Medicine.
Note     •     History

“Certified technologist, nuclear medicine” means a person who holds a current certificate issued pursuant to Section 30532.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Government Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24). For history of former Section 30500, See Register 84, No. 43.
§30501. Direct Supervision.
Note     •     History

“Direct supervision” means that the supervisor is physically present in the same room with the certified technologist, nuclear medicine, special permit holder or student of nuclear medicine technology at the time the nuclear medicine technology procedure is being performed.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. Renumbering of former Section 30501 to Section 30690 and new Section 30501 filed 6-6-88; operative 7-6-88 (Register 88, No. 24). 
§30502. General Supervision.
Note     •     History

(a) “General Supervision” means that the supervisor is responsible for, and has control of, all of the following:
(1) Quality, technical and medical aspects of all nuclear medicine technology procedures.
(2) Radiation health and safety of patients, ancillary personnel and other persons.
(3) Ascertaining that certified technologists, nuclear medicine, maintain their competency by participation in management-sponsored or formal continuing education or training offered by professional organizations or societies, or by institutions of higher learning.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24). For prior history, see Register 84, No. 43.
2. Amendment of subsection (a)(3) filed 8-3-94; operative 9-2-94 (Register 94, No. 31).
§30503. In Vitro Test.
Note     •     History

“In vitro test” means a nuclear medicine technology procedure in which the radioactive material is not administered to a human being.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25625 and 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30504. In Vivo Test.
Note     •     History

“In vivo test” means a nuclear medicine technology procedure in which the radioactive material is administered to a human being.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25625 and 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30505. Licensed Clinical Bioanalyst.
Note     •     History

“Licensed clinical bioanalyst” means a person who holds a current license issued pursuant to Section 1260 of the California Business and Professions Code to practice clinical laboratory bioanalysis.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code; and Section 1260, Business and Professions Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30506. Nuclear Medicine Physician.
Note     •     History

“Nuclear medicine physician” means a physician and surgeon who is authorized by a specific radioactive material license issued pursuant to Section 30195 of this title to use radioactive material for diagnosis and treatment of disease in human beings.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30507. Nuclear Medicine Technology Procedures.
Note     •     History

(a) “Nuclear medicine technology procedure” means procedures utilizing radioactive material for the diagnosis and treatment of disease in human beings, and include, but are not limited to, one or more of the following:
(1) Administration of radioactive material to human beings for diagnostic purposes.
(2) Withdrawal of blood samples for an in vitro test.
(3) Oral administration of radioactive material to human beings for therapeutic purposes.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25625 and 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30508. Special Permit.
Note     •     History

“Special permit” means a permit issued pursuant to Section 30541.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30509. Student of Nuclear Medicine Technology.
Note     •     History

“Student of nuclear medicine technology” means a person who has started and is in good standing in a course of instruction which, if successfully completed, would permit the person to receive a certificate in nuclear medicine technology issued pursuant to Section 30532.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30510. Supervisor.
Note     •     History

“Supervisor” means a nuclear medicine physician, or, when performing in vitro tests, a physician and surgeon or a licensed clinical bioanalyst.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25625 and 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24). For prior history, see Register 68, No. 20.
Article 2. Certification of Nuclear Medicine Technologists
§30520. Competency Criteria.
Note     •     History

(a) To meet the competency criteria for basic education in nuclear medicine technology, an applicant shall have successfully completed college level instruction in at least the following:
(1) Human anatomy and physiology.
(2) Physics.
(3) Mathematics
(4) Medical terminology.
(5) Oral and written communications.
(6) General chemistry.
(7) Medical ethics.
(8) Methods of patient care.
(9) Radiation safety and protection.
(10) Nuclear medicine physics.
(11) Radiation physics.
(12) Nuclear instrumentation.
(13) Statistics.
(14) Radionuclide chemistry.
(15) Radiopharmacology.
(16) Department organization and function.
(17) Radiation biology.
(18) Nuclear medicine in vivo and in vitro tests.
(19) Radionuclide therapy.
(20) Computer applications.
(b) To meet the competency criteria for laboratory instruction in nuclear medicine technology, an applicant shall have successfully completed college level instruction and training in at least the following:
(1) Collimators--sensitivity versus resolution.
(2) Survey instruments--composition, function, calibration and use.
(3) Gamma ray spectrometry--composition, function and use.
(4) Nuclear generators and dose calibration.
(5) Preparation of radioactive material for nuclear medicine technology procedures.
(6) Radioactive material waste handling techniques.
(c) To meet the competency criteria for clinical experience in nuclear medicine technology, an applicant shall have successfully performed at least all of the following:
(1) Fifty in vitro tests.
(2) Participation in ten oral administrations of radioactive material to human beings for therapeutic purposes.
(3) Ten of each of the following nuclear medicine technology procedures.
(A) Brain imaging and cisternography.
(B) Bone imaging.
(C) Thyroid imaging.
(D) Cardiac imaging.
(E) Pulmonary imaging.
(F) Gastrointestinal imaging.
(G) Genitourinary imaging.
(H) Great vessel imaging.
(I) Tumor and abscess imaging.
(4) Ten of each of the following in vivo tests:
(A) Thyroid uptake.
(B) Blood volume.
(C) Schilling test (B-12).
(5) Ten administrations of radioactive material to human beings for the purpose of performing nuclear medicine technology procedures after having received instruction in all of the following:
(A) Pertinent anatomy and physiology of all possible venipuncture sites.
(B) Choice of instruments, intravenous solutions, and equipment.
(C) Proper puncture techniques.
(D) Techniques of intravenous line establishment.
(E) Hazards and complications of venipuncture.
(F) Post-puncture care.
(G) Composition and purpose of antianaphylaxis tray.
(H) First aid and instruction in basic cardiopulmonary resuscitation.
(I) Care of specimen.
(6) Ten withdrawals of blood samples for in vitro tests.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24). For prior history, see Register 68, No. 20.
§30521. Supervision Requirements.
Note     •     History

(a) Certified technologists, nuclear medicine, special permit holders, and students of nuclear medicine technology shall be under:
(1) General supervision when performing nuclear medicine technology procedures.
(2) Direct supervision when performing oral administration of radioactive material to human beings for therapeutic purposes.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
Article 3. Administration
§30530. Acceptable Applications.
Note     •     History

(a) The Department considers an application for a certificate in nuclear medicine technology acceptable if all of the following conditions have been met:
(1) Application is made on a Nuclear Medicine Technology Certificate Application form DHS 8435 (7/87) furnished by the Department.
(2) Fee is paid pursuant to Section 30535.
(3) Documentation provided with the application establishes that the applicant's basic education, laboratory instruction and clinical experience meet at least the competency criteria set forth in Section 30520.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24). For prior history, see Register 68, No. 23.
§30531. Application Process and Deadlines.
Note     •     History

(a) Submission of an application, documents, information, or fees supporting the application for any certificate or special permit issued under this subchapter shall be deemed to occur on the date the application, documents, information, or fees are received by the Department.
(1) An application is considered complete when all documents, information, or fees required to be submitted on or with the application have been received by the Department, and the applicant has passed any required examination.
(2) Written notification by the Department to applicants shall be deemed to occur on the date the notification is postmarked.
(b) The Department shall notify the applicant, within 30 calendar days of submission of the application for any certificate or special permit issued under this subchapter, of one of the following:
(1) That the application is complete and the Department's decision regarding the application.
(2) That the application is not accepted for filing and what specific documents, information, or fees the applicant shall submit within 30 calendar days in order for the Department to consider the application acceptable.
(3) That the application is acceptable and what examination the applicant shall pass in order to complete the application.
(c) The Department shall notify the applicant, within 60 calendar days of the date of any examination required by subsection (b)(3) of the results of the examination.
(d) The Department shall deem an application for a certificate or special permit issued under this subchapter to have been withdrawn by the applicant who fails to:
(1) Within 30 calendar days of notification, pursuant to subsection (b), respond to the Department's request to submit specific documentation, information, or fees; or
(2) Within 180 calendar days of notification pursuant to subsection (b), pass any required examination.
(e) Any applicant deemed by the Department to have withdrawn an application pursuant to subsection (d) may reapply by submitting a new application.
(f) The Department's time periods for processing an application, from the date the initial application is received by the Department to the date the application is complete and the final decision is made regarding a certificate or special permit issued under this subchapter are as follows:
(1) The median time for processing an application is 90 calendar days.
(2) The minimum time for processing an application is one day.
(3) The maximum time for processing an application is 240 calendar days.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 15376, Government Code; and Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30532. Issuance of Certificates.
Note     •     History

(a) To obtain a certificate in nuclear medicine technology an applicant shall have on file with the Department an acceptable application as described in Section 30530, and
(1) Pass an examination in nuclear medicine technology administered by the Department, or
(2) Submit documentary evidence of having passed an examination equivalent to that administered by the Department and offered by one of the following:
(A) Nuclear Medicine Technology Certification Board.
(B) American Registry of Radiologic Technologists.
(C) American Society of Clinical Pathologists.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30533. Scopes of Certificates.
Note     •     History

(a) Certificates shall be issued for one or more of the following:
(1) Diagnostic in vivo and in vitro tests involving measurement of uptake, dilution, or excretion, including venipuncture, but not involving imaging.
(2) Diagnostic nuclear medicine technology procedures involving imaging, including venipuncture.
(3) Use of generators and reagent kits for preparation of radioactive material.
(4) Internal radioactive material therapy.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
2. Amendment of subsections (a)(1)-(2) and repealer of subsection (a)(5) filed 8-3-94; operative 9-2-94 (Register 94, No. 31).
§30534. Title.
Note     •     History

No person other than individuals to whom the Department has issued a certificate in nuclear medicine technology shall use the title “Certified Technologist, Nuclear Medicine” or “CTNM.”
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25626, 25629 and 25631, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30535. Fees.
Note     •     History

(a) Each individual applying for a certificate in nuclear medicine technology shall pay an application fee of $153.00.
(b) Each individual applying for a special permit in nuclear medicine technology shall pay an application fee of $183.00.
(c) Each individual repeating a failed examination shall pay a fee of $75.00 per examination.
(d) The fee for replacement of a certificate in nuclear medicine technology shall be $12.00.
(e) Each individual applying for renewal of a certificate in nuclear medicine technology shall pay a renewal application fee of $175.00.
(f) Any individual who fails to pay the renewal application fee by the expiration date of the certificate shall immediately cease performance of duties requiring a certificate in nuclear medicine technology until such time as the fee and a late fee of 25 percent of the annual renewal application fee has been paid.
(g) Fees required by this section shall be nonrefundable.
NOTE

Authority cited: Sections 100275 and 107160, Health and Safety Code. Reference: Section 107160, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
2. Amendment of section and NOTE filed 6-22-2005 as an emergency; operative 6-22-2005 (Register 2005, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-20-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-22-2005 order transmitted to OAL 9-20-2005 and filed 10-18-2005 (Register 2005, No. 42).
§30536. Renewal Procedures.
Note     •     History

(a) Certificates issued pursuant to Section 30532 shall expire five years from the date of issuance.
(b) Applications for renewal of each certificate shall be:
(1) Made on a Nuclear Medicine Technology Certificate Renewal form DHS 8437 (4/88) furnished by the Department.
(2) Accompanied by fee paid pursuant to Section 30535.
(3) Filed with the Department at least 60 days prior to the expiration date of each certificate.
(c) The Department considers an application for renewal of a certificate in nuclear medicine technology complete if the following conditions have been met.
(1) Documentation submitted with the application establishes that the applicant has participated in management-sponsored or formal continuing education or training offered by one or more of the following:
(A) Professional organizations or societies.
(B) Institutions of higher learning.
(2) The applicant's education and training includes at least five clock hours since the last certificate renewal or initial application in each of the scopes specified in Section 30533 for which the certificate was issued.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30537. Notification Requirements.
Note     •     History

(a) Every person who holds a current certificate issued pursuant to Section 30532 shall report to the Department any change of name or mailing address within 30 days of the change.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
Article 4. Exemptions and Enforcement
§30540. Students of Nuclear Medicine Technology.
Note     •     History

The provisions of Section 30532 shall not apply to students of nuclear medicine technology when such students are performing nuclear medicine technology procedures under supervision as outlined in Section 30521 and are under direct guidance of an instructor who holds a current certificate issued pursuant to Section 30532.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25626 and 25631, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24). For prior history, see Register 84, No. 43.
§30541. Special Permits.
Note     •     History

(a) To obtain a special permit in nuclear medicine technology, an applicant shall have on file with the Department a complete special permit application.
(b) The Department considers an application for a special permit complete if all the following conditions have been met:
(1) Application is made on a Nuclear Medicine Technology Special Permit Application form DHS 8436 (7/87) furnished by the Department.
(2) Fee is paid pursuant to Section 30535.
(3) The application is accompanied by a statement from the employer, verified by the Department, that the people in the locality in which the special permit is sought would be denied nuclear medicine technology services because of unavailability of certified technologists, nuclear medicine.
(c) Special permits shall be issued for a period of time not to exceed two years and are not renewable.
(d) Special permits shall not be transferable to another facility.
(e) Minimum qualifications for an applicant for a special permit shall be any of the following:
(1) Bachelor's degree in physical or biological sciences or equivalent, issued by an institution of higher learning.
(2) Sixty semester units in physical or biological sciences or equivalent, obtained in an institution of higher learning.
(3) Proof of state or national registration or certification in radiologic technology, medical technology, nursing, or respiratory technology.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25626, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30542. Display.
Note     •     History

Any nuclear medicine technologist who holds a current certificate issued pursuant to Section 30532 shall prominently display such certificate or photocopy thereof at each facility where the technologist is performing nuclear medicine technology procedures.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 25626 and 25631, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30543. Inspection.
Note     •     History

The owner, occupant, or person in charge of any private or public facility specified as a condition of a license, certificate, or special permit issued pursuant to this Subchapter shall permit any officer, employee, or designated agent of the Department to enter such property at all reasonable times for the purpose of inspecting those areas of the property where authorized nuclear medicine technology procedures are performed and determining whether or not there is compliance with or a violation of provisions specified in Sections 25625 to 25631, inclusive, of the Health and Safety Code, or of this subchapter.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 25631, Health and Safety Code.
HISTORY

1. New section filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
§30550. Fuel Tank Emissions.
History

HISTORY

1. New section filed 11-9-64; effective thirtieth day thereafter (Register 64, No. 22).
2. Repealer filed 5-24-68; effective thirtieth day thereafter (Register 68, No. 20).
§30560. Carburetor Hot Soak Emissions.
History

HISTORY

1. New section filed 11-9-64; effective thirtieth day thereafter (Register 64, No. 22).
2. Repealer filed 5-24-68; effective thirtieth day thereafter (Register 68, No. 20).
§30570. Exhaust Odor and Irritation.
Note     •     History

NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Section 11349.7, Government Code.
HISTORY

1. New section filed 7-1-66; effective thirtieth day thereafter (Register 66, No. 20). 
2. Repealer filed 10-24-84; effective thirtieth day thereafter (Register 84, No. 43).
Subchapter 5. Air Sanitation*

* For regulations of Air Resource Board see Title 13, Chapter 3.
Article 1. Standards for Ambient Air Quality
§30690. Table of Standards and Explanatory Footnotes.
History

(a) Table of Standards

View Graphic

(b) Footnotes.
(1) Hydrocarbons are a group of substances most of which, normally, are toxic only at concentrations in the order of several hundred parts per million. However, a number of hydrocarbons can react photochemically at very low concentrations to produce irritating and toxic substances. Because of the large number of hydrocarbons involved, the complexity of the photochemical reactions and the reactivity of other compounds such as nitrogen dioxide and ozone, it is not yet possible to establish “serious” and “emergency” levels for hydrocarbons. From the public health standpoint, the concentration of those hydrocarbons which react photochemically should be maintained at or below the level associated with the oxidant index defined in the “adverse” standard.
(2) Ozone, at 1 ppm for eight hours daily for about a year, has produced bronchiolitis and fibrositis in rodents. Extropolation of these data to man is difficult. Functional impairment data have been reported; at 1.25 ppm some effect is observed on residual volume and diffusing capacity. The variability of the tests was not reported. Additional data would be needed before a standard is set.
(3) A value of 2.0 ppm of ozone for one hour may produce serious interference with function in health persons and the assumption is made that this might cause acute illness in sensitive persons.
(4) Nitrogen dioxide, at concentrations above 2.5 ppm. causes acute damage to sensitive plants. One ppm for eight hours will produce significant growth reduction, expressed as fresh and dry weight, with no visible lesions of damage. High levels (150-220 ppm) in short exposures produce fibrotic changes in the lungs of man that may end fatally.
(5) Given certain assumptions concerning ventilatory rates, acute sickness might result from a carbon monoxide level of 240 ppm for one hour in sensitive groups because of inactivation of ten percent of the body's hemoglobin. In any event it is clear that when a population exposure limit has been set for carbon monoxide, because of exposure from other sources, community air pollution standards should be based on some fraction of this limit.
(6) Hydrogen sulfide is not known to produce chronic disease in humans but there may be durable sequelae from acute exposures. The disagreeable odor may interfere with appetite in sensitive groups of persons at about 5 ppm. At high concentrations loss of the sense of smell occurs. This has been reported at 100 ppm for exposure lasting two to fifteen minutes. Conjunctivitis and mild respiratory tract irritation have been reported at levels of 50-100 ppm for one hour.
(7) Acute sickness and death with neurotoxicity may occur at concentrations of several hundred ppm. It is very unlikely these levels will occur in community air pollution.
(8) A sulfuric acid mist level of 1 mg/M3 with an average particle size of 1 micron will produce a respiratory response in man. It is not possible to generalize from this fro all air pollution conditions, because under natural conditions, particle size will vary. Only with large droplets would sensory irritation be produced without other physiological effects.
(9) A level of 5 mg/M3 of sulfuric acid mist for a few minutes produces coughing and irritation in normal individuals. Presumably, it could cause acute illness in sensitive groups of persons in a period of one hour.
(10) Carcinogens include a few organic compounds such as some polycyclic hydrocarbons and some metals such as arsenic and chromium. Studies on effects of such substances are currently under way, but there are not sufficient data, at present, to set standards. In the meantime, it is recommended that concentrations of carcinogens in air should be kept as low as possible.
(11) Hydrogen fluoride and other airborne fluorides settle upon and some are absorbed into vegetation. When forage crops containing 30-50 ppm of fluoride measured on a dry weight basis are regularly consumed over a long period the teeth and bones of cattle may show changes, depending on age, nutritional factors and the form of fluoride ingested. Such changes may or may not have any economic effect. Fluorides at these levels do not necessarily cause injury to the forage plants themselves. However, injury may be produced in certain species of vegetation upon long term exposure to low levels of atmospheric fluorides.
(12) The irritating properties of hydrogen fluoride in experimental human exposure have been manifested by desquamation of the skin, at concentrations of 2-5 ppm. mucous membrane irritation also occurs from hydrogen fluorides but quantitative data are not adequate to support a standard.
(13) It is clear that lead levels should be set on the basis of average values for long periods. While data are abundant concerning human response to eight-hours-a-day, five- days-a-week exposures, data are insufficient for the effects of the continuous exposure inherent in community air pollution. While laboratory studies will be pursued with vigor, it becomes very important that local agencies collect data on existing lead levels. Since lead exposures are from multiple sources, community air pollution standards should be based on a portion of the total limit for population exposure.
HISTORY

1. Amendment filed 3-26-62; effective thirtieth day thereafter (Register 62, No. 6).
2. Amendment filed 11-23-65; effective thirtieth day thereafter (Register 65, No. 23).
3. Renumbering of former Section 30501 to Section 30690 and new Section 30501 filed 6-6-88; operative 7-6-88 (Register 88, No. 24).
Subchapter 6. Organized Camps
Article 1. General
§30700. Definitions.
Note     •     History

(a) “Aquatics Supervisor” means a person who provides supervision to the aquatic facility, staff and program of the camp meeting the requirements of Section 30741(d)(1).
(b) “Camp” means an organized camp as defined in Health and Safety Code, section 18897 and does not include facilities, programs and arrangements listed in Health and Safety Code, section 1596.792.
(c) “Counselor” means a person who is directly involved with camp program activities and camper supervision meeting the requirements of Section 30751(b) and (c).
(d) “Director” means a person who is responsible for day-to-day decision making and supervision of the camp program and staff meeting the requirements of Section 30751(a).
(e) “Health Screening” means an examination to identify observable evidence of illness, injury, or communicable disease; to review and update each person's health history; and to identify current medical treatment (including medication), allergies or dietetic restrictions.
(f) “Health Supervisor” means a person who is either a physician, registered nurse, licensed vocational nurse who is licensed pursuant to Division 2 of the Business and Professions Code or a person who is trained in accordance with section 1596.866 of the Health and Safety Code.
(g) “Site Operator” means an individual, partnership, joint venture, or organization that owns, leases, or rents an organized camp site.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Repealer of Subchapter 6 and new Subchapter 6 (Sections 30700-30703, 30710-30715, 30720-30723, 30730-30736, 30740, 30741, 30750 and 30751) filed 4-2-68; effective thirtieth day thereafter. Approved by State Building Standards Commission (Register 68, No. 14). See Register 62, No. 2, for former sections.
2. New subsection (e) filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48).
3. Editorial correction of NOTE filed 7-12-84 (Register 84, No. 28).
4. Repealer and new section and amendment of Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30701. Limitation of Scope.
Note     •     History

The minimum standards pertaining to physical facilities set forth in this subchapter shall not apply to camping activities carried out:
(a) In locations away from the main living and housing areas of the camp and where primitive living conditions, that is, conditions lacking service facilities such as water, sewage, bathing, food, or housing, are an inherent part of the planned activity; or
(b) Where government regulated campgrounds, beaches, or parks are utilized that have the equivalent physical facilities as those required by this subchapter.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Editorial renumbering of former Section T17-30701 to Section 30701 and new NOTE filed 11-5-84 (Register 84, No. 45).
2. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30702. General Camp Safety Requirements.
Note     •     History

The camp and established trails, shall be in an area properly drained and free or protected from natural or man-made hazards, such as mine pits, quarries, and high-speed roads, or large numbers of insects and venomous snakes. Poison oak shall be controlled. Excessive dust that may be injurious to health and safety in the main living and housing areas of the camp shall be prevented by suitable means.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of section heading, section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30703. Notice of Intention to Operate.
Note     •     History

(a) At least 30 days prior to the operation of any camp in any calendar year, written notice shall be sent by the site operator to the local health officer of the city, county, or city and county in which the camp is located, setting forth the name, location and mailing address of the person or agency that owns the camp, the name and address of the person or agency proposing to operate the camp and the proposed dates of occupancy during that calendar year. Camps which operate year-round shall provide only an initial notice of operation.
(b) Written notice shall be sent to the local health officer at least 30 days prior to:
(1) Construction of any new camp,
(2) Any major expansion of physical facilities or
(3) Any changes to items of information required in (a) above.
(c) The local health officer shall acknowledge receipt in writing, within seven days, of said notices and shall, at the same time, send a copy to the State Fire Marshal.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30704. Requirements for Camps.
Note     •     History

On an annual basis and at change of ownership the site operator shall submit to the local health officer:
(a) A written verification that the camp is accredited by the American Camp Association, (formerly the American Camping Association)
or:
(b)(1) A written description of operating procedures that describes the program of organized and supervised activities of the camp in the following areas:
(A) Supervisor qualifications and training
(B) Staff skill verification criteria and process
(C) Participant eligibility requirements (if any)
(D) Staff-to-participant supervision ratios
(E) Equipment needed
(F) Safety procedures
(G) Emergency procedures specific to location
(H) Environmental hazards
(I) Access and equipment control
(J) Equipment and maintenance repair
(2) An accepted reference for these operating procedures are the following chapters of the Accreditation Standards for Camp Programs and Services (2007 Edition) published by the American Camp Association, Martinsville, Indiana, identified as:
(A) PD -- Program -- Design and Activities
(B) PA -- Program -- Aquatics
(C) PC -- Program -- Adventure/challenge
(D) PH -- Program -- Horseback Riding
(E) PT -- Program -- Trip and Travel
(c) A written statement by the Director that the Director has reviewed the criminal history record check and voluntary disclosure statement as described in section 30751 for all individuals for which it is required by section 30751(a), and documentation of the criminal history record check of the Director.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Article 2. Utilities
§30710. Water Supply.
Note     •     History

(a) A dependable supply of potable water adequate to furnish 50 gallons of water per person per day shall be available. Where pit or chemical toilets are used, this figure may be reduced to 30 gallons per person per day. 
(b) The water supply system shall conform to the following:
(1) Water wells shall be constructed in accordance with the requirements of California Bulletin 74-81, Well Water Standards, Chapter II and Appendices A, B, C (December 1981) and California Bulletin 74-90 (June 1991), Well Water Standards published by the Department of Water Resources, State of California Resources Agency.
(2) Springs shall meet the following requirements:
(A) Use of a spring as a potable water source shall not be permitted if it is located on the side of or at the foot of a hill where cesspools, privies, sewers, or other sources of contamination would be located above the spring and in the path of the groundwater flow toward the spring. In no case shall a spring be used if it is located closer than 200 feet to an upstream potential source of contamination.
(B) Springs used as a potable water source shall be developed with a tight box or enclosure including a watertight cover with no openings that will permit entrance of surface waters, windblown dusts or small animals. 
(3) No stream sources for potable water shall be used without treatment.
(4) Water supply, quality, monitoring, storage, and distribution shall comply with the requirements of the California Safe Drinking Water Act, Health and Safety Code, Section 116270, et seq.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30711. Drinking Water.
Note     •     History

Drinking water shall be provided and be centrally located in the camp.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Amendment of section heading, section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30712. Handwashing Facilities.
Note     •     History

Handwashing facilities shall be provided adjacent to all flush toilets. Single service soap dispensers shall be provided at handwashing facilities, except for those handwashing facilities located in camper housing facilities.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11). For prior history, see Register 86, No. 18.
§30713. Showers.
Note     •     History

When campers are present for three or more consecutive days and nights, showers shall be provided.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11). For prior history, see Register 86, No. 18.
§30714. Toilets.
Note     •     History

Toilets shall be provided at the ratio required in Table 4-4, Part 5, Title 24, California Code of Regulations. Pit or chemical toilets may only be used in remote areas where a plumbing system for water distribution is unavailable. Pit or chemical toilets shall be located so as not to endanger water supplies and shall be so constructed as to exclude flies and vermin.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30715. Plumbing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 18897.2, Health and Safety Code. Reference: Section 18897.2, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Amendment filed 2-26-91; operative 3-28-91 (Register 91, No. 13).
4. Repealer filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Article 3. Housing
§30720. Building Structures.
Note     •     History

(a) Plans and specifications for every building or structure shall be approved by the local health officer prior to start of any construction.
(b) Nothing in this section shall prohibit the State Department of Public Health or local health officer from contracting with the Office of the State Architect of the Department of General Services or any private or other governmental agency for the review of design and performance of inspection of construction of camp buildings and structures, in accordance with the provisions of this section.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Amendment filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48).
3. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
4. Amendment of subsection (b) and deletion of reference citation filed 2-26-91; operative 3-28-91 (Register 91, No. 13).
5. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30721. Sleeping Accommodations.
Note     •     History

Head-to-head sleeping accommodations shall be prohibited. A minimum space of 18 inches, or a physical barrier, shall be provided between bed units including sleeping bags.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. New subsection (c) filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48).
2. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30722. Repair, Safety, Maintenance and Sanitation.
Note     •     History

(a) Every building, structure, tent, tent structure, cabin, and premises shall be kept in good repair, and shall be maintained in a safe and sanitary condition, clean and free from accumulations of paper, rubbish, or standing water, satisfactory to the local health officer.
(b) All appliances, equipment, devices, facilities, electrical, mechanical, plumbing, refrigerating and ventilating systems shall be kept in good repair, and shall be maintained in a safe and sanitary condition satisfactory to the local health officer.
(c) When provided, mattresses, mattress covers, blankets, sheets, pillows, and/or sleeping bags shall be maintained sanitary and in good condition. Blankets, sheets, pillows, and/or sleeping bags shall be laundered and/or sanitized prior to issuance to a camper. Mattresses shall be covered with waterproof material or washable covers so as to be easily cleaned and sanitized.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of subsections (a) and (b) and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30723. Overhead Electrical Line Construction.
Note     •     History

All overhead electrical lines installed in camp shall be in accordance with the Public Utilities Commission, General Order No. 95 (January 2006), Rules for Overhead Electrical Line Construction.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No.  18).
2. Amendment filed 2-26-91; operative 3-28-91 (Register 91, No. 13).
3. Amendment of section heading, section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30724. Mechanical Installation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 18897.2, Health and Safety Code. Reference: Section 18897.2, Health and Safety Code.
HISTORY

1. New section filed 4-28-86; effective thirtieth day thereafter (Register 86, No.  18).
2. Amendment filed 2-26-91; operative 3-28-91 (Register 91, No. 13).
3. Repealer filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Article 4. Food Service Facilities and Operations
§30730. Food Service Facilities.
Note     •     History

Food service facilities shall comply with the requirements of the California Retail Food Code, Health and Safety Code, Section 113700, et seq.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Repealer of former Section T17-30730 and new Section 30730 filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18). For prior history, see Register 71, No. 14.
2. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30731. Light, Ventilation and Sanitary Facilities.
Note     •     History

NOTE

Authority cited: Sections 208 and 18897.2, Health and Safety Code. Reference: Section 18897.2, Health and Safety Code.
HISTORY

1. Repealer filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
§30732. Cleaning and Sanitizing of Multiuse Utensils.
Note     •     History

NOTE

Authority cited: Sections 208 and 18897.2, Health and Safety Code. Reference: Section 18897.2, Health and Safety Code.
HISTORY

1. Repealer filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
§30733. Storage of Food, Utensils and Equipment.
Note     •     History

NOTE

Authority cited: Sections 208 and 18897.2, Health and Safety Code. Reference: Section 18897.2, Health and Safety Code.
HISTORY

1. Repealer filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
§30734. Health Requisites for Food Service Personnel.
Note     •     History

NOTE

Authority cited: Sections 208 and 18897.2, Health and Safety Code. Reference: Section 18897.2, Health and Safety Code.
HISTORY

1. Repealer filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
Article 4.1. Food Service Facilities and Operations at Intermittent Short-Term Organized Camps [Repealed] new='mq'
§30734.1. Food Service Facilities and Operations at Intermittent Short-Term Organized Camps. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 208 and 18897.2, Health and Safety Code. Reference: Section 18897.2, Health and Safety Code.
HISTORY

1. New Article 4.1 (Section 30734.1) filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48).
2. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Repealer of article 4.1 (section 30734.1) and section filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Article 5. Solid Waste
§30735. Garbage and Refuse.
Note     •     History

All garbage and refuse shall be deposited and stored in flytight containers, removed and disposed of at a frequency and in a manner satisfactory to the local health officer.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Article 6. Vector Control
§30736. Vectors and Pests.
Note     •     History

Every camp shall have a plan and equipment for coping with excessive numbers of flies, mosquitoes and other insects and with rodents. At times or places where special risk of transmission of disease to humans from insects, rodents or other animals exists, the camp shall institute special measures to protect the campers, under the guidance of the local health officer.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. New NOTE filed 7-12-84 (Register 84, No. 28).
2. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Article 7. Swimming and Bathing
§30740. Swimming Facilities.
Note     •     History

All swimming pools, pools, wading pools and special purpose pools which are located in or provided for any camp shall be designed, constructed, maintained, and operated in accordance with the provisions of Article 5, Chapter 5, Part 10, Division 104, of the Health and Safety Code, Sections 116035-116068, and with the applicable provisions of Chapter 20, Division 4, Title 22, and Chapter 31, Part 2, Title 24, Sections 3101B-3137B.2, and Figures 31B-1-31B-5 of the California Code of Regulations.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30741. Lake, Stream, River or Ocean Swimming.
Note     •     History

(a) A plan for the use of any lake, stream, river or the ocean by any camp for swimming or boating shall be:
(1) Developed and maintained by the Director,
(2) Submitted to the local health officer prior to use, and 
(3) Implemented in accordance with any special conditions that may be specified in writing by the local health officer to protect health and safety.
(b) Any camp which uses places such as lakes, streams, rivers or the ocean for swimming shall be equipped with at least one lifeboat or equivalent water safety device that is suited to the size, location and use of the water facility, population of the camp, and dangers inherent to the water facility as determined by the Director of the camp and that shall:
(1) Be used for no other purpose than for saving lives or for other emergencies,
(2) Be kept in good repair and readily accessible to the areas of potential use, and
(3) Comply with Harbors and Navigation Code Section 652.
(c) No camp shall maintain or use a lake, stream or river unless careful soundings of depth of water and location of eddies and pools and determinations of the presence and nature of dangerous currents, sunken logs, rocks and obstructions in the lake, stream or river have been made and:
(1) Legible signs indicating in plain letters, the depth of water, the location of pools or eddies, and the presence and direction of currents of water shall be posted at any lake, stream or river used by a camp for camper swimming, and
(2) The signs shall be visible from the swimming or bathing area during the season when bathing and swimming are permitted.
(d) Lifeguard services equivalent to those defined in Section 116028, Health and Safety Code, shall be provided at any location used for swimming by campers.
(1) There shall be a designated aquatics supervisor who is at least 18 years of age and who shall possess an American Red Cross Lifeguard Certificate, YMCA Swim Lifesaving Certificate or its equivalent certificate. 
(2) Lifeguard service shall be provided at a ratio of 1 lifeguard for each 25 campers in the water.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 3-5-71; effective thirtieth day thereafter. Approved by State Building Standards Commission 2-26-71 (Register 71, No. 10).
2. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Amendment of section heading, section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Article 8. Supervision
§30750. Health Supervision.
Note     •     History

(a) Every camper and each staff member entering camp shall furnish a health history of his or her health status that is completed and signed by the individual camper or staff member, or by the parent or guardian if the camper or staff member is under the age of 18. This history shall be kept on-site as long as the camper or staff member is at camp and shall include the following:
(1) A description of any health condition requiring medication, treatment, special restriction or consideration while at camp,
(2) A record of immunizations including date of the last tetanus shot,
(3) A record of any allergies.
(b) A signed statement by a parent or guardian to seek emergency medical treatment shall be provided for each staff member or camper, except those minors accompanied in camp by a parent or guardian. The local health officer, when necessary for the protection of the health of campers and staff members, may require special inoculations and testing for each camper and staff member entering camp.
(c) There shall be a full-time adult Health Supervisor charged with health supervision at the camp when campers are present
(d) Health screening shall be conducted under the supervision of the Health Supervisor by qualified staff that meet the requirements of section 30700(f) for:
(1) All staff prior to the arrival of campers; and
(2) All campers under the age of 18 who are unaccompanied by a parent or guardian within 24 hours of arrival at camp.
(e) If a physician is not on site when campers are present, arrangements shall be made for a physician to be available on an on-call basis. An infirmary (tentage or other shelter), with provision for isolating patients, shall be provided. Advance arrangements shall be made for the immediate removal of seriously sick or injured campers or staff members to a point of adequate medical care, on recommendation of a physician. This subsection shall not apply to intermittent short-term organized camps operating less then 72 hours except when required by the local health officer for the protection of the health of campers and adult supervisors.
(f) A medical logbook shall be maintained by the Health Supervisor  which includes at least the following information for each accident, injury or illness:
(1) Name of the person treated; 
(2) Dosage and intervals of any medication dispensed;
(3) First aid or medical treatment rendered; 
(4) Name of the person administering the first aid or medical treatment;
(5) Date and time of treatment; and
(6) Date parent/guardian notified of accident, illness or injury.
(g) The Health Supervisors or the site operator shall report all occurrences of foodborne illness, suspected foodborne illness, or any other reportable disease as required by California Code of Regulations Title 17, section 2500(b) promptly to the local health officer for the camp location.
(h) All medication brought to a camp by campers that needs to be dispensed by the Health Supervisor or qualified staff that meet the requirements of section 30700(f) shall be:
(1) In the original container and labeled in accordance with California Health and Safety Code, Division 104, Part 5, Chapter 6, Article 3, commencing with section 11330, or
(2) In containers accompanied by specific written dispensing instructions from a parent, legal guardian, or physician licensed pursuant to Division 2 of the Business and Professions Code, and
(3) Stored in a locked container when unattended by the Health Supervisor.
(i) A written health care plan developed and maintained by the Health Supervisor shall be used at the camp. The health plan shall include:
(1) The responsibilities and authority of the Health Supervisor and other qualified health staff meeting the requirements of section 30700(f) that provide health care including first aid,
(2) The procedures for camp health care and sanitation,
(3) A record keeping process,
(4) A plan for provisions and maintenance of supplies and equipment, and
(5) The relationships and agreements with local medical personnel, hospitals, and providers of emergency care and other emergency care providers.
(6) A plan to prevent and control the spread of pandemic flu or other communicable diseases among campers.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment filed 11-29-80; effective thirtieth day thereafter (Register 80, No. 48).
2. Amendment filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30751. General and Safety Supervision.
Note     •     History

(a) When campers are present, every camp shall have a Director at the camp in charge who is at least 25 years of age and has at least two seasons of administrative or supervisory experience in camp activities. The Director shall provide staff for the care, protection, and supervision of the campers. The Director and all camp counselors shall not have direct unsupervised contact with campers without first obtaining a satisfactory criminal history record check from the California Department of Justice, Bureau of Criminal Identification, or U.S. Department of Justice National Sex Offender Public Registry, and a voluntary disclosure statement that contains the same information as standard HR-4 Staff Screening of the Accreditation Standards for Camp Programs and Services, American Camp Association (2007 Edition).
(b) When campers are present, there shall be at least one counselor who is a high school graduate or who is at least 18 years of age, for each 10 campers under 16 years of age.
(c) The Health Supervisor shall verify that all counselors have been trained in the principles of first aid and cardiopulmonary resuscitation.
(d) Subsections (b) and (c) shall not apply to intermittent organized short-term camps.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. Amendment and new subsection (d) filed 11-28-80; effective thirtieth day thereafter (Register 80, No. 48).
2. Relettering of former subsection (d) to (e) and new subsection (d) filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
3. Amendment of section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30752. Firearms.
Note     •     History

All firearms and ammunition, when not in use for authorized camp activities, shall be stored in a cabinet designated for this use and locked. The key shall be in the possession of the Director or qualified designee meeting the requirements of section 30751(a).
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of section heading, repealer and new section and amendment of Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
§30753. Emergency Plan.
Note     •     History

(a) Each camp shall retain on site a written site specific plan, approved by the Director, outlining procedures which deal with the following emergency situations:
(1) Natural disasters.
(2) Lost campers.
(3) Fires.
(4) Transportation emergencies.
(5) Severe illnesses and injuries.
(6) Strangers in camp.
(7) Aquatic emergencies as appropriate for the site.
(8) Other emergency situations as appropriate for the site.
(b) The site specific plan shall include procedures for:
(1) Evacuation of the camp site,
(2) Control of vehicular traffic through the camp, and
(3) Communication from persons at the site of an emergency to the emergency medical facilities, the nearest fire station, and both administrative and health staff of the camp.
(c) Camp staff shall be trained in implementation of the procedures set forth in the emergency plan.
NOTE

Authority cited: Sections 18897.2, 131050 and 131200, Health and Safety Code. Reference: Sections 18897.2, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 4-28-86; effective thirtieth day thereafter (Register 86, No. 18).
2. Amendment of section heading, section and Note filed 3-10-2008; operative 4-9-2008 (Register 2008, No. 11).
Subchapter 7. Wiping Rags
Article 1. Definitions
NOTE

Authority cited: Sections 208, 3900, 3901, 15020 and 25800-25870, Health and Safety Code; Section 1224, Business and Professions Code. Reference: Sections 3900, 3901, 15000-15023 and 25811, Health and Safety Code; Sections 475, 480, 481, 482 and 1242.5, Business and Professions Code.
HISTORY

1. New Subchapter 7, Articles 1 and 2 (Sections 30800 and 30801) filed 12-12-75; effective thirtieth day thereafter (Register 75, No. 50).
2. Amendment filed 7-2-80; effective thirtieth day thereafter (Register 80, No. 27).
3. Repealer of Article 1 (Section 30800) filed 10-24-84; effective thirtieth day thereafter (Register 84, No. 43).
Article 2. Minimum Standards for Sanitizing
§30801. Standards.
Note     •     History

The wiping rags or materials to be processed and used as wiping rags shall be washed using an effective soap or detergent and thoroughly rinsed to remove soap or detergent and soil. Wiping rags shall be exposed to water at a minimum temperature of 71oC (160oF) for at least 24 minutes during the washing process.
NOTE

Authority cited: Sections 208 and 3901, Health and Safety Code. Reference: Section 3901, Health and Safety Code.
HISTORY

1. Amendment filed 10-24-84; effective thirtieth day thereafter (Register 84, No. 43).
Subchapter 8. Drinking Utensils and Ice Buckets
Article 1. Definitions
§30850. Single Service.
Note     •     History

“Single service” means a utensil, container, implement, wrapper, or other article designed for use only once and then discarded in the preparation, storage, display, service, consumption, or sale of food or beverage.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
HISTORY

1. New Subchapter 8 (Sections 30850-30858) filed 12-21-78; effective thirtieth day thereafter (Register 78, No. 51).
§30851. Multiuse.
Note

“Multiuse” means a utensil, container, implement, wrapper, or other article designed for use more than once in the preparation, storage, display, service, consumption, or sale of food or beverage. 
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
Article 2. Washing, Sanitizing, and Handling of Drinking Utensils and Ice Buckets in Hotels, Motels, and Other Public Places
§30852. Utensils and Containers, Conditions of Use and Storage.
Note     •     History

(a) Multiuse and single service drinking utensils and ice buckets shall be protected from dirt, vermin, droplet infection, overhead leakage, and other potential contamination during handling, storage, and distribution.
(b) Multiuse drinking utensils or ice buckets may be used in guest rooms under the following conditions:
(1) They are thoroughly washed and sanitized after each use.
(2) The drinking utensils, prior to distribution, are placed in protective bags with the open end of the utensil placed in the closed end of the bag to prevent handling of the lip contact surface.
(3) No utensil shall be labeled or otherwise indicate to have been cleaned and sanitized unless it has been cleaned and sanitized in accordance with Section 30853 and/or 30855.
(c) Single service drinking utensils or ice buckets may be used in guest rooms under the conditions that the drinking utensils are dispensed by one of the following methods:
(1) From a dispenser which keeps the lip contact surface enclosed. 
(2) Individually wrapped.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
HISTORY

1. Amendment filed 2-28-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 9).
§30853. Hand Dishwashing and Sanitizing.
Note

(a) Multiuse drinking utensils or ice buckets shall be washed and sanitized in a three-compartment metal sink equipped with hot and cold running water and integral metal drain boards.
(b) The drinking utensils and ice buckets shall be processed in the following sequence:
(1) Washed with hot water 40.5-49o Celsius (105-120oF) and detergent in the first sink compartment until thoroughly cleaned.
(2) Rinsed in hot water 40.5-49o Celsius (105-120oF) in the second compartment.
(3) Immersed in the third compartment containing a bactericidal solution in such concentration and for such time as specified in Section 30854.
(c) A facility with a two-compartment metal sink with metal drainboards on the effective date of these regulations may continue to use such sink utilizing procedures listed in (1) and (3) of Subsection 30853(b) until replacement is necessary because of deterioration or modernization of premises.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
§30854. Sanitizing Solutions for Hand Dishwashing.
Note

(a) Multiuse utensils and ice buckets shall be sanitized by immersion in one of the following bactericidal solutions for a minimum of 30 seconds in the last sink compartment.
(1) 100 parts per million (ppm) of available chlorine from either hypochlorite or organic chlorine approved by the Department.
(2) 200 ppm of a quaternary ammonium compound approved by the Department.
(3) 25 ppm of available iodine.
(4) 25 ppm of iodophor.
(5) 25 ppm of bromine-chlorine compounds.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
§30855. Machine Washing and Sanitizing.
Note

(a) All dishwashing machines shall be designed, installed, and operated to thoroughly clean and provide an effective bactericidal rinse.
(b) Commercial type of dishwashing machines when used in food establishments regulated by the California Restaurant Act, shall meet all the requirements of that chapter (Chapter 11, Division 22, of the Health and Safety Code, commencing with Section 28520). These include, but are not limited to, the following:
(1) Hot water sanitizing dishwashing machines.
(2) Chemical sanitizing dishwashing machines approved by the Department.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
§30856. Sanitizing Requirements for Dishwashing Machines.
Note

(a) The hot water sanitizing commercial dishwashing machine shall be connected to a hot water system that is installed and maintained to continuously provide water at least 82.2o Celsius (180oF) at the final rinse manifold of the machine during the required bactericidal rinse cycle.
(b) The domestic type hot water sanitizing dishwashing machine shall produce a minimum water temperature of 74o Celsius (165oF) during the wash and rinse cycles.
(c) The commercial chemical sanitizing dishwashing machine shall produce a final rinse of one of the following:
(1) A sanitizing solution of at least 50 ppm hypochlorite.
(2) A sanitizing solution of at least 12.5 ppm iodophor.
(3) Any other bactericidal solution approved by the Department.
(d) Any other method approved by the Department.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
§30857. Maintenance and Construction Requirements.
Note

(a) All drinking utensils, ice buckets, shelves, sinks, dishwashing machines, and other related equipment shall be:
(1) Constructed of non-toxic materials,
(2) Constructed, installed, and maintained as to be readily cleanable, and
(3) Kept clean and in good repair.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
§30858. Inspection Authority.
Note

(a) The Director, agents, or Registered Sanitarians appointed by the Director, and local health officers, Registered Sanitarians, and duly authorized agents thereof may at reasonable times enter and inspect any hotels, motels, or other public places governed by these regulations.
NOTE

Authority cited: Section 208, Health and Safety Code. Reference: Sections 3700 and 3701, Health and Safety Code.
Chapter 6. Lead Poisoning Prevention Programs
Article 1. Definitions
§33001. Applicant.
Note     •     History

“Applicant” means a business entity either applying for an exemption pursuant to section 105310(d) of the Health and Safety Code and Section 33040 of this chapter, or applying for a reassessment of the fees pursuant to section 33050 of this chapter. “Applicant” includes any other business entity who was historically associated with the business entity making the application. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New chapter 6, article 3 (sections 33001-33030, not consecutive) filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by law on the following day. For prior history, see Register 78, No. 24.
2. Certificate of Compliance as to 2-1-93 order transmitted to OAL 6-1-93 and filed 7-12-93 (Register 93, No. 29).
3. Amendment of subsection (c)(2) and new subsection (c)(4) filed 5-15-95; operative 6-14-95. Exempt from OAL review pursuant to Health and Safety Code section 372.7(h) (Register 95, No. 20).
4. Repealer of article 3 heading and section and new article 1 (sections 33001-33015) and section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
5. Repealer of article 3 heading and section and new article 1 (sections 33001-33015) and section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
6. Repealer of article 3 heading and section and new article 1 (sections 33001-33015) and section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
7. Certificate of Compliance as to 3-12-2002 order, including amendment of section, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33002. Architectural Coating.
Note     •     History

“Architectural coating” means any product which is used as, or usable as, a coating applied to the interior or exterior surfaces of stationary structures and their appurtenances, to portable buildings, to pavements, or to curbs, such as house and trim paints, varnishes, stains, lacquers, industrial maintenance coatings, primers, undercoaters, and traffic coatings. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment of Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33003. Architectural Coating Distribution.
Note     •     History

“Architectural coating distribution” means any of the following: 
(a) The manufacturing, producing, blending, or compounding of architectural coating in this state, and the sale, donation, barter, or use of the architectural coating in this state. 
(b) The importing of architectural coating into this state with respect to which there has been no prior distribution subject to the fee, and the sale, donation, barter, or use of architectural coating in this state. 
(c) The receiving in this state by a distributor of architectural coating with respect to which there has been no prior distribution subject to the fee, or the receipt in this state by any business entity of architectural coating with respect to which there has not been a prior distribution on which a fee has been paid pursuant to this section, and the sale, donation, barter, or use of the architectural coating in this state. 
(d) The sale of architectural coatings by any business entity required to be registered pursuant to Revenue and Taxation Code Section 6001 et seq., when it is shipped into this state by the seller or delivered by the seller to a carrier, customs broker, or forwarding agent, whether hired by the order of the purchaser or not, for shipment into this state for subsequent sale, donation, barter, or use in this state. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment of subsections (c)-(d) and amendment of Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33004. Architectural Coating Distributor.
Note     •     History

“Architectural coating distributor” means each business entity that distributes or has distributed architectural coatings, excluding each business entity that the Department has: 
(a) Currently granted an exemption pursuant to section 33040;
(b) Determined to be insolvent; or
(c) Determined did not distribute architectural coatings in or about 1978, and is not historically associated with an architectural coating distributor which distributed architectural coatings in or about 1978.
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment of section, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33005. Appurtenance.
Note     •     History

“Appurtenance” means accessories to an architectural structure, such as hand railings, cabinets, bathroom and kitchen fixtures, fences, decking, furniture, rain-gutters and down spouts, window screens, lamp-posts, heating and air conditioning equipment, other mechanical equipment, large fixed stationary tools and concrete forms. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33006. Business Entity.
Note     •     History

“Business entity” means any natural person, or form of business organization, including, but not limited to, a corporation, trust, firm, joint stock company, business concern, partnership, limited liability company, or association. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33007. Department.
Note     •     History

“Department” means the California Department of Public Health. 
NOTE

Authority cited: Sections 105310 and 131200, Health and Safety Code. Reference: Sections 105280(c), 105310, 124165, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
5. Amendment of section and Note filed 1-29-2009; operative 1-29-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 10531(h) (Register 2009, No. 5).
§33008. Environmental Lead Contamination.
Note     •     History

“Environmental lead contamination” means the persistent presence of lead in the environment, in quantifiable amounts, that results in ongoing and chronic exposure to children. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105280(g), 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33009. Fee.
Note     •     History

“Fee” means a fee imposed under Health and Safety Code section 105310 and implementing regulations. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33010. Historically Associated.
Note     •     History

“Historically Associated” means that the business entity has a significant relationship to another business entity, such as a business entity which: 
(a) Is the alter ego, successor, successor-in-interest, or predecessor, in full or part, of another business entity; 
(b) Purchased controlling or significant interest in another business entity; 
(c) Exists by way of incorporation of a privately held business entity; 
(d) Exists by way of a merger, consolidation, or reorganization of another business entity; 
(e) Acquired the products of another business entity, unless the business entity from which the products were acquired is assessed a fee for the same products; 
(f) Acquired a trademark or the goodwill of another business entity, unless the business entity from which the trademark or goodwill was acquired is assessed a fee for the same products. 
(g) Acquired significant operating assets from another business entity, including, but not limited to, acquisition of substantially all of a means of production, such as a factory or refinery.
NOTE

Authority cited: Sections 105310 and 131200, Health and Safety Code; and Ch. 799, Stats. 1991, Sec. 11. Reference: Sections 105310, 124165, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-93 order transmitted to OAL 6-1-93 and filed 7-12-93 (Register 93, No. 29).
3. Repealer and new section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
4. Repealer and new section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
5. Repealer and new section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
6. Certificate of Compliance as to 3-12-2002 order, including amendment of first paragraph and amendment of Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
7. Amendment of subsection (h), new subsection (g) and amendment of Note filed 1-29-2009; operative 1-29-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 10531(h) (Register 2009, No. 5).
§33011. Industry.
Note     •     History

“Industry” means motor vehicle fuel distributors, architectural coating distributors, or facilities releasing lead into ambient air in California. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33012. Motor Vehicle Fuel.
Note     •     History

“Motor vehicle fuel” means gasoline, natural gasoline, blends of gasoline and alcohol containing more than 15 percent gasoline, and any inflammable liquid, by whatever name the liquid may be known or sold, which is used or is usable for propelling motor vehicles operated or suitable for operation on the highway. “Motor vehicle fuel” does not include kerosene, liquefied petroleum gas, natural gas in liquid or gaseous form, ethanol, methanol, or inflammable liquids specifically manufactured for racing motor vehicles which do not contain gasoline or natural gasoline and which are distributed and used for racing motor vehicles at a racetrack. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment of Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33013. Motor Vehicle Fuel Distribution.
Note     •     History

“Motor vehicle fuel distribution” means any of the following: 
(a) The refining, manufacturing, producing, blending, or compounding of motor vehicle fuel in this state, and the sale, donation, barter, or use of motor vehicle fuel in this state. 
(b) The importing of motor vehicle fuel into this state with respect to which there has been no prior distribution subject to the fee, and the sale, donation, barter, or use of motor vehicle fuel in this state. 
(c) The receiving in this state by a motor vehicle fuel distributor of motor vehicle fuel with respect to which there has been no prior distribution subject to the fee, or the receipt in this state by any business entity of motor vehicle fuel with respect to which there has not been a prior distribution on which a fee has been paid pursuant to this section, and the sale, donation, barter, or use of the motor vehicle fuel in this state. 
(d) The sale of motor vehicle fuel by any business entity required to be registered pursuant to Revenue and Taxation Code Section 6001 et seq., when it is shipped into this state by the seller or delivered by the seller to a carrier, customs broker, or forwarding agent, whether hired by the order of the purchaser or not, for shipment into this state for subsequent sale, donation, barter, or use in this state. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment of subsections (c)-(d) and amendment of Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33014. Motor Vehicle Fuel Distributor.
Note     •     History

“Motor vehicle fuel distributor” means each business entity that distributes or has distributed motor vehicle fuel excluding each business entity that the Department has: 
(a) Currently granted an exemption pursuant to section 33040;
(b) Determined to be insolvent; or
(c) Determined did not distribute motor vehicle fuel in or about 1991, and is not historically associated with a motor vehicle fuel distributor which distributed motor vehicle fuel in or about 1991.
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105310 and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment of section and Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
§33015. Ongoing and Chronic Exposure.
Note     •     History

“Ongoing and chronic exposure” means exposure to lead that has been dispersed into the environment by industry which has not been abated in accordance with Title 17, California Code of Regulations, Division 1, Chapter 8, section 35001 et seq. 
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105250, 105310, 124160(b) and 124165, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment of section, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
Article 2. Fees
§33020. Fees Attributable to Leaded Architectural Coatings.
Note     •     History

(a) Each architectural coating distributor shall pay a fee assessed and collected by the Board of Equalization pursuant to Health and Safety Code section 105310 and calculated as follows:

	 A 
	____   x D
	 B 
WHERE:
A = Total gallons of architectural coatings distributed in or about 1978 by each architectural coatings distributor, as estimated by the Department based upon the best available data compiled and held by the Department.
The estimate of each architectural coating distributor's 1978 distributions shall include the Department's estimate of the total gallons of architectural coating products distributed in 1978 from any and all business operations for which the architectural coating distributor is currently responsible, including by historical association as determined by the Department pursuant to section 33060.
B = Total gallons of architectural coating distributed in or about 1978 by all architectural coating distributors, as estimated by the Department based upon the best available data compiled and held by the Department.
D = $2,260,000.00 + the annual adjustment pursuant to Health and Safety Code section 105310(c).
(b) The fee is due on or before April 1 of each year. 
NOTE

Authority cited: Sections 105310 and 131200, Health and Safety Code; and Ch. 799, Stats. 1991, Sec. 11. Reference: Sections 105310, 124165, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-93 order transmitted to OAL 6-1-93 and filed 7-12-93 (Register 93, No. 29).
3. New article 2 (sections 33020-33030) and amendment of section and Note filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
4. New article 2 (sections 33020-33030) and amendment of section and Note refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
5. New article 2 (sections 33020-33030) and amendment of section and Note refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
6. Certificate of Compliance as to 3-12-2002 order, including amendment of subsection (a), transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
7. Amendment of subsection (a) and amendment of Note filed 1-29-2009; operative 1-29-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 10531(h) (Register 2009, No. 5).
§33025. Fees Attributable to Leaded Gasoline.
Note     •     History

(a) Each motor vehicle fuel distributor shall pay a fee, assessed and collected annually by the Board of Equalization pursuant to Health and Safety Code section 105310 and calculated as follows: 

	 A 
	____   x D
	 B
WHERE: 
A = Total gallons of motor vehicle fuel distributed in or about 1991 by each motor vehicle fuel distributor, as estimated by the Department based upon the best available data compiled and held by the Department. 
The estimate of each motor vehicle fuel distributor's 1991 distributions shall include the Department's estimate of the total gallons of motor vehicle fuel distributed in 1991 from any and all business operations for which the motor vehicle fuel distributor is currently responsible, including by historical association as determined by the Department pursuant to section 33060.
B = Total gallons of motor vehicle fuel distributed in or about 1991 by all motor vehicle fuel distributors, as estimated by the Department based upon the best available data compiled and held by the Department. 
D = $13,640,000.00 + the annual adjustment pursuant to Health and Safety Code section 105310(c). 
(b) The fee is due on or before April 1 of each year. 
NOTE

Authority cited: Sections 105310 and 131200, Health and Safety Code; and Ch. 799, Stats. 1991, Sec. 11. Reference: Sections 105310, 124165, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
2. New section refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
3. New section refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
4. Certificate of Compliance as to 3-12-2002 order, including amendment subsection (a) and amendment of Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
5. Amendment of subsection (a) and amendment of Note filed 1-29-2009; operative 1-29-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 10531(h) (Register 2009, No. 5).
§33030. Fees Attributable to Facilities Releasing Lead into Ambient Air in California.
Note     •     History

(a) Facilities that have reported releases of lead or lead compounds into ambient air in California pursuant to the Superfund Amendments and Reauthorization Act, Title III, Section 313, shall pay a fee, assessed by the Board of Equalization pursuant to Health and Safety Code section 105310 and calculated as follows:

	 A 
	____   x C
	
	 B 
WHERE:
A = The total pounds of lead and lead compounds reported to be released by each facility into the California ambient air in the most recent calendar year for which data are available, as reported pursuant to the Superfund Amendments and Reauthorization Act, Title III, Section 313.
B = The total pounds of lead and lead compounds reported to be released by all facilities into California ambient air in the most recent calendar year for which data are available, as reported pursuant to the Superfunds Amendments and Reauthorization Act, Title III, Section 313.
C = $100,000 + the annual adjustment pursuant to Health and Safety Code section 105310(c).
(b) The fee is due on or before April 1 of each year.
NOTE

Authority cited: Sections 105310 and 131200, Health and Safety Code; and Ch. 799, Stats. 1991, Sec. 11. Reference: Sections 105310, 124165, 131050, 131051 and 131052, Health and Safety Code. 
HISTORY

1. New section filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-93 order transmitted to OAL 6-1-93 and filed 7-12-93 (Register 93, No. 29).
3. Amendment of section heading, section and Note filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
4. Amendment of section heading, section and Note refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
5. Amendment of section heading, section and Note refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
6. Certificate of Compliance as to 3-12-2002 order transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
7. Amendment of subsection (a) and amendment of Note filed 1-29-2009; operative 1-29-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 10531(h) (Register 2009, No. 5).
Article 3. Exemption from Fees
§33040. Exemption From Fees.
Note     •     History

(a) An exemption from the fee imposed under Health and Safety Code section 105310 shall be granted to an applicant who can demonstrate, as determined by the Department, that all of the following are true:
(1) The industry with which the applicant is associated is not currently engaged in the stream of commerce of lead or products containing lead;
(2) The industry with which the applicant is associated was not historically engaged in the stream of commerce of lead or products containing lead;
(3) The industry with which the applicant is associated is not otherwise responsible for identifiable sources of lead which currently contribute to environmental lead contamination;
(4) The industry with which the applicant is associated is not otherwise responsible for identifiable sources of lead which have historically contributed to environmental lead contamination.
(b) An applicant who does not seek or who fails to demonstrate entitlement to an exemption under subsection (a) shall qualify for an exemption if the applicant can demonstrate, as determined by the Department, that either:
(1) The applicant's industry did not contribute in any manner to environmental lead contamination, or
(2) The applicant's lead, or products containing lead, with which the applicant is currently, or was historically, associated does not currently, or did not historically, result in environmental lead contamination. 
(c) It shall be presumed that the applicant is subject to the fee until the applicant establishes the contrary to the satisfaction of the Department. The presumption may be rebutted by providing a complete application and any other documentation that the Department requires to establish the applicant's entitlement to the exemption. Contents of an application shall include, but are not limited to:
(1) A thorough statement, made under penalty of perjury, which demonstrates the applicant's entitlement to the exemption. The sworn statement shall also contain the declarant's basis of knowledge for making the statements contained therein. If the person making the statement is not reasonably available to the applicant, a certified copy of a transcript of sworn testimony may be submitted. If such prior sworn testimony is used, the applicant must also provide a declaration as to why the declarant is not available. More than one statement may be submitted when necessary to prove the elements of the exemption.
(2) Records providing the information specified below shall be submitted in duplicate with a sworn statement under penalty of perjury establishing the reliability and completeness of the records, including a description of their mode of preparation and maintenance: 
(A) The formulation for all products manufactured and all products sold by the applicant, including the International Union of Pure and Applied Chemical (IUPAC) name and Chemical Abstract Service (CAS) number for all ingredients used; 
(B) The total amount of lead manufactured, distributed, and sold each year in the applicant's products; 
(C) Any actions taken by the applicant to abate the lead dispersed into the environment by the applicant's products in accordance with Title 17, California Code of Regulations, Division 1, Chapter 8, section 35001 et seq; 
(D) Any records, or portion thereof, which the applicant wants to protect as a trade secret shall be submitted in a  separate sealed envelope clearly marked on the outside as “Trade Secret Material.” For purposes of this section, “trade secret” shall have the same meaning as in the Uniform Trade Secrets Act, Civil Code section 3426 et seq. The application shall contain a declaration under penalty of perjury describing why the applicant believes the material is a trade secret. After review, the Department will either grant the trade secret request and keep the material confidential, or deny the request, return all copies of the trade secret material to the applicant, and not consider the trade secret material in its determination. The Department's refusal to grant a requested claim of trade secret does not excuse the applicant from establishing all elements of the claim for exemption. Any material which the Department agrees to consider as a trade secret shall be exempt from disclosure under the Public Records Act, Government Code section 6250 et seq. Records for which the Department has denied protection as a trade secret shall also be exempt from disclosure under the Public Records Act during the time the records are in the possession of the Department.
(3) A cover letter containing the name and address of the applicant, the applicant's Board of Equalization account number, the name, address and telephone number of the person to contact about the application, a summary of the basis for the exemption, and a listing of all items included with the application.
(d) The application shall be delivered to the Department at the following address: 

FEE EXEMPTION REQUEST 
CHILDHOOD LEAD POISONING PREVENTION BRANCH 
DEPARTMENT OF PUBLIC HEALTH
850 MARINA BAY PARKWAY, BUILDING P, THIRD FLOOR
RICHMOND, CA 94804-6403
(e) An exemption granted under this section is valid for a period specified by the Department of at least one calendar year. The Department may reexamine an exemption if the facts underlying the applicant's basis for exemption have changed or issues arise regarding the appropriateness of the exemption.
(f) The Department may, in its sole discretion, decide the application for exemption based upon the information submitted, or may request the submission of additional information prior to making a written decision. If the applicant does not provide the additional material requested by the Department, then the Department may decide the matter based upon the material already presented. 
(g) The Department shall either grant or deny the exemption. 
(1) If the application for exemption is denied, the applicant may, within 30 days after receipt of the Department's written decision, request reconsideration of the decision from the Department. The request for reconsideration shall be in writing, and shall detail the reasons why the applicant believes the original decision was in error. 
(2) The Department may decide the matter based upon the record submitted in the application, or may request the submission of additional information. The Department's decision on the reconsideration shall be in writing, and shall either grant the exemption, or specify the reasons for its denial.
(h) An applicant who has paid the fee, and thereafter been granted an exemption by the Department, may apply for a refund to the Board of Equalization. The request for a refund must be in writing and mailed to:

STATE BOARD OF EQUALIZATION
FUEL TAXES DIVISION, MIC:30
P.O. BOX 942879
SACRAMENTO, CA 94279-0001
NOTE

Authority cited: Sections 105310 and 131200, Health and Safety Code; and Ch. 799, Stats. 1991, Sec. 11. Reference: Sections 105250, 105310, 124160(b), 124165, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 5-15-95; operative 6-14-95. Exempt from OAL review pursuant to Health and Safety Code section 372.7(h) (Register 95, No. 20).
2. New article 3 (section 33040) and amendment of section and Note filed 7-19-2001 as an emergency; operative 7-19-2001. A Certificate of Compliance must be transmitted to OAL by 11-16-2001 or emergency language will be repealed by operation of law on the following day. Exempt from OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 29).
3. New article 3 (section 33040) and amendment of section and Note refiled 11-14-2001 as an emergency; operative 11-17-2001. A Certificate of Compliance must be transmitted to OAL by 3-18-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2001, No. 46).
4. New article 3 (section 33040) and amendment of section and Note refiled 3-12-2002 as an emergency; operative 3-19-2002. A Certificate of Compliance must be transmitted to OAL by 7-17-2002 or emergency language will be repealed by operation of law on the following day. Exempt for OAL review pursuant to Health and Safety Code section 105310(h) (Register 2002, No. 11).
5. Certificate of Compliance as to 3-12-2002 order, including amendment of subsection (c)(2)(C) and amendment of Note, transmitted to OAL 7-16-2002 and filed 8-22-2002 (Register 2002, No. 34).
6. Repealer of subsection (c)(1)(D), subsection relettering, amendment of subsections (d)-(e), repealer of subsections (f)-(f)(2), subsection relettering, amendment of newly designated subsections (g)-(g)(2) and amendment of Note filed 1-29-2009; operative 1-29-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 10531(h) (Register 2009, No. 5).
Article 4. Application to Reassess Fee
§33050. Application to Reassess Fee.
Note     •     History

(a) An applicant requesting a reassessment of the fee imposed under Health and Safety Code section 105310 shall submit an application to the Department which contains:
(1) A statement or statements, made under penalty of perjury, which demonstrates the applicant's entitlement to a reassessed fee, and which includes a statement that the applicant has paid in full any and all fees assessed by the Board of Equalization pursuant to this Chapter. The sworn statement(s) shall also contain the basis of knowledge for making the statements contained therein.
(2) Records identifying the total gallons of motor vehicle fuel distributed by the applicant in or about 1991 or the total gallons of architectural coatings distributed by the applicant in or about 1978. Records, such as sales data, annual reports, or other information, shall be submitted in duplicate with a sworn statement under penalty of perjury establishing the reliability and completeness of the records, including a description of their mode of preparation and maintenance. Any records, or portion thereof, which the applicant wants to protect as a trade secret shall be submitted in a separate sealed envelope clearly marked on the outside as “Trade Secret Material.” For purposes of this section, “trade secret” shall have the same meaning as in the Uniform Trade Secrets Act, Civil Code section 3426 et seq. The application shall contain a declaration under penalty of perjury describing why the applicant believes the material is a trade secret.
(3) A cover letter containing the name and address of the applicant, the applicant's Board of Equalization account number, the name, address and telephone number of the person to contact about the application, a summary of the basis for the exemption, and a listing of all items included with the application.
(b) If the application is denied, the applicant may, within 30 days after receipt of the Department's written decision, request reconsideration of the decision from the Department. The request for reconsideration shall be in writing, and shall detail the reasons why the applicant believes the original decision was in error.
(c) Any claim for refund shall be submitted to the Board of Equalization by the applicant within the statutory time frames established by Revenue and Taxation Code Section 43451 et seq.
NOTE

Authority cited: Section 105310, Health and Safety Code. Reference: Sections 105250, 105310, 124160(b) and 124165, Health and Safety Code.
HISTORY

1. New article 4 (section 33050) and section filed 8-22-2002; operative 8-22-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 34).
§33060. Transfer of Operating Assets.
Note     •     History

(a) Where an assessed business entity sells or transfers some or all of its operating assets to another business entity the Department will determine whether an historical association has been established between the two business entities. The Department will make a determination based upon the best available information compiled and held by the Department, without regard to whether an application has been filed by any party pursuant to section 33060(b). If an historical association has been established, then the acquiring business entity shall be responsible for the fee for the historical activity of the acquired business operations, beginning with the fee for the calendar year in which the operating assets were acquired.
(b) A party may file an application with the Department seeking a determination under section 33060(a), including an application seeking reconsideration of a determination already made by the Department under section 33060(a). An application filed under this section shall include:
(1) A brief statement, made under penalty of perjury, describing the business operations and business entities in question and stating the basis of the application;
(2) A copy of relevant portions of the purchase and sale agreement that would identify what assets were sold, when the assets were sold, and to whom the assets were sold;
(3) Any other documentation that would demonstrate a transfer of ownership of the operating assets, or otherwise support the stated basis of the application.
(c) If the application is denied, the applicant may, within 30 days after receipt of the Department's written decision, request reconsideration of the decision from the Department. The request for reconsideration shall be in writing, and shall detail the reasons why the applicant believes the original decision was in error.
NOTE

Authority cited: Sections 105310 and 131200, Health and Safety Code; and Ch. 799, Stats. 1991, Sec. 11. Reference: Sections 105250, 105310, 124160(b), 124165, 131050, 131051 and 131052, Health and Safety Code.
HISTORY

1. New section filed 1-29-2009; operative 1-29-2009. Submitted to OAL for printing only pursuant to Health and Safety Code section 10531(h) (Register 2009, No. 5).
Chapter 7. Health Facilities Planning [Repealed]
HISTORY

1. Repealer of Chapter 7 (Sections 40500-40532, not consecutive) filed 11-12-76 as an emergency; effective upon filling (Register 76, No. 46). For prior history see Registers 70, No. 43; 71, No. 4; and 76, No. 34.
2. Certificate of Compliance filed 3-8-77 (Register 77, No. 11).
Chapter 7.5 Eminent Domain Procedures for Nonprofit Hospitals [Repealed]
HISTORY

1. New Chapter 7.5 (Sections 43000-43050, not consecutive) filed 11-24-75; effective thirtieth day thereafter (Register 75, No. 48).
2. Repealer of Chapter 7.5 (Sections 43000-43050) filed 7-25-77; effective thirtieth day thereafter (Register 77, No. 31).
Chapter 7.7 Fire Protection Loans [Repealed]
NOTE

Authority cited: Sections 208 and 13111.3, Health and Safety Code.
HISTORY

1. New Chapter 7.7 (Sections 44000-44100, not consecutive) filed 7-25-75 as an emergency; effective upon filing (Register 75, No. 6). 
2. Certificate of Compliance filed 5-2-75 (Register 75, No. 18).
3. Repealer of Chapter 7.7 (Sections 44000-44100, not consecutive) filed 7-25-78; effective thirtieth day thereafter (Register 78, No. 30). For prior history, see Registers 75, No. 6; 75, No. 18; 75, No. 19; 75, No. 52; 76, No. 12 and 76, No. 18.
Chapter 8. Accreditation, Certification and Work Practices for Lead-Based Paint and Lead Hazards
Article 1. Definitions
§35001. Abatement.
Note     •     History

“Abatement” means any set of measures designed to reduce or eliminate lead hazards or lead-based paint for public and residential buildings, but does not include containment or cleaning.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New chapter 8, article 1 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New chapter 8, article 1 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of chapter heading, section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of chapter heading, section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of chapter heading and section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35002. Accreditation.
Note     •     History

“Accreditation” means the Department has reviewed and finds acceptable a training provider's written application for accreditation, and has conducted and finds acceptable, an on-site audit as specified in subsection 35078(e).
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35003. Accredited Training Provider.
Note     •     History

“Accredited training provider” means any individual, corporation, partnership or other unincorporated association or public entity to which the Department has granted accreditation or provisional accreditation to offer lead-related construction courses and continuing education instruction.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35004. CDPH-Approved Course.
Note     •     History

“CDPH-approved course” means any lead-related construction course that satisfies the requirements specified in sections 35056, 35057, 35061, 35065, 35066, or 35067 as determined by CDPH pursuant to sections 35076 and 35078.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Amendment of section heading, new section and amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18). For prior history, see Register 99, No. 2.
§35005. Certified Lead Inspector/Assessor.
Note     •     History

“Certified lead inspector/assessor” means an individual who has received a certificate or an interim certificate from the Department as a “certified lead inspector/assessor”.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35005 to new section 35015, and renumbering of former section 35018 to new section 35005, including amendment of section heading, section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35005 to new section 35015, and renumbering of former section 35018 to new section 35005, including amendment of section heading, section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35005.1. Certified Lead Project Designer.
Note     •     History

“Certified lead project designer” means an individual who has received a certificate from the Department as a “certified lead project designer.”
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18). For prior history, see Register 99, No. 2.
§35006. Certified Lead Project Monitor.
Note     •     History

“Certified lead project monitor” means an individual who has received a certificate or an interim certificate from the Department as a “certified lead project monitor.”
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35006 to new section 35018, and renumbering of former section 35019 to new section 35006, including amendment of section heading, section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35006 to new section 35018, and renumbering of former section 35019 to new section 35006, including amendment of section heading, section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section heading, section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35007. Certified Lead Sampling Technician.
Note     •     History

“Certified lead sampling technician” means an individual who has received a certificate or an interim certificate from the Department as a “certified lead sampling technician”.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35007 to new section 35019, and renumbering of former section 35020 to new section 35007, including amendment of section heading, section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35007 to new section 35019, and renumbering of former section 35020 to new section 35007, including amendment of section heading, section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section heading, section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35008. Certified Lead Supervisor.
Note     •     History

“Certified lead supervisor” means an individual who has received a certificate or an interim certificate from the Department as a “certified lead supervisor”.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35008 to new section 35020, and renumbering of former section 35021 to new section 35008, including amendment of section heading, section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35008 to new section 35020, and renumbering of former section 35021 to new section 35008, including amendment of section heading, section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35009. Certified Lead Worker.
Note     •     History

“Certified lead worker” means an individual who has received a certificate from the Department as a “certified lead worker”.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35009 to new section 35021, and renumbering of former section 35023 to new section 35009, including amendment of section heading, section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35009 to new section 35021, and renumbering of former section 35023 to new section 35009, including amendment of section heading, section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35010. Certificate.
Note     •     History

“Certificate” means the document issued by the Department to an individual who meets the requirements for certification as described in sections 35083, 35085, 35087, 35089, or 35091.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of section transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35010 to new section 35023 and new section 35010 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35010 to new section 35023 and new section 35010 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35011. Guest Instructor.
Note     •     History

NOTE

Authority cited: Sections 208, 309.76 and 429.16, Health and Safety Code. Reference: Sections 208, 309.76 and 429.16, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35011 to new section 35025 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35011 to new section 35025 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
§35012. Certified Industrial Hygienist.
Note     •     History

“Certified industrial hygienist” (CIH) means a person who has met the education, experience, and examination requirements of an industrial hygiene certification organization governed by the American Board of Industrial Hygiene.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35012 to new section 35026, and renumbering of former section 35004 to new section 35012, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35012 to new section 35026, and renumbering of former section 35004 to new section 35012, including amendment of Note,  refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35013. Clearance Inspection.
Note     •     History

“Clearance inspection” means an on-site limited investigation, as described in Chapter 15: Clearance, sections II-VI, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b) and 131051, Health and Safety Code. 
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35013 to section 35014 and new section transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35013 to new section 35027 and new section 35013  filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35013 to new section 35027 and new section 35013 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35014. Component.
Note     •     History

“Component” means a structural element or fixture, such as a wall, floor, ceiling, door, window, molding, trim, trestle, tank, stair, railing, cabinet, gutter, or downspout.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b) and 131051, Health and Safety Code. 
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35013 to section 35014 and former section 35014 to section 35015 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35014 to new section 35028 and new section 35014 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35014 to new section 35028 and new section 35014 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35015. Contact Hour.
Note     •     History

“Contact hour” means 60 minutes of lead-related construction training which may include a break of not more than ten minutes.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order  including renumbering of former section 35014 to section 35015 and former section 35015 to section 35016 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35015 to new section 35029, and renumbering of former section 35005 to new section 35015, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35015 to new section 35029, and renumbering of former section 35005 to new section 35015, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35016. Containment.
Note     •     History

“Containment” means a system, process, or barrier used to contain lead hazards inside a work area such as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995, Chapter 8, “Containment and Barrier Systems,” Table 8.1, Table 8.2, and Table 8.3, or “Guide for Containing Surface Preparation Debris Generated During Paint Removal Operations,” Society for Protective Coatings, Technology Guide 6, October 1, 2004.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b), 124165 and 131051, Health and Safety Code. 
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35015 to section 35016 and former section 35016 to section 35017 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35016 to new section 35030 and new section 35016 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35016 to new section 35030 and new section 35016 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35017. Job Tasks.
Note     •     History

NOTE

Authority cited: Sections 208, 309.76 and 429.16, Health and Safety Code. Reference: Sections 208, 309.76 and 429.16, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35016 to section 35017 and former section 35017 to section 35018 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35017 to new section 35032 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35017 to new section 35032 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
§35018. Continuing Education.
Note     •     History

“Continuing education” means lead-related construction instruction, other than a course as described in section 35004, that satisfies the requirements specified in section 35070 or 35072. 
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering and amendment of former section 35017 to section 35018 and former section 35018 to section 35019 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35018 to new section 35005, and renumbering of former section 35006 to new section 35018, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35018 to new section 35005, and renumbering of former section 35006 to new section 35018, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35019. Course Completion Form.
Note     •     History

“Course Completion Form” means documentation, on CDPH Form 8493 (6/07), issued by an accredited training provider to an individual and the Department as proof of successful completion of a CDPH-approved lead-related construction course or continuing education instruction.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering and amendment of former section 35018 to section 35019 and former section 35019 to section 35020 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35019 to new section 35006, and renumbering of former section 35007 to new section 35019, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35019 to new section 35006, and renumbering of former section 35007 to new section 35019, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35020. Demonstration Testing.
Note     •     History

“Demonstration testing” means the observation and scoring by an instructor or a guest instructor of an individual student's job task and equipment use skills taught during a course or continuing education instruction.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering and amendment of former section 35019 to section 35020 and former section 35020 to section 35021 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35020 to new section 35007, and renumbering of former section 35008 to new section 35020, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35020 to new section 35007, and renumbering of former section 35008 to new section 35020, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35021. Department.
Note     •     History

“Department” means the California Department of Public Health (CDPH).
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering and amendment of former section 35020 to section 35021 and former section 35021 to section 35022 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35021 to new section 35008, and renumbering of former section 35009 to new section 35021, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35021 to new section 35008, and renumbering of former section 35009 to new section 35021, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35022. Deteriorated Lead-Based Paint.
Note     •     History

“Deteriorated lead-based paint” means lead-based paint or presumed lead-based paint that is cracking, chalking, flaking, chipping, peeling, non-intact, failed, or otherwise separating from a component. 
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b) and 131051, Health and Safety Code. 
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35021 to section 35022 and former section 35022 to section 35023 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35022 to new section 35040 and new section 35022 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35022 to new section 35040 and new section 35022 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35023. DHS-Approved Course. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 100275, 105250 and 124160, Health and Safety Code. Reference: Sections 100275, 105250 and 124160, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering and amendment of former section 35022 to section 35023 and former section 35023 to section 35024 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35023 to new section 35009, and renumbering of former section 35010 to new section 35023, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35023 to new section 35009, and renumbering of former section 35010 to new section 35023, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Repealer filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35024. Photo Identification Number.
Note     •     History

NOTE

Authority cited: Sections 208, 309.76 and 429.16, Health and Safety Code. Reference: Sections 208, 309.76 and 429.16, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35023 to section 35024 and former section 35024 to section 35025 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35024 to new section 35041 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35024 to new section 35041 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
§35025. Guest Instructor.
Note     •     History

“Guest instructor” means an individual who is responsible for providing less than 30% of training in any course.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35024 to section 35025 and former section 35025 to section 35026 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35025 to new section 35042, and renumbering of former section 35011 to new section 35025, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35025 to new section 35042, and renumbering of former section 35011 to new section 35025, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35026. Hands-on Training.
Note     •     History

“Hands-on training” means training during which students practice skills that they will be expected to perform at the worksite.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35026 to section 35027 and former section 35027 to section 35028 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35026 to new section 35044, and renumbering of former section 35012 to new section 35026, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35026 to new section 35044, and renumbering of former section 35012 to new section 35026, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35027. Industrial Building.
Note     •     History

“Industrial building” means a structure that is used primarily for industrial activity, which is generally not open to the public, including but not limited to, warehouses, factories, and storage facilities. “Industrial building” does not include any structure which fits the definition of a public building or a residential building.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering and amendment of former section 35026 to section 35027 and former section 35027 to section 35028 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35027 to new section 35045, and renumbering of former section 35013 to new section 35027, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35027 to new section 35045, and renumbering of former section 35013 to new section 35027, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35028. Instructor.
Note     •     History

“Instructor” means an individual who is responsible for providing 30% or more of training in any course or continuing education instruction.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35027 to section 35028 and former section 35028 to section 35029 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35028 to new section 35046, and renumbering of former section 35014 to new section 35028, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35028 to new section 35046, and renumbering of former section 35014 to new section 35028, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35029. Interactive/Participatory Teaching Methods.
Note     •     History

“Interactive/participatory teaching methods” mean instruction which consists of active participation of the students, such as brainstorming, hands-on training, demonstration and practice, small group problem-solving, learning games, discussions, risk mapping, field visits, walk-throughs, problem-posing, group work assignments, homework review sessions, question-and-answer periods, skits, or role-playing sessions. Lecture is not considered an interactive/participatory teaching method.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35028 to section 35029 and former section 35029 to section 35030 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35029 to new section 35048, and renumbering of former section 35015 to new section 35029, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35029 to new section 35048, and renumbering of former section 35015 to new section 35029, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35030. Interim Certificate.
Note     •     History

“Interim certificate” means the document issued by the Department to an individual who meets the requirements for interim certification as described in section 35093.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former section 35029 to section 35030 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35030 to new section 35049, and renumbering of former section 35016 to new section 35030, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35030 to new section 35049, and renumbering of former section 35016 to new section 35030, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35031. Job Tasks.
Note     •     History

“Job tasks” mean the specific activities performed in the context of work.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Amendment of section heading, new section and amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18). For prior history, see Register 99, No. 2.
§35032. Lead Activities.
Note     •     History

“Lead activities” means abatement, lead hazard evaluation, lead-related construction work, or any activity which disturbs lead-based paint, presumed lead-based paint, or creates a lead hazard.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 2 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 2 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment moving article 2 to precede new section 35051, renumbering former section 35032 to new section 35052, and renumbering former section 35017 to new section 35032, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment moving article 2 to precede new section 35051, renumbering former section 35032 to new section 35052 and renumbering former section 35017 to new section 35032, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section heading, repealer and new section and amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35033. Lead-Based Paint.
Note     •     History

“Lead-based paint” means paint or other surface coatings that contain an amount of lead equal to, or in excess of:
(a) one milligram per square centimeter (1.0 mg/cm2); or
(b) half of one percent (0.5%) by weight.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of subsection (b)(1) 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (b)(3) and (d) transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35033 to new section 35053 and new section 35033 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35033 to new section 35053 and new section 35033 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35034. Lead Certification Examination.
Note     •     History

“Lead certification examination” means the statewide examination offered by the Department to applicants for certification.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of section transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former section 35034 to new section 35054 and new section 35034 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former section 35034 to new section 35054 and new section 35034 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35035. Lead-Contaminated Dust.
Note     •     History

“Lead-contaminated dust” means dust that contains an amount of lead equal to, or in excess of:
(a) forty micrograms per square foot (40 mg/ft2) for interior floor surfaces; or
(b) two hundred and fifty micrograms per square foot (250 mg/ft2) for interior horizontal surfaces; or
(c) four hundred micrograms per square foot (400 mg/ft2) for exterior floor and exterior horizontal surfaces.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b), 124165 and 131051, Health and Safety Code. 
HISTORY

1. New article 3 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 3 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (a)(3)-(a)(3)(A) transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment moving article 3 heading formerly preceding  section 35035 to  precede section 35055, renumbering of former section 35035 to new section 35055 and new section 35035 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment moving article 3 heading formerly preceding section 35035 to  precede section 35055, renumbering of former section 35035 to new section 35055 and new section 35035 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35036. Lead-Contaminated Soil.
Note     •     History

“Lead-contaminated soil” means bare soil that contains an amount of lead equal to, or in excess of, four hundred parts per million (400 ppm) in children's play areas and one thousand parts per million (1000 ppm) in all other areas.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b), 124165, and 131051, Health and Safety Code. 
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35037. Lead Hazard.
Note     •     History

“Lead hazard” means deteriorated lead-based paint, lead contaminated dust, lead contaminated soil, disturbing lead-based paint or presumed lead-based paint without containment, or any other nuisance which may result in persistent and quantifiable lead exposure.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b), 124165 and 131200, Health and Safety Code. Reference: Sections 17920(l), 17920.3(c) and (k), 105250(a), 105250(b), 105280(g), 124160(b), 124165 and 131051, Health and Safety Code; Sections 1941, 3479, 3480 and 3481, Civil Code; Section 17274(b), Revenue and Taxation Code; and Section 11349(c) and 11349(e), Government Code.
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35038. Lead Hazard Evaluation.
Note     •     History

“Lead hazard evaluation” means the on-site investigation, for compensation, of lead-based paint or lead hazards for public and residential buildings, but does not include:
(a) activities intended to determine adequacy of containment; or 
(b) air monitoring for lead, as specified in Title 8, California Code of Regulations, section 1532.1, and Title 17, California Code of Regulations, sections 70100 and 70200; or
(c) testing components removed from a residential or public building for lead to determine the applicability of hazardous waste requirements specified in Title 22, California Code of Regulations, Division 4.5, Chapters 10, 11, 12, 13, and 18, and California Health and Safety Code, section 25163, subdivision (c).
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b) and 131051, Health and Safety Code. 
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35039. Lead Inspection.
Note     •     History

“Lead inspection” means a surface by surface investigation to determine the presence of lead-based paint as described in Chapter 7: Lead-Based Paint Inspection, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, 1997 Revision.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b) and 131051, Health and Safety Code. 
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35040. Lead-Related Construction Work.
Note     •     History

“Lead-related construction work” means any construction, alteration, painting, demolition, salvage, renovation, repair, or maintenance of any residential or public building, including preparation and cleanup, that, by using or disturbing lead-containing material or soil, may result in significant exposure of adults or children to lead.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35022 to new section 35040, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35022 to new section 35040, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35041. Photo Identification Number.
Note     •     History

“Photo identification number” means the number listed on a form of photo identification, such as a passport or California Department of Motor Vehicles driver's license or identification card, which matches a trained individual with a Course Completion Form.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35024 to new section 35041, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35024 to new section 35041, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35042. Postsecondary Education.
Note     •     History

“Postsecondary education” means education completed at a junior college, college, or university accredited by a national or regional accrediting agency which is recognized by the U.S. Department of Education or a state agency authorized to approve such institutions.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35025 to new section 35042, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35025 to new section 35042, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35043. Presumed Lead-Based Paint.
Note     •     History

“Presumed lead-based paint” means paint or surface coating affixed to a component in or on a structure constructed prior to January 1, 1978. “Presumed lead-based paint” does not include paint or surface coating that has been tested and found to contain an amount of lead less than one milligram per square centimeter (1.0 mg/cm2) or less than half of one percent (0.5%) by weight.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b), 124165 and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b), 124165 and 131051, Health and Safety Code. 
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35044. Provisional Accreditation.
Note     •     History

“Provisional accreditation” means the Department has reviewed and finds acceptable a training provider's written application for accreditation, but has not conducted an on-site audit as specified in subsection 35078(e).
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35026 to new section 35044, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35026 to new section 35044, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35045. Public Building.
Note     •     History

“Public building” means a structure, or part of a structure, and its land, which is generally accessible to the public, including but not limited to, schools, daycare centers, museums, airports, hospitals, stores, convention centers, government facilities, office buildings and any other building which is not an industrial building or a residential building.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35027 to new section 35045, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35027 to new section 35045, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35046. Residential Building.
Note     •     History

“Residential building” means a structure, or part of a structure, and its land, which is used or occupied, or intended to be used or occupied, in whole or in part, as the home or residence of one or more persons.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35028 to new section 35046, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35028 to new section 35046, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35047. Risk Assessment.
Note     •     History

“Risk Assessment” means an on-site investigation to determine the existence, nature, severity, and location of lead hazards, as described in Chapter 5: Risk Assessment, section II (A), (B), (C) and (D), “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b) and 131051, Health and Safety Code. 
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35048. Train-the-Trainer Course.
Note     •     History

“Train-the-trainer course” means a course that includes, but is not limited to, instruction in the planning and teaching of adult education, adult learning principles, designing training objectives, selecting and designing training activities, creating an effective learning environment, facilitating group involvement and discussions, and strategies for dealing with difficult training situations and difficult learners. 
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35029 to new section 35048, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35029 to new section 35048, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35049. Training Director.
Note     •     History

“Training Director” means the individual, designated by an accredited training provider, who monitors the performance and qualifications of instructors and guest instructors, the quantity and quality of training provided, and who is responsible for ensuring that an accredited training provider complies with the requirements for accreditation.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35030 to new section 35049, including amendment of Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35030 to new section 35049, including amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35050. Work Area.
Note     •     History

“Work area” means an area where lead activities are conducted.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 105250(a), 105250(b), 124160(b) and 131051, Health and Safety Code. 
HISTORY

1. New article 4 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 4 and section refiled with amendment of subsection (d)(9)(B) 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsection (d)(9) transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment moving article 4 heading to precede section 35056, renumbering of former section 35050 to new section 35056 and new section 35050 filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment moving article 4 heading to precede section 35056, renumbering of former section 35050 to new section 35056 and new section 35050 refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 2. Eligibility Requirements for Accreditation and Course Approval
§35051. Representation of Accreditation Status.
Note     •     History

Unless accredited pursuant to the requirements of this chapter, no person shall represent himself or herself as, or do business as, an accredited training provider.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 16240 and 17200, Business and Professions Code; and Section 131051, Health and Safety Code.
HISTORY

1. Amendment moving article 2 heading formerly preceding section 35032 to precede section 35051 and new section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Amendment moving article 2 heading formerly preceding section 35032 to  precede section 35051 and new section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35052. Eligibility Requirements.
Note     •     History

To qualify for and maintain accreditation, a training provider shall conduct at least one CDPH-approved course in California at least once during each calendar year, satisfy the applicable requirements specified in sections 35053 and 35054 and comply with all applicable requirements specified in sections 35076 and 35078. 
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35032 to new section 35052, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35032 to new section 35052, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35053. Personnel Requirements.
Note     •     History

(a) Each course shall be administered by a Training Director with the following minimum qualifications:
(1) Two years of experience administering training programs or two years of experience teaching or training adults;
(2) Successful completion of a 40 hour train-the-trainer course, or two years experience teaching or training adults, or an associate degree or higher in education from a postsecondary educational institution;
(3) A bachelor or graduate-level degree in building construction technology, engineering, industrial hygiene, safety, or health, or two years of experience managing an environmental or occupational health and safety program; and
(4) Successful completion of 24 contact hours of lead-related construction training from any of the required topics listed in sections 35056, 35057, 35061, or 35065.
(b) Each course shall be taught by an instructor with the following minimum qualifications:
(1) Successful completion of a 40 hour train-the-trainer course, or one year of experience teaching or training adults, or an associate degree or higher in education from a postsecondary educational institution;
(2) Successful completion of 24 contact hours of lead-related construction training from any of the required topics listed in sections 35056, 35057, 35061, or 35065;
(3) One year of experience related to health, safety, or regulatory aspects of lead-related construction in the topic area of the lead-related construction course they will be teaching or one year of lead-related construction experience in the topic area of the lead-related construction course they will be teaching, or CDPH certification in the discipline of the course in which they will be teaching. Except that, instructors of hands-on training must have two years of lead-related construction or related experience in the topic area of the lead-related construction course they will be teaching; and
(4) Successful completion of seven contact hours of continuing education instruction annually.
(c) Only an instructor receiving a satisfactory annual performance review by the Training Director shall provide course or continuing education instruction, unless the instructor is also the Training Director.
(d) Each qualified guest instructor shall have a minimum of one year of experience related to the subject matter that they teach.  Except that, guest instructors of hands-on training shall have a minimum of two years of lead-related construction or related experience.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35033 to new section 35053, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35033 to new section 35053, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (b)(3), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of subsection (b)(3) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35054. Operational Requirements.
Note     •     History

(a) An accredited training provider shall provide facilities for classroom instruction, hands-on training, and simulated field visits. The training provider shall also provide equipment, instructional material, and instructor personnel to provide training needed to achieve the objectives for which the course or continuing education instruction is offered. Equipment shall be maintained in proper working condition and licensed and stored in compliance with applicable requirements and regulations.
(b) A student-to-instructor ratio of not greater than ten to one shall be maintained during hands-on training and instructors shall provide attention to and observation of each student's activities.
(c) Only an accredited training provider shall be approved to offer continuing education instruction.
(d) An accredited training provider shall administer a final examination to eligible students seeking a Course Completion Form in each course or continuing education instruction.
(e) A minimum score of 70% shall be considered a passing score on a final examination.
(f) An accredited training provider shall allow a student who fails to attain a passing score on a final examination to retake the examination up to two more times within 30 calendar days from the date the original examination was given.  These examinations shall be different from, but equivalent to, the original final examination.
(g) Within 30 calendar days of a student passing a final examination, an accredited training provider shall issue a completed Course Completion Form to the student and the Department.
(h) A final examination shall be designed to test a student's knowledge of information and ability to perform job tasks taught in a course or continuing education instruction. This examination may be administered verbally or in written form, shall be given to student's individually, shall include demonstration testing if hands-on training is done, and shall consist of the following:
(1) Demonstration testing shall comprise a minimum of 15% and shall not exceed 35% of the final examination, except for the lead-related construction work course which shall not exceed 50%; and
(2) A minimum of 100 questions for the lead-related construction inspection and assessment course and the lead-related construction supervision and project monitoring course; or
(3) A minimum of 75 questions for the lead-related construction Certified Industrial Hygienist course; or
(4) A minimum of 50 questions for the lead-related construction work course and the lead-related construction supplemental supervision and project monitoring course; or
(5) A minimum of 30 questions for the lead-related construction sampling technician course; or
(6) A minimum of five questions for each contact hour of continuing education instruction.
(i) CDPH Form 8493 (6/07), Course Completion Form, shall contain the following information:
(1) Student's name, residence address (and mailing address, if different), telephone number, and date of birth;
(2) Student's photo identification number and description of type of identification document;
(3) Student's authorization to release, to the Department, information contained on CDPH Form 8493 (6/07), Course Completion Form;
(4) Student's verification of understanding that possession of the Course Completion Form does not constitute certification by CDPH;
(5) Student's verification of understanding that, to be eligible for interim certification or certification renewal, an application for interim certification or certification shall be made to CDPH within one year of successful completion of the final examination;
(6) Student's signature and date;
(7) Accredited training provider's name;
(8) Title and number of the course or continuing education instruction;
(9) Number of contact hours completed;
(10) Dates and location(s) of the course or continuing education instruction and CDPH Form 8493 (6/07), Course Completion Form Number and date of student's completion of core instruction if different;
(11) Date the student passed the course or continuing education final examination; and
(12) Training Director's name, printed or typed, signature, and date verifying, under penalty of perjury, that all information contained on CDPH Form 8493 (6/07), Course Completion Form, is true and correct.
(j) An accredited training provider shall maintain, at its principal place of business in California, for at least five years, accurate records of the following:
(1) Daily student attendance;
(2) Examination results for each student, including results of demonstration testing;
(3) Completed Course Completion Forms;
(4) Training Director and instructor qualifications;
(5) Documentation of approval or authority to operate granted by the Bureau for Private Postsecondary and Vocational Education;
(6) Current course curriculum materials and documents reflecting any changes made to these materials;
(7) Examinations for each course, including demonstration testing protocol; and
(8) Completed student evaluation forms for each course.
(k) An accredited training provider shall notify CDPH at least 48 hours prior to offering or canceling a course or continuing education training. The notification shall include type of course or training, instructor(s), date(s), time(s), and location(s), including street address.
(l) An accredited training provider shall submit documentation of instructor qualifications as specified in §35053(b) to CDPH at least 48 hours prior to an instructor teaching a course or continuing education.
(m) An accredited training provider shall maintain approval or authority to operate granted by the Bureau for Private Postsecondary and Vocational Education.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former section 35034 to new section 35054, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former section 35034 to new section 35054, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of subsections (j)(5) and (m), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 3. Core Instruction
§35055. Core Instructional Requirements.
Note     •     History

(a) Each course, except the lead-related construction work course and the lead-related construction sampling technician course, shall include a minimum of five contact hours of the following core instructional requirements:
(1) At least one contact hour of background information on lead and health effects related to lead exposure, including:
(A) Identification of sources of environmental lead such as surface dust, soil, water, air, and food;
(B) History of uses and locations of lead and leaded paint in buildings;
(C) Lead contaminated dust and lead-based paint properties;
(D) Summary of lead abatement control options, including interim controls;
(E) The nature of lead-related diseases;
(F) Pathways of exposure in children and adults;
(G) Dose-response relationships, and blood lead levels in children and adults;
(H) Effects on the nervous, reproductive (male and female), musculo-skeletal, cardiovascular, and blood-forming systems and kidneys;
(I) Different effects on children and adults, including women during pregnancy;
(J) Symptoms and diagnosis of poisoning in children and adults and CDPH-reportable blood lead levels;
(K) Medical treatment for lead poisoning, including, chelation therapy; and
(L) How lead in the body is absorbed, distributed, and eliminated.
(2) At least one contact hour on relevant federal, state and local regulatory requirements including:
(A) Requirements for the identification, management, transport, record keeping, and disposal of hazardous waste set forth in Title 22, California Code of Regulations, Division 4.5, Chapters 10, 11, 12, 13, and 18, Health and Safety Code section 25163, subdivision (c), and Chapter 6.5, Article 10.8, of the Health and Safety Code;
(B) Ambient Air Quality Standards for lead set forth in Title 17, California Code of Regulations, sections 70100 and 70200;
(C) Injury and Illness Prevention Program requirements set forth in Title 8, California Code of Regulations, sections 1509 and 3203;
(D) California's Construction Safety Orders set forth in Title 8, California Code of Regulations, section 1532.1; and
(E) Standards for hazard communication in the work place set forth in the “Clear and Reasonable Warnings,” Title 22, California Code of Regulations, subsections 12601(c) & (d) and in “Hazard Communication,” Title 8, California Code of Regulations, section 5194.
(3) At least one contact hour on respiratory protection and personal protective equipment including:
(A) Standards and criteria for establishing a respiratory protection program set forth in Title 8, California Code of Regulations, sections 5141 and 5144 and Occupational Safety and Health Administration (OSHA) respirator requirements set forth in 29 Code of Federal Regulations, section 1910.134 (1998);
(B) Classes and characteristics of respirators;
(C) Limitations of respirators;
(D) Proper selection, inspection, donning, doffing, use, maintenance, and storage procedures for respirators;
(E) Methods for field testing the face piece seal (user seal check procedures);
(F) Qualitative and quantitative fit testing procedures;
(G) Factors that alter respirator fit, e.g. facial hair;
(H) Selection and use of personal protective clothing;
(I) Storage and handling of non-disposable clothing; and
(J) Proper use of protective clothing and equipment set forth in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1.
(4) Discussion of the roles and responsibilities of the interim certified individual, the need for further on-the-job training and the need to work with other personnel during lead-related construction activities, including public health and housing agency officials.
(b) Individuals in possession of a CDPH Form 8493 (6/07), Course Completion Form in any course, except a lead-related construction Work course, shall not be required to retake the core instructional requirements when seeking a Course Completion Form in another course, provided the course begins no more than three years after the date of the final examination on the initial Course Completion Form.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Amendment moving article 3 heading formerly preceding section 35035 to  precede section 35055, and renumbering former section 35035 to new section 35055, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Amendment moving article 3 heading formerly preceding section 35035 to precede section 35055, and renumbering former section 35035 to new section 35055, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of subsections (a)(1), (a)(1)(C), (a)(1)(F), (a)(1)(G), (a)(1)(J), (a)(1)(K), (a)(2), (a)(3), (a)(3)(A) and (a)(3)(E), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of subsections (a), (a)(1)(J) and (b) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 4. Lead-Related Construction Inspection and Assessment Course
§35056. Course Requirements.
Note     •     History

(a) A lead-related construction Inspection and Assessment course shall consist of a minimum of 40 contact hours which includes core instructional requirements specified in section 35055, methodology requirements specified in subsection 35056(b), hands-on training, as specified in subsection 35056(c), and classroom instruction, as specified in subsection 35056(d).
(b) At least 16 of the 40 required contact hours shall be taught using interactive/participatory teaching methods, which includes at least ten contact hours of hands-on training.
(c) Hands-on training shall include performance of tasks associated with:
(1) Inspection and hazard assessment techniques as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision; 
(2) Participation in a simulated field visit which includes:
(A) Walk-through building inspection;
(B) Discussion of data collection, including sample location determination; and
(C) Practice with an X-ray Fluorescence (XRF) analyzer.
(d) Classroom instruction shall include:
(1) Federal guidelines as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision.
(2) State regulations specified in Title 17, California Code of Regulations, Division 1, Chapter 8, Sections 36000 and 36100.
(3) Roles and responsibilities of local health officials versus private sector Inspector/Assessors when conducting lead hazard assessments.
(4) Potential hazard exposure circumstances, including, but not limited to, electrical, heat stress, fire, explosion, and chemical air contaminants, slips, trips, falls and disturbances of friable asbestos.
(5) At least one contact hour on radiation information and safety training requirements as follows:
(A) CDPH radiation safety training requirements as specified in Title 17, California Code of Regulations, sections 30100-30355;
(B) Ionizing radiation including atomic structure, units of radiation, radioactivity, radioactive decay, ionization, radiation absorption in matter, and radiation detection; and
(C) Safe use of X-ray florescent (XRF) analyzers, including direct and indirect analyzers and limitations (substrate interference), transportation, storage, record keeping and license requirements.
(6) At least five contact hours on job tasks associated with lead hazard inspection procedures as follows:
(A) Review and interpretation of previous inspection records, including sample collection and analysis, abatement activities, and source information;
(B) Inspection plan development, including notification of property owners and occupants, building access, use of warning signs, and disruption minimization.
(C) Hazard communication with property owners, occupants, and neighbors relative to the reduction or elimination of sources of lead at the job site such as paint, dust, soil, water, imported ceramic pottery, home remedies, or occupational take-home sources;
(D) Visual inspections and clearance inspections;
(E) Sample collection including equipment, procedures, quality assurance and contamination factors before, during and after abatement, as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision;
(F) Sample analysis, including selection of an EPA recognized laboratory under the National Lead Laboratory Accreditation Program to test paint, dust, soil samples and other media and quality assurance procedures; and
(G) Post-inspection procedures and written reports.
(7) At least five contact hours on job tasks associated with lead hazard risk assessment as follows:
(A) HUD protocol for risk assessment and interim controls as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision;
(B) Assessment of leaded paint surface damage, including disturbance potential of lead-related construction work;
(C) Child accessibility to leaded paint surfaces; and
(D) Public and lead-related construction work personnel health considerations, including medical confidentiality.
(8) Record keeping as specified in CDPH radiation materials control regulations in the California Code of Regulations, title 17, sections 30100-30355; and “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision.
(9) Lead-related construction techniques in residential and public buildings as follows:
(A) Abatement options, including interim controls;
(B) Clean-up and disposal procedures, contamination prevention and dust minimization, including high efficiency particulate air (HEPA) vacuums as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision; and
(C) Evaluation of abatement and interim controls costs.
(10) Inspector/Assessor qualifications, responsibilities, legal obligations and conflicts of interest.
(11) Insurance issues relating to lead-related construction, work and abatement including liability insurance, claims-made and occurrence policies, and environmental and pollution liability policy clauses, and bonding.
(12) Classroom discussion of a simulated field visit.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 5 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 5 and section refiled with amendment of subsection (c)(2) 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (d)(1)(A)-(B), (d)(5)(A), and (d)(5)(J) and new subsection (d)(1)(C) transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment moving article 4 heading formerly preceding section 35050 to  precede section 35056 and moving article 5 heading formerly preceding section 35056 to precede section 35057, renumbering former section 35056 to new section 35057, and renumbering former section 35050 to new section 35056, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment moving article 4 heading formerly preceding section 35050 to precede section 35056 and moving article 5 heading formerly preceding section 35056 to precede section 35057, renumbering former section 35056 to new section 35057, and renumbering former section 35050 to new section 35056, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsections (c)(5)(A) and (c)(8) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 5. Lead-Related Construction Supervision and Project Monitoring Course
§35057. Course Requirements.
Note     •     History

(a) A lead-related construction supervision and project monitoring course shall consist of a minimum of 40 contact hours which includes core instructional requirements specified in section 35055, methodology requirements specified in subsection 35057(b), hands-on training, as specified in subsection 35057(c), classroom instruction, as specified in subsection 35057(d), and a demonstration of respirator fit testing as specified in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1.
(b) At least 16 of the 40 required contact hours shall be taught using interactive/participatory teaching methods, which includes at least eight contact hours of hands-on training.
(c) Hands-on training shall include performance of tasks associated with:
(1) Exposure assessment including paint chip collection and air monitoring and worker protection practices including personal protective equipment as specified in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1; 
(2) Clearance inspections such as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision; and
(3) Lead-related construction supervision and project monitoring, including, use of engineering controls, construction and use of containment and barrier systems for at least two worksite preparation levels, removal methods, interim control methods, clean-up including high efficiency particulate air (HEPA) vacuums, use of negative air machines, and waste disposal as specified in, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision.
(d) Classroom instruction shall include:
(1) Regulatory requirements as specified in:
(A) National Emission Standards for Hazardous Air Pollutants set forth in Title 40, Code of Federal Regulations, section 50.12 (1992); 
(B) Relevant State Contractor Licensing Board requirements for conducting work as a contractor set forth in section 7026 and following of the Business and Professions Code; 
(C) Permitting requirements for lower risk treatment activities set forth in Health and Safety Code, Chapter 6.5, Article 9, sections 25200.3, 25201.5, and Title 22, California Code of Regulations, Division 4.5, Chapter 45; and
(D) Work practice requirements set forth in Title 17, California Code of Regulations, sections 36000 and 36100.
(2) Identification and prevention of hazards encountered during lead-related construction as follows:
(A) Emergency procedures for sudden releases; and
(B) Electrical, heat stress, fire, explosion and other hazards, chemical air contaminants, slips, trips, falls and disturbances of friable asbestos.
(3) Job tasks associated with sample collection and analysis procedures as follows:
(A) Sample collection equipment, and procedures, quality assurance methods and contamination factors before, during and after abatement, as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision; 
(B) Sample analysis, including interpretation and quality assurance procedures; and
(C) Visual inspections and clearance inspections.
(4) At least five contact hours on job tasks associated with lead-related construction including the following:
(A) Interior and exterior leaded paint, soil and dust abatement methods (including chemical, enclosure, hand, mechanical, blasting, encapsulation), interim control methods, use of engineering controls, clean-up techniques (including high efficiency particulate air (HEPA) vacuums), and worksite preparation (including use of negative air machines), as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision;
(B) Lead-related construction work and abatement as a portion of a renovation project;
(C) Notification of other contractors working at the lead-related construction site;
(D) Work practices as follows:
1. Construction, use, and maintenance of containment and barrier systems;
2. Warning signs and their placement; and
3. Electrical and ventilation systems lockout.
(E) Meeting housing codes and standards;
(F) Special lead-related construction procedures for occupied buildings, including strategies for occupant education, occupant and furniture relocation, and lead exposure minimization;
(G) Development of detailed schedules to comply with project design requirements and execution of tasks, including but not limited to, resident notification, building access, warning signs, and occupant disruption minimization;
(H) Identification and implementation of personal hygiene practices including, but not limited to, entry and exit procedures for the work area, provision and use of showers; and avoidance of eating, drinking, smoking, chewing, and applying cosmetics in the work or changing area;
(I) Hazard communication with property owners, occupants and neighbors relative to the reduction or elimination of sources of lead at the job site such as paint, lead dust, soil, water, imported ceramic pottery, home remedies, and occupational take-home exposures; and
(J) Administrative tasks associated with supervision and project monitoring:
1. Contract specifications, preparation and administration;
2. Cost estimation, including strategies for cost reduction;
3. Development and administration of an illness and injury prevention program; and
4. Record keeping as specified in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1.
(5) Supervision and project monitoring job tasks associated with lead-related construction project design as follows:
(A) Review of inspection reports;
(B) Performance of clearance testing methods as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision; and
(C) Performance of hazardous waste segregation, testing, and disposal.
(6) Conflicts of interest related to the performance of supervision, inspection, and project monitoring tasks.
(7) Medical surveillance and removal protection as specified in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1, including but not limited to, issues involved in selecting and using medical services;
(8) Insurance issues relating to lead-related construction including:
(A) Workers' compensation coverage and exclusions; and
(B) Liability insurance, claims-made and occurrence policies, environmental and pollution liability policy clauses, and bonding.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Amendment moving article 5 heading formerly preceding section 35056 to precede section 35057, and renumbering former section 35056 to new section 35057, including amendment of section and Note, filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Amendment moving article 5 heading formerly preceding section 35056 to  precede section 35057, and renumbering former section 35056 to new section 35057, including amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 6. Lead-Related Construction Sampling Technician Course
§35061. Course Requirements.
Note     •     History

(a) A lead-related construction sampling technician course shall consist of a minimum of 8 contact hours, with at least 5 contact hours taught using interactive/participatory teaching methods. The course shall include:
(1) At least thirty minutes of classroom instruction on lead and health effects related to lead exposure, including:
(A) Identification of sources of lead hazards;
(B) Numerical standards for lead-contaminated dust, lead-contaminated soil, and lead-based paint; and 
(C) Health effects related to lead exposure.
(2) At least one contact hour of classroom instruction on lead hazard evaluation activities and requirements specified in Title 17, California Code of Regulations, section 36000. Classroom instruction shall delineate the responsibilities of an inspector/assessor and sampling technician as specified in section 36000(d).
(3) At least one contact hour on job tasks associated with lead hazard evaluation as follows:
(A) Professional responsibilities and limitations as specified in Health and Safety Code sections 105253 through 105256, inclusive.
(B) Sampling or testing soil, dust, and paint only when an inspector/assessor identifies the specific locations where soil, dust, and paint are to be sampled or tested, interprets the results, and complies with the record keeping and reporting requirements;
(C) Visual assessment;
(D) Sample collection and testing procedures for paint, dust, and soil; and
(E) Post-sampling and post-testing procedures.
(4) At least three and one half contact hours of hands-on training including:
(A) Sample collection, including equipment, procedures, and quality assurance, as described in:
1. Chapter 5: Risk Assessment, section II (D), and Appendix 13.3 “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995; and
2. Chapter 7: Lead-Based Paint Inspection, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, 1997. 
(B) Participation in simulated field visit, including visual inspections, collection of dust, paint and soil samples, and practice with an X-ray Fluorescence (XRF) analyzer.
(5) At least thirty minutes of classroom instruction on radiation information and safety training requirements specified in Title 17, California Code of Regulations, division 1, chapter 5, subchapter 4, groups 1, 1.5, and 2. This instruction shall emphasize that sampling technicians are required to complete an additional eight hours of training prior to operating an X-ray Fluorescence (XRF) analyzer for lead hazard evaluation. 
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 6 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 6 and section refiled with amendment of subsection (d)(2) 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (e)(1)(A)-(B), (e)(5)(B) and (e)(5)(J) and new subsection (e)(1)(C) transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (c)(1), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of article heading, repealer and new section and amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 7. Lead-Related Construction   Work Course
§35065. Course Requirements.
Note     •     History

(a) A lead-related construction work course shall consist of a minimum of 24 contact hours which includes methodology requirements specified in subsection 35065(b), hands-on training, as specified in subsection 35065(c), classroom instruction, as specified in subsection 35065(d), and a demonstration of respirator fit testing as specified in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1.
(b) At least 12 of the 24 required contact hours shall be taught using interactive/participatory teaching methods, which includes at least ten contact hours of hands-on training.
(c) Hands-on training shall include performance of tasks associated with:
(1) Exposure assessment including air monitoring and worker protection practices including personal protective equipment as specified in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1; and
(2) Lead-related construction work, including, construction and use of containment and barrier systems for at least two worksite preparation levels, removal methods, interim control methods, waste disposal,  use of high efficiency particulate air (HEPA) vacuums, electrical and ventilation system lockout, clean-up, and personal hygiene.
(d) Classroom instruction shall include:
(1) At least one contact hour of regulatory requirements as specified in:
(A) Injury and Illness Prevention Program requirements set forth in Title 8, California Code of Regulations, sections 1509 and 3203;
(B) California's Construction Safety Orders set forth in Title 8, California Code of Regulations, section 1532.1;
(C) Standards for hazard communication in the work place set forth in the “Clear and Reasonable Warnings,” Title 22, California Code of Regulations, subsections 12601(c) and (d) and in “Hazard Communication,” Title 8, California Code of Regulations, section 5194; and
(D) Work practice standards set forth in Title 17, California Code of Regulations, sections 36000 and 36100.
(2) At least one contact hour of background information on lead, including:
(A) Identification of sources of environmental lead contamination such as surface dust, soil, water, air, and food;
(B) History of uses and locations of lead and leaded paint in buildings;
(C) Lead contaminated dust and lead-based and paint properties; and
(D) Health effects related to lead exposure, including but not limited to:
1. Pathways of exposure in children and adults;
2. Dose-response relationships and blood lead levels in children and adults;
3. Effects on the nervous, reproductive (male and female), musculo-skeletal, cardiovascular, and blood-forming systems and kidneys;
4. Different effects on children and adults, including women during pregnancy;
5. Symptoms and diagnosis of poisoning in children and adults and CDPH-reportable blood lead levels; and
6. Medical treatment for lead poisoning, including chelation therapy.
(3) At least two contact hours on respiratory protection and personal protective equipment, including:
(A) Elements of a respiratory protection program set forth in Title 8, California Code of Regulations, sections 5141 and 5144 and Occupational Safety and Health Administration (OSHA) respirator requirements set forth in 29 Code of Federal Regulations, section 1910.134 (1998);
(B) Classes and characteristics of respirators;
(C) Limitations of respirators;
(D) Proper selection, inspection, donning, doffing, use, maintenance, and storage procedures for respirators;
(E) Methods for field testing the face piece seal (user seal check procedures);
(F) Qualitative and quantitative fit testing procedures;
(G) Factors that alter respirator fit, e.g. facial hair;
(H) Selection and use of personal protective clothing;
(I) Storage and handling of non-disposable clothing; and
(4) At least eight contact hours on job tasks associated with lead-related construction including:
(A) Tasks as described in, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision as follows:
1. Sampling methods for paint, dust, and soil;
2. Construction and use of containment and barrier systems for all interior and exterior worksite preparation levels;
3. Interior and exterior leaded paint, soil and dust abatement methods (including chemical, enclosure, hand, mechanical, blasting, encapsulation), and interim control methods; 
4. Use of administrative and engineering controls; and 
5. Clean-up techniques (including high efficiency particulate air (HEPA) vacuums);
(B) Construction, use and maintenance of containment and barrier systems;
(C) Warning signs and their placement; 
(D) Electrical and ventilation systems lockout;
(E) Hazardous and non-hazardous waste characterization and disposal;
(F) Personal hygiene, including entry and exit procedures for the work area, use of showers, avoidance of eating, drinking, smoking, chewing, and applying cosmetics in the work or changing area, avoidance of take-home exposures; and
(G) Identification and prevention of hazards as follows:
1. Emergency procedures for sudden releases; and
2. Electrical, heat, stress, fire, explosion and other hazards, chemical air contaminants, slips, trips, falls and disturbances of friable asbestos.
(5) Medical monitoring requirements as specified in the Construction Safety Orders, California Code of Regulations, title 8, section 1532.1, including:
(A) Discussion of the need for medical monitoring of lead toxicity and disclosure of medical history for lead-related construction work; and
(B) Treatment of lead poisoning cases, including medical removal procedures and the issue involved in selecting medical services.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 7 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 7 and section refiled with amendment of subsection (c)(2) 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsection (d)(2)(D)5. and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 8. Lead-Related Construction Supplemental Supervision and Project Monitoring Course
§35066. Course Requirements.
Note     •     History

(a) A lead-related construction supplemental supervision course shall consist of a minimum of 16 contact hours which includes methodology requirements specified in subsection 35066(b), hands-on training, as specified in section 35066(c), and classroom instruction, as specified in subsection 35066(d).
(b) At least four of the 16 required contact hours shall be taught using interactive/participatory teaching methods, which includes at least one contact hour of hands-on training.
(c) Hands-on training shall include performance of tasks associated with:
(1) Exposure assessment including paint chip collection and air monitoring as specified in the Construction Safety Orders, Title 8, California Code of Regulations, section 1532.1; and
(2) Clearance inspections such as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision.
(d) Classroom instruction shall include:
(1) Regulatory requirements as specified in:
(A) California's Construction Safety Orders set forth in Title 8, California Code of Regulations, section 1532.1;
(B) Section 35055(a)(2)(A) and (B); and
(C) Section 35057(d)(1)(C).
(2) Job tasks associated with sample collection and analysis procedures as specified in section 35057(d)(3).
(3) At least five contact hours on job tasks associated with lead-related construction as specified in section 35057(d)(4).
(4) Supervision and project monitoring job tasks associated with lead-related construction project design as specified in 35057(d)(5).
(5) Supervision and project monitoring issues as specified in 35057(d)(6)(7) and (8).
(6) Discussion of the roles and responsibilities of the interim certified individual as specified in 35055(a)(4).
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Renumbering of former article 8 to new article 9, new article 8 (section 35066) and new section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering of former article 8 to new article 9, new article 8 (section 35066) and new section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 9. Lead-Related Construction Certified Industrial Hygienist Course
§35067. Course Requirements.
Note     •     History

(a) A lead-related construction certified industrial hygienist course shall consist of a minimum of 24 contact hours which includes methodology requirements specified in subsection 35067(b), hands-on training, as specified in subsection 35067(c), and classroom instruction, as specified in subsection 35067(d).
(b) At least eight of the 24 required contact hours shall be hands-on training.
(c) Hands-on training shall include performance of tasks associated with:
(1) Inspection and hazard assessment techniques as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision.
(2) Simulated field visit associated with lead-related construction inspection and assessment which includes:
(A) Walk-through building inspection;
(B) Discussion of data collection, including sample location determination; and
(C) Practice with an X-ray Fluorescence (XRF) analyzer.
(3) Simulated field visit associated with developing lead-related construction project designs which includes:
(A) Building walk-through for development of project design; and
(B) On-site discussion of project design.
(d) Classroom instruction shall include:
(1) Background information on lead, including:
(A) Identification of sources of environmental lead such as surface dust, soil, water, air, and food;
(B) History of uses and locations of lead and leaded paint in buildings;
(C) Lead dust and paint characteristics; and
(D) Summary of lead abatement control options, including interim controls.
(2) Relevant federal, state and local regulatory requirements:
(A) Requirements for the identification, management, transport, record keeping, and disposal of hazardous waste set forth in Title 22, California Code of Regulations, Division 4.5, Chapters 10, 11, 12, 13, and 18, and Health and Safety Code section 25163, subdivision (c), and Chapter 6.5, Article 10.8;
(B) Ambient Air Quality Standards for lead set forth in Title 17, California Code of Regulations, sections 70100 and 70200;
(C) California's Construction Safety Orders set forth in Title 8, California Code of Regulations, section 1532.1;
(D) National Emission Standards for Hazardous Air Pollutants set forth in 40 Code of Federal Regulations, section 50.12 (1992);
(E) Relevant State Contractor Licensing Board requirements for conducting work as a contractor set forth in section 7026 and following of the Business and Professions Code; 
(F) Permitting requirements for lower risk treatment activities set forth in Health and Safety Code, Chapter 6.5, Article 9, sections 25200.3, 25201.5, and Title 22, California Code of Regulations, Division 4.5, Chapter 45; and
(G) Work practice requirements set forth in Title 17, California Code of Regulations, sections 36000 and 36100.
(3) Federal guidelines as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision.
(4) Roles and responsibilities of local health officials versus private sector Inspector/Assessors when conducting lead hazard assessments.
(5) Job tasks associated with lead hazard inspection procedures as follows:
(A) Review and interpretation of previous inspection records;
(B) Inspection plan development, including notification of property owners and occupants, building access, use of warning signs, and disruption minimization;
(C) Hazard communication with property owners, occupants, and neighbors relative to the reduction or elimination of sources of lead at the job site such as paint, dust, soil, water, imported ceramic pottery, home remedies, or occupational take-home sources;
(D) Visual inspections and clearance inspections;
(E) Investigation protocol for assessing multiple sources of lead exposure;
(F) Sample collection including equipment, procedures, quality assurance and contamination factors before, during and after abatement, as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision;
(G) Sample analysis, including selection of an EPA recognized laboratory to test paint, dust, soil samples and other media and quality assurance procedures; and
(H) Post-inspection procedures and written reports.
(6) Job tasks associated with lead hazard risk assessment as follows:
(A) HUD protocol for risk assessment and interim controls as specified in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision;
(B) Assessment of leaded paint surface damage, including disturbance potential of lead-related construction activities;
(C) Child accessibility to lead-based paint surfaces; and
(D) Public and lead-related construction personnel health considerations, including medical confidentiality.
(7) Lead-based paint abatement techniques in residential and public, buildings as follows:
(A) Abatement options, including interim controls;
(B) Clean-up and disposal procedures, contamination prevention and dust minimization, including high efficiency particulate air (HEPA) vacuums as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision; and
(C) Abatement and interim controls cost estimation.
(8) Inspector/Assessor qualifications, responsibilities, legal obligations and conflicts of interest.
(9) Insurance issues relating to lead-related construction including:
(A) Workers' compensation coverage and exclusions; and
(B) Liability insurance, claims-made and occurrence policies, and environmental and pollution liability policy clauses, and bonding.
(10) Job tasks associated with lead-related construction including, but not not limited to, the following:
(A) Abatement as a portion of a renovation project;
(B) Notification of other contractors working at the construction site;
(C) Safe work practices as follows:
1. Construction and maintenance of containment barriers;
2. Warning signs and their placement; and
3. Electrical and ventilation systems lockout;
(D) Meeting housing codes and standards;
(E) Procedures for occupied buildings, including strategies for occupant education, occupant and furniture relocation, and exposure minimization;
(F) Development of detailed schedules to comply with project design requirements and execution of tasks, including but not limited to, resident notification, building access, warning signs, and occupant disruption minimization; and
(G) Administrative tasks associated with supervision and project monitoring:
1. Contract specifications, preparation and administration;
2. Cost estimation, including strategies for cost reduction.
(11) Supervision and project monitoring job tasks associated with project design as follows:
(A) Review of inspection reports;
(B) Performance of clearance testing methods as described in “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing”, U.S. Department of Housing and Urban Development, June 1995, or most recent revision; and
(C) Performance of hazardous waste segregation, testing, and disposal.
(12) Conflicts of interest related to the performance of supervision, inspection, and project monitoring tasks.
(13) Job tasks associated with lead-related construction project design as follows:
(A) Development and modification of project design specifications:
1. Working with other consultants such as industrial hygienists, construction journeymen, engineers, and housing specialists;
2. Prescriptive and performance specifications;
3. Drawing preparation, including interpretation of as-built drawings;
4. Structure modification;
5. Special design procedures for occupied buildings, including strategies for occupant education, occupant and furniture relocation, and exposure minimization;
6. Selection of abatement and interim control methods;
7. Cost estimation for budgeting purposes, including strategies for cost reduction; and
8. Scheduling parameters, including resident notification, building access, warning signs, and occupant disruption minimization.
(14) Classroom discussion of simulated field visits.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. Certificate of Compliance as to 10-21-94 order including renumbering of former article 8 to article 9, new article 8 (section 35067) and new section transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
2. Renumbering of former article 8 to new article 9  and amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
3. Renumbering of former article 8 to new article 9 and amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-20-98 order, including amendment of section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
5. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 10. Continuing Education
§35070. Continuing Education for Workers Requirements.
Note     •     History

(a) Continuing education for workers shall only be provided by an accredited training provider approved by the Department to offer the lead-related construction work course.
(b) Continuing education instruction shall be designed to increase or enhance skills and knowledge necessary to perform the job tasks and job functions associated with certification and shall be offered in minimum increments of one contact hour.
(c) At least 40% of continuing education instruction for workers shall be taught using interactive/participatory teaching methods.
(d) Continuing education topics shall include:
(1) An overview of safety practices relevant to tasks conducted by certified lead workers;
(2) An update on federal, state, or local statutes or regulations relevant to tasks conducted by certified lead workers; and
(3) An update on new lead-related construction techniques or technologies relevant to tasks conducted by certified lead workers.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 8 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 8 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former article 8 to article 9 and former article  9 to article 10 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering of former article 9 to new article 10 and amendment of section heading, section  and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former article 9 to new article 10 and amendment of section heading, section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of subsections (a) and (d)(1), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35072. General Continuing Education Requirements.
Note     •     History

(a) General continuing education shall only be provided by an accredited training provider approved to offer one of the following lead-related construction courses: inspection and assessment, supervision and project monitoring, supplemental supervision and project monitoring, project design, sampling technician, or Certified Industrial Hygienist.
(b) General continuing education instruction shall be designed to increase or enhance skills and knowledge necessary to perform the job tasks and job functions associated with certification or interim certification and shall be offered in minimum increments of one contact hour.
(c) At least 25% of general continuing education instruction shall be taught using interactive/participatory teaching methods.
(d) General continuing education topics shall include:
(1) An overview of safety practices in lead-related construction;
(2) An update on federal, state, or local statutes or regulations relevant to tasks conducted by certified lead inspector/assessors, project designers, sampling technicians, project monitors, and supervisors; and
(3) An update on lead-related construction techniques or technologies relevant to tasks conducted by certified lead inspector/assessors, project designers, sampling technicians, project monitors, and supervisors.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (d)(2), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of subsections (a) and (d)(2)-(3) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 11. Application Requirements and Procedures for Training Provider Accreditation, Renewal, or Course Approval
§35076. Application Requirements.
Note     •     History

(a) A complete application for provisional accreditation or provisional course approval shall consist of a completed CDPH Form 8487 (6/07), Application for Training Provider Accreditation and Course Approval, and required documentation as follows:
(1) Type of application:
(A) Accreditation; or
(B) Course Approval.
(2) Type of course or training applicant seeks to provide:
(A) Lead-related construction inspection and assessment course;
(B) Lead-related construction supervision and project monitoring course;
(C) Lead-related construction sampling technician course;
(D) Lead-related construction work course; 
(E) Lead-related construction supplemental supervision course;
(F) Lead-related construction Certified Industrial Hygienist course; 
(G) Lead-related construction general continuing education and number of contact hours; or
(H) Lead-related construction continuing education for workers and number of contact hours.
(3) Applicant information:
(A) Training provider's name, street address (principal place of business), mailing address (if different from street address), telephone number, and fax number, if applicable; and
(B) Training Director's name, street address and mailing address (if different from street address).
(4) Operational information:
(A) Description of training facility (including classroom and field site), equipment, and equipment storage;
(B) Description of record keeping procedures;
(C) One copy of the entire course or continuing education instruction curriculum, including, but not limited to, learning objectives, documentation of the length and sequence of topics to be covered during the course(s) or continuing education instruction, student and instructor manuals, handouts, quizzes, and homework;
(D) Student-to-instructor ratio during hands-on training;
(E) Description of the amount and type of hands-on training;
(F) Description of the teaching methods to be used for each major topic and for hands-on training;
(G) Description of the audio/visual aids to be used for each major topic; and
(H) List of languages, other than English, in which training will be offered.
(5) Personnel information:
(A) Documentation of Training Director's qualifications pursuant to paragraphs 35053(a)(1)-(4);
(B) Name(s) of instructor(s);
(C) Course(s) or topic(s) instructor(s) will teach;
(D) Documentation of instructors' qualifications pursuant to paragraphs 35053(b)(1)-(4);
(E) Name(s) of guest instructor(s);
(F) Course(s) or topic(s) guest instructor(s) will teach; and
(G) Documentation of guest instructors' qualifications pursuant to subsection 35053(d).
(6) Final examination information:
(A) List of skills and knowledge to be tested;
(B) One copy of the entire final examination and correct answers, including demonstration testing criteria and protocol;
(C) One copy of the student final examination scoresheet or other record; and
(D) One copy of each retake examination and correct answers.
(7) Compliance with other relevant regulations:
(A) Documentation of approval under Section 94915, or exemption under Section 94739, or disclosure under Section 94931, of the California Education Code, as applicable; and
(B) Documentation of compliance with any radiological licensing, storage, and use requirements of the California Department of Public Health Radiologic Health Branch set forth in Title 17, California Code of Regulations, Division 1, Chapter 5, Subchapter 4, 4.5, and 4.6; and
(C) Documentation of accreditation by other state or federal agencies, if applicable.
(8) Applicant's name, printed or typed, signature, title, and date, verifying under penalty of perjury, that all information contained on and submitted with CDPH Form 8487 (6/07), Application for Training Provider Accreditation, is true and correct.
(b) A training provider seeking to renew accreditation shall submit a completed CDPH Form 8557 (6/07) Renewal of Training Provider Accreditation and Course Approval, and required documentation as follows:
(1) Type of course(s) or training applicant is currently approved to offer:
(A) Lead-related construction inspection and assessment course;
(B) Lead-related construction supervision and project monitoring course;
(C) Lead-related construction sampling technician course;
(D) Lead-related construction work course;
(E) Lead-related construction supplemental supervision course;
(F) Lead-related construction Certified Industrial Hygienist course;
(G) Lead-related construction general continuing education and number of contact hours; or
(H) Lead-related construction continuing education for workers and number of contact hours.
(2) Applicant information:
(A) Training provider's name, street address (principal place of business), mailing address (if different from street address), telephone number, and fax number, if applicable;
(B) Training Director's name, street address and mailing address (if different from street address);
(C) Accreditation Number;
(D) Current course or continuing education instruction number(s); and
(3) A description of the training facility (including classroom and field site), equipment, and equipment storage, if changed since the original application for accreditation;
(4) Personnel information:
(A) Documentation of instructor's qualifications pursuant to paragraphs 35053(b)(1)-(4);
(B) Name(s) of instructor(s);
(C) Course(s) or topic(s) instructor(s) will teach;
(D) Name(s) of guest instructor(s);
(E) Course(s) or topic(s) guest instructor(s) will teach; and
(F) Documentation of guest instructors' qualifications pursuant to subsection 35053(d).
(5) Final examination information:
(A) One copy of the entire final examination and correct answers, including demonstration testing;
(B) One copy of the student examination scoresheet or other record; and
(C) One copy of each retake examination and correct answers.
(6) Compliance with other relevant regulations:
(A) Documentation of approval under Section 94915, or exemption under Section 64739, or disclosure under Section 94931, of the California Education Code, as applicable; and
(B) Documentation of compliance with any radiological licensing, storage, and use requirements of the California Department of Public Health Radiologic Health Branch set forth in Title 17, California Code of Regulations, Division 1, Chapter 5, Subchapter 4, 4.5, and 4.6; and
(C) Documentation of accreditation by other state or federal agencies, if applicable.
(7) Applicant's name, printed or typed, signature, title, and date, verifying under penalty of perjury, that all information contained on and submitted with CDPH Form 8557 (6/07), Application for Renewal of Training Provider Accreditation, is true and correct.
(c) An accredited training provider seeking CDPH approval to offer an additional course shall submit a completed CDPH Form 8487 (6/07), Application for Training Provider Accreditation, and required documentation, except an applicant need not re-submit unchanged information and documentation that was submitted with the original application for accreditation.
(d) An accredited training provider shall notify the Department within 30 calendar days of a change of address.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 9 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 9 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former article 9 to article 10 and former article 10 to article 11 and amendment of section transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering and amendment former article 10 to new article 11 and amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former article 10 to new article 11 and amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsections (a), (a)(2)(C), (a)(7)(B), (a)(8), (b), (b)(1)(C), (b)(6)(B), (b)(7) and (c) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35078. Accreditation Procedures.
Note     •     History

(a) Within 30 calendar days of receipt of an application for accreditation, renewal, or course approval, the Department shall inform the applicant in writing that the application is either complete or incomplete and what additional information documentation is required to complete the application.
(1) If an applicant submits required information or documentation within 30 days from the issuance date of the notice of incompleteness, the Department shall issue a written notice of completeness.
(2) If an applicant fails to submit required information or documentation within 30 days from the issuance date of the notice of incompleteness, the application shall be deemed to be abandoned and reapplication shall be required.
(3) An application may be withdrawn by written request to the Department.
(b) Within 60 calendar days from the issuance date of the notice of completeness, the Department shall grant or deny provisional accreditation, renewal, or provisional course approval.
(1) If denied, the Department shall state, in writing, the reasons for denial.
(2) If granted, a written notice containing an accreditation number and course number(s), shall be sent to the applicant.
(A) The issuance date of the written notice shall be the effective date of provisional accreditation, renewal, or provisional course approval.
(B) Upon issuance of the written notice granting provisional accreditation or course approval, an accredited training provider may commence offering a CDPH-approved course(s).
(c) Processing Time:
(1) Pursuant to the Permit Reform Act, Government Code section 15376, the minimum, median, and maximum elapsed time to process an application for accreditation, renewal, or course approval, and issue a written notification of approval shall be as follows:
(A) Minimum: 15 calendar days.
(B) Median: 30 calendar days.
(C) Maximum: 260 calendar days.
(2) The Department may exceed the maximum time as provided above if the applicant requests in writing a delay of consideration of the application or issuance of a written notification of provisional accreditation, renewal, or provisional course approval.
(d) In making a determination of whether to grant or deny provisional accreditation, renewal, or provisional course approval, the Department may take into consideration various factors, including, but not limited to the following:
(1) Failure to satisfy eligibility requirements for accreditation;
(2) Failure to satisfy eligibility requirements for course approval;
(3) Past history of revocation of accreditation;
(4) False statements in the application; or
(5) Failure to provide further required documentation or information requested by the Department.
(e) Provisional status shall be removed if an accreditation audit indicates that requirements for accreditation are satisfied.
(1) A provisionally accredited training provider shall permit the Department to conduct an accreditation audit without charge to the Department. Advance notice shall not be required prior to conducting an accreditation audit.
(2) An accreditation audit shall be conducted within 365 calendar days following the issuance of provisional accreditation.
(3) An accreditation audit shall be performed on site and shall include, but not be limited to, a review of: records, including Course Completion Forms and attendance records; facilities; instructional curriculum; examination design, administration and security procedures, and results, including those of demonstration testing; classroom instruction; audio-visual materials; course content; and coverage.
(f) Provisional status shall be removed if a course audit indicates that requirements for CDPH course approval are satisfied.
(1) A provisionally accredited or accredited training provider shall permit the Department to conduct a course audit without charge to the Department. Advance notice shall not be required prior to conducting a course audit.
(2) A course audit shall be conducted within 365 calendar days following the issuance of provisional course approval.
(3) A course audit shall be performed on site and shall include, but not be limited to, a review of: instructional curriculum; examination design, administration and security procedures, and results, including those of demonstration testing; classroom instruction; audio-visual materials, course content; and coverage.
(g) If an accreditation or course audit indicates that requirements for accreditation or course approval are not satisfied, the Department shall issue, within seven working days of completion of the accreditation or course audit, written notice of required modifications.
(1) Written notice shall include an explanation of the Department's audit process, a statement of inadequacies found upon audit, possible actions that may be imposed, a description of procedures available if the training provider desires an opportunity to explain or justify the findings of the audit, steps that must be taken to correct any inadequacies, and any applicable deadlines.
(h) If an accreditation or course audit indicates that requirements for accreditation or course approval are satisfied, a written notice removing provisional accreditation or provisional course approval shall be issued within seven working days after completion of an accreditation or course audit.
(1) Accreditation shall be valid for a period of three years and shall not be transferable.
(2) Renewal applications shall be required at least 120 calendar days prior to the expiration date of accreditation.
(i) An accredited training provider shall permit the Department to conduct on-site investigations at any time. Advance notice shall not be required. On-site investigations may include, but are not limited to, a review of: records, including Course Completion Forms and attendance records; facilities; training curriculum; examination design, administration and security procedures, and results, including those of demonstration testing; classroom instruction; audio-visual materials; course content; and coverage.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (c)(1), (e)(2) and (f)(2) transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsections (b)(2)(B) and (f) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 12. Suspension or Revocation of Accreditation, Provisional Accreditation, or DHS Course Approval
§35080. Action to Suspend or Revoke Accreditation, Provisional Accreditation, or Course Approval.
Note     •     History

(a) Accreditation, provisional accreditation, or course approval may be suspended or revoked by the Department for:
(1) Failure to adhere to the standards and requirements for accreditation, provisional accreditation, or course approval;
(2) Failure to properly administer, score, or maintain security of a required examination, examination answers, or results;
(3) Failure to maintain approval or authority to operate granted by the Council For Private Postsecondary and Vocational Education;
(4) Falsification of accreditation records, instructor qualifications, or other accreditation information;
(5) Failure to provide the required course contact hours, course content, or coverage;
(6) Misrepresentation of the contents of a course;
(7) Failure to submit required information or notifications in a timely manner;
(8) Failure to maintain required records;
(9) Failure to comply with relevant federal, state, or local leaded paint statutes or regulations;
(10) Failure to make modifications required by the Department within 30 days from the issuance date of the written notice of required modifications; or
(11) Other conditions revealed by any means which would warrant suspension or revocation.
(b) Suspension or revocation and an appeal of any suspension or revocation shall be conducted in compliance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(c) Prior to suspension or revocation, an accredited or provisionally accredited training provider will be given an opportunity, except in the case of willful violation or threat to public health and safety, to remedy deficiencies that may result in suspension or revocation.
(1) The accredited or provisionally accredited training provider shall be given a statement which includes the Department's findings, an explanation of what the accredited or provisionally accredited training provider must do to comply with the regulations, and the time period in which the accredited or provisionally accredited training provider must act.
(2) The accredited or provisionally accredited training provider must remedy the deficiencies within a reasonable time specified by the Department which shall be no more than 30 calendar days after the issuance date of the statement of deficiencies.
(d) A training provider shall not offer course training when accreditation, provisional accreditation, or CDPH course approval is suspended or revoked, except, the Department, at its discretion, may permit the training provider to continue to offer training to students already enrolled. If training is not permitted to continue, a refund of all tuition and other charges shall be provided to students already enrolled, if applicable.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 10 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 10 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former article 10 to article 11 and former article 11 to article 12 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering and amendment former article 11 to new article 12 and amendment of Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering of former article 11 to new article 12 and amendment of Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsection (d) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 13. Eligibility Requirements and Application Procedures for Certification or Interim Certification
§35081. Representation of Certification Status.
Note     •     History

Unless certified pursuant to the requirements of this chapter, no person shall represent themselves as, or do business as, a certified lead-inspector/assessor, certified lead project designer, certified lead sampling technician, certified lead project monitor, certified lead supervisor, or certified lead worker.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b) and 131200, Health and Safety Code. Reference: Sections 16240 and 17200, Business and Professions Code; and Section 131051, Health and Safety Code.
HISTORY

1. Renumbering and amendment former article 12 to new article 13 and new section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Renumbering and amendment of former article 12 to new article 13 and new section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35082. Application Timeliness.
Note     •     History

(a) Applicants for certification or interim certification shall apply to the Department within one year from the issuance date of CDPH Form 8493 (6/07), Course Completion Form.
(b) Applicants failing to apply within one year from the issuance date of CDPH Form 8493 (6/07), Course Completion Form, shall complete a minimum of seven contact hours of:
(1) General continuing education in order to be eligible to apply for inspector/assessor, project designer, sampling technician and/or project monitor certification or interim certification;
(2) General continuing education or continuing education for workers in order to be eligible to apply for supervisor certification or interim certification; or
(3) Continuing education for workers in order to be eligible to apply for worker certification.
(c) Applicants failing to apply within three years from the issuance date of CDPH Form 8493 (6/07), Course Completion Form, shall retake the appropriate CDPH-Approved course to be eligible to apply for certification.
(d) Applications for certification or interim certification renewal shall be submitted at least 120 calendar days prior to the expiration date indicated on the certificate or interim certificate.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New article 11 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 11 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former article 11 to article 12 and former article 12 to article 13 and amendment of section transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of subsections (a) and (b), new subsections (c) and (d), and amendment of Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (b), new subsections (c) and (d), and amendment of Note, refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (b) and new subsections (b)(1)-(3), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35083. Inspector/Assessor.
Note     •     History

To qualify for certification as a certified lead inspector/assessor, an individual shall comply with all applicable requirements specified in sections 35095 and 35096 and meet the following minimum eligibility requirements:
(a) Possess CDPH Form 8493 (6/07), Course Completion Form, from a lead-related construction inspection and assessment course; and
(b) Pass the lead certification examination for inspector/assessors offered by the Department; and either:
(1) Have a bachelor's degree in biological, chemical, or physical science, or a related field and one year of experience in lead-related construction or a related field (e.g., asbestos, or environmental remediation work) conducting environmental inspections and assessing environmental health, occupational safety, or environmental hazards, or designing projects in environmental health, occupational safety, or environmental hazard reduction; or
(2) Have an associate degree in biological, chemical, or physical science, or a related field, or 20 semester or 30 quarter units in biological, chemical, or physical science, or a related field, and two years of experience in lead-related construction or a related field (e.g., asbestos, or environmental remediation work) conducting environmental inspections and assessing environmental health, occupational safety, or environmental hazards, or designing projects in environmental health, occupational safety, or environmental hazard reduction; or
(3) Have a high school diploma or equivalent and at least three years of experience in lead-related construction or a related field (e.g., asbestos, or environmental remediation work) conducting environmental inspections and assessing environmental health, occupational safety, or environmental hazards, or designing projects in environmental health, occupational safety, or environmental hazard reduction; or
(4) Be a certified industrial hygienist and possess CDPH Form 8493 (6/07), Course Completion Form, from a lead-related construction Certified Industrial Hygienist course.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (b) and (c) and new subsection (d)  transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsections (a) and (b)(4) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35085. Supervisor.
Note     •     History

To qualify for certification as a certified lead supervisor, an individual shall comply with all applicable requirements specified in sections 35095 and 35096 and meet the following minimum eligibility requirements:
(a) Possess  CDPH Form 8493 (6/07), Course Completion Form, from a lead-related construction supervision and project monitoring course or possess CDPH Forms 8493 (6/07), Course Completion Forms, from a lead-related construction work course and a lead-related construction supplemental supervision and project monitoring course; and
(b) Pass the lead certification examination for supervisors offered by the Department; and either:
(1) Have one year of experience as a certified lead worker; or
(2) Have two years of experience in lead-related construction or a related field (e.g., asbestos, the building trades, or environmental remediation work) conducting environmental health, occupational safety, or environmental hazard control.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsection (a) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35087. Project Monitor.
Note     •     History

To qualify for certification as a certified lead project monitor, an individual shall comply with all applicable requirements specified in sections 35095 and 35096 and meet the following minimum eligibility requirements:
(a) Possess CDPH Form 8493 (6/07), Course Completion Form, from a lead-related construction supervision and project monitoring course or possess CDPH Forms 8493 (6/07), Course Completion Forms, from a lead-related construction work course and a lead-related construction supplemental supervision and project monitoring course; and:
(b) Pass the lead certification examination for project monitors offered by the Department; and either:
(1) Have a bachelor's degree in biological, chemical, or physical science, or a related field and one year of experience in lead-related construction or a related field (e.g., asbestos, environmental remediation work, or other construction) conducting or monitoring environmental health, occupational safety, or environmental hazards, or designing projects in environmental health, occupational safety, or environmental hazard reduction; or
(2) Have an associate degree in biological, chemical, or physical science, or a related field, or 20 semester or 30 quarter units in biological, chemical, or physical science, or a related field and one year of experience as a certified lead supervisor or two years of experience in lead-related construction or a related field (e.g., asbestos, or environmental remediation work) conducting or monitoring environmental health, occupational safety, or environmental hazard reduction projects or designing projects in environmental health, occupational safety, or environmental hazard reduction; or
(3) Have a high school diploma or equivalent plus two years experience as a certified lead supervisor, or three years of experience in lead-related construction or a related field (e.g., asbestos, or environmental remediation work) conducting or monitoring environmental health, occupational safety or environmental hazard reduction projects, or designing projects in environmental health, occupational safety, or environmental hazard reduction; or
(4) Be a certified industrial hygienist and possess CDPH Form 8493 (6/07), Course Completion Form, from a lead-related construction Certified Industrial Hygienist course.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (b) and (c) and new subsection (d)  transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsections (a) and (b)(4) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35088. Project Designer.
Note     •     History

(a) To qualify for certification renewal as a certified lead project designer, a certified lead project designer shall comply with all applicable requirements specified in sections 35095(b), 35095(c), and 35096. 
(b) Certification applications for project designer are no longer accepted by the Department. Only a certification renewal application from a certified lead project designer will be accepted by the Department. 
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35089. Sampling Technician.
Note     •     History

To qualify for certification as a certified lead sampling technician, an individual shall comply with all applicable requirements specified in sections 35095 and 35096 and possess CDPH Form 8493 (6/07), Course Completion Form, from the lead-related construction sampling technician course or the lead-related construction inspection and assessment course. 
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including amendment of subsections (a)-(c) and new subsection (d)  transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (a), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section heading, section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35091. Worker.
Note     •     History

To qualify for certification as a certified lead worker, an individual shall comply with all applicable requirements specified in sections 35095 and 35096 and possess CDPH Form 8493 (6/07), Course Completion Form, from a lead-related construction work course.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of section and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35093. Interim Certification and Renewal.
Note     •     History

(a) Applications for interim certification shall be accepted through August 30, 1998. Applications for renewal of interim certification shall be accepted through December 31, 1998. Individuals who possess interim certificates with expiration dates after April 30, 1999 shall not be eligible to renew their interim certificate(s) and must take and pass the Department's certification examination to be eligible to apply for certification.
(b) To qualify for interim certification as a lead inspector/assessor, an individual shall comply with all applicable requirements specified in sections 35083, 35095 and 35096, except for the certification examination requirements specified in subsection 35083(b).
(c) To qualify for interim certification as a lead supervisor an individual shall comply with all applicable requirements specified in sections 35085, 35095 and 35096, except for the certification examination requirements specified in subsection 35085(b).
(d) To qualify for interim certification as a lead project monitor an individual shall comply with all applicable requirements specified in sections 35087, 35095 and 35096, except for the certification examination requirements specified in subsection 35087(b).
(e) To qualify for interim certification as a lead project designer an individual shall comply with all applicable requirements specified in sections 35089, 35095 and 35096, except for the certification examination requirements specified in subsection 35089(b).
(f) Individuals failing to apply for renewal within one year after the expiration date of an interim certificate, shall comply with applicable subsections (b) of sections 35083, 35085, 35087, and 35089, and subsections 35095(b), and 35096(f)(1) to be eligible to apply for certification.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35095. Application Requirements.
Note     •     History

(a) A complete application for certification or interim certification shall consist of a non-refundable $75.00 application fee per certificate or interim certificate requested and a completed CDPH Form 8488 (6/07), Application for Lead Certification, with required documentation:
(1) Type of certification or interim certification requested and amount of fee(s) paid:
(A) Certified lead inspector/assessor;
(B) Certified lead supervisor;
(C) Certified lead sampling technician;
(D) Certified lead project monitor; or 
(E) Certified lead worker.
(2) Applicant's name, residence address, (and mailing address, if different), telephone number, date of birth, gender, race/ethnicity and photo identification number with a description of the photo identification document.
(3) Documentation of applicant's education, training, and experience, including:
(A) Original Course Completion Form, CDPH Form 8493 (6/07), for a course issued by an accredited training provider.
(B) A Proof of Experience CDPH Form 8539 (6/07) for each employer providing documentation of completion of lead-related construction or other applicable experience. Each Proof of Experience form shall contain:
1. The applicant's name;
2. The name and address of the applicant's employer; 
3. The name and telephone number of the applicant's supervisor, or the names and phone numbers of three client references, if self-employed;
4. The applicant's employment dates; 
5. Descriptions of specific lead-related construction or other applicable activities performed; 
6. Estimated percentage of time associated with lead-related construction or other applicable activities; and 
7. The name, title, and signature of the applicant's supervisor or employer, or the applicant's signature, if self-employed, verifying, under penalty of perjury, that the information contained on the Proof of Experience CDPH Form 8539 (6/07) is true and correct.
(C) Evidence of completion of postsecondary education, such as a transcript or diploma.
(D) Certified Industrial Hygienists, who possess a Course Completion Form from a lead-related construction Certified Industrial Hygienist course, may substitute a copy of their American Board of Industrial Hygiene Certificate, or its equivalent, for evidence of both experience and postsecondary education documentation.
(4) Two passport style, 1 inch by 1 inch, photographs.
(5) Applicant's signature and date signed, verifying, under penalty of perjury, that all information contained on and submitted with CDPH Form 8488 (6/07), Application for Lead Certification, is true and correct.
(b) A complete application for certification or interim certification renewal shall consist of a completed CDPH Form 8553 (6/07), Renewal of Lead Certification, and a non-refundable seventy-five dollar application fee for each certificate or interim certificate renewal requested with the following required documentation:
(1) If not submitted to the Department in the previous year, an original Course Completion Form CDPH Form 8493 (6/07) issued by an accredited training provider for:
(A) General continuing education, if the application is for renewal of inspector/assessor, project designer, sampling technician, or project monitor certification or interim certification; or
(B) General continuing education or continuing education for workers, if the application is for renewal of supervisor certification or interim certification; or
(C) Continuing education for workers, if the application is for renewal of worker certification.
(2) Documentation specified in sections 35095(a)(2), and 35095(a)(5); and
(3) Certificate or interim certificate number(s), expiration date(s) and amounts of fee(s) paid.
(c) Certified or interim certified individuals shall notify the Department within 30 calendar days of a change of address.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled with amendment of subsection (a)(4) 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (b)(1) and new subsections (b)(1)(A)-(C), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsections (a), (a)(1)(C), (a)(3)(A)-(B), (a)(3)(B)7. and (a)(5)-(b)(1)(A) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§35096. Certification, Interim Certification, and Renewal  Procedures.
Note     •     History

(a) Within 30 calendar days of receipt of an application for certification, interim certification or renewal, the Department shall inform the applicant in writing that the application is either complete or incomplete and what additional information or documentation is required to complete the application.
(1) If an applicant submits required information or documentation within 30 days from the issuance date of the notice of incompleteness, the Department shall issue a written notice of completeness.
(2) If an applicant fails to submit required information or documentation within 180 days from the issuance date of the notice of incompleteness, the application shall be deemed to be abandoned and reapplication shall be required.
(3) An application may be withdrawn or amended only by written request to the Department.
(b) Within 60 calendar days from the issuance date of the notice of completeness, the Department shall grant or deny interim certification,  renewal, or permission to sit for the Department's lead certification examination in the certification discipline applied for.
(1) If denied, the Department shall state, in writing, the reasons for denial.
(2) If granted, an interim certificate, renewal, or permission notice  shall be sent to the applicant and the issuance date of the interim certificate, renewal, or permission notice shall be the effective date of interim certification, renewal, or permission notice.
(c) Within 30 calendar days from the date an individual passes the lead certification examination in the certification discipline applied for, the Department shall grant or deny certification.
(1) Individuals who fail to pass the lead certification examination in the certification discipline applied for within 180 days from the issuance date of the permission notice, shall retake the CDPH-approved lead-related construction course in that discipline, and comply with Section 35095, excepting subsections 35095(a)(3)(B), 35095(a)(3)(C), 35095(a)(3)(D), and 35095(a)(4), to be eligible to re-apply for permission to sit for the lead certification examination.
(2) An individual shall take the lead certification examination no more than three times within 180 days from the issuance date of the permission notice.
(d) Processing Time:
(1) Pursuant to the Permit Reform Act, Government Code section 15376, the minimum, median, and maximum elapsed time to process a completed application for a certificate or interim certificate and issue a written notification of approval shall be as follows:
(A) Minimum: 15 calendar days.
(B) Median: 120 calendar days.
(C) Maximum: 270 calendar days.
(2) The Department may exceed the maximum time as provided above if the applicant requests in writing a delay of consideration of the application or issuance of a certificate or interim certificate.
(e) In making a determination of whether to grant, deny, or renew certification or interim certification, or permission to sit for a lead certification examination, the Department may take into consideration various factors, including, but not limited to, the following:
(1) Failure to satisfy eligibility requirements for certification or interim certification;
(2) Type and amount of lead-related construction training;
(3) Failure to provide further required documentation or information requested by the Department;
(4) Past history of citations or violations of existing regulations or standards;
(5) Past history of revocation of a Certificate or Interim Certificate; or
(6) False or misleading statements in the application.
(f) Certification or interim certification shall be non-transferable and shall be effective for a period of one year.
(1) Certified or interim certified individuals shall complete a minimum of seven contact hours of continuing education instruction every two years to be eligible to apply for certification or interim certification renewal.
(2) Certified individuals applying for renewal more than three years after the expiration date of the certificate or interim certificate shall retake the required CDPH-approved lead-related construction course and comply with section 35095(a)(3)(A), 35095(b) to be eligible to apply for certification renewal.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Amendment of section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (c)(2), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsections (c)(1) and (f)(2) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 14. Suspension or Revocation of Certification or Interim Certification
§35097. Action to Suspend or Revoke Certification or Interim Certification.
Note     •     History

(a) Certification or interim certification may be suspended or revoked by the Department for:
(1) Any false statement in the application;
(2) Violations of relevant local, state, or federal statutes or regulations;
(3) Misrepresentation, failure to disclose relevant facts, fraud, or issuance by mistake; 
(4) Failure to comply with California Code of Regulations, Title 17, sections 36000 or 36100; or
(5) Failure to comply with any relevant regulation or order of the Department.
(b) Suspension or revocation and an appeal of any suspension or revocation shall be conducted in compliance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(c) Prior to suspension or revocation, a certified or  interim certified individual shall be given an opportunity, except in the case of willful violation or threat to public health and safety, to remedy deficiencies that may result in suspension or revocation.
(1) The certified or interim certified individual shall be given a statement which includes the Department's findings, an explanation of what the certified or interim certified individual must do to comply with the regulations, and the time period in which the certified or interim certified individual shall act.
(2) The certified or interim certified individual must remedy the deficiencies within a reasonable time specified by the Department which shall be no more than 30 calendar days after the issuance date of the statement of deficiencies.
(d) Any individual whose certification or interim certification has been suspended or revoked shall not  be eligible to perform activities which require CDPH lead certification.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  article 12 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 12 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former article 12 to article 13 and former article 13 to article 14 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering and amendment former article 13 to new article 14 and amendment of section heading, section and Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former article 13 to new article 14 and amendment of section heading, section and Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order, including amendment of subsection (d), transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of subsection (d) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 15. Enforcement
§35099. Funding for Enforcement.
Note     •     History

The amount of $100,000.00 shall be allocated to the Division of Occupational Safety and Health annually to be expended for the division's costs of enforcing compliance with training and certification requirements.
NOTE

Authority cited: Sections 105250, 124160 and 131200, Health and Safety Code. Reference: Sections 105250, 124160 and 131051, Health and Safety Code.
HISTORY

1. New  article 13 and section filed 6-27-94 as an emergency; operative 6-27-94 (Register 94, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-25-94 or emergency language will be repealed by operation of law on the following day.
2. New article 13 and section refiled 10-21-94 as an emergency; operative 10-26-94 (Register 94, No. 42). A Certificate of Compliance must be transmitted to OAL by 2-24-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-21-94 order including renumbering of former article 13 to new article 14 transmitted to OAL 2-23-95 and filed 4-5-95 (Register 95, No. 14).
4. Renumbering and amendment former article 14 to new article 15 and amendment of Note filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
5. Renumbering and amendment of former article 14 to new article 15 and amendment of Note refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-20-98 order transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
7. Amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Article 16. Work Practice Standards
§36000. Requirements for Lead Hazard Evaluation for Public and Residential Buildings.
Note     •     History

(a) Lead hazard evaluation for public and residential buildings shall:
(1) Be conducted only by a certified lead inspector/assessor or as specified in Subsections (c)(3)(A) or (d). The certified lead inspector/assessor, certified lead project monitor, and certified lead sampling technician conducting lead hazard evaluation shall not conduct abatement on the same structure.
(2) Be conducted in a manner in which paint, dust, and soil is tested in accordance with the procedures described in Chapter 5: Risk Assessment, section II (A)(B)(C)(D), “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995 and Chapter 7: Lead-Based Paint Inspection, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, 1997 Revision, and which provides quantitative results.
(3) Be conducted in a manner in which paint, dust, and soil samples taken for laboratory analysis are analyzed by a laboratory that is recognized by the U.S. Environmental Protection Agency pursuant to United States Code, Title 15, Section 2685(b).
(4) Be documented in a lead hazard evaluation report which shall include a completed California Department of Public Health (CDPH) Form 8552 (6/07) and the following attachments:
(A) A foundation diagram, site map, or sketch of the structure, indicating the specific locations of each lead hazard or presence of lead-based paint, and results of the visual inspection, if applicable;
(B) A summary of each testing method, device, and sampling procedure used;
(C) A description of testing and sampling locations; and
(D) The results of laboratory analysis on collected samples, if applicable, including the name, address, and telephone number of each laboratory.
(b) The certified lead inspector/assessor conducting the lead hazard evaluation for a public or residential building shall retain the original completed copy of CDPH Form 8552 (6/07) and attachments for a minimum of three years and distribute copies as follows;
(1) A copy of the completed CDPH Form 8552 (6/07) and attachments to the person who ordered the lead hazard evaluation;
(2) A copy of the completed CDPH Form 8552 (6/07) to the Department within thirty days of completion; and
(3) A copy of the attachments to the Department upon request.
(c) In addition to the requirements specified in subsections (a) and (b):
(1) A lead inspection shall be conducted in accordance with procedures described in Chapter 7: Lead-Based Paint Inspection, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, 1997 Revision.
(2) A risk assessment shall be conducted in accordance with procedures described in Chapter 5: Risk Assessment, section II(A), (B), (C), and (D), “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995 and shall include a written description of abatement options for each identified lead hazard, a suggested prioritization for addressing each lead hazard, and recommendations for a maintenance and monitoring schedule.
(3) A clearance inspection shall be conducted: 
(A) By a certified lead inspector/assessor or a certified lead project monitor.
(B) In accordance with procedures such as described in Chapter 15: Clearance, sections II-VI, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995.
(d) A sampling technician shall only conduct visual inspections and sample or test soil, dust, and paint provided an inspector/assessor identifies the specific locations where soil, dust, and paint is sampled or tested, interprets the results, and complies with the record keeping and reporting requirements in section 36000(b). A sampling technician is prohibited from conducting visual inspections, or sampling or testing paint, dust, and soil, if those activities are: 
(1) conducted as an “appropriate case management” activity, as defined in Health and Safety Code section 105280(a); or
(2) conducted in a structure that is inhabited by an individual with a blood lead level equal to or greater than 10 micrograms per deciliter.
(e) Individuals operating an X-ray Fluorescence (XRF) analyzer to conduct lead hazard evaluation shall comply with regulatory requirements specified in Title 17, California Code of Regulations, division 1, chapter 5, subchapter 4, such as obtaining a license and completing an additional eight hours of training.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b), 124165 and 131200, Health and Safety Code. Reference: Sections 100170, 105250(a), 105250(b), 124160(b), 124165 and 131051, Health and Safety Code; Sections 17200, 17203 and 17205, Business and Professions Code; and Sections 11180 and 11181, Government Code.
HISTORY

1. New article 16 (sections 36000-36100) and section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 98, No. 30).
3. New article 16 (sections 36000-36100) and section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-20-98 order, including amendment of section heading and section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
5. Amendment of subsections (a)(1), (a)(4) and (b)-(b)(2), new subsections (d)-(e) and amendment of Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§36050. Lead-Safe Work Practices.
Note     •     History

(a) Any individual conducting lead activities, excluding lead hazard evaluation, shall:
(1) Use containment;
(2) Ensure that the work area has no visible dust or debris following the completion of a project; 
(3) Demonstrate compliance with (a)(1) and (a)(2) to the Department or local enforcement agency, as defined in section 105251 of the Health and Safety Code, upon request.
NOTE

Authority cited: Sections 105250, 105255, 105256, 124160, 124165 and 131200, Health and Safety Code. Reference: Sections 105250, 105251, 105255, 105256, 124160, 124165 and 131051, Health and Safety Code.
HISTORY

1. New section filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
§36100. Requirements for Abatement for Public and Residential Buildings.
Note     •     History

(a) Abatement for public and residential buildings which is designed to reduce lead paint or lead hazards for a minimum of twenty years shall be conducted:
(1) Only by a certified lead supervisor or a certified lead worker. A certified lead supervisor shall be onsite during all work site preparation and during the post-abatement cleanup of work areas. At all other times when abatement is conducted, the certified lead supervisor shall be onsite or available by telephone, pager or answering service, and able to be present at the work area in no more than two hours.
(2) According to the procedures specified in Chapter 12: Abatement, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995.
(3) Using containment and in a manner which does not result in contaimination of non-work areas with lead-contaminated dust, lead-contaminated soil, or lead-based paint debris.
(4) In accordance with an abatement plan prepared by a certified lead supervisor, certified lead project monitor, or certified lead project designer which shall: 
(A) Include the following information:
1. A detailed written description of the measures and management procedures, including containment, that will be utilized during abatement to prevent exposure to lead hazards;
2. A detailed written description of abatement, including methods of abatement and locations of rooms and components where abatement is planned;
3. A recommended schedule for re-inspection, based upon the type of abatement; and
4. Instructions on how to maintain potential lead hazards in safe condition.
(B) Be retained and made available to the Department upon request for a period of at least three years by the preparer.
(5) After notification is posted and delivered pursuant to subsection (c), the certified lead supervisor conducting abatement shall retain records of notification for at least three years.
(6) In a manner in which after abatement is completed, a clearance inspection is conducted in accordance with Section 36000(a) and Section 36000(c)(3) of this Chapter.
(b) Abatement for public and residential buildings which is designed to reduce lead paint or lead hazards for less than twenty years shall be conducted:
(A) According to procedures specified in Chapter 11: Interim Controls, “Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing,” U.S. Department of Housing and Urban Development, June 1995.
(2) Using containment and in a manner which does not result in contamination of non-work areas with lead-contaminated dust, lead-contaminated soil, or lead-based paint debris.
(3) In a manner to ensure that the work area has no lead contaminated dust following the completion of abatement.
(4) In a manner to ensure that a clearance inspection is conducted following the completion of abatement, if abatement was conducted in response to an identified case of lead poisoning as defined in Section 105280(b) of the California Health and Safety Code.
(5) After notification is posted and delivered pursuant to subsection (c).
(c) Prior to conducting abatement, the individual conducting abatement shall provide notification by completing an Abatement of Lead Hazards Notification, CDPH 8551 (6/07), form and:
(1) Posting at all entrances to the work area a copy of the completed form which shall not be removed until abatement has been completed and, for abatement conducted pursuant to subsection (a), a clearance inspection has been completed; and
(2) Delivering a copy of the completed form to the Department. Except for abatement conducted in response to an identified case of lead poisoning as defined in Section 105280(b) of the Health and Safety Code, the completed form shall be delivered to the Department at least five days prior to conducting abatement.
(d) Any individual conducting abatement or disturbing lead-based paint without containment shall permit the Department, or enforcement agencies, as specified in the California Health and Safety Code Sections 17960, 17961, and 17965, to access work areas to determine compliance with the requirements of this section.
NOTE

Authority cited: Sections 105250(a), 105250(b), 124160(b), 124165 and 131200, Health and Safety Code. Reference: Sections 17960, 17961, 17964, 17970, 17972, 17980, 100170, 100175, 105250(a), 105250(b), 105280(a), 124160(b), 124165 and 131050, Health and Safety Code; Section 3494, Civil Code; Section 17200, Business and Professions Code; Section 17274(b), Revenue and Taxation Code; and Sections 11180 and 11181, Government Code.
HISTORY

1. New section filed 3-30-98 as an emergency; operative 3-30-98 (Register 98, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-28-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 7-20-98 as an emergency; operative 7-29-98 pursuant to Government Code section 11346.1(d) (Register 98, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-20-98 order, including amendment of section heading and section, transmitted to OAL 11-23-98 and filed 1-8-99 (Register 99, No. 2).
4. Amendment of subsection (c) and Note filed 4-30-2008; operative 5-30-2008 (Register 2008, No. 18).
Chapter 9. Screening for Childhood Lead Poisoning
Petitioners in the lawsuit Healthy Children Organizing Project, et al. v. Department of Health Services, et al., Superior Court of California in and for the City and County of San Francisco, Case No. 313012, challenged the validity of the emergency regulations, “Screening for Childhood Lead Poisoning”. The court found that the regulations did not comply with the statutory requirements. In response to the court order and comments received during the open comment period, the Department revised the regulations. The revised regulations were submitted to the court and made available for public comment. The following regulations reflect changes made in response to public comments already received and further changes that will be made available for an additional public comment period. The Department sought adoption of these emergency regulations for the purpose of avoiding the lapse of the medical standard of care and avoiding confusion among impacted health care providers during the period between the normal expiration of the prior emergency regulations and the completion of the regulatory process. 
Article 1. Definitions
§37000. Health Care Provider.
Note     •     History

“Health care provider” means a person licensed to practice medicine pursuant to Article 3 (commencing with Section 2050) of Chapter 5 of Division 2 of the Business and Professions Code; a person licensed to practice as a nurse practitioner pursuant to Article 8 (commencing with Section 2834) of Chapter 6 of Division 2 of the Business and Professions Code; or a person licensed to practice as a physician's assistant pursuant to Article 3 (commencing with Section 3513) of Chapter 7.7 of Division 2 of the Business and Professions Code. 
NOTE

Authority cited: Sections 100275(a), 105285 and 105300, Health and Safety Code. Reference: Section 105285, Health and Safety Code. 
HISTORY

1. New chapter 9 (articles 1-2, sections 37000-37100), article 1 (sections 37000-37025) and section filed 10-10-2000 as an emergency; operative 10-10-2000 (Register 2000, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-7-2001 or emergency language will be repealed by operation of law on the following day. For prior history of chapter 9, see Register 77, No. 26.
2. New chapter 9 (articles 1-2, sections 37000-37100), article 1 (sections 37000-37025) and section refiled 2-8-2001 as an emergency; operative 2-8-2001 (Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 23).  
4. New chapter 9 (articles 1-2, sections 37000-37100), article 1 (sections 37000-37025) and section filed 6-4-2001 as an emergency; operative 6-9-2001 (Register 2001, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-9-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-4-2001 order transmitted to OAL 10-4-2001 and filed 11-19-2001 (Register 2001, No. 47).
§37005. Physician.
Note     •     History

NOTE

Authority cited: Sections 100275(a), 105285 and 105300, Health and Safety Code. Reference: Section 105285, Health and Safety Code.
HISTORY

1. New section filed 10-10-2000 as an emergency; operative 10-10-2000 (Register 2000, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-7-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-8-2001 as an emergency; operative 2-8-2001 (Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 23).  
§37010. Physician's Assistant.
Note     •     History

NOTE

Authority cited: Sections 100275(a), 105285 and 105300, Health and Safety Code. Reference: Section 105285, Health and Safety Code.
HISTORY

1. New section filed 10-10-2000 as an emergency; operative 10-10-2000 (Register 2000, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-7-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-8-2001 as an emergency; operative 2-8-2001 (Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 23).  
§37015. Primary Medical Care.
Note     •     History

NOTE

Authority cited: Sections 100275(a), 105285 and 105300, Health and Safety Code. Reference: Section 105285, Health and Safety Code.
HISTORY

1. New section filed 10-10-2000 as an emergency; operative 10-10-2000 (Register 2000, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-7-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-8-2001 as an emergency; operative 2-8-2001 (Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 23).  
§37020. Publicly Funded Program for Low Income Children.
Note     •     History

“Publicly funded program for low income children” means: 
(a) Medi-Cal, as defined in Chapter 7 (commencing with Section 14000) and Chapter 8 (commencing with Section 14200) of Part 3 of Division 9 of the Welfare and Institutions Code; 
(b) Child Health and Disability Prevention program, as defined in Article 6 (commencing with Section 124025) of Chapter 3 of Part 2 of Division 106 of the Health and Safety Code; 
(c) Healthy Families, as defined in Part 6.2 (commencing with Section 12693) of Division 2 of the Insurance Code; 
(d) Special Supplemental Nutrition Program for Women, Infants and Children, as defined in Article 2 (commencing with Section 123275) of Chapter 1 of Part 2 of Division 106 of the Health and Safety Code; or 
(e) Any federally funded or State of California funded program that provides medical services or preventive healthcare to children in families whose income is equal to or less than the maximum qualifying income level for participation in any of the programs specified in subsections (a) through (d). 
NOTE

Authority cited: Sections 100275(a), 105285 and 105300, Health and Safety Code. Reference: Section 105285, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2000 as an emergency; operative 10-10-2000 (Register 2000, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-7-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-8-2001 as an emergency; operative 2-8-2001 (Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 23).  
4. New section filed 6-4-2001 as an emergency; operative 6-9-2001 (Register 2001, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-9-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-4-2001 order, including amendment of subsection (d), transmitted to OAL 10-4-2001 and filed 11-19-2001 (Register 2001, No. 47).
§37025. Screening.
Note     •     History

“Screening” means testing an asymptomatic child for lead poisoning by analyzing the child's blood for concentration of lead. 
NOTE

Authority cited: Sections 100275(a), 105285 and 105300, Health and Safety Code. Reference: Section 105285, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2000 as an emergency; operative 10-10-2000 (Register 2000, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-7-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-8-2001 as an emergency; operative 2-8-2001 (Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 23).  
4. New section filed 6-4-2001 as an emergency; operative 6-9-2001 (Register 2001, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-9-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-4-2001 order transmitted to OAL 10-4-2001 and filed 11-19-2001 (Register 2001, No. 47).
Article 2. Standard of Care on Screening for Childhood Lead Poisoning
§37100. Requirements.
Note     •     History

(a) Except as provided in subsections (c) and (d), every health care provider who performs a periodic health assessment of a child, at the ages specified in subsection (b), shall comply with the following standard of care: 
(1) Provide oral or written anticipatory guidance to a parent or guardian of the child, including, at a minimum, the information that children can be harmed by exposure to lead, especially deteriorating or disturbed lead-based paint and the dust from it, and are particularly at risk of lead poisoning from the time the child begins to crawl until 72 months of age. 
(2) If the child receives services from a publicly funded program for low-income children, order the child screened for lead poisoning as the child is presumed to be at risk of lead poisoning. 
(3) If the child does not receive services from a publicly funded program for low-income children, evaluate the child's risk of lead poisoning by asking a parent or guardian of the child the following question: “Does your child live in, or spend a lot of time in, a place built before 1978 that has peeling or chipped paint or that has been recently renovated?” If the parent or guardian answers “yes” or “don't know” to the question, order the child screened for lead poisoning. 
(b) Except as provided in subsections (c) and (d), the health care provider shall perform the actions specified in subsection (a) at each of the following times: 
(1) The anticipatory guidance required by subsection (a)(1) shall be performed at each periodic health assessment, starting at 6 months of age and continuing until 72 months of age. 
(2) The screening and evaluation required by subsections (a)(2) or (3) shall be performed: 
(A) When the child is 12 months of age. 
(B) When the child is 24 months of age. 
(C) Whenever the health care provider performing a periodic health assessment becomes aware that the child is 12 months to 24 months of age and the actions specified in subsections (a)(2) or (3) were not taken at 12 months of age or thereafter. 
(D) Whenever the health care provider performing a periodic health assessment becomes aware that the child is 24 months to 72 months of age and the actions specified in subsections (a)(2) or (3) were not taken when the child was 24 months of age or thereafter. 
(E) Whenever the health care provider performing a periodic health assessment of a child 12 to 72 months of age becomes aware that, in the professional judgment of the health care provider, a change in circumstances has put the child at risk of lead poisoning. 
(c) The health care provider shall have no duty to order a child screened for lead poisoning if a parent or guardian of the child, or other person with legal authority to withhold consent, refuses to consent to the screening. 
(d) The health care provider shall have no duty to order a child screened for lead poisoning, if and so long as the risk of screening is a greater risk to the child's health than the risk of lead poisoning, in the professional judgment of the health care provider. The health care provider shall document the reasons for not screening in the child's medical record. 
(e) Upon receiving the results of a blood lead analysis in which the blood lead level is equal to or greater than 10 micrograms of lead per deciliter of blood, the health care provider shall take those actions that are reasonable and medically necessary to reduce, to the extent possible, the child's blood lead level below 10 micrograms of lead per deciliter of blood, such as the following: 
(1) Education of a parent or guardian on lead hazards and lead poisoning; 
(2) Clinical evaluation for complications of lead poisoning; 
(3) Follow-up blood lead analyses: 
(A) At one- to two-month intervals until the blood lead level has remained less than 15 micrograms of lead per deciliter of blood for at least six calendar months and the source of the lead poisoning has been removed or remediated; and 
(B) Thereafter, unless the child has received additional lead-hazard exposure, at three-month intervals until the child is 36 months of age; 
(4) Referring the family to the local childhood lead poisoning prevention program or, if none, the local health jurisdiction; and 
(5) Chelation therapy, if appropriate in the professional judgment of the health care provider. 
(f) A health care provider who fails to comply with this standard of care may be subject to the disciplinary provisions of Article 12 (commencing with Section 2220) of Chapter 5 of Division 2 the Business and Professions Code. 
NOTE

Authority cited: Sections 100275(a), 105285 and 105300, Health and Safety Code. Reference: Section 105285, Health and Safety Code. 
HISTORY

1. New article 2 (section 37100) and section filed 10-10-2000 as an emergency; operative 10-10-2000 (Register 2000, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-7-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (section 37100) and section refiled 2-8-2001 as an emergency; operative 2-8-2001 (Register 2000, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 23).  
4. New article 2 (section 37100) and section filed 6-4-2001 as an emergency; operative 6-9-2001 (Register 2001, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-9-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-4-2001 order, including amendment of subsection (f) and new Note, transmitted to OAL 10-4-2001 and filed 11-19-2001 (Register 2001, No. 47).
Chapter 11. Occupational Lead Poisoning Prevention Program
Article 1. Definitions
§38001. Occupational Lead Poisoning Prevention Program: Definitions.
Note     •     History

(a) “Altered or disturbed” means subjected to a process that may result in the release of dust, mist, fume, or other particles; such processes may include, but are not limited to, cutting, welding, grinding, polishing, machining, scraping, melting, sanding, spraying or pressure blasting.
(b) “De minimus amount” means any of the following:
(1) Lead present in materials which are altered or disturbed and have a lead concentration less than 0.5% (5000 ppm) by weight;
(2) Lead present in materials where the total weight of such materials altered or disturbed during the calendar year is known to be 16 ounces (one pound) or less by weight;
(3) Lead present in materials where no such material is altered or disturbed at any individual employee's place of employment on more than one day during the calendar year, i.e., if no employee works on more than one day during the calendar year in any location where lead-containing materials are being altered or disturbed, then the amount is de minimus.
(c) “Employee” means any individual employed for at least 160 hours in the prior calendar year, regardless of whether the individual's specific job involved potential exposure to lead or lead-containing materials.
(d) “Lead evaluation” means a review of the place of employment and the materials and processes involved in the operation of an employer's business, including but not limited to review of Material Safety Data Sheets or other manufacturer-supplied data, product labeling, or analytical testing results for presence of lead in materials of unknown composition.
(e) “Lead was not present at the place of employment” means that no amount of lead or lead-containing material was present at the place of employment or in the materials and processes used in the operation of the employer's business, with the following exceptions:
(1) Lead that was not altered or disturbed during the operation of the employer's business and was present in a form, or contained in such a manner, that it could not be inhaled or ingested (examples are undisturbed building materials, unused materials and supplies, intact lead storage batteries); or
(2) Lead present as a result of general environmental contamination which was not the result of the operation of the employer's business.
(f) “Metal work” means the machining or casting of metals or metal alloys.
(g) “Occupational Lead Poisoning Fee” means a fee pursuant to section 105190 of the Health and Safety Code which is assessed annually by the State Board of Equalization on employers with 10 or more employees in industries identified by the Department of Health Services as having documented evidence of potential occupational lead poisoning. These industries are listed by four-digit Standard Industrial Classification (SIC) Code in Section 38005.
(h) “Place of employment” means any location, not limited to a fixed site, where employees carry out work duties which are a part of a business operation.
(i) “Prior calendar year” means the time period from January 1 to December 31 of the year preceding that year in which the Occupational Lead Poisoning Fee is due.
(j) “Standard Industrial Classification (SIC) Code” means a system of four-digit numerical codes to designate the activities of a business operation, set forth by the U.S. Office of Management and Budget in the Standard Industrial Classification Manual, 1987.
NOTE

Authority cited: Sections 105185 and 105191, Health and Safety Code. Reference: Sections 105185, 105190, 105191 and 105195, Health and Safety Code.
HISTORY

1. New chapter 11 and section filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-15-93 order including amendment of subsections (a), (b) and (h) transmitted to OAL 4-28-93 and filed 6-10-93 (Register 93, No. 24).
3. Amendment of section and Note filed 5-1-97 as an emergency; operative 5-1-97 (Register 97, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-1-97 order transmitted to OAL 8-8-97 and filed 9-17-97 (Register 97, No. 38).
Article 2.  Waivers of the Occupational Lead Poisoning Fee
§38002. Fee Waiver Eligibility.
Note     •     History

(a) An employer in an industry listed in section 38005 is eligible for a waiver of the Occupational Lead Poisoning Fee if the employer can demonstrate, by completing the procedures specified in section 38003, that:
(1) Lead was not present at the place of employment during the prior calendar year; or
(2) Lead was present at the place of employment during the prior calendar year only in a de minimus amount.
(b) An employer in an industry listed in section 38005 is not required to pay the Occupational Lead Poisoning Fee if the employer had fewer than 10 employees during the previous year.
(c) An employer in an industry listed in section 38005 that involves painting, including but not limited to Standard Industrial Classification Code 1721, “Painting and Paper Hanging,” is not eligible for a fee waiver if, in the operation of the employer's business in the prior calendar year, any employees altered or disturbed paint in or on a building constructed prior to 1978 or on a painted metal structure, unless the employer demonstrates that lead was not present in any of the altered or disturbed paint, or was present only in a de minimus amount.
(d) An employer in an industry listed in section 38005 that involves demolition, including but not limited to Standard Industrial Classification Code 1795, “Wrecking and Demolition Work,” is not eligible for a fee waiver if, in the operation of the employer's business in the prior calendar year, any employees altered or disturbed a painted metal structure, or a building with painted surfaces that was constructed prior to 1978, unless the employer demonstrates that lead was not present in any of the disturbed paint, or was present only in a de minimus amount.
(e)  An employer in an industry listed in section 38005 that involves handling or processing of scrap metal, including but not limited to Standard Industrial Classification Code 5093, “Scrap and Waste Materials,” is not eligible for a fee waiver if, in the operation of the employer's business in the prior calendar year, any employees altered or disturbed materials that may contain lead or have a lead-containing coating, unless the employer demonstrates that lead was not present in any of the altered or disturbed materials, or was present only in a de minimus amount.
(f) An employer's request for a fee waiver may be denied for any of the following reasons:
(1) Identification of the presence of lead in a greater than de minimus amount at the place of employment or in the materials or processes used in the operation of the employer's business; or
(2) Failure of an employer to request a fee waiver and supply the documentation required in section 38003(d) within 180 days following the due date of the Occupational Lead Poisoning Fee; or
(3) Failure of an employer to provide sufficient and accurate information by which to evaluate the request for a fee waiver.
(g) The Department shall give written notice to the employer of the denial of an employer's request for a fee waiver and the reason or reasons for the denial.
(h) An employer whose request for a fee waiver is denied shall have 15 working days from receipt of notice of the denial to request a reconsideration of the denial and to supply any additional facts which the employer believes support the granting of the fee waiver request.
NOTE

Authority cited: Sections 105185 and 105191, Health and Safety Code. Reference: Sections 105190(e) and 105191(b), Health and Safety Code.
HISTORY

1. New  section filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-15-93 order including of amendment of subsections (a), (g)(1)-(2), (h) and (i) transmitted to OAL 4-28-93 and filed 6-10-93 (Register 93, No. 24).
3. Amendment of section and Note filed 5-1-97 as an emergency; operative 5-1-97 (Register 97, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-1-97 order transmitted to OAL 8-8-97 and filed 9-17-97 (Register 97, No. 38).
§38003. Procedures for Application of a Waiver.
Note     •     History

(a) An employer requesting a fee waiver shall conduct a lead evaluation of the premises, materials and processes used in the operation of the employer's business during the prior calendar year to determine whether lead was present. This evaluation shall include, but not be limited to, review of Material Safety Data Sheets or other manufacturer-supplied data, product labeling, or analytical testing results for presence of lead in materials of unknown composition.
(b) An employer requesting a fee waiver shall establish that lead was not present, or was present only in a de minimus amount, at the place of employment during the prior calendar year.
(c) An employer requesting a fee waiver shall have 180 days following the due date of the Occupational Lead Poisoning Fee to submit documentation that lead was not present, or was present only in a de minimus amount, at the place of employment during the prior calendar year.
(d) An employer requesting a fee waiver shall demonstrate that lead was not present, or was present in a de minimus amount, at the place of employment by providing documentation that includes:
(1) A Request for a Waiver of the Occupational Lead Poisoning Fee [DHS Form 8484 (4/97)], which is hereby incorporated by reference, containing the following information:
(A) Name, title, and affiliation of the person who conducted the lead evaluation of the employer's business operation as outlined in section 38003(a) and, if a consultant, also telephone number and address.
(B) Statement signed by the person conducting the lead evaluation that attests that, to the best of the person's knowledge, no lead or lead-containing materials were present in any amount, or were present only in a de minimus amount (as defined in section 38001) during the prior calendar year, in the premises, materials and processes used in the operation of the business.
(C) Description of the nature of the employer's business, including a description of the products manufactured and/or services provided.
(D)  The employer's Board of Equalization-designated, 8-digit account number provided to the employer at the time the Occupational Lead Poisoning Fee is assessed.
(E) Name, title, company, address, telephone number, and signature of an authorized representative of the employer who is requesting the fee waiver.
(F) An employer in an industry listed in section 38005 that involves construction work, who wishes to apply for a fee waiver, shall identify the extent to which the company's operations involved altering or disturbing painted surfaces by completing Part B of Form DHS 8484 (4/97).
(G) An employer in an industry listed in section 38005 that involves detective, guard, armored car or other security services, who wishes to apply for a waiver, shall identify the extent to which the company's operations involved altering or disturbing lead materials by discharging weapons on company time by completing Part C of Form DHS 8484 (4/97).
(H) An employer in an industry listed in section 38005 that involves metal work who wishes to apply for a fee waiver, shall identify the extent to which the company's operations involved altering or disturbing lead-containing metals or alloys (including lead-containing brass or bronze) by completing Part D of Form DHS 8484 (4/97).
(I) An employer in an industry listed in section 38005 that involves the handling or processing of scrap metal who wishes to apply for a fee waiver, shall identify the extent to which the company's operations involved altering or disturbing lead-containing or lead-painted scrap metal by completing Part E of Form DHS 8484 (4/97).
(2) Correspondence from an employer, workers' compensation representative, or consultant that includes all of the information outlined in section 38003(d)(1).
(e) An employer requesting a fee waiver may be required to provide additional information describing the nature of the employer's business, including the premises, materials or processes used in the operation of the employer's business.
(f) Results of industrial hygiene monitoring tests that show non-detectable concentrations of lead in workplace air shall not be considered sufficient documentation that lead was not present at the place of employment.
NOTE

Authority cited: Sections 105185 and 105191, Health and Safety Code. Reference: Sections 105190(e) and 105191(b), Health and Safety Code.
HISTORY

1. New  section filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-15-93 order transmitted to OAL 4-28-93 and filed 6-10-93 (Register 93, No. 24).
3. Amendment of section and Note filed 5-1-97 as an emergency; operative 5-1-97 (Register 97, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-1-97 order transmitted to OAL 8-8-97 and filed 9-17-97 (Register 97, No. 38).
§38004. Periods for Which Fee Waivers Are Granted.
Note     •     History

(a) The Department shall have the discretion to grant a permanent or annual waiver of the Occupational Lead Poisoning Fee to an employer who has provided acceptable documentation that lead was not present at the place of employment, or was present only in a de minimus amount. The decision to grant a permanent waiver or annual waiver shall be based on:
(1) A description of the employer's business operation;
(2) The potential for lead use within the industries classified under the employer's Standard Industrial Classification Code;
(3) The likelihood that the employer's business operation may change over time, causing lead to become present at the place of employment in a greater than de minimus amount.
(b) The Department shall, at the timer a fee waiver is granted, inform the employer of whether the waiver is granted on a permanent or annual basis.
(c) The Department shall rescind a company's permanent waiver of the Occupational Lead Poisoning Fee if the Department obtains evidence, including but not limited to a substantiated case report of occupational lead poisoning in an employee, that indicates that lead is present in a greater than de minimus amount at the place of employment.
(d) The Department shall rescind a company's annual waiver of the Occupational Lead Poisoning Fee if the Department obtains evidence, including but not limited to a substantiated case report of occupational lead poisoning in an employee, that indicates that lead was present in a greater than de minimus amount at the place of employment during the calendar year for which the annual waiver was granted.
(e) An employer who is granted a permanent fee waiver shall notify the Department within 30 days of any changes in the premises, materials or processes used in the operation of the business that result in lead being present in a greater than de minimus amount at the place of employment.
(f) An employer who is granted an annual waiver shall notify the Department within 30 days if the employer becomes aware that lead was present in a greater than de minimus amount at the place of employment during the calendar year for which the annual waiver was granted.
NOTE

Authority cited: Sections 105185 and 105191, Health and Safety Code. Reference: Sections 105190(e) and 105191(b), Health and Safety Code.
HISTORY

1. New  section filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-15-93 order transmitted to OAL 4-28-93 and filed 6-10-93 (Register 93, No. 24).
3. Amendment of section and Note filed 5-1-97 as an emergency; operative 5-1-97 (Register 97, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-1-97 order transmitted to OAL 8-8-97 and filed 9-17-97 (Register 97, No. 38).
Article 3. Applicable Industries
§38005. Occupational Lead Poisoning Fee: Applicable Industries.
Note     •     History

(a) The list of industries in section 105195 of the California Health and Safety Code for which the Occupational Lead Poisoning Fee is applicable is hereby modified as follows:

	SIC Code	  Industry

(1)	1041	Gold ores

(2)	1521	General contractors -- Single-family houses

(3)	1541	General contractors -- Industrial buildings and
		warehouses

(4)	1542	General contractors -- Nonresidential buildings,
		other than industrial buildings and warehouses

(5)	1611	Highway and street construction, except elevated
		highways

(6)	1622	Bridge, tunnel, and elevated highway construction

(7)	1623	Water, sewer, pipeline and communications and
		power line construction

(8)	1629	Heavy construction, not elsewhere classified

(9)	1711	Plumbing, heating, and air-conditioning

(10)	1721	Painting and paper hanging

(11)	1761	Roofing, siding and sheet metal work

(12)	1791	Structural steel erection

(13)	1795	Wrecking and demolition work

(14)	1796	Installation or erection of building equipment, not
		elsewhere classified

(15)	1799	Special trade contractors, not elsewhere classified

(16)	2759	Commercial printing, not elsewhere classified

(17)	2782	Blankbooks, looseleaf binders and devices

(18)	2816	Inorganic pigments

(19)	2819	Industrial inorganic chemicals, not elsewhere 
		classified

(20)	2821	Plastics material, synthetic resins, and 
		nonvulcanizable elastomers

(21)	2851	Paints, varnishes, lacquers, enamels, and allied
		products

(22)	2869	Industrial organic chemicals, not elsewhere 
		classified

(23)	2891	Adhesives and sealants

(24)	2892	Explosives

(25)	2899	Chemicals and chemical preparations, not 
		elsewhere classified

(26)	3053	Gaskets, packing, and sealing devices

(27)	3069	Fabricated rubber products, not elsewhere classified

(28)	3087	Custom compounding of purchased plastics resins

(29)	3089	Plastics products, not elsewhere classified

(30)	3229	Pressed and blown glass and glassware, not 
		elsewhere classified

(31)	3231	Glass products, made of purchased glass

(32)	3253	Ceramic floor and wall tile

(33)	3261	Vitreous china plumbing fixtures and china and
		earthenware fittings and bathroom accessories

(34)	3262	Vitreous china table and kitchen articles

(35)	3269	Pottery products, not elsewhere classified

(36)	3312	Steel works, blast furnaces (including coke ovens),
		and rolling mills

(37)	3313	Electrometallurgical products, except steel

(38)	3315	Steel wiredrawing and steel nails and spikes

(39)	3316	Cold-rolled steel sheet, strip and bars

(40)	3317	Steel pipe and tubes

(41)	3321	Gray and ductile iron foundries

(42)	3325	Steel foundries, not elsewhere classified

(43)	3331	Primary smelting and refining of copper

(44)	3339	Primary smelting and refining of nonferrous metals,
		except copper and aluminum

(45)	3341	Secondary smelting and refining of nonferrous 
		metals

(46)	3351	Rolling, drawing, and extruding of copper

(47)	3356	Rolling, drawing, and extruding of nonferrous 
		metals, except copper and aluminum

(48)	3357	Drawing and insulating of nonferrous wire

(49)	3363	Aluminum die-castings

(50)	3364	Nonferrous die-castings, except aluminum

(51)	3365	Aluminum foundries

(52)	3366	Copper foundries

(53)	3369	Nonferrous foundries, except aluminum and copper

(54)	3398	Metal heat treating

(55)	3399	Primary metal products, not elsewhere classified

(56)	3411	Metal cans

(57)	3429	Hardware, not elsewhere classified

(58)	3431	Enameled iron and metal sanitary ware

(59)	3432	Plumbing fixture fittings and trim

(60)	3433	Heating equipment, except electric and warm air
		furnaces

(61)	3441	Fabricated structural metal

(62)	3444	Sheet metal work

(63)	3463	Nonferrous forgings

(64)	3479	Coating, engraving, and allied services, not 
		elsewhere classified

(65)	3484	Small arms

(66)	3491	Industrial valves

(67)	3492	Fluid power valves and hose fittings

(68)	3494	Valves and pipe fittings, not elsewhere classified

(69)	3496	Miscellaneous fabricated wire products

(70)	3497	Metal foil and leaf

(71)	3532	Mining machinery and equipment, except oil and
		gas field machinery and equipment

(72)	3544	Special dies and tools, die sets, jigs and fixtures, and
		industrial molds

(73)	3561	Pumps and pumping equipment

(74)	3567	Industrial process furnaces and ovens

(75)	3585	Air-conditioning and warm air heating equipment
		and commercial and industrial refrigeration 
		equipment

(76)	3599	Industrial and commercial machinery and 
		equipment, not elsewhere classified

(77)	3624	Carbon and graphite products

(78)	3661	Telephone and telegraph apparatus

(79)	3663	Radio and television broadcasting and 
		communications equipment

(80)	3669	Communications equipment, not elsewhere 
		classified

(81)	3671	Electron tubes

(82)	3674	Semiconductors and related devices

(83)	3678	Electronic connectors

(84)	3679	Electronic components, not elsewhere classified

(85)	3691	Storage batteries

(86)	3692	Primary batteries, dry and wet

(87)	3699	Electrical machinery, equipment and supplies, not
		elsewhere classified

(88)	3711	Motor vehicles and passenger car bodies

(89)	3714	Motor vehicle parts and accessories

(90)	3721	Aircraft

(91)	3728	Aircraft parts and auxiliary equipment, not 
		elsewhere classified

(92)	3812	Search, detection, navigation, guidance, 
		aeronautical, and nautical systems and instruments

(93)	3825	Instruments for measuring and testing of electricity
		and electrical signals

(94)	3829	Measuring and controlling devices, not elsewhere
		classified

(95)	3844	X-ray apparatus and tubes and related irradiation
		apparatus

(96)	3914	Silverware, plated ware, and stainless steel ware

(97)	3949	Sporting and athletic goods, not elsewhere classified

(98)	3953	Marking devices

(99)	3965	Fasteners, buttons, needles, and pins

(100)	4813	Telephone communications, except radiotelephone

(101)	4911	Electric services

(102)	5064	Electrical appliances, television and radio sets

(103)	5093	Scrap and waste materials

(104)	5941	Sporting goods stores and bicycle shops

(105)	7381	Detective, guard, and armored car services

(106)	7538	General automotive repair shops

(107)	7539	Automotive repair shops, not elsewhere classified

(108)	7997	Membership sports and recreation clubs

(109)	7999	Amusement and recreation services, not elsewhere
		classified

(110)	8734	Testing laboratories
NOTE

Authority cited: Sections 105185 and 105195, Health and Safety Code. Reference: Section 105195, Health and Safety Code.
HISTORY

1. New  section filed 1-15-93 as an emergency; operative 1-15-93 (Register 93, No. 3). A Certificate of Compliance must be transmitted to OAL 5-17-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 1-15-93 order transmitted to OAL 4-28-93 and filed 6-10-93 (Register 93, No. 24).
3. Amendment of section and Note filed 5-1-97 as an emergency; operative 5-1-97 (Register 97, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-1-97 order transmitted to OAL 8-8-97 and filed 9-17-97 (Register 97, No. 38).
Division 2. Health and Welfare Agency--Department of Developmental Services Regulations
Chapter 1. General Provisions

(For prior history of former Chapter 1 (sections 50000-50150), see Register 82, No. 23.)
Subchapter 2. Monthly Parental Fee
Article 1. General
§50201. Authority.
Note     •     History

These regulations prescribe financial responsibility procedures for determining ability to pay and the level of payment due from parents of minor children receiving services provided by the state or purchased with state funds through regional centers. These regulations implement and make specific the provisions of Sections 4782 and 4784 of the Welfare and Institutions Code. Reference is also made to Sections 4648(b) and 4677 of the Code.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4648(b), 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Repealer of Chapter 2 (Sections 50200-50207) and new Chapter 2 (Sections 50201-50227, not consecutive) filed 10-6-78; effective thirtieth day thereafter (Register 78, No. 40). For prior history, see Register 72, Nos. 11 and 27.
2. Editorial reorganization of Part II (Chapters 2, 3, 4, 5 and 8, Sections 50201-59100, not consecutive) to Part II (Chapters 1 and 3, Sections 50201-54529, not consecutive) filed 9-28-83 (Register 83, No. 40). For prior history, see Registers 82, No. 35; 81, Nos. 52 and 9; 80, No. 26; 79, No. 13; 78, No. 40; and 76, No. 51.
3. Editorial redesignation of former Chapter 2 (Articles 1-3, Sections 50201-50227, not consecutive) to Chapter 1, Subchapter 2 (Articles 1-3, Sections 50201-50227, not consecutive) filed 9-28-83 (Register 83, No. 40). For prior history, see Registers 80, No. 26 and 78, No. 40.
4. Repealer of Subchapter 2 (Articles 1-3, Sections 50201-50227, not consecutive) and new Subchapter 2 (Articles 1-5, Sections 50201-50241, not consecutive) filed 1-18-84; effective thirtieth day thereafter (Register 84, No. 3).
5. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
6. Amendment filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
7. Change without regulatory effect deleting text reference to Welfare and Institutions Code Section 4785, which was repealed by Stats. 1984, c. 1789, Section 4 (Register 86, No. 33).
§50203. Forms.
Note     •     History

(a) Regional centers shall use parental financial responsibility forms prescribed by the State Department of Developmental Services.
(b) Other forms shall not be substituted by regional centers unless specifically approved by the Department.
NOTE

Authority cited: Sections 4409, 4631, 4640 and 4748, Welfare and Institutions Code. Reference: Sections 4631, 4640, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
Article 2. Definitions
§50205. Ability to Pay.
Note     •     History

“Ability to Pay” means financial capability to pay the cost of raising a normal child at home, as determined by the Director of Developmental Services.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4631(a), 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50207. Gross Family Income.
Note     •     History

Gross family income includes any money or benefit acquired, earned, or received as payment for labor or services, support, gift or inheritance, or return on investments by parents or eligible dependents.
Provided however, that the following shall not be considered as gross family income:
1. Earned income and the return on investment of a minor child living at home or in 24 hour out of home placement;
2. Child support payment for a minor child eligible for developmental services to the extent that it is sent or paid to a regional center or state hospital trust office as offset to the cost of services.
Provided further that the parental fee assessment against the noncustodial parent shall be reduced by the amount of child support awarded by the court on behalf of the client.
Provided further, that the includible income from the operation of a business or from self-employment is the net income after deducting business expenses. However, depreciation, amortization, and depletion shall not be allowed as business expense deductions.
Provided finally, that the community property interest of a parent in the gross income of a stepparent, shall be used in determining family income.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4631(a), 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6).
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
3. Change without regulatory effect deleting text reference to amounts excluded from the community property interest of a parent in the gross income of a stepparent pursuant to Civil Code Section 5127.5, which was repealed by Stats. 1984, c. 1671, Section 14 (Register 86, No. 33).
4. Amendment filed 7-8-87; operative 8-7-87 (Register 87, No. 29).
§50209. Eligible Dependent.
Note     •     History

Any person who depends on the gross family income for more than one-half of his or her support shall be considered an eligible dependent provided such person's income, other than the earned income of a minor child living at home, is reported and included in the gross family income. Provided however, that a child with developmental disabilities who is living in a community placement or residing in a state hospital shall be considered an eligible dependent regardless of the extent of his dependency on gross family income. Provided further, that a parent who has remarried and the stepparent shall be considered as one eligible dependent, and not two, for the purpose of computing the parental fee.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4631(a), 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50211. Parental Fee.
Note     •     History

“Parental Fee” means the determined and/or scheduled sum which parents are required to pay to the Developmental Disabilities Program Development Fund.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
3. Change without regulatory effect deleting reference to Welfare and Institutions Code Section 4785, which was repealed by Stats. 1984, c. 1789, Section 4 (Register 86, No. 33).
§50213. Parental Fee Schedule.
Note     •     History

“Parental Fee Schedule” means the official table of tabulated and scaled fees as authorized and established by the Director of Developmental Services with the approval of the State Council on Developmental Disabilities.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50215. Parents.
Note     •     History

“Parents” means the natural or adoptive parents, or either of them, of a child with developmental disabilities under 18 years of age.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
Article 3. Administrative Provisions
§50221. Centralized Parental Fee Program.
Note     •     History

(a) The Department of Developmental Services shall determine, assess, bill, revise, adjust and collect determined parental fees. Determination and assessment shall be in accordance with the Parental Fee Schedule as defined in Section 50213 and parental financial information. Collection of accounts shall be in accordance with applicable laws and standard collection procedures.
(b) All parental fees paid to or received by a regional center shall be recorded and accounted for in accordance with standard accounting principles. Such fees shall be reported and remitted monthly by regional center to the Department of Developmental Services.
(c) The Department of Developmental Services shall remit all parental fee payments received from parents or from regional centers to the State Treasury, within 60 calendar days of receipt, to be deposited in the Developmental Disabilities Program Development Fund (DDPDF).
(d) Regional Centers shall provide the Department of Developmental Services with such information and documents as may be required to determine, assess, bill, revise, adjust, and collect parental fees.
NOTE

Authority cited: Sections 4409, 4631, 4640 and 4748, Welfare and Institutions Code. Reference: Sections 4631, 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84 No. 6).
2. Amendment filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
Article 4. Determination of Ability to Pay
§50223. Services Requiring Ability to Pay Determinations.
Note     •     History

Conditions requiring an ability to pay determination shall be:
(a) All 24-hour out-of-home community care received through a regional center for children under the age of 18;
(b) 24-hour care for such minor children in state hospitals.
Provided, however, that no ability to pay determination shall be made for services required by state or federal law, or both, to be provided to children without charge to their parents.
Provided further, in no case shall the parental fee exceed the net cost of services purchased by the state or the regional center.
NOTE

Authority cited: Sections 4409, 4631 and 4748, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50225. Regional Center Responsibilities.
Note     •     History

Regional centers shall have the following duties and responsibilities:
(a) Identify all children with developmental disabilities who are receiving services as specified in Section 50223.
(b) Provide the Department of Developmental Services with a listing of new placements, terminated cases, and client deaths for those clients identified in paragraph (a) of this section. Such listing shall be provided not later than the 20th day of the month following the month of such occurrence and shall be provided in the format as determined by the Department of Developmental Services.
(c) Inform parents of children who will be receiving services as identified in Section 50223 that the Department of Developmental Services is required to determine parents' ability to pay, and to assess, bill, and collect parental fees pursuant to Chapter 9 of Division 4.5 of the Welfare and Institutions Code.
(d) Within 10 working days after placement of a minor child, provide the parent(s) a package containing an informational letter, a Family Financial Statement (FFS), and a return envelope. The informational letter, FFS, and envelope shall be provided to the centers by the Department of Developmental Services.
(e) A copy of each informational letter given or sent to parent(s), indicating the addressee and the date given or mailed, shall be attached to and submitted with the report identified in paragraph (b) of this section.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4620, 4631, 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Repealer and new section filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
3. Change without regulatory effect of subsection (d) (Register 86, No. 33).
§50227. Notification to Parents.
Note     •     History

(a) The Department of Developmental Services shall notify parents in writing of parental fee determination results and advise them of their right to appeal the determination under Section 50241. A copy of the Confirmation Letter will be sent to the regional center.
(b) Parental fee liability shall be effective on the first day of the month following the month that the client is placed in a 24-hour out-of-home facility.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4620, 4631, 4677, 4748, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6).
2. Repealer and new section filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50229. Parent(s) Disclosure of Financial Information.
Note     •     History

The parent(s) of a child who is currently receiving services as specified in Section 50223, or who has been referred for placement pursuant to the same section, shall complete and submit to the Department of Developmental Services and annually thereafter, a Client Benefit Questionnaire and Family Financial Statement. If the parent(s) refuses or fails to complete and submit this form, within 30 days from the date on the informational letter, the Department of Developmental Services shall assess a fee for the full cost of services or the maximum allowable fee, whichever is less. Upon receipt of the properly completed FFS, the Department of Developmental Services will determine the appropriate rate and adjust the account as necessary.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. New section filed 2-9-84; designated effective 2-17-84 pursuant to Government Code Section 11346.2(d) (Register 84, No. 6).
2. Repealer and new section filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
3. Change without regulatory effect (Register 86, No. 33).
§50230. Determination of Amount of Monthly Parental Fee.
Note     •     History

(a) The maximum parental fee shall be in accordance with the Parental Fee Schedule as defined in Section 50213. 
(b) Parental fees for those families with more than one child having developmental disabilities and receiving services as specified in Section 50223 shall be made using the fee schedule and the following adjustments. 

(A) First Child 	100% of the Fee Schedule Amount
(B) Second Child 	50% of the Fee Schedule Amount
(C) Third Child 	25% of the Fee Schedule Amount
(D) Fourth Child 	25% of the Fee Schedule Amount
NOTE

Authority cited: Sections 4409, 4631 and 4677, Welfare and Institutions Code. Reference: Sections 4677, 4732 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment filed 10-31-84; designated effective 1-1-85 unless a statute enacted before that date supercedes Welfare and Institutions Code Section 4784(b), Statutes of 1984, Chapter 1729, Section 3, which exempts parental fee schedules from Title 2, Division 3, Part I, Chapter 3.5, Section 11340 et seq., Government Code, the Administrative Procedure Act (Register 84, No. 44).
Article 5. Determining Required Levels of Payment
§50231. Gross Family Income Adjustments.
Note     •     History

(a) Client related expenditures shall be reported as an annual amount for the 12 months immediately preceding a determination of ability to pay. Qualified client related expenditures which the Department of Developmental Services may accept to reduce gross family income, subject to verification, are:
(1) Annual amounts paid from gross family income to reduce or liquidate medical debts incurred by parents on behalf of and before a child with developmental disability began receiving services provided by the state or secured through a regional center.
(2) Annual amounts paid from gross family income for the current medical expenses of a child with a developmental disability provided that such expenses have not been paid or are not currently reimbursable with state funds, health insurance, health care benefits, or other third party resources.
(3) Annual amounts paid from gross family income for the developmentally disabled child's share of any premium payments paid for an individual, family, or group health care plan.
(4) Annual amounts paid from gross family income to other government agencies as payment for services provided for a child with a developmental disability.
(5) Annual amounts paid from gross family income for the clothing needs of a child with a developmental disability.
(6) Annual amounts paid from gross family income for personal needs and incidentals for the child with a developmental disability. 
(7) Annual amounts paid from gross family income for recreation and entertainment for the child with a developmental disability.
(b) “Qualified client related expenditures” as enumerated in 50231 subsection (a) may be applied as an adjustment to reduce gross family income prior to application of the parental fee schedule for the purpose of determining ability to pay and assessing the required fee.
(c) Client related expenditures as enumerated in 50231(a) do not include those that are paid for or are reimbursable by the client's SSI/SSP, SSA, or other benefits paid to or on behalf of the client. 
(d) The maximum monthly parental fee shall be in accordance with the Parental Fee Schedule as defined in Section 50213.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6).
2. Amendment filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50233. Major Unusual Expense Allowance.
Note     •     History

The Department of Developmental Services may allow claims for major unusual expenses which limit ability to pay and which will create hardship if a required payment should be imposed. Any qualified allowance shall be applied as an adjustment to reduce the gross family income used to determine parents' ability and level of payment. In determining what constitutes a major unusual expense, the Department of Developmental Services shall include for consideration, but not be limited to, the following factors:
1. Expenditures which consume a substantial portion of Gross Family Income;
2. An expenditure over which parents have no control, e.g., natural disaster, catastrophic uninsured casualty loss, death of an immediate family member, extreme medical expense.
Hardship, in this sense, implies that the result of imposing the monthly parental fee, would be privation or lack of what is needed for basic family necessities, food, shelter, clothing, medical care, etc., not merely a reduction of the family's standard of living.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4748, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. New section filed 2-9-84; designated effective 2-17-84 pursuant to Government Code Section 11346.2(d) (Register 84, No. 6).
2. Amendment filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50235. Transportation Expense Allowance.
Note     •     History

Reasonable transportation expenses incurred by parents to visit a child with developmental disability in any placement facility may be claimed as client related expenditures and applied as an adjustment to reduce gross family income.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50237. Substantiation of Determination Data.
Note     •     History

The Department of Developmental Services may require substantiation of information set forth in the Family Financial Statement. Substantiation may be in the form of State and Federal Income Tax Returns, W-2 Forms, payroll stubs, and copies of bills, receipts, or cancelled checks. Parents may be required to sign release of information forms for employment and/or income verification.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference: Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Repealer and new section filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
3. Change without regulatory effect (Register 86, No. 33).
§50239. Termination of Required Payments.
Note     •     History

Assessment of required payments shall be terminated at the end of the month in which a child with developmental disabilities receiving services becomes 18 years of age. When services terminate because of the client's death or discharge, the monthly parental fee will be terminated as of the last day of the month proceeding the month of death or discharge.
Provided however, that parental fees previously assessed and still unpaid at time of termination of the monthly parental fee shall continue to be billed until paid in full or adjusted.
NOTE

Authority cited: Sections 4409 and 4631, Welfare and Institutions Code. Reference Sections 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment of NOTE filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
§50241. Appeal.
Note     •     History

Parents who are dissatisfied with the decision as to the determination of ability to pay and/or the amount of parental fee may, within 30 days of receipt of the parental fee confirmation letter, request an appeal of the determination or the amount of the fee. The appeal must be in writing and addressed to the Director of Developmental Services, and must state the reason(s) for the appeal. The Department of Developmental Services will send a copy of the appeal to the appropriate regional center director within five days of its receipt.
Parents may discontinue making payments of the assessed fee pending notification of the appeal results. Provided however, that if parents fail or refuse to provide the Department pertinent financial information within 60 days of the request for an appeal, the appeal shall be deemed withdrawn and collection activities shall be resumed.
The Director or designee shall, within 30 days after receipt of all pertinent financial information requested by the Department, review the appeal and provide written notice of the decision to the appellant and the appropriate regional center.
All decisions regarding parental fee appeals may be made retroactive to the date the appealed fee was established.
NOTE

Authority cited: Sections 4409, 4501 and 4631, Welfare and Institutions Code. Reference: Sections 4512, 4620, 4648(b), 4677, 4782 and 4784, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 2-9-84 (Register 84, No. 6). 
2. Amendment filed 8-16-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 33).
Subchapter 2.5. Family Cost Participation
Article 1. General
§50243. Purpose.
Note     •     History

These regulations implement and make specific the provisions of Section 4783 of the Welfare and Institutions Code related to the Family Cost Participation Program. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 4783, Welfare and Institutions Code. 
HISTORY

1. New subchapter 2.5 (articles 1-4), article 1 (section 50243) and section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New chapter 2.5 (articles 1-4), article 1 (section 50243) and section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
Article 2. Definitions
§50245. Developmental Disability.
Note     •     History

For the purposes of these regulations, the term “developmental disability” shall have the same meaning as provided in Section 4512 of the Welfare and Institutions Code. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Sections 4512 and 4783, Welfare and Institutions Code. 
HISTORY

1. New article 2 (sections 50245-50253) and section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 50245-50253) and section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50247. Medi-Cal Eligible Consumers.
Note     •     History

Medi-Cal eligible includes consumers who are institutionally deemed. The term “institutionally deemed” means that the income and resources of a parent are not deemed to the consumer, therefore making the consumer eligible for Medi-Cal if all other Medi-Cal eligibility criteria are met. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 1915(c)(3), Social Security Act; and Section 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50249. Family Cost Participation Schedule.
Note     •     History

The Family Cost Participation Schedule means the official table developed by the Department of Developmental Services and used by the regional centers to determine the amount of family cost participation. This table is reflective of the Federal Poverty Guidelines as adjusted for family size and scaled by income levels and establishes the lowest family cost participation at five percent (5%). The Department of Developmental Services shall adjust this schedule consistent with changes in the Federal Poverty Guidelines but not more often than once each calendar year. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50251. Gross Annual Income.
Note     •     History

Gross annual income is the income of the parents as reported on their latest California State or Federal Income Tax return and includes any money or benefit acquired, earned, or received as payment for labor or services, support, or return on investments. Income from the operation of a business or from self-employment is the net income after deducting business expenses. Depreciation, amortization, and depletion shall not be allowed as business expense deductions. The regional center executive director may determine appropriate documentation necessary for family cost participation consistent with Section 4783(g)(2). 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50253. Persons Living in the Family Home.
Note     •     History

(a) A person living in the family home is any person who depends on the gross annual income of the parents for more than one-half of his/her support. 
(b) In the case of divorce, legal separation, or established paternity where income from both parents is used, all persons who depend on the gross annual income of the parents for more than one-half of his/her support shall be considered persons living in the family home.
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order, including amendment of section, transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
Article 3. Administrative Provisions
§50255. Parent Responsible for Cost Participation.
Note     •     History

(a) The parents of a child who meet the definition under Section 4783(a)(1) of the Welfare and Institutions Code shall be jointly and severally responsible for the assessed amount of family cost participation. However, in the case of a divorce, legal separation, or established paternity, the family cost participation assessment shall be computed on the gross annual income of both parents unless inconsistent with a court order stating otherwise. 
(b) In the event that a custodial parent certifies in writing that income information from the non-custodial parent cannot be obtained by the custodial parent, then only the income of the custodial parent may be used to determine the cost participation.
(c) This program shall not exempt parents from responsibilities for day care pursuant to Section 4685(c)(6) of the Welfare and Institutions Code. 
NOTE

Authority Cited: Section 4783, Welfare and Institutions Code. Reference: Sections 4685(c)(6) and 4783, Welfare and Institutions Code. 
HISTORY

1. New article 3 (sections 50255-50257) and section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 50255-50257) and section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order, including new subsection (b) and subsection relettering, transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50257. Program Administration.
Note     •     History

(a) The Department of Developmental Services shall develop a pamphlet describing the Family Cost Participation Program. Regional centers shall provide the pamphlet to the parents of children, ages 3 through 17 years, during initial intake and assessment and at all subsequent IPP review meetings where changes occur to day care, camping, or respite services. 
(b) Regional centers shall use all forms and documents developed by the Department of Developmental Services to administer the Family Cost Participation Program. 
(c) Regional centers are responsible for funding their authorized share of services without regard to the family's cost participation assessment. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Sections 4685(c)(6) and 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
Article 4. Assessment of the Family Cost Participation
§50259. Assessment of the Family Cost Participation.
Note     •     History

(a) The amount of the family cost participation shall not impact any services other than those identified in Section 4783(c) of the Welfare and Institutions Code. 
(b) Reductions in the assessed amount pursuant to Section 4783(d)(1)(2)(3) and (4) of the Welfare and Institutions Code, because of multiple minor children receiving services, shall only be applied to the Family Cost Participation Program assessment, and shall not reduce the fees for consumers in 24-hour out-of-home placements as determined pursuant to Sections 4677, 4782, and 4784 of the Welfare and Institutions Code. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Sections 4677, 4782, 4783 and 4784, Welfare and Institutions Code. 
HISTORY

1. New article 4 (sections 50259-50267) and section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 50259-50267) and section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50261. Maximum Family Cost Participation Assessment.
Note     •     History

(a) Each parent shall provide the regional center with his or her proof of gross annual income pursuant to Section 4783(g)(2) and (i) of the Welfare and Institutions Code, within ten (10) working days from the date of the parents' signatures on the Individual Program Plan. The regional center may grant a ten (10) working day extension to provide documentation, if parents have acted in good faith. In no event shall more than one ten (10) working day extension be granted. Failure to provide the information will result in the regional center setting the cost participation at the maximum amount, pursuant to Section 4783(g)(4) of the Welfare and Institutions Code. 
(b) The Individual Program Plan signature page shall include a statement indicating that the regional center shall fund respite, day care, and camping services consistent with the Family Cost Participation Program, if applicable. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order, including amendment of subsection (a), transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50262. Confidentiality and Retention of Income Documentation.
Note     •     History

(a) Any documentation submitted pursuant to Sections 50261, 50265, or 50267 shall be considered records obtained in the course of providing intake, assessment, and services and shall be confidential pursuant to Section 4514 of the Welfare and Institutions Code. 
(b) Any documentation submitted pursuant to Sections 50261, 50265, or 50267, any documents relied on by the executive director pursuant to 50265, and correspondence from the regional center, shall be retained by the regional center for 3 years. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Sections 4514 and 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50263. Waiver Exemption.
Note     •     History

Parents whose child is Institutionally Deemed Medi-Cal eligible shall be exempt from the Family Cost Participation Program for that child. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 1915(c)(3), Social Security Act; and Section 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50265. Adjustment by Regional Center Executive Director.
Note     •     History

(a) Adjustment to the assessed amount of the family cost participation may be made by the regional center executive director for a substantiated unavoidable and uninsured catastrophic loss that would temporarily limit the ability of the parents to pay and create a direct economic impact if the amount of the family cost participation were not reduced. Unavoidable and uninsured catastrophic losses may include, but are not limited to, natural disasters, an accident or major injuries to an immediate family member, or extraordinary medical expenses. The executive director may also make an adjustment for significant unreimbursed medical costs associated with the care for a child who is a regional center consumer.
(b) Direct economic impact means that the result of not granting the adjustment would deprive the family of what is needed for basic family necessities, including but not limited to, food, shelter, clothing, or medical care. A direct economic impact is a substantial change that impacts more than just the family's standard of living. 
(c) Adjustments made pursuant to this Section shall be calculated by deducting the documented non-reimbursed dollar cost of the direct economic impact request from the gross annual income, and then re-assessing the amount of family cost participation by applying the Family Cost Participation Schedule against the reduced income amount. 
(d) Family cost participation assessments that have been adjusted as a result of the regional center executive director granting an adjustment shall be re-determined at least annually. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Section 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order, including amendment of subsection (a), transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
§50267. Assessment and Reassessment of Cost Participation.
Note     •     History

(a) The original amount of the family cost participation shall be assessed upon completion of the initial Individual Program Plan and reassessed every third year thereafter to coincide with the review of the consumer's Individual Program Plan, pursuant to Section 4646(b) of the Welfare and Institutions Code. 
(b) Family cost participation assessments may be reduced or increased if there is an ongoing reduction or increase in the gross annual income upon which the amount of the family cost participation was determined, or a reduction or increase in the amount of services provided to the consumer pursuant to a change in the Individual Program Plan, or a change in family size. 
NOTE

Authority cited: Section 4783, Welfare and Institutions Code. Reference: Sections 4646(b) and 4783, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-2004 as an emergency; operative 1-1-2005 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 5-2-2005 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-2-2005 as an emergency; operative 5-4-2005 (Register 2005, No. 18). A Certificate of Compliance must be transmitted to OAL by 9-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-2-2005 order transmitted to OAL 6-9-2005 and filed 7-22-2005 (Register 2005, No. 29).
Subchapter 3. Department of Developmental Services--Conflict of Interest Code
NOTE:Pursuant to a regulation of the Fair Political Practices Commission (Title 2, CCR, section 18750(k)(2)), an agency adopting a conflict of interest code has the options of requesting that the code either be (1) printed in the CCR in its entirety or (2) incorporated by reference into the CCR. Here, the adopting agency has requested incorporation by reference. However, the full text of the regulations is available to the public for review or purchase at cost at the following locations:

DEPARTMENT OF DEVELOPMENTAL SERVICES
1600 9TH STREET, ROOM 240
SACRAMENTO, CA 95814 

SECRETARY OF STATE (ARCHIVES)
1020 O STREET
SACRAMENTO, CA 95814

FAIR POLITICAL PRACTICES COMMISSION
428 J STREET, SUITE 800
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Subchapter 3, Chapter 1 of Division 2 of Title 17 of the California Code of Regulations, and consists of sections numbered and titled as follows: 

Subchapter 3. Department of Developmental Services--
Conflict of Interest Code

	Section
	50300.	General Provisions
		Appendix
NOTE

Authority cited: Sections 87300 and 87304, Government Code. Reference: Sections 87300, et seq., Government Code.
HISTORY

1. Editorial renumbering of former chapter 8 (section 59100) to chapter 1, subchapter 3 (section 50300) filed 9-28-83 (Register 83, No. 40). For prior history, see Registers 81, No. 9; and 79, No. 13. 
2. Editorial correction of printing error (Register 84, No. 5).
3. Amendment of section and Appendix filed 2-10-93; operative 2-10-93. Approved by Fair Political Practices Commission 1-15-93 (Register 93, No. 7).
4. Change without regulatory effect amending addresses for the agency and the Fair Political Practices Commission filed 7-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 29).
5. Amendment of General Provisions and Appendix filed 12-2-2003; operative 1-1-2004. Approved by Fair Political Practices Commission 9-18-2003 (Register 2003, No. 49).     
6. Amendment filed 11-10-2010; operative 12-10-2010. Approved by Fair Political Practices Commission 9-1-2010 (Register 2010, No. 46).     
Subchapter 4. Rules for Conducting Research
Article 1. Definitions
§50401. Definitions.
Note     •     History

As used in this subchapter, the following words have the specified meanings.
(a) “Clients Rights Advocate” means the individual or individuals assigned by a regional center or state hospital to be responsible for ensuring that the civil, legal and service rights of persons with developmental disabilities are available and guaranteed to such persons.
(b) “Consultant” means a person who gives expert or professional advice and who has competence in special areas or who can provide expertise beyond or in addition to that available to the IRB.
(c) “Department” means the State Department of Developmental Services.
(d) “Health and Welfare Agency” means the Health and Welfare Agency as defined in Section 12800 of the Government Code.
(e) “Human Subject” means a living individual about whom a researcher conducting research obtains (1) date through intervention or interaction with the individual, or (2) confidential information.
(f) “Informed Consent” means the knowing consent of an individual or his or her legally authorized representative that is given without undue inducement or any element of force, fraud, deceit, duress, or other form of constraint or coercion to participate in an activity. For consent to be “informed,” the individual or his or her legally authorized representative must possess accurate and complete information about the procedures which are to be performed, understand the information provided, and give consent voluntarily.
(g) “Institutional Review Board (IRB)” means a review board constituted and convened in accordance with the regulations in this subchapter by a state hospital or regional center servicing persons with developmental disabilities for the purpose of reviewing and approving or disapproving research involving human subjects.
(h) “Minimal Risk” means that the risk of harm anticipated in the proposed research is not greater, considering probability and magnitude, than that ordinarily encountered in the daily life of the human subject or during the performance of routine physical or psychological examinations or tests.
(i) “Regional Center” means a diagnostic, counseling, and service coordination center for persons with developmental disabilities and their families which is established and operated pursuant to Chapter 5 of Division 4.5 of the Welfare and Institutions Code by a private nonprofit community agency/corporation acting as a contracting agency.
(j) “Research” means the systematic investigation and acquisition of information for the purpose of developing or contributing to general knowledge, social programs, or scientific advancement and includes the collection of data for possible publication. Studies of the effect of routine treatment services, or the gathering of feedback information about routine treatment services, shall be considered research only if the data are collected with the aim of possible publication.
(k) “Researcher” means the principal investigator or project director who has responsibility for conducting the research.
(l) “Research Protocol” means a written description of the proposed research activity which is submitted for the appropriate IRB review and consideration and which is written in accordance with these regulations.
(m) “Risk” means any potential for harm anticipated in the proposed research which is greater than what might ordinarily be encountered in the daily life of the human subject or during the performance of routine physical or psychological examinations or tests.
(n) “State Hospital” means a state hospital serving people with developmental disabilities.
(o) “State Institutional Review Board” (State IRB) means a group of individuals constituted and convened in accordance with federal regulations (e.g., Title 45, Code of Federal Regulations, Section 46.101, et seq.) and approved as the State IRB by the U.S. Department of Health and Human Services to review and approve or disapprove research involving human subjects. For purposes of these regulations, the State IRB shall mean the federally approved IRB for the Health and Welfare Agency of the State of California.
(p) “Statistical Data” means aggregate information pertaining to individuals which is in such a form that it is not traceable back to the individuals.
NOTE

Authority cited: Sections 4514(e) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4517, 5328(e) and 5329, Welfare and Institutions Code.
HISTORY

1. New subchapter 4 (Articles 1-2, Sections 50401-50429, not consecutive) filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
Article 2. Rules for the Conduct of Research
§50403. Scope of Subchapter.
Note     •     History

(a) These regulations apply to all research conducted by or at state hospitals, regional centers, or by other persons or at places subject to Section 4514 of the Welfare and Institutions Code, whenever the researcher requests access to information or records which are confidential under Section 4514(e) of the Welfare and Institutions Code.
(b) Research involving the collection or study or existing data, statistical information, documents, records, or pathological or diagnostic specimens is exempted from these regulations if:
(1) such information is publicly available, or if
(2) the information provided to the investigator is in such a form that human subjects cannot be identified either directly or through identifiers linked to the human subjects.
(c) These regulations do not apply to audits, reviews or studies conducted by federal, state, or local government agencies in the exercise of their management or administrative responsibilities.
(d) The IRB may exempt research activities from the requirements of these regulations if the only involvement of human subjects will be in one or more of the following categories:
(1) research conducted in established or commonly accepted educational settings, involving normal educational practices, when the data are recorded in such a manner that the subject cannot be identified such as
(A) research on regular and special education instructional strategies, or
(B) research on the effectiveness of or the comparison among instructional techniques, curricula or classroom management methods;
(2) research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), if information taken from these sources or through identifiers linked to the subjects; or
(3) research involving survey or interview procedures or the observation of behavior open to public view.
NOTE

Authority cited: Sections 4514(e) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e) and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
§50405. Institutional Review Boards (IRBs).
Note     •     History

(a) An IRB shall review all research protocols pertaining to research involving human subjects who are served by state hospitals or regional centers.
(b) Each state hospital shall establish an IRB to review and approve or disapprove research protocols and to assure that the protocols meet the requirements of this subchapter.
(c) Each regional center may establish an IRB and procedures to review and approve or disapprove research protocols and to assure that such protocols meet the requirements of Section 4514 of the Welfare and Institutions Code. The regional center's IRB shall review and approve or disapprove the research protocols that involve their clients except those residing in a state hospital in accordance with the procedures established by the regional center pursuant to this section.
(d) If a regional center does not choose to establish an IRB, the regional center shall submit the research protocol directly to the Department. The Department shall create or designate the IRB that shall review and approve or disapprove the research protocol, pursuant to Sections 50407 through 50429.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50407. Review Structure for Research Protocol.
Note     •     History

(a) Before any research involving human subjects may be conducted at state hospitals, the research protocol shall be reviewed and approved by the following entities:
(1) the IRB responsible for reviewing research for the particular persons who will be the subjects of the research;
(2) the Executive Director of the state hospital with which the IRB is affiliated; and
(3) the State IRB if required by federal laws or regulations.
(b) If the research protocol requires obtaining confidential information about clients of more than one state hospital, the requirement for IRB review shall be met by having the research protocol reviewed and approved by either:
(1) each IRB individually, or
(2) a joint IRB composed of one or more representatives from each IRB involved.
(c) If the research protocol involves a statewide sampling of subjects, or subjects from a regional center with no IRB, the requirement for IRB review shall be met by submitting the research protocol to the Department which shall create or designate the IRB to review the protocol.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50409. Continuing Review of Research Activities at State Hospitals.
Note     •     History

(a) The IRB shall conduct continuing review of approved research at intervals appropriate to the degree of risk involved in the research but not less than annually.
(b) At any time the Executive Director of the state hospital or the IRB shall have authority to revoke approval of the research if it is determined that any of the following occur:
(1) The research as conducted involves greater risks to the human subjects than had been anticipated when the protocol was approved;
(2) There is a subsequently discovered violation of clients' rights;
(3) There is a violation of the oath of confidentiality by the researcher or his or her agents; or
(4) The protocol is not being applied as approved.
(c) Such revocation shall include a statement of the reason for the revocation.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section heading and Note filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50411. Composition of the IRB at State Hospitals.
Note     •     History

(a) Each state hospital IRB shall have at least five members, including:
(1) Persons with varying educational and professional backgrounds sufficient to ensure a complete and adequate review of research activities commonly conducted by or at the facility;
(2) Persons with sufficient expertise and experience to promote respect for their advice and counsel in safeguarding the rights and welfare of human subjects;
(3) Persons possessing both the professional competence to review specific research activities and the ability to ascertain the acceptability of proposed research in terms of facility commitments and regulations, applicable law, and standards of professional conduct and practice;
(4) Both men and women with diversity of backgrounds, racial, and cultural characteristics, and with sensitivity to community attitudes;
(5) at least one member whose primary concerns are in nonscientific areas and who are concerned with the rights or persons with developmental disabilities; for example, a lawyer, a member of the clergy, a clients' rights advocate; and
(6) at least one member who is not affiliated with the facility and who is not part of the immediate family of a person who is affiliated with the facility.
(b) Excluded from membership are the Executive Director of the state hospital and the clinical director of the state hospital by which the IRB was constituted.
(c) Excluded from voting on specific projects are members who have been or are participants in , or associated with, the research proposal.
(d) If the state hospital does not have a separate committee to review the technical research design aspects of a research protocol, at least three members of the IRB shall have sufficient experience and expertise in conducting and critiquing research methodology to ensure the adequacy of review of research design and method.
(e) The IRB may call upon consultants as deemed necessary to render technical advice.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 174; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50413. Responsibilities of the Researcher.
Note     •     History

Before any research involving human subjects is initiated at a state hospital, the research shall:
(a) Identify each state hospital in which the human subjects are residents or with which the human subjects are affiliated.
(b) Prepare a written research protocol containing:
(1) A statement indicating whether the researcher considers the research to be exempt from these regulations as outlined in Section 50403(d) and the reasons for this determination. Even if the researcher considers the research to be exempt pursuant to Section 50403(d), the requirements of Section 50413 shall be met by the researcher.
(2) A summary of the nature, purpose and design of the research including:
(A) the specific questions to be addressed;
(B) the research methods such as sampling, data collection, and data analysis to be employed to answer these questions; and
(C) a review of pertinent, contemporary literature.
(3) A full description of the type of human subjects proposed to be involved in the research, including their characteristics, the total number anticipated, how they will be selected and the rationale for the use of this population.
(4) A full description of how the subjects will be used in the activity. If human remains or material that used to be part of a human body are to be used, details as to their origin, nature and disposition should be given.
(5) A full description and assessment of potential benefits, if any, to the individual human subjects, the group or class of which the subjects are members, society in general , and to science as a result of the activity.
(6) A description and assessment of potential risks, if any, to the individual human subjects, the group or class of which the subjects are members, and to society in general as a result of the activity, whether such risks by physical, psychological, social or legal. The protocol shall assess the likelihood, severity and duration of such risks. If the research methods create potential risks, the protocol shall describe other less risky methods, if any, which were considered and explain why they will not be used.
(A) Human subjects shall be considered at risk in research if they are involved without having given their informed consent.
(B) Human subjects shall not be considered at risk if they are involved in a research activity which makes use of:
1. observations of behavior open to public view,
2. materials available to the public, or
3. statistical data.
(7) A description of the means to be taken to minimize such risks, including the means by which the subject's personal privacy is to be protected and the confidentiality of the information obtained from or about the subject is to be maintained. The protocol shall assess the likely effectiveness of such precautionary measures.
(8) A description of the procedures to be used in obtaining and documenting the prior informed consent of the subject. Copies of the material to be used in obtaining informed consent shall be attached to the protocol.
(9) A waiver of the requirement for written informed consent, if sought. The justification for the waiver shall be specified.
(10) The questionnaires or interview schedules, if any are to be used in the project. If they are not available at the time of submission, an informative description of their content and of the manner of administration shall be included in the protocol, along with an assurance that, when completed, they will be filed with the IRB.
(11) A description of any special or unusual circumstances regarding the research activity which the researcher believes could be relevant or material to the IRB's decision.
(12) A statement which indicates acceptance of responsibility for ensuring that the research activity will be conducted by the researcher, and his or her associated research and staff assistants, in accordance with the procedures outlines in the research protocol and these regulations.
(c) Sign and date the research protocol.
(d) Submit a copy of his or her vita, including address and telephone number, and any prior experience in research involving confidential information.
(e) Include a copy of the application if the researcher is applying for federal, state or other funds for the research.
(f) Submit the written protocol to IRBs appropriate for the particular group of human subjects involved.
(g) Send an informational copy of the research protocol after it is approved by the IRB(s) and Executive Director(s) to the Director of the Department at his office in Sacramento.
(h) Submit to the IRB a supplement to the original protocol approved by the IRB if the supplement proposes to change the involvement of human subjects in the research in a way that is materially different from that which was initially approved by the IRB.
(i) The researcher shall be responsible for securing the approval of the Food and Drug Administration (FDA) and for notifying the IRB of that approval whenever an investigational new drug or device exemption is required pursuant to law.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Change without regulatory effect amending subsections (b)(6), (b)(10) and (e) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
§50415. Responsibilities of the IRB at State Hospitals.
Note     •     History

(a) The IRB shall make available a copy of the regulations in this subchapter to any person inquiring about doing research covered by this subchapter.
(b) The IRB shall meet and review all written research protocols within 31 days of receipt.
(c) The IRB shall review the written research protocol and make a determination as to whether or not the research is exempt from these regulations as specified in 50403(d).
(d) The IRB may request from the researcher any additional information necessary to complete its review, and may require modifications in the research activity or protocol before approval may be granted.
(e) The IRB shall approve, disapprove or defer the research protocol in writing, giving reasons for the disapproval or deferment and any requested modifications, within 31 days of its review meeting.
(f) The IRB shall give the researcher the opportunity to respond to these comments in writing or in person and shall re-review protocols which have been modified at the IRB's request. The IRB shall review resubmitted research protocols within 31 days of resubmission.
(g) The IRB shall prepare and maintain adequate documentation of IRB activities, including
(1) copies of all submitted protocols, consent documents and other attachments;
(2) minutes of meetings including persons present and a summary of decisions and actions taken;
(3) records of continuing review activities;
(4) names, occupations, earned degrees, licenses, certifications and other pertinent information about members' qualifications; and
(5) changes in committee membership.
The IRB shall submit copies of meeting minutes, reports of continuing review activities, members' qualifications and changes in membership to the State IRB on an ongoing basis.
(h) The IRB shall review proposed research at convened meetings at which a majority of the members are present. In order for the research to be approved, it shall receive the approval of either three members present or a majority of those members present at the meeting, whichever is a larger number.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50417. Criteria for State Hospital IRB Approval of Research Protocols.
Note     •     History

In order to approve research covered by these regulations the IRB shall determine that all of the following requirements are satisfied:
(a) Risks to human subjects are minimized by using procedures, when possible, which are:
(1) Consistent with sound research design and which do not unnecessarily expose subjects to risk; and
(2) Already being performed on the subjects for diagnostic or treatment purposes.
(b) Risks to subjects are reasonable in relation to anticipated benefits, if any, to subjects, and to the importance of the knowledge that may reasonably be expected to result. In evaluating risks and benefits, the IRB shall consider only those risks and benefits that may result from the research as distinguished from risks and benefits of therapies subjects would receive even if not participating in the research. The IRB shall not consider possible long-range effects of applying knowledge gained in the research, such as the possible effects of the research on public policy as among those research risks that fall within the purview of its responsibility.
(c) Selection of subjects is appropriate and equitable. In making this assessment, the IRB shall take into account the purposes of the research and the setting in which the research will be conducted.
(d) The procedures described in the protocol for obtaining and documenting prior informed consent from each prospective subject or the subject's legally authorized representative are in accordance with these regulations.
(e) The material is to be used in obtaining informed consent are in accordance with these regulations.
(f) There are adequate provisions to protect the privacy of subjects and to maintain the confidentiality of data.
(g) The researcher possesses professional qualifications, competence and integrity.
(h) If the state hospital does not have a separate entity to review the technical aspects of research protocols, the IRB also shall review the research for:
(1) scientific merit and relevance, including relevance to the missions of the state hospital, or facility; and
(2) adequacy of research design and appropriateness of research methodology.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50419. Appealing an IRB Decision.
Note     •     History

Any researcher may appeal an unfavorable decision of an IRB to the State IRB in writing within 31 days of the date of the written notice of disapproval.
NOTE

Authority cited: Sections 4514(e) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e) and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
§50421. Confidentiality of Client Information and Records Used in Research.
Note     •     History

(a) All client data and information obtained in the course of the research shall be confidential and shall be disclosed only to qualified professional persons providing services to the client or to other research personnel operating pursuant to the approved protocol.
(b) Prior to obtaining access to any confidential records or information for the purpose of doing research, each researcher, including but not limited to employees of the facility maintaining the records or information, shall sign an oath of confidentiality as follows:

	__________________

	Date         
As a condition of doing research concerning persons with developmental disabilities who have received services from ___________________________ (fill in the facility, agency or person), I, ____________________, agree to obtain the prior informed consent of such persons who have received services to the maximum degree possible as determined by the appropriate institutional review board or boards for protection of human subjects reviewing my research, or such person's parents, guardian, or conservator, and I further agree not to divulge any information obtained in the course of such research to unauthorized persons and not to publish or otherwise make public any information regarding persons who have received services such that the person who received services is identifiable.
I recognize that the unauthorized release of confidential information may make me subject to a civil action under provisions of the Welfare and Institutions Code.

	_________________________

	Signed              
NOTE

Authority cited: Sections 4514(e) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e) and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
§50423. Informed Consent.
Note     •     History

(a) Before confidential records or information may be released or disclosed to a researcher, the researcher must obtain prior informed consent from the person about whom the records or information pertain, or the person's legally authorized representative, to the maximum degree possible as determined by the appropriate IRB.
(b) The researcher shall seek such consent only after the appropriate IRB has approved the research protocol, and only in the manner prescribed by the IRB, which shall be under circumstances that provide the prospective subject or representative sufficient opportunity to consider whether to participate, and that minimize the possibility of coercion or undue influence.
(c) The information that is given to the subject or the representative shall be in language understandable to the subject or the representative.
(d) No informed consent, whether oral or written, may include any language through which the research subject or the representative waives or appears to waive any of the research subject's legal rights, or any language which releases or appears to release the researcher, the facility, or its agents or any other person or entity from liability for negligence.
NOTE

Authority cited; Section 4514(e) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e) and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
§50425. Basic Elements of Informed Consent.
Note     •     History

(a) Except as provided in Sections 50427, 50429(c), in seeking informed consent, the researcher shall ensure that the following information is provided to each subject or representative:
(1) An explanation of the research, including its purposes, the duration of the subject's participation, a description of the procedures to be followed, and identification of any procedures which are experimental; 
(2) A description of any reasonably foreseeable risks or discomforts to the subject;
(3) A description of any benefits to the subject or to others which may reasonably be expected from the research;
(4) A disclosure of appropriate alternative procedures or courses of treatment, if any, that might be advantageous to the subject;
(5) A statement describing how the confidentiality of records which identify the subject will be maintained;
(6) For research involving more than minimal risk, an explanation as to whether any compensation will be provided, and a description of any medical treatments that will be provided if a research-related injury occurs;
(7) A listing of the name, address and phone number of the persons to contact for answers to questions about the research, research subjects' rights, and possible research-related injury to the subject;
(8) A statement that participation is voluntary, refusal to participate will involve no penalty or loss of benefits to which the subject is otherwise entitled, and the subject may discontinue participation at any time without penalty or loss of benefits to which the subject is otherwise entitled;
(9) A statement that the confidentiality of the subjects shall be maintained in any report of the findings of the research project, unless expressly consented to by the client or his or her legally authorized representative.
(b) When appropriate, one or more of the following elements of information shall be provided to each subject:
(1) A statement of anticipated circumstances under which the subject's participation may be terminated by the researcher without regard to the subject's consent;
(2) An explanation of any costs to the subject that may result from participation in the research;
(3) A description of the consequences of a subject's decision to withdraw from the research and procedures for orderly termination of participation by the subject; and
(4) A statement indicating that the subject will be advised of any significant new findings developed during the course of the research which may relate to the subject's willingness to continue participation.
NOTE

Authority cited: Sections 4514(e) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e) and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Change without regulatory effect amending subsection (b)(2) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
§50427. Waiver of Requirement of Informed Consent at State Hospitals.
Note     •     History

A state hospital IRB may approve a consent procedure which does not include, or which alters, some or all of the elements of informed consent or waive the requirements to obtain informed consent, provided the IRB finds and documents that:
(a) The research involves no more than minimal risk to the subjects and involves no procedures for which written consent is normally required;
(b) The waiver or alteration will not adversely affect the rights and welfare of the subjects;
(c) The research could not practicably be carried out without the waiver or alteration; and
(d) The only record linking the subject and the research would be the consent document and the principal risk would be potential harm resulting from a breach of confidentiality;
(e) Whenever appropriate, the subjects will be provided with additional pertinent information after participation.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4514(e), 4791(i) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e), 4791 and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50429. Documentation of Informed Consent.
Note     •     History

(a) Except as provided in Section 50427, informed consent shall be documented by the use of a written consent form that:
(1) embodies the elements of informed consent required by Section 50425;
(2) is approved by the appropriate IRB or IRBs; and
(3) is signed by the subject or the subject's legally authorized representative.
(b) Research investigators shall ensure that each person signing the written consent form is given a copy of that form.
(c) Research investigators may use a consent form which is either:
(1) a written consent document that embodies the elements of informed consent required by Section 50425. This form may be read by or read to the subject or the subject's legally authorized representative, but, in any event, the researcher shall give either the subject or the representative adequate opportunity to read and understand the form before signing it; or,
(2) a “short form” written consent document stating that the elements of informed consent required by Section 50425 have been presented orally to the subject or the subject's legally authorized representative. When the “short form” is used, the researcher shall insure that:
(A) a witness is present at the oral presentation,
(B) the short form is signed by the subject or the representative,
(C) the witness signs both the short form and a copy of the written summary of the oral presentation,
(D) the person obtaining consent signs a copy of the summary,
(E) a copy of both the short form and summary is given to the subject or the representative, and
(F) the written summary of what is to be said to the subject or the representative receives the prior approval of the IRB.
(d) In cases where the documentation requirement is waived, the IRB may require the researcher to provide subjects with a written statement regarding the research.
NOTE

Authority cited: Sections 4514(e) and 5328(e), Welfare and Institutions Code. Reference: Sections 4514(e) and 5328(e), Welfare and Institutions Code.
HISTORY

1. New section filed 1-22-87; effective thirtieth day thereafter (Register 87, No. 4).
Subchapter 5. Clients' Rights
Article 1. Purpose and Definitions
§50500. Intent and Purpose.
Note     •     History

The intent and purpose of this subchapter is to implement, interpret, and make specific the statutory provisions of the Lanterman Developmental Disabilities Services Act (Division 4.5 of the Welfare and Institutions Code, commencing with Section 4500) relative to the rights of persons receiving services pursuant to said Act.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 4416, 4441, 4502, 4503, 4504 and 4648, Welfare and Institutions Code.
HISTORY

1. New Subchapter 5 (Articles 1-6, Sections 50500-50550, not consecutive) filed 12-23-81; effective thirtieth day thereafter (Register 81, No. 52).
2. Editorial redesignation of former Chapter 4 (Subchapters 5 and 6, Sections 50500-50667, not consecutive) to Chapter 1, Subchapters 5 and 6 (Sections 50500-50667, not consecutive) filed 9-28-83 (Register 83, No. 40). 
§50501. Definitions.
Note

(a) As used in this subchapter the following words and phrases have the specified meaning:
(1) Client. “Client” means any person with a developmental disability who is receiving services, is an applicant for services, or has been referred for services pursuant to the Lanterman Developmental Disabilities Services Act.
(2) Clients' rights advocate. “Clients' rights advocate” means the individual or individuals assigned by a regional center or state hospital to be responsible for clients' rights assurance for persons with developmental disabilities.
(3) Clients' Rights Assurance. “Clients' Rights Assurance” refers to the comprehensive program of ensuring that the civil, legal and service rights of persons with developmental disabilities are available and guaranteed to such persons.
(4) Clients' Rights Officer. “Clients' Rights Officer” is the person assigned by the director to implement the department's clients' rights assurance endeavors on a statewide basis and to provide technical assistance and functional supervision to the network of clients' rights advocates throughout California.
(5) Community care facility. “Community care facility” means any licensed facility defined in Health and Safety Code Section 1502.
(6) Department. “Department” means the State Department of Developmental Services.
(7) Developmental disability. “Developmental disability” means any condition included within the definition of this term by Welfare and Institutions Code Section 4512(a) and applicable regulations promulgated by the Director.
(8) Director. “Director” means the Director of the State Department of Developmental Services.
(9) Health facility. “Health facility” means any licensed facility defined in Health and Safety Code Section 1250.
(10) Postural support. “Postural support” refers to any device other than orthopedic braces used to assist clients in achieving proper body position and balance. These devices are distinguished from restraints.
(11) Physician. “Physician” means a person licensed as a physician and surgeon by the California Board of Medical Quality Assurance or California Board of Osteopathic Examiners.
(12) Professional person in charge of the facility. “Professional person in charge of the facility” means:
(A) In a health facility, a physician, psychiatrist, psychologist, social worker, or registered nurse who is designated by the licensee as the professional person clinically in charge of the facility.
(B) In a community care facility, the administrator of the facility as designated by the licensee.
(C) In a state hospital, the chief executive officer of such hospital.
(13) Psychiatrist. “Psychiatrist” means a person who is licensed as a physician and surgeon by the California Board of Medical Quality Assurance or the California Board of Osteopathic Examiners and who is certified or eligible for certification by the American Board of Psychiatry and Neurology, or the American Osteopathic Board of Neurology and Psychiatry, or is a physician who is licensed by the California Board of Medical Quality Assurance or the California Board of Osteopathic Examiners and has specialized training and/or experience in psychiatry.
(14) Psychologist. “Psychologist” means a person licensed by the California Board of Medical Quality Assurance and (1) who possesses an earned doctorate degree in psychology from an educational institution meeting the criteria of subdivision (c) of Section 2914 of the Business and Professions Code and (2) has not less than two years of clinical experience in a multidisciplinary facility licensed or operated by this or another state, or by the U.S. to provide health care, or is listed in the National Register of Health Service Providers in Psychology, as adopted by the Council for the National Register of Health Service Providers in Psychology.
(15) Registered nurse. “Registered nurse” means a person licensed as such by the California Board of Registered Nursing.
(16) Restraint. “Restraint” means control of the client's behavior or activities through the use of physical or pharmaceutical means other than postural supports. For the purpose of these regulations, restraint is distinguished from the temporary constraint of a client by direct physical contact only, where there is clear evidence for believing the existence of an imminent danger to either the client or others if such constraint is not accomplished.
(17) Seclusion. “Seclusion” is the involuntary isolation of a client in a locked room. As used in this subchapter, seclusion does not include isolation of a client for the purpose of containing any contagious disease when written order of a physician directs such isolation for this limited purpose. Such medical isolation shall not be in a locked room unless the physician's order expressly directs it on the basis of a finding that, if not locked, the particular client's isolation cannot be maintained.
(18) Service catchment area. “Service catchment area” refers to that geographical area within which a regional center provides services specified in its contract with the Department as required by Welfare and Institutions Code Section 4640.
(19) Social worker. “Social worker” means a person who is a graduate of a school of social work accredited or approved by the Council on Social Work Education and has one year of social work experience in a health care setting or who is licensed as such by the California Board of Behavioral Science Examiners.
(20) Services. “Services” means anything included within the definition of services set forth in Welfare and Institutions Code Section 4512(b) and in regulations promulgated by the Director.
(21) State hospital. “State hospital” means any of the licensed state operated health facilities designated in Welfare and Institutions Code Section 4440.
(b) Any word, term, or phrase not specifically defined but used in this subchapter shall have the meaning ascribed by common, contemporary accepted usage unless to do so would result in absurd interpretation or otherwise be inconsistent with its context. In cases of conflict in construction, words, phrases, or terms of art shall have the meaning apparent by their context and most reconcilable with the intent of this subchapter.
(c) Use of the masculine gender in this subchapter shall be understood as including the feminine and use of the singular as including the plural.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 4415 and 4416, Welfare and Institutions Code.
Article 2. Rights of Persons with Developmental Disabilities
§50510. Application of This Subchapter.
Note

Each person with a developmental disability, as defined by this subchapter, is entitled to the same rights, protections, and responsibilities as all other persons under the laws and Constitution of the State of California, and under the laws and the Constitution of the United States. Unless otherwise restricted by law, these rights may be exercised at will by any person with a developmental disability. These rights include, but are not limited to, the following:
(a) Access Rights.
(1) A right to treatment and habilitation services. Treatment and habilitation services shall foster the developmental potential of the person. Such services shall protect the personal liberty of the individual and shall be provided under conditions which are the least restrictive necessary to achieve the purposes of treatment.
(2) A right to dignity, privacy, and humane care.
(3) A right to participate in an appropriate program of publicly-supported education, regardless of the degree of handicap.
(4) A right to religious freedom and practice, including the right to attend services or to refuse attendance, to participate in worship or not to participate in worship.
(5) A right to prompt and appropriate medical care and treatment.
(6) A right to social interaction and participation in community activities.
(7) A right to physical exercise and recreational opportunities.
(8) A right to be free from harm, including unnecessary physical restraint, or isolation, excessive medication, abuse or neglect. Medication shall not be used as punishment, for convenience of staff, as a substitute for program, or in quantities that interfere with the treatment program.
(9) A right to be free from hazardous procedures.
(10) A right to advocacy services, as provided by law, to protect and assert the civil, legal, and service rights to which any person with a developmental disability is entitled.
(11) A right to be free from discrimination by exclusion from participation in, or denial of the benefits of, any program or activity which receives public funds solely by reason of being a person with a developmental disability.
(12) A right of access to the courts for purposes including, but not limited to the following:
(A) To protect or assert any right to which any person with a developmental disability is entitled;
(B) To question a treatment decision affecting such rights, once the administrative remedies provided by law, if any, have been exhausted;
(C) To inquire into the terms and conditions of placement in any community care or health facility, or state hospital, by way of a writ of habeas corpus, and
(D) To contest a guardianship or conservatorship, its terms, and/or the individual or entity appointed as guardian or conservator.
(b) Personal Rights. Each person with a developmental disability who has been admitted or committed to a state hospital, community care facility, or health facility shall have rights which include, but are not limited to, the following:
(1) To keep and be allowed to spend one's own money for personal and incidental needs.
(2) To keep and wear one's own clothing.
(3) To keep and use one's own personal possessions, including toilet articles.
(4) To have access to individual storage space for one's private use.
(5) To see visitors each day.
(6) To have reasonable access to telephones, both to make and receive confidential calls, and to have calls made for one upon request.
(7) To mail and receive unopened correspondence and to have ready access to letter-writing materials, including sufficient postage in the form of United States postal stamps.
(8) To refuse electroconvulsive therapy (“ECT”).
(9) To refuse behavior modification techniques which cause pain or trauma.
(10) To refuse psychosurgery. Psychosurgery means those operations currently referred to as lobotomy, psychiatric surgery, and behavioral surgery and all other forms of brain surgery if the surgery is performed for any of the following purposes:
(A) Modification or control of thoughts, feelings, actions, or behavior rather than treatment of a known and diagnosed physical disease of the brain.
(B) Modification of normal brain function or normal brain tissue in order to control thoughts, feelings, actions, or behavior.
(C) Treatment of abnormal brain function or abnormal brain tissue in order to modify thoughts, feelings, actions, or behavior when the abnormality is not an established cause for those thought, feelings, actions, or behavior.
(11) Other rights as specified by administrative regulations of any federal, state, or local agency.
(c) Rights of State Hospital Residents. In addition to all of the other rights provided for in this subchapter, each person with a developmental disability who resides in a state hospital shall be accorded the following rights:
(1) If involuntarily detained, to have access to a current and up-to-date copy of the California Welfare and Institutions Code. This right includes the right to have assistance from the Clients' Rights Advocate in the reading and understanding of the Code.
(2) To give or withhold consent for treatments and procedures, in the absence of a judicial order or other provision of law which provides for the exercise of this right to devolve to another party. 
(3) To be provided with the amount of funds specified in Welfare and Institutions Code Section 4473 for personal and incidental use if, following the initial thirty (30) days of state hospital residency, the person is not receiving an amount of income for such use which is equal to or greater than the amount authorized by Section 4473.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 4423, 4473, 4503 and 4504, Welfare and Institutions Code.
§50515. Use of Seclusion or Restraint, “Time Out.”
Note

(a) Seclusion. No person with a developmental disability shall be placed in seclusion. The use of “time out” procedures may be employed only under the following circumstances:
(1) State Hospital. The procedure used complies with regulations promulgated by the director pursuant to Welfare and Institutions Code Section 4505.
(2) Community Care or Health Facility. A written agreement exists between the placing regional center and the facility which complies with regulations promulgated by the director pursuant to Welfare and Institutions Code Section 4505.
(b) Restraint(s). Restraint(s) shall not be used on any person with a developmental disability unless:
(1) In a state hospital or other health facility, there is full compliance with applicable licensing regulations governing the use of restraints, and where such use does not continue for any period longer than that necessary to control the behavior for which such restraint is employed.
(2) In a community care facility, there is full compliance with the requirements of Title 22, California Administrative Code, Section 80403(f) and any other applicable licensing regulations, and where such use does not continue for any period longer than that necessary to control the behavior for which such restraint is employed.
(c) Postural Supports. Postural supports are distinguished from restraints.
Postural supports may only be used upon written order of a physician and may only include soft ties, seat belts, spring release trays or cloth sheeting and shall only be used to improve a client's mobility and independent functioning rather than to restrict movement.
NOTE

Authority cited: Section 11152, Government Code; Sections 4416 and 4441, Welfare and Institutions Code. Reference: Section 4502(h), Welfare and Institutions Code.
Article 3. Notification of Rights
§50520. Notification of Rights.
Note

(a) State Hospital.
(1) Posting of Rights. The rights contained in Section 50510 of this subchapter shall be prominently posted in both English and Spanish, on forms provided by the Department, in each living area serving persons with a developmental disability. The posted form shall contain the name, office location within the hospital, and phone number of the clients' rights advocate. It shall be the responsibility of the chief executive officer to assure compliance with the posting requirements of this section.
(2) Personal Notification of Rights. Within twenty-four (24) hours after entry into the hospital as a resident, annually thereafter, and at any other point in time when the client's legal status changes, each person with a developmental disability shall be personally informed and served with a printed copy of all rights in Section 50510 and shall have these rights explained in a language or modality he understands. If the resident cannot be effectively informed of such rights because of his physical or mental condition at the time such notification is otherwise due, a good faith effort having been made to inform him, notation of this fact shall be entered into the resident's treatment record at the hospital, accompanied by a description of the manner in which such notification was attempted, and signed by a third party witnessing the attempt at notification. Additionally, a copy of the rights listing provided the resident shall be signed by the resident, or his authorized representative, and placed in the resident's file at the facility.
(3) Written Notice to Representative. A written notice shall be sent to or otherwise served upon the resident's parent, guardian, conservator, or legally authorized personal representative, as applicable (e.g., if a minor, the parent or guardian; if a conservatee, the conservator; if neither, or if the resident expresses a preference for, the person designated by the resident as his personal representative, if any), at any time notification pursuant to subsection (a), (2), above, is made. This notice shall include: a copy of the rights in Section 50510 and information noting the date of the resident's most recent notification of same, as well as the name, address and phone number of the clients' rights advocate of both the hospital and the regional center which was involved in the resident's placement at the hospital, if any.
(b) Community Care or Health Facility.
(1) Posting. The rights contained in Section 50510 (a) and (b) of this subchapter shall be prominently posted in both English and Spanish on forms provided through the regional center by the department, in each community care or health facility serving any person with a developmental disability. The posted form shall contain the name, address and phone number of the clients' rights advocate of the regional center within whose service catchment area the facility is located. It shall be the responsibility of the professional person in charge of the facility to assure compliance with the posting requirement of this subsection.
(2) Personal Notification of Rights. Within twenty-four (24) hours of entry into the facility as a resident or program participant, annually thereafter, and at any other point in time that the client's legal status changes, each person with a developmental disability shall be personally informed of the rights in Section 50510 (a) and (b) and shall have these rights explained to him in a language or modality he understands. If the person cannot be effectively informed of such rights because of his physical or mental condition at the time such notification is otherwise due, a good faith effort having been made to inform him, notation of this fact shall be entered into the person's treatment record at the facility, accompanied by a description of the manner in which such notification was attempted, signed by a third party who has witnessed the attempt at notification. Additionally, a copy of the rights listing provided the resident shall be signed by the resident, or his authorized representative, and placed in the resident's file at the facility.
(3) Written Notice to Representative. A written notice shall be sent to or otherwise served upon the person's parent, guardian, conservator or legally authorized personal representative, as applicable (e.g., if a minor, the parent or guardian; if a conservatee, the conservator; if neither, or if the resident expresses a preference for, the person nominated by the client as his personal representative, if any), at the time notification pursuant to subsection (b), (2), above, is made or attempted. This notice shall include: a copy of the rights in Section 50510 (a) and (b) and information noting the date of the person's most recent notification of same, as well as the name, address and phone number of the clients' rights advocate in the regional center in whose service catchment area the facility is located.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4415, 4416 and 4503, Welfare and Institutions Code. Reference: Sections 4415, 4416, 4648(b) and (c), Welfare and Institutions Code.
Article 4. Denial of Rights
§50530. Denial of Rights.
Note

(a) Except as provided in this article, no right specified in Section 50510 shall be denied any client. In the absence of a court order, the terms of which expressly provide for limitation of a particular right to which a given client is otherwise entitled, no right contained in Section 50510 shall be denied unless there is full compliance with this article. Only those rights listed in Section 50510(b), (1) through (7), may be denied pursuant to this article.
(b) Only the professional person in charge of the facility or his designee may deny a right for good cause. The name of the professional person in charge of the facility, for the purposes of this article, shall be on file at the facility. If a designee of the professional person in charge of the facility is authorized to deny rights for good cause, a written formal designation naming the designee shall be signed by the professional person in charge of the facility and shall be on file at the facility.
(c) Good cause for the denial of any right in Section 50510 (b), (1) through (7), inclusive, exists only when the professional person in charge of the facility, or his duly authorized designee, makes an express finding that:
(1) The exercise of the specific right sought to be denied would be injurious to the individual otherwise entitled to exercise it; or 
(2) There is evidence that the specific right sought to be denied if exercised by that individual, would seriously infringe on the rights of others; or
(3) The institution or facility would suffer serious damage to the physical plant if the specific right is not denied; and
(4) There is no less restrictive means of protecting the specific interest listed in (1), (2), or (3) of this subsection.
(d) The reason used to justify the denial for good cause of any right must be related to the specific right denied. A right shall not be withheld or denied as a punitive measure, nor shall any right be considered a privilege to be earned.
(e) A treatment modality, approach or plan shall not constitute good cause for the denial of any right specified in this subchapter. 
(f) A right shall not continue to be denied when the good cause for its denial no longer exists. Each denial for good cause shall be reviewed at a minimum of each thirty (30) days, beginning from the first date when the denial takes place, for assessment of the continued validity of the good cause upon which the denial is predicated. Upon expiration of the good cause, any denied right shall be promptly reinstated. At each review a specific finding shall be made that the good cause for continuing the denial exists, including that it is still the least restrictive means, or the denial shall terminate.
(g) At the time any good cause denial commences, the person who is being denied any right shall be informed of the right to appeal the denial decision either by way of the complaint process established by Section 50540 of this subchapter or by way of a fair hearing as provided in Welfare and Institutions Code Sections 4700-4725. If the person is unable to comprehend such information, the notification of the right to appeal shall be made to such person's parent or guardian, if a minor, conservator, personal or legal representative. 
(h) When, for good cause as defined in this section, the professional person in charge of the facility proposes to deny any right to any person who is lawfully entitled to leave the facility at will, the professional person in charge of the facility shall first advise such person or, if the person is unable to comprehend, the person's parent or guardian, if a minor, conservator, personal or legal representative, of the right to elect to leave the facility without submitting to the proposed denial or to submit to the denial but appeal its basis. In no case shall any person who is lawfully entitled to leave the facility at will have any right denied him without first being advised of this right of choice.
(i) Waiver of any right guaranteed by this subchapter must be knowing, intelligent, voluntary and made by the person to whom the right legally devolves. No waiver is valid unless it satisfies these elements, is in writing, and is approved by signature of the clients' rights advocate having responsibility for the facility. The clients' rights advocate of the regional center in whose service catchment area the facility is located is the responsible party for all community care and health facilities other than state hospitals. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4416, Welfare and Institutions Code. Reference: Sections 4503, 4504 and 4648(b), Welfare and Institutions Code.
§50532. Documentation of Rights Denials.
Note

(a) Each denial of a right for good cause, as provided in Section 50530 of this article, shall be noted in the facility's treatment record of the person whose right has been denied. This documentation shall take place immediately upon the denial of any right or, in the event of an emergency, in no case later than twenty-four (24) hours from the time of the denial. If an emergency does not permit immediate documentation, a Special Incident Report shall be submitted to the department setting forth the particulars of such emergency. In state hospitals, this Report shall be submitted through the clients' rights advocate. In any licensed health or community care facility, this Report shall be submitted through the clients' rights advocate for the regional center in whose service catchment area the facility is located.
(b) The treatment record notation shall be on forms provided by the department and shall include:
(1) Date and time the right was denied.
(2) Specific right denied.
(3) Specific good cause rationale of Section 50530(c) which permits denial.
(4) Name(s) of any staff member(s) involved in the denial decision.
(5) Signature of the professional person in charge of the facility, or his designee, authorizing the denial.
(6) A special incident report, to the director of the department in the event of an emergency not permitting documentation immediately upon the denial of any right.
(7) If the person appealed the denial of the right, the date of the request and the outcome, if any, of the appeal.
(c) Each denial notation shall include the dates of the thirty (30) day reviews and documentation of the continuing good cause basis for the denial of right, required by Section 50530 (c).
(d) If the person lawfully entitled to leave the facility at the time of the denial elects to remain in the facility, it shall be recorded in the treatment record that the person was informed of his rights pursuant to Section 50530 (g) and (h). The notation shall be signed by the staff member who informed the person.
(e) The restoration date of any previously denied right shall be entered in the treatment record.
NOTE

Authority cited: Section 11152, Government Code; and Section 4504, Welfare and Institutions Code. Reference: Sections 4504 and 6005, Welfare and Institutions Code; Aden v. Younger (1976) 57 C.A. 3d 662, at pps. 681-682.
§50534. Access to Denial of Rights Information.
Note

Information pertaining to any denial of rights for good cause contained in an individual's treatment record shall be made available upon request, to such individual, his attorney, his parent or guardian if the individual whose right is denied is a minor, his conservator, the clients' rights advocate, and the State Department of Developmental Services.
NOTE

Authority cited: Section 11152, Government Code; and Section 4504, Welfare and Institutions Code. Reference: Sections 4422 and 4504, Welfare and Institutions Code.
§50536. Reporting Good Cause Denials of Rights.
Note

(a) Except for state hospitals having a full-time clients' rights advocate, each facility serving regional center clients shall forward a copy of all documentation of any denial of rights for good cause required by Section 50532 (a) through (f) to the regional center in whose service catchment area the facility is located as promptly as possible, but not to exceed ten (10) days from the effective day of such denial.
(b) Upon receipt of the documentation of good cause right denial, the clients' rights advocate shall review for compliance with Section 50530 and use it as reference in the compilation of the quarterly reports required by Section 50538.
NOTE

Authority cited: Section 11152, Government Code, and Sections 4416, 4504, Welfare and Institutions Code. Reference: Section 4504, Welfare and Institutions Code.
§50538. Quarterly Reports on the Denial of Rights for Good Cause.
Note

As described in Welfare and Institutions Code Section 4504, each state hospital and each regional center shall, by the last day of each January, April, July, and October, report on forms provided by the department all of the following information concerning any good cause denial of rights which has transpired during the preceding quarter:
(a) An appropriate identification number or other code which will enable the state hospital or regional center to identify the person(s) whose rights have been denied for good cause. A different number or code shall be used for each person and such person's number or code shall remain constant on all future reporting about that person.
(b) The date that the right was denied.
(c) The specific right denied and the specific rationale of Section 50530 (c), (1) through (4), inclusive, for the denial.
(d) The date that the right was restored or, if not restored the date(s) of each thirty (30) day review conducted as required by Section 50530 (f).
State hospital reports shall provide the information by living unit. Regional centers shall submit the information by facility. The forms shall be mailed to the Director of Developmental Services.
NOTE

Authority cited: Section 11152, Government Code, and Sections 4416, 4504, Welfare and Institutions Code. Reference: Section 4504, Welfare and Institutions Code; Aden v. Younger (1976) 57 Cal. App. 3d 662, pps. 681-682.
Article 5. Complaint Procedure
§50540. Complaint Procedure.
Note     •     History

(a) Each client or any representative acting on behalf of any client, who believes that any right to which the client is entitled has been abused, punitively withheld, or improperly or unreasonably denied, may pursue a complaint as provided in this section.
(b) Initial referral of any complaint taken pursuant to this section shall be to the clients' rights advocate responsible for the facility in which such person is a resident or of which such person is a client.
Except for state hospitals, the responsible clients' rights advocate shall be the person assigned such duties by the regional center within whose service catchment area the facility is geographically located.
The clients' rights advocate shall, within ten working days of receiving a complaint, investigate the complaint and send a written proposed resolution to the complainant.
(c) If the complainant expresses dissatisfaction with the action taken or proposed by the clients' rights advocate, the complaint shall be referred, by the clients' rights advocate, within five (5) working days, to the director of the state hospital or of the regional center in whose service catchment area the facility is located.
(d) If the complaint is not resolved to the satisfaction of the complainant within ten (10) working days by the director of the state hospital or regional center, it shall be referred by that director to the Department of Developmental Services' clients' rights officer, whose responsibility it shall be to make a recommendation to the director of the State Department of Developmental Services for final administrative decision.
NOTE

Authority cited: Section 4503, Welfare and Institutions Code; and section 11152, Government Code. Reference: Sections 4502, 4503, Welfare and Institutions Code.
HISTORY

1. Amendment of subsections (b) and (d) and NOTE filed 2-25-92; operative 3-6-92 (Register 92, No. 12).
Article 6. Clients' Rights Advocate
§50550. Assignment of Clients' Rights Advocate.
Note

Each state hospital and regional center shall have at least one (1) staff member, or the functional equivalent thereof, who is assigned on a full-time basis to fulfill the duties of the clients' rights advocate. Such duties shall include, but not be limited to, the following:
(a) State Hospital Clients' Rights Advocate.
(1) To assure that the rights of each person with a developmental disability who resides in the hospital are guaranteed, protected and asserted as requested by or on behalf of any resident.
(2) To monitor compliance with the posting requirements and the notification of rights provisions of Section 50520.
(3) To investigate and facilitate resolution of complaints concerning any violation, withholding, or punitive denial of any right, which is brought by or on behalf of any resident.
(4) To initiate inquiry into any right's violation, withholding, or punitive denial of any right to which any hospital resident with a developmental disability is entitled where such resident is unable to do so because of physical or mental condition.
(5) To assist residents in the pursuit of administrative and legal remedies. If the complaint is against an employee, a policy, or the operations of the state hospital, the clients' rights advocate may refer the resident to an agency which can provide independent representation.
(6) To monitor and review all reports of denial of rights for good cause of any resident of the hospital, as required by Section 50536. 
(7) To advise the state hospital executive officer on the development, implementation and maintenance of a clients' rights assurance program in the state hospital.
(8) To serve as a consultant and resource person on issues relative to the rights of persons with developmental disabilities for all persons within the hospital.
(9) To act as liaison between the state hospital and the Clients' Rights Office.
(b) Regional Center Clients' Rights Advocate.
(1) To assure that the rights of each developmentally disabled client served by the regional center, including applicants and individuals referred for services, are guaranteed, protected, and asserted as requested by or on behalf of the client.
(2) To monitor compliance with the posting requirements of Section 50520 (b), and the notification of rights provisions of Section 50520 in any licensed facility which serves clients of the regional center.
(3) To investigate and to facilitate resolution of all complaints involving violation, withholding or punitive denial of rights which are brought by or on behalf of any client served by the regional center.
(4) To initiate inquiry into any violation, withholding or punitive denial of any right to which a regional center client is entitled where the client is unable to do so.
(5) To assist clients in the pursuit of administrative and legal remedies. If the complaint is against an employee, a policy, or the operations of the regional center, the clients' rights advocate may refer the client to any agency which can provide representation.
(6) To advise the regional center director on the development and implementation of the regional center clients' rights assurance program.
(7) To serve as local consultant and resource person on the issue of rights for individuals with developmental disabilities to clients, families, regional center staff and other interested persons within the area served by the regional center.
(8) To act as the liaison between the regional center and the Clients' Rights Office.
(9) To review and monitor all reports concerning the denial of rights for good cause which are submitted as required by Section 50536.
NOTE

Authority cited: Section 11152, Government Code, and Sections 4415, 4416, 4503, 4504, Welfare and Institutions Code. Reference: Sections 4503, 4504, 4648(b) and (c), Welfare and Institutions Code.
Subchapter 6. Service Provider Accountability
Article 1. General Provisions
§50601. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense and words in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct.
NOTE

Authority cited: Section 4648.2, Welfare and Institutions Code. Reference: Section 4648.1, Welfare and Institutions Code.
HISTORY

1. New subchapter 6 (article 1, sections 50601-50612) filed 9-22-89; operative 10-22-89 (Register 89, No. 40). For prior history, see Register 88, No. 29.
2. Editorial correction of article heading (Register 92, No. 21).
§50602. Definitions.
Note     •     History

The following definitions govern the construction of sections within this subchapter unless the context requires otherwise:
(a) “Administrative Overhead Allocations” means the division of administrative overhead among the various affiliate or commonly-owned programs and/or services. Administrative overhead includes such expenses as salaries for management staff and accountants, legal fees, office space and equipment, and utility costs.
(b) “Affiliate or Commonly-Owned Organizations” means two or more programs and/or services that are owned by the same person, corporation or entity.
(c) “Auditing” means any examination of records and source documentation, pertaining to the service program and/or the provision of services to persons with developmental disabilities of any individual, group, or entity by the Department, regional center, or any authorized agency representative. This examination is conducted for purposes of determining compliance with fiscal or fiscally related program or service provisions of applicable statute, regulations, contracts, or agreements governing the service program and/or the provision of services to persons with developmental disabilities. Such examination shall include any procedures as considered necessary by the auditor under the circumstances to perform the examination.
(d) “Authorized Agency Representative” means a person authorized to act on behalf of the Department or regional center by law, by court order, or by a written statement signed by the Director of the Department or the executive director of a regional center.
(e) “Department” means the State Department of Developmental Services.
(f) “Draft Audit Report” means the written document summarizing the audit findings and recommendations that is prepared by the regional center and is forwarded to the service provider for response pursuant to Section 50606(d)(1).
(g) “Emergency Services” means those services which must be provided or purchased by a regional center in order to protect a consumer from immediate danger to his/her physical or mental health or safety.
(h) “Electronic record” means a record created, generated, sent, communicated, received, or stored by electronic means.
(i) “Electronic signature” means an electronic sound, symbol, or process attached to or logically associated with an electronic record and executed or adopted by a person with the intent to sign the electronic record.
(j) “Final Audit Report” means the written document prepared by the regional center pursuant to Section 50606(f). “Final audit report” is synonymous with “audit report” as defined in Section 50701(g).
(k) “Parent Organization” means a separate and distinct corporation or entity which operates two or more programs and/or services.
(l) “Preliminary Audit Report” means the written document prepared by the regional center and forwarded to the Department pursuant to Section 50606(e)(1) when the audit involves the review of documentation relied upon as the basis for establishing a rate of payment for a service provider. Preliminary audit reports include the following items:
(1) The regional center's draft audit report;
(2) The service provider's response to the draft audit report; and
(3) The regional center's reply to the service provider's response.
(m) “Record” means any book or document evidencing operational, financial, and service activities of a service provider or regional center pertaining to the service program and/or the provision of services to persons with developmental disabilities. Examples include books of account, general ledgers, subsidiary ledgers, check registers, canceled checks, contracts, correspondence, financial statements, internal reports, bank statements, standard cost statements, consumer files, purchase of service authorizations, and documents evidencing consumer services. All consumer records shall be treated as confidential.
(n) “Service” means the process by which the regional center, or service provider, delivers a service directed towards the alleviation of a developmental disability or toward the social, personal, physical, or economic habilitation or rehabilitation of an individual with such a disability, and consistent with the requirements set forth in Title 17, California Code of Regulations Section 56551(d) and Welfare and Institutions Code, Sections 4646.5(a)(4) and 4648(a). Such services include, but are not limited to those specified in Section 4512 of the Welfare and Institutions Code.
(o) “Service Provider” means a person, program, or any other entity, or any other person connected therewith, vendored to provide services to regional center consumers. Service providers do not include those applicants specified in Title 17, California Code of Regulations, Section 54310(d) and (e).
(p) “Service Record” means a book or document evidencing the service activities provided by a service provider or regional center.
(q) “Source Documentation” means the medium upon which evidence of a transaction is initially recorded. Examples of source documents include, but are not limited to, purchase requisitions, purchase orders, purchase of service authorizations, staffing schedules, employee hourly time reports, invoices and attendance documents for regional center consumers and all other persons provided services. Source documents are used to prepare records and reports.
(r) “Unique Consumer Identifier” means a unique number assigned to identify each regional center consumer which is used instead of the consumer name to maintain confidentiality.
(s) “Units of Service” means increments of service provided to regional center consumers which are used to charge and invoice the regional center for services provided. The increment of service is specified as hours, days or transportation mileage or any other increment of service agreed to by the Department, regional center and service provider. It is used by the Department to determine a rate of reimbursement.
(t) “Vendored” means the successful completion of the process used to determine whether an applicant meets all legal and regulatory requirements to provide service to regional center consumers. This process must be completed in order for a person, program or facility to receive payment from a regional center for services rendered a regional center consumer.
(u) “Vendoring Regional Center” means the regional center in the service catchment area in which the service provider is located, and to which a potential service provider must submit an application for vendorization. Service catchment area is defined in Section 50501(a)(18).
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4648(a), 4648.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4512(b), 4641.5, 4646.5, 4648, 4648.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Amendment of subsection (m) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL by 3-4-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (m) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of Note and History 3 transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
5. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
6. Amendment of subsection (m) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
7. Amendment of subsection (m) filed 6-20-94 as an emergency; operative 6-20-94. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (m), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
10. Change without regulatory effect amending subsections (g), (k), (m), and (o)-(r) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
11. New subsections (h) and (i), subsection relettering and amendment of Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
§50603. Access to Service Provider Records.
Note     •     History

(a) The service provider shall permit right of access to:
(1) Any books, documents, papers, computerized data, source documents, consumer records, or other records of the service provider pertaining to the service program and/or provision of services to persons with developmental disabilities. All consumer records shall be treated as confidential.
(2) Any facilities belonging to or used by the service provider pertaining to the service program and/or the provision of services to persons with developmental disabilities.
(b) The right of access referred to in Section 50603(a) shall be applicable to the Department, regional center, or any other authorized agency representative and to the California Department of Health Services and the United States Department of Health and Human Services when federal government funds are involved in the payment for services.
(c) Such access shall be permitted after proper identification is provided and the reason for the visit stated.
(d) The right of access in this section shall be used to audit, review, examine, excerpt, reproduce, and/or make transcripts.
(e) The rights of access in this section shall not be limited to the required record retention period as specified in Section 50605(a).
(f) All service provider records, including corporate records, shall be made immediately available to persons specified in Section 50603(b) for purposes specified in Section 50603(d) above.
(g) The rights of access in this section shall not be limited by a requirement of prior notice. Access without prior notice shall be limited to situations where the Department or regional center determines that the purpose of the access would be thwarted if advance notice were given such as in the case of suspected fraud, imminent destruction of records or similar circumstances.
(h) Access to any records pertaining to any regional center consumer in the facility or to the operation of the facility, to the extent such operation pertains to the service program and/or the provision of services to persons with developmental disabilities, shall be provided upon request and in accord with confidentiality statutes.
(i) If requested by regional center staff, the service provider shall make provision for a regional center consumer to be interviewed in private. The written consent of the consumer or, where appropriate, the parent, guardian or conservator shall be obtained before the interview is conducted. A third party of the consumer's choice may be present during the interview if the consumer so desires.
NOTE

Authority cited: Sections 4405 and 4648.2, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Section 4648.1, Welfare and Institutions Code; Section 11152, Government Code; and Section 1902(a)(4) and (a)(27), Social Security Act, Title 42 CFR, Code of Federal Regulations, CFR 431.107(b).
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Amendment of  subsection (b) and Note filed  11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of Note and History 3 transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
5. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
6. Editorial correction of printing error deleting duplicate section (Register 94, No. 17).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsections (a)(1), (h) and (i) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§50604. Service Provider Record Maintenance Requirements.
Note     •     History

(a) Service providers shall maintain financial records which consistently use a single method of accounting. These financial records shall clearly reflect the nature and amounts of all costs and all income. All transactions for each month shall be entered into the financial records within 30 days after the end of that month.
(b) Subsection (a) shall apply to residential facilities for the purposes described in subsection (c), day programs, transportation companies, and other non-medical service providers which provide ongoing services to regional center consumers on a regular basis each month, except that the following service providers shall be exempt:
(1) Residential facilities in which regional center consumers represent less than ten percent of the total consumers served by the facility during the last 12 month period.
(2) Residential facilities in which regional center consumers represent more than ten percent of the total consumers served by the facility; however, no Departmental funds are received for the care and services provided to those consumers.
(c) Subsection (a) shall apply to residential facilities not exempted pursuant to subsections (b)(1) and (2) only for the following purposes:
(1) To facilitate residential cost studies performed by the Department or authorized agency representative;
(2) To ensure that staffing schedules in conformance with staffing level requirements, if any, are supported by payroll records and source documents;
(3) To ensure that revenue and cost information are available to support administrative overhead allocations of parent organizations, if applicable; and
(4) To ensure that revenue and cost information are available to support intercompany transactions with affiliate or commonly-owned organizations, if applicable.
(d) All service providers shall maintain complete service records to support all billing/invoicing for each regional center consumer in the program. This requirement may be satisfied by retaining an electronic record of the information in the record, if the record reflects accurately the information set forth in the record at the time it was first generated in its final form as an electronic record or otherwise, and the electronic record remains accessible for later reference. Service records used to support service providers' billing/invoicing shall include, but not be limited to:
(1) Information identifying each regional center consumer including the Unique Consumer Identifier and consumer name;
(2) Documentation for each consumer reflecting the dates for program entrance and exit, if applicable, as authorized by a regional center.
(3) A record of services provided to each consumer. The record shall include:
(A) For the purchase of medical equipment and/or supplies, and/or other merchandise, the date of the purchase, name of the entity/individual from whom the equipment, supplies, and/or merchandise is purchased, the item(s) purchased, and the cost of each item; or
(B) For transportation services, the dates of service, city or county where service was provided, and the number of miles driven or trips provided; or
(C) For community-based day programs, the dates of service, place where service was provided, the start and end times of service provided to the consumer, and the daily or hourly units of service provided. For community-based day program services provided solely in natural environments, the city and county where service was provided shall be reported as the place where service was provided. For community-based day programs whose services are provided at the facility only or at both the facility and in the community, the street address of the facility shall be reported as the place where service was provided; or
(D) For all other services, the date, the start and end times of service provided to the consumer, street address where service was provided, and daily or hourly units of service provided.
(E) For goods and/or services purchased utilizing a voucher or Participant-Directed Services, as described in California Code of Regulations, Title 17, Section 58884(a)(1), in addition to the information specified above, the name of the actual provider of the goods and/or services. For services provided by an individual selected by the consumer or family member, the date of birth, social security number (or a copy of any document accepted by the federal government which establishes identity and employment eligibility which has been compared to the original by the vendored family member and declared under penalty of perjury to be a true and correct copy), address, and telephone number of the individual who actually provided the service must also be maintained.
(F) For contracts reimbursed based on units of service other than as specified above, units of service shall also be maintained pursuant to (A), (B), (C), or (D) above, as applicable.
(e) All service providers' records shall be supported by source documentation.
(f) Nothing specified in this section shall be construed as superseding other record maintenance requirements set forth in statute or regulation.
NOTE

Authority cited: Sections 4631(a)(2) and 4648.12(c)(1)(B), Welfare and Institutions Code. Reference: Sections 4631, 4641.5, 4648.1 and 4648.12(c), Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Change without regulatory effect amending subsections (b)-(b)(2) and (d)-(d)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (d)(2)-(3), new subsections (d)(3)(A)-(E) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (d)(3)(D) filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (d)(3)(B), new subsection (d)(3)(C), subsection relettering and amendment of newly designated subsections (d)(3)(D) and (F), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
8. Refiling of 8-27-2004 order, including incorporation of relettering of subsection (d)(3)(D) to (d)(3)(E) in intervening action, 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 12-22-2004 order, including futher amendment of subsection (d)(3)(E), transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
10. Amendment of subsection (d)(3)(E) and Note filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (d) and Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
§50605. Service Provider Record Retention Requirements.
Note     •     History

(a) All service providers' financial and service records, including source documentation, shall be retained for a minimum of five years from the date of final payment for the State fiscal year in which services were rendered. This requirement may be satisfied by retaining an electronic record of the information in the record, if the record reflects accurately the information set forth in the record at the time it was first generated in its final form as an electronic record or otherwise, and the electronic record remains accessible for later reference.
(b) If an audit is in progress or an appeal pursuant to Subchapter 7 (commencing with Section 50700) is pending at the end of the time specified in Section 50605(a), the service providers' records shall be retained until all audit exceptions have been resolved.
(c) Copies made by microfilming or electronic data processing methods may be substituted for any original record.
NOTE

Authority cited: Section 4648.2, Welfare and Institutions Code. Reference: Sections 4641.5 and 4648.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Amendment of subsection (a) filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) refiled 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-22-2004 order transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
5. Amendment of subsections (a) and (c) and Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
§50606. Regional Center Auditing Requirements.
Note     •     History

(a) To the extent that regional centers determine that it is necessary, regional centers shall audit records of service providers. Such audits shall be:
(1) Performed utilizing existing personnel resources; and
(2) Commenced within three years following the final payment for the fiscal year under audit.
(b) Audits shall be performed to accomplish any or all of the following objectives as applicable to the specific service provider:
(1) Verification that the service provider's documentation submitted to the regional center as a basis for establishing a rate of payment by the Department is:
(A) Complete, including other sources of revenue related to the service program or provision of services to persons with developmental disabilities;
(B) Accurate; and
(C) Supported by the service providers' records and source documents.
(2) Verification that the service billings/invoices submitted by the service provider to the regional center for payment are supported by the service providers' consumer attendance and service records.
(3) Verification that the service providers' handling and accounting of the consumers' personal and incidental funds is in accordance with applicable regulations including, but not limited to, Title 17, California Code of Regulations, Sections 56557(b)(3)(G) and 56602(d), and Title 22, California Code of Regulations, Section 80026.
(4) Verification through analysis of payroll and consumer service records that staff-to-consumer ratios required by regulation, contract, or agreement are met.
(A) Verification that the required staff-to-consumer ratios are being met shall be determined as follows:
1. For activity centers, adult development centers, and behavior management programs:
a. For each month of the audit period multiply the number of actual consumer days of attendance by the number of direct service hours operated per day;
b. Divide the total computed in a. by the approved staffing ratio to compute the number of direct care staff hours required during the approved program hours each month to maintain the approved staffing ratio; and
c. Compare the number of direct care staff hours actually provided during the approved program hours for each month with the number of direct care staff hours required for each month computed pursuant to b.
2. For social recreation programs, independent living programs, and infant development programs:
a. For each month of the audit period determine the actual hours of consumer attendance for each month;
b. Divide the actual hours of attendance pursuant to a. by the approved staffing ratio to compute the number of direct care staff hours required during the approved program hours each month to maintain the approved staffing ratio; and
c. Compare the number of direct care staff hours actually provided during the approved program hours for each month with the number of direct care staff hours required for each month computed pursuant to b.
(B) If a determination is made that the approved staff-to-consumer ratio has not been met, the amount of any overpayments shall be determined as follows:
1. Subtract the number of direct care staff hours actually provided during the audit period from the number of direct care staff hours required pursuant to (A)1. or (A)2.;
2. Multiply the amount computed in 1. by the average hourly salary and wage and fringe benefit costs reported pursuant to Sections 57434(a)(1)(A) and (a)(2) and which were utilized to calculate the vendor's rate of reimbursement received during the audit period.
(5) Verification of compliance with other provisions of applicable statute, regulations, contracts, or agreements governing the service program and/or the provision of services to persons with developmental disabilities.
(c) If an audit of a service provider not vendored by the auditing regional center is proposed, such audit shall be coordinated with the vendoring regional center. If the service provider has already been audited for the same time period, the auditing regional center shall rely, to the extent possible, on the work performed by the vendoring regional center.
(d) Upon completion of an audit, the regional center shall process the audit findings and/or recommendations defined in Title 17, California Code of Regulations, Section 50701, as follows:
(1) A draft of the audit report shall be forwarded to the service provider for comment within sixty (60) days of completion of work performed at the service provider's location.
(2) The service provider shall be given thirty (30) days in which to respond to the audit report draft from time of its receipt.
(e) If an audit of a service provider involves review of documentation submitted to either the regional center or the Department and relied upon as the basis for establishing a rate of payment for that service provider, the regional center shall forward its preliminary audit report to the Department.
(1) The preliminary audit report shall include the service providers' response to the audit findings and/or recommendations as an attachment.
(2) The preliminary audit report shall include the regional center's reply to the providers' response as an attachment.
(3) The Department shall consider the preliminary audit report in establishing a rate. If an adjustment to the rate is proposed:
(A) The effective date of the adjusted rate of payment shall be determined by the Department based on information contained in the preliminary audit report and supporting audit working papers.
(B) The adjusted rate of payment shall be calculated and submitted by the Department to the regional center for use in determining any amounts which may be due from or due to the service provider.
(4) The Department shall notify the regional center if it is determined that an adjustment to the rate of payment is not necessary after considering the preliminary audit report.
(f) The final audit report shall be issued by the regional center, within 90 days of the deadline for the service provider's response.
(1) The final report shall notify the service provider of its right to appeal the audit findings pursuant to Title 17, California Code of Regulations, Section 50730.
(2) The final report shall incorporate the response of the service provider and the regional center's reply to the response.
(3) A copy of the rate letter issued by the Department adjusting the rate of payment shall be enclosed with the final report, if applicable.
(4) The final report shall include a breakdown of any amounts due the regional center and Department by fiscal year and require remittance in accordance with Section 50705. If an amount is due the service provider, the final report shall include a breakdown of any amounts due by State fiscal year. Procedures for requesting payment of the amount due from the regional center shall also be included.
(5) When a remittance pursuant to subsection (4) is made, a copy of the check and any transmittal document shall be sent to the Department.
(6) Upon issuance, a copy of the final report shall be sent to the Department.
(g) The auditing work performed by the regional center shall, to the maximum extent that the auditor determines practicable, follow the standards for financial and compliance audits, as listed in the “Standards for Audit of Governmental Organizations, Programs, Activities and Functions,” 1981 Revision, sued by the Comptroller General of the United States, United States General Accounting Office, which is incorporated by reference herein.
(1) The auditing work performed by the regional center shall, at a minimum, meet the following standards:
(A) In all matters relating to the audit work, the regional center staff involved shall be free from conflicts of interest as defined in Title 17, California Code of Regulations, Section 54521, and in Section 4627 of the Welfare and Institutions Code.
(B) Due professional care shall be used in conducting the audit and in preparing related reports.
(C) When factors external to the audit organization and the auditor restrict the audit or interfere with the auditor's ability to form objective opinions and conclusions, the auditor shall attempt to remove the limitation or, failing that, disclose the limitation in the audit report.
(D) A review shall be made of compliance with applicable statutes and regulations governing the service program and/or the provision of services to persons with developmental disabilities.
(E) A written record of the auditor's work shall be retained in the form of working papers.
(F) Final audit reports shall be submitted to the appropriate officials of the organization audited and to the appropriate officials of the regional center and the Department. Copies of the reports shall also be:
1. Sent to the other officials who may be responsible for taking action and to others authorized to receive such reports.
2. Made available for public inspection, unless restricted by law or regulations; and
3. Accompanied by a transmittal document which specifies that the report is subject to appeal and includes the status of any such appeal.
(G) For purposes of subsection (F) “other officials” and “others” authorized to receive such reports include, but shall not be limited to, those designated by law or regulation to receive such reports, legislators, and those of other levels of government that have provided funds to the audited entity.
(h) The reports specified in this section shall be written reports.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4648.2, 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4629(f), 4631, 4648.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. New subsections (b)(4)(A)-(B)2 filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
6. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§50607. Regional Center Contracting Requirements.
Note     •     History

When a regional center enters into a contract with a service provider, the contract shall include, but not be limited to, the following general provisions.
(a) Contract provisions stating the parties, the general purpose, the services to be provided, the date of execution, and the applicable statutes and regulations applying to the contract.
(b) A contract provision requiring a signature by authorized representatives of all contracting parties. An electronic signature shall satisfy this requirement.
(c) A contract provision setting forth the definite effective dates, representing the beginning and ending date.
(d) Contract provisions to include the definitions of terms unique to the contract or contracted service.
(e) A contract provision stating that the execution of any amendment or modification to the regional center/service provider contract shall comply with the requirements of applicable statutes and regulations.
(f) A provision stating that the service provider and the agents and employees of the service provider, in the performance of the contract, shall act in an independent capacity, and not as officers or employees or agents of the State of California or the regional center.
(g) A provision stating that assignment of the contract for consumer services shall not be allowed.
(h) A contract provision indicating that all services shall be rendered in accordance with specifically identified provisions of statute, and Federal and State regulations.
(i) A contract provision stating that the terms of the contract shall not be construed to excuse compliance with existing statutes or regulations.
(j) A contract provision stating that subcontracting of services for which the service provider is vendored shall not be permitted except for contracts for transportation services or community-based day program services pursuant to Title 17, California Code of Regulations, Section 56710(b).
NOTE

Authority cited: Sections 4405, 4631 and 4648.2, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4629(f), 4631, 4641.5, 4648.1, 4690.1 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Amendment of subsection (k) filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
3. Repealer of subsection (h) and relettering, amendment of subsection (j) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of  law on the following day.
4. Repealer of subsection (h) and relettering, amendment of subsection (j) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of Note and History 4  transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsection (g) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Amendment of subsection (b) and Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
§50608. Contract Duties and Responsibilities.
Note     •     History

When a regional center enters into a contract with a service provider, the contract shall include, but not be limited to, the following provisions specifying the duties and responsibilities of the service provider.
(a) A contract provision requiring that the level of service provided shall, at a minimum, be consistent with the service provider's program design, if applicable, and any other program related documentation relied upon by the Department as a basis for establishing rates of payment.
(1) The service provider's program design shall be made a part of the contract.
(2) The service provider's program design shall include, but not be limited to:
(A) A written statement of the facility's purpose and goals;
(B) A description of the services provided;
(C) A description of program methods;
(D) Consumer entrance and exit criteria;
(E) Job descriptions of all positions;
(F) Staff qualifications for each job description;
(G) A staffing plan which indicates the staff-to-consumer ratio for delivery of direct care services for all hours the consumers are under the supervision of the facility;
(H) A staff training plan, if any; and
(I) Hours and location of service.
(b) A contract provision requiring the service provider to maintain books, records, documents and other evidence pertaining to all income, expenses, and services relating to and/or affecting the performance of the contract.
(c) A contract provision requiring the service provider to maintain service records to support all billings/invoicing as specified in Section 50604(d)(1) through (3)(F), as applicable.
(d) A contract provision requiring the service provider to submit to the regional center with their billings/invoices the information specified in (c) above for the billing period.
(e) A contract provision requiring the service provider to adopt and periodically review, a written internal procedure to resolve consumer grievances pursuant to Welfare and Institutions Code Section 4705.
NOTE

Authority cited: Chapter 157, Statutes of 2003; Sections 4405, 4631 and 4648.2, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4525, 4629(f), 4631 and 4648.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40.)
2. Amendment of Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
3. Change without regulatory effect amending subsections (a)(2)(D), (a)(2)(G) and (c) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
4. New subsections (c)-(d), subsection relettering and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
5. New subsections (c)-(d), subsection relettering and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
6. New subsections (c)-(d), subsection relettering and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (c), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
§50609. Contract Fiscal Provisions.
Note     •     History

The regional center/service provider contract shall include, but not be limited to, the following fiscal or fiscally related provisions:
(a) Provisions specifying details for the payment of services rendered including, but not limited to:
(1) The method of payment;
(2) The time of payment;
(3) a requirement that the rate of payment, in accordance with referenced contract exhibits, contains one of the following:
(A) An exhibit displaying Departmental or regional center documentation reflecting the proposed rate of payment per unit of service; the definition of a unit of service; and the necessary data and mathematical computation used to establish the proposed rate of payment per unit of service.
(B) An exhibit displaying Departmental documentation reflecting the various ranges of proposed rates of payment for residential care services and other applicable services subject to such maximum limitations.
(4) A detailed description of the method to be used in determining the units of service allowed for billing/invoicing in accordance with the referenced contract exhibits required under Section 50609(a)(3).
(b) A provision specifying the basis used by the Department to establish the rate of payment for services.
(1) A provision identifying a contract exhibit which shall contain the service provider's fiscal and program related documentation relied upon as the basis for establishing the rate of payment.
(A) A provision indicating that both parties to the contract have come to a full understanding and agreement of a specified method used to accumulate data contained in the service provider's documentation.
1. A provision indicating that the service provider attests that the method referred to in Section 50609(b)(1)(A) was used to accumulate data contained in the service provider's documentation.
(B) A provision indicating that the service provider attests that such fiscal and program related documentation is:
1. complete;
2. accurate to the best of the service provider's knowledge;
3. supported by records and source documentation;
4. prepared in accordance with the instructions provided by the Department and;
5. subject to audit.
(c) A provision specifying that payment under the contract is dependent upon availability of State funding.
(d) A provision specifying that the consideration to be paid the service provider, as provided herein, shall be the total compensation for performance of the contract and its requirements, unless otherwise expressly provided.
(e) When Federal Government funds are involved, a provision requiring service provider compliance with all Federal rules including, but not limited to the applicable sections of the Code of Federal Regulations.
(f) A provision specifying the maximum amount which can be paid under this contract.
NOTE

Authority cited: Sections 4405, 4631 and 4648.2, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Section 4629(f), 4631 and 4648.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
§50610. Contract Fiscal Audit.
Note     •     History

(a) The regional center/service provider contract shall include, but not be limited to, audit provisions as follows:
(1) A provision that the service provider's records pertaining to the service program and/or the provision of services to persons with developmental disabilities shall be open for audit by the Department, regional center, and any authorized agency representative for a minimum period of three years from the date of the final payment for the State fiscal year.
(2) A provision indicating that the service provider shall agree to utilize and be bound by Title 17, California Code of Regulations, Sections 50700, et seq. should the service provider elect to appeal any audit findings and/or recommendations.
(3) A provision indicating that the service provider shall accept financial liability for any audit findings and/or recommendations disclosed by audit and promptly repay amounts owed unless appealed and liquidation is stayed pursuant to Title 17, California Code of Regulations, Section 50705.
NOTE

Authority cited: Sections 4405, 4631 and 4648.2, Welfare and Institutions Code and Section 11152, Government Code. Reference: Sections 4629(f), 4631 and 4648.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
§50611. Contract Termination.
Note     •     History

(a) The regional center/service provider contract shall contain the requirements for the termination of the contract.
(b) The provision for contract termination by the regional center shall include:
(1) The methods by which termination will be effected;
(2) The basis for settlement; and
(3) A description of the conditions which shall constitute possible grounds for termination of the contract and/or payment. Such conditions shall include, but not be limited to, those in which it is determined that:
(A) The service provider has not complied with provisions of its contract, the terms of the purchase of service authorization, applicable Federal and State regulations, or statutes governing the service program and/or the provision of services to persons with developmental disabilities.
(4) The Department, regional center, or any authorized representative shall determine whether the conditions, specified in Section 50611(b)(3) above, exist to constitute possible grounds for contract termination. Such determination shall be:
(A) Conveyed to the service provider 30 days in advance of payment and/or contract termination, pursuant to Welfare and Institutions Code, Section 4710.
(B) In the form of a notice containing the provisions for contract termination specified in subsections (b)(1) through (3).
(c) The provision for contract or service termination by the service provider shall include:
(1) A requirement that notice be given to the regional center in writing; and
(2) A requirement that notice be given at least 30 days prior to contract termination.
(d) In no event, shall a regional center or service provider terminate a contract without complying with the requirements set forth in statute and regulation including, but not limited to, Welfare and Institutions Code, Sections 4502, 4646, 4646.3, 4648, 4710, and 4741.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4648.2 and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4502, 4629(f), 4631, 4646.5, 4648.1 and 4741, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§50612. Regional Center Purchase of Service Requirements.
Note     •     History

(a) A purchase of service authorization shall be obtained from the regional center for all services purchased out of center funds. This requirement may be satisfied if the information is provided, sent, or delivered, as the case may be, in an electronic record capable of retention by the recipient at the time of receipt.
(b) The authorization shall be in advance of the provision of service, except as follows:
(1) A retroactive authorization shall be allowed for emergency services if services are rendered by a vendored service provider:
(A) At a time when authorized personnel of the regional center cannot be reached by the service provider either by telephone or in person (e.g., during the night or on weekends or holidays);
(B) Where the service provider, consumer, or the consumer's parent, guardian or conservator, notifies the regional center within five working days following the provision of service; and
(C) Where the regional center determines that the service was necessary and appropriate.
(c) The authorization for the purchase of service shall be in the following form:
(1) The authorization shall be in writing, except as follows:
(A) A verbal authorization by the regional center director or his authorized agency representative shall be allowed to provide emergency services utilizing the following procedures:
1. An immediate notation is made in the case record showing the date and nature of such authorization; and
2. The verbal authorization is confirmed with a written authorization from the regional center as soon as possible, but no later than the regional center's next cyclical production of purchase of service authorization documents.
(d) All authorizations which are not self-limiting in nature shall be cancelled in writing at the time a consumer case is closed by the regional center.
(e) The regional center purchase of service authorization shall contain the requirements for terminating payments to service providers. The provision for termination shall be consistent with the requirements set forth in Sections 4710, 4715, and 4741, Welfare and Institutions Code.
(1) The circumstances for terminating payments by the regional center shall include:
(A) The relocation of the consumer as a result of consumer or, where appropriate, the parent, guardian or conservator dissatisfaction;
(B) The relocation of a facility resident as a result of the determination of immediate danger or reasonable cause as defined in Title 17, California Code of Regulations, Section 56551(j) and (p); or
(C) The death of the consumer.
(2) In no event, shall a regional center terminate payments to service providers without complying with the requirements set forth in statute and regulation including, but not limited to, Welfare and Institutions Code, Sections 4648, 4710 and 4715.
(f) A copy of the purchase of service authorization shall be retained by the regional center. This requirement may be satisfied by retaining an electronic record of the information in the record, if the record reflects accurately the information set forth in the record at the time it was first generated in its final form as an electronic record or otherwise, and the electronic record remains accessible for later reference.
NOTE

Authority cited: Sections 4405, 4631 and 4648.2, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4629(f), 4631, 4641.5 and 4648.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-89; operative 10-22-89 (Register 89, No. 40).
2. Change without regulatory effect amending subsections (b)(1)(B), (d), (e)(1)(A) and (e)(1)(C) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment of subsections (a) and (f) and Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
Subchapter 7. Fiscal Audit Appeals
Article 1. General
§50700. Purpose and Scope.
Note     •     History

The procedures described in this subchapter shall be applicable to and govern all appeals from audit reports, Letters of Findings and formal decisions issued by the Department of Development Services or regional centers which result from fiscal audits of regional centers and/or their contractors conducted pursuant to Welfare and Institutions Code, Sections 4648.2 and 4780.5. Additionally, the procedures described herein may be used to appeal other fiscal audits conducted by the Department if provided for by way of regulation or agreement.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4631, 4635, 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. New Chapter 4, Subchapter 6 (Articles 1-3, Sections 50600-50667, not consecutive) filed 6-26-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Editorial redesignation of former Chapter 4 (Subchapters 5 and 6, Sections 50500-50667, not consecutive) to Chapter 1 (Subchapters 5 and 6, Sections 50500-50667, not consecutive) filed 9-28-83 (Register 83, No. 40)
3. Renumbering of former Subchapter 6 to Subchapter 7, and renumbering and amendment of former Section 50600 to Section 50700 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50701. Definitions.
Note     •     History

The following definitions govern the construction of sections within this subchapter unless the context otherwise requires:
Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. “May” means permissive. “Shall” means mandatory. “Should” means suggested or recommended.
(a) “Administrative review” means the preliminary investigation of the “Statement of Disputed Issues” submitted by an appellant as a part of its initial appeal. The investigation shall be conducted by an appeals review officer of the Department and may include, but not be limited to, the following:
(1) A review of all documents submitted by the parties;
(2) An interview of the parties and any prospective witnesses;
(3) An on-site inspection of records;
(4) An informal conference.
(b) “Appellant” means any individual, entity or organization which is in the process or has properly filed an appeal in accordance with the provisions of this subchapter. An appellant may act through any duly authorized agent or legal counsel designated pursuant to subsection (c) of Section 50730.
(c) “Appeal” means a written notification to the Department by any individual, entity or organization audited by the Department or regional center which disputes or protests a written report, finding or decision issued by the Department or regional center relating to such audit.
(d) “Appeals review officer” means an individual designated by the Department to conduct the administrative review.
(e) An “audit adjustment” means a finding contained in an audit report that either the fiscal requirements governing the individual, entity or organization audited have not been complied with to a specified extent or that a previously reported or claimed amount does not agree with an audited amount.
(f) An “audit exception” means a type of audit adjustment or management comment which is against the interests of the individual, entity or organization audited.
(g) An “audit report” means a document issued by the Department or regional center which results from a fiscal examination of the accounts, records and transactions of any individual, entity or organization subject to audit by the Department or regional center. The audit report may contain findings, such as audit exceptions, audit adjustments or management comments, as well as management recommendations, schedules and any other items of explanation necessary to provide an analysis of the fiscal activities for the period covered by the audit.
(h) “Date of mailing” means the date postmarked on the envelope if postage was prepaid and the envelope was properly addressed.
(i) “Days” means calendar days.
(j) “Department” means the State Department of Development Services unless otherwise specified. The Department shall act through its authorized representatives.
(k) “Director” means the Director of the State Department of Development Services.
(l) “Duplicate” means a facsimile of the original produced by the same impression or from the same matrix as the original or by some other technique of accurate reproduction.
(m) A “finding” means a relevant, written conclusion arrived at as a result of an audit, an administrative review or hearing and is contained in the audit workpapers, audit report, Letter of Findings, or decision related to the audit in question.
(n) “Formal hearing” means an administrative hearing conducted by a hearing officer pursuant to Welfare and Institutions Code Section 4648.2, 4780.5 and the provisions of this subchapter.
(o) “Hearing officer” means a person appointed by the Director pursuant to Welfare and Institutions Code Sections 4648.2 and 4780.5 to conduct formal hearings under this subchapter.
(p) “Informal conference” means a meeting conducted by an appeals review officer as a part of the administrative review to clarify or resolve facts and issues in dispute.
(q) A “management comment” means a finding contained in an audit report describing management practices of the individual, entity or organization audited as such practices relate to its fiscal activities.
(r) A “management recommendation” means a corrective action proposed by the Department or regional center to enable the individual, entity or organization audited to better comply with appropriate fiscal requirements.
(s) “Party” means an appellant, regional center or the Department. “Party also means an individual, entity, or organization joined to an appeal as an additional party pursuant to subsection (b) of Section 50708.” The term “party” does not include the appeals review officer, the hearing officer, the Director, or any witnesses.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50601 to Section 50701 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Editorial correction of Note (Register 2002, No. 46).
§50702. Revised Audit Report.
Note     •     History

(a) A revised audit report may be issued by or on behalf of the Department or regional center for the fiscal period or periods for which proceedings are pending under this subchapter.
(b) The appeals review officer or hearing officer may suspend their respective proceedings until identification of any additional disputes that may result from a revised audit report.
(c) Additional issues in dispute which are raised by the revised audit report may be included in the proceedings at the request of the appellant in accordance with Section 50730.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4631, 4635, 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, and 11182, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50602 to Section 50702 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Editorial correction of of subsection (c) (Register 2002, No. 46).
§50703. Department Mailings.
Note     •     History

A mailing by the Department shall be deemed to have been properly executed if addressed and mailed to the last address on record with the Department.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50603 to Section 50703 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50704. Disqualification of Appeals Review Officer or Hearing Officer.
Note     •     History

(a) An appeals review officer or hearing officer shall upon his/her own motion withdraw from any proceedings in which he/she:
(1) Cannot give a fair or impartial hearing;
(2) Has a personal or pecuniary interest.
(b) A party may request the disqualification of an appeals review officer or hearing officer by filing an affidavit prior to the taking of evidence at a hearing, stating with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. The issue shall be determined by the appeals review officer or the hearing officer.
NOTE

Authority cited: Sections 11152, and 11512, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11181 and 11182, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50604 to Section 50704 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50705. Recovery of Overpayments.
Note     •     History

(a) Where the Department, as a result of an audit, establishes that an overpayment has been made to an individual, entity or organization, the Department shall begin liquidation of the overpayment 30 days after the issuance of the audit report, except that:
(1) Where the appellant has requested an administrative review pursuant to Section 50730 of this subchapter, liquidation of the disputed overpayments shall be deferred until the Letter of Findings has become final;
(2) If any overpayments remain in dispute after the administrative review, the appellant may file with the hearing officer, a request for stay of liquidation pending the outcome of the formal hearing. To be considered, such request shall be in writing, and shall be submitted with the request for formal hearing pursuant to Section 50750. Such request for stay must set forth reasons why liquidation should be stayed for the duration of the formal hearing process. The hearing officer may in his/her discretion, make such orders as he/she deems necessary pursuant to such request, including, but not limited to, a temporary stay of liquidation.
(b) When the overpayment is due and owing, it shall be recovered by any of the following methods:
(1) Lump sum payment;
(2) Offset against current payments due;
(3) A repayment agreement of not more than five years duration from the date the agreement is made;
(4) Any other method of recovery available to and deemed appropriate by the Director.
(c) If offset is used as a method of recovery, it shall continue until one of the following occurs:
(1) The overpayment is recovered;
(2) The Department and/or the regional center enters into a repayment agreement which satisfies such overpayment;
(3) The Department determines that, as a result of proceedings under this subchapter, there is no overpayment.
(d) The regional center shall promptly remit all recoveries to the Department along with the information necessary to identify the causal audit report, the applicable fiscal year and the applicable audit adjustment.
(e) Nothing in this section shall prohibit an individual, entity or organization audited by the Department or regional center from repaying all or a part of the disputed overpayment without prejudice to its right to a hearing under this subchapter.
(f) Any recovered overpayment that is subsequently determined to have been erroneously collected shall be promptly refunded to the appellant.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.1, 4648.2, and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4635, 4648.1, and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50605 to Section 50705 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50706. Costs and Attorneys Fees.
Note     •     History

(a) Except as otherwise expressly provided in this subchapter, the Department:
(1) Shall assume all expenses related to the operation and maintenance of the appeal process;
(2) Shall not reimburse under the provisions of this subchapter an appellant's expenses or costs incident to prosecuting an appeal.
(b) No party shall be liable to any other party for attorneys fees which result from proceedings under this subchapter.
(c) The Department shall not be liable to, nor reimburse, either through any contract, entered into after the effective date of this section, or by any other means, for the following expenses which may result from proceedings under this subchapter, except as ordered by the Director in the decision:
(1) Attorney fees;
(2) Costs incurred or assessed pursuant to the following sections:
(A) 50753 (g);
(B) 50754 (e); 
(C) 50754 (f);
(D) 50755 (c); 
(E) 50758 (m);
(3) Any other special costs duly assessed against a party by the appeals review officer or hearing officer in accordance with such other powers as may be granted herein.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2, and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1, and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50606 to Section 50706 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50707. Consolidation of Appeals.
Note     •     History

(a) Parties may seek consolidation of two or more requests for administrative review or formal hearing which are pending on appeal, for the reduction of effort and expense of separate appeals, where the issues stated and evidence cover much the same ground and can advantageously be combined in one appeal. Such request shall be in writing and may be made if:
(1) An appellant has consecutive or multiple appeals, or two or more appellants have concurrent appeals;
(2) The appeals involved common questions of law or fact; and
(3) No substantial right of any party will be prejudiced.
(b) Upon such request, the appeals review officer or hearing officer may order a joint review or hearing of any or all matters in issue in the appeals, may order all the appeals consolidated, or may make such orders concerning the proceedings as may tend to avoid unnecessary delay. In exercising his/her discretion, the appeals review officer or hearing officer may refer to appropriate principles of California law governing consolidations of actions and/or class actions. The appeals review officer or hearing officer shall provide adequate notice to the parties of any requests for consolidation or orders resulting therefrom which may affect them.
(c) Parties who elect to appeal separately may, for good cause, be compelled to consolidate their appeals.
(d) The appeals review officer or hearing officer may issue a single Letter of Findings or decision for the matters decided as a result of a consolidated administrative review or hearing.
(e) The appeals review officer or hearing officer may, for good cause, sever appeals previously consolidated.
(f) The appeals review officer's order granting or denying a request for consolidation is appealable immediately. The grounds for appeal shall be limited to abuse of discretion.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2, and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1, and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50607 to Section 50707 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50708. Additional Parties.
Note     •     History

(a) Appellants may submit a joint appeal where the issues involve the same transaction or series of transactions and there is a common question of law or fact; or where the appellants are each asserting claims to a particular amount in controversy, which are adverse to the Department or regional center. It is not necessary that each appellant be interested as to every issue presented in the joint appeal.
(b) The appeals review officer or hearing officer may, on his/her own motion, or upon the written request of a party, order the joinder of an individual, organization, or entity not a party to the appeal whenever it appears necessary to avoid injury to absent persons, to bring a real party in interest into the proceedings, or to otherwise obtain a complete settlement of a controversy in one appeal.
(c) The appeals review officer or hearing officer shall furnish adequate notice to all parties of joint appeals or orders for joinder, and shall provide for proper service of process on persons to be joined in the proceedings.
(d) The appeals review officer or hearing officer may make such orders concerning additional parties as he/she deems necessary in his/her discretion, including, but not limited to the following:
(1) Granting continuances and holding additional conferences or hearing to accommodate an additional party;
(2) Finding for one or more of the appellants according to their respective rights to relief, or resolving conflicting claims between appellants;
(3) Ordering severance of appeals or parties previously joined; or
(4) Issuing a single Letter of Findings or decision for matters decided as a result of a merged administrative review or hearing.
(e) In exercising his/her discretion, the appeals review officer or hearing officer may utilize appropriate principles of California law governing third party practice.
(f) The appeals review officer's order granting or denying a request for joinder is appealable immediately. The grounds for appeal shall be limited to abuse of discretion.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50608 to Section 50708 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Editorial correction of Note (Register 2002, No. 46).
Article 2. Administrative Review
§50730. Request for Administrative Review.
Note     •     History

(a) An individual, entity, or organization which disagrees with any portion or aspect of an audit report issued by the Department or regional center may request an administrative review. The appellant's written request shall be submitted to the Department within 30 days after the receipt of the audit report. The request may be amended at any time during the 30-day period.
(b) If the appellant does not submit the written request within the 30-day period, the appeals review officer shall deny such request, and all audit exceptions or findings in the report shall be deemed final unless the appellant establishes good cause for late filing.
(c) The request shall be known as a “Statement of Disputed Issues.” It shall be in writing, signed by the appellant or his/her authorized agent, and shall state the address of the appellant and of the agent, if any agent has been designated. An appellant shall specify the name and address of the individual authorized on behalf of the appellant to receive any and all documents, including the final decision of the Director, relating to proceedings conducted pursuant to this subchapter. The Statement of Disputed Issues need not be formal, but it shall be both complete and specific as to each audit exception or finding being protested. In addition, it shall set forth all of the appellant's contentions as to those exceptions or findings, and the estimated dollar amount of each exception or finding being appealed.
(d) If the appeals review officer determines that a Statement of Disputed Issues fails to state the grounds upon which objections to the audit report are based, with sufficient completeness and specificity for full resolution of the issues presented, he/she shall notify the appellant, in writing, that it does not comply with the requirements of this subchapter.
(e) The appellant has 15 days after the date of mailing of such notice within which to file an amended Statement of Disputed Issues. If the appellant does not amend his/her appeal to correct the stated deficiencies within the time permitted, all audit exceptions or findings affected shall be dismissed from the appeal, unless good cause is shown for the noncompliance.
(f) The appellant shall attach to the Statement of Disputed Issues all documents which he/she intends to introduce into evidence in support of stated contentions. An appellant that is unable to locate, prepare, or compile such documents within the appeal period specified in Subsection (a) above, shall include a statement to this effect in the Statement of Disputed Issues. The appellant shall have an additional 30 days after the expiration of the initial 30-day period in which to submit the documents. Documents that are not submitted within this period shall not be accepted into evidence at any stage of the appeal process unless good cause is shown for the failure to present the documents within the prescribed period.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2, and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4631, 4635, 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, and 11182, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50630 to Section 50730 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50731. Informal Conference.
Note     •     History

(a) The appeals review officer may schedule and preside at an informal conference if he/she determines that it is appropriate as part of the administrative review process. The appeals review officer shall determine the time and place of an informal conference giving due consideration to the reasonable request of a party.
(b) Written notice of the time and place of the informal conference shall be mailed to each party at least 30 days before the date of the informal conference. This period may be shortened with the consent of all parties. Any party may waive notice.
(c) Efforts shall be made to resolve the facts and issues in dispute in a fair and reasonable manner, subject to the requirements of state and federal law. Matters in dispute, raised in the appellant's Statement of Disputed Issues pursuant to Section 50730, which are not discussed or raised at the informal conference shall not be deemed waived.
(d) The Department shall make an electronic record of the proceedings.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2, and 4780.5, Welfare and Institutions Code. References: Sections 4629, 4635, 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, and 11182, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50631 to Section 50731 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50732. Letter of Findings.
Note     •     History

The results of the administrative review shall be submitted to the parties, within 60 days after the close of the administrative review record, in the form of a written document entitled “Letter of Findings.” The Letter of Findings shall be final unless a timely request for a formal hearing is made. Upon becoming final, the Letter of Findings has the legal effect of amending the audit report and supersedes it to the extent there are any inconsistencies.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2, and 4780.5, Welfare and Institutions Code. References: Sections 4635, 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50632 to Section 50732 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
Article 3. Formal Hearing
§50750. Request for Formal Hearing.
Note     •     History

(a) Upon receipt of the Letter of Findings following the administrative review, a party may appeal for a formal hearing conducted by a hearing officer.
(b) The requirements made applicable to requests for administrative review by Section 50730 shall apply to requests for formal hearing submitted pursuant to this section.
(c) A party shall have 30 days following the receipt of the Letter of Findings within which to file a request for formal hearing with the Department representative identified in the Letter of Findings. The party shall simultaneously submit a copy of such request to each other party. The request shall be deemed filed on the date mailed to the Department.
(d) Within 30 days after receipt of the copy of the request for formal hearing, each such other party shall submit a position statement. The position statement shall set forth the validity of each audit exception or finding in dispute.
(e) A request for formal hearing filed after the time permitted in subsection (c) above, shall be denied by the hearing officer unless the party shows good cause for late filing.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2, and 4780.5, Welfare and Institutions Code. References: Sections 4629, 4631, 4635, 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, and 11182, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50650 to Section 50750 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50751. Time and Place of Formal Hearing.
Note     •     History

(a) The hearing officer shall determine the time and place of a formal hearing. It shall be held in one of the following counties:
(1) San Francisco if the appellant resides within the First Judicial Appellate District, as defined in California Rules of Court. Appendix--Division III, Section 3;
(2) Los Angeles if the appellant resides within the Second or Fourth Judicial Appellate District, as defined in California Rules of Court. Appendix--Division III, Section 3; or
(3) Sacramento if the appellant resides within the Third or Fifth Judicial Appellate District, as defined in California Rules of Court. Appendix--Division III, Section 3.
(b) The hearing officer may schedule the formal hearing to be held in a location other than the one described in subsection (a) above, if he/she determines that it is necessary for the convenience of the parties and in the interests of justice.
(c) Except as provided in Section 50760, the hearing officer shall give written notice to the parties of the time and place of the formal hearing not less than 30 days prior to such date. This period may be shortened with the consent of all parties. Any party may waive notice.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2, and 4780.5, Welfare and Institutions Code. References: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50651 to Section 50751 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50752. Severance of Issues.
Note     •     History

(a) The hearing officer, upon his/her own motion, or upon the motion of any party, may hear any particular issue or issues before hearing any other issue in the proceeding, if the hearing officers finds that the resolution of the particular issue or issues could abate further proceedings.
(b) A proposed interlocutory decision on a separately heard issue may be prepared by the hearing officer and adopted by the Director as the final decision on the specified issued,
(c) Hearing on any remaining issues presented by the appellant's request for formal hearing may be postponed until the interlocutory decision has been issued.
NOTE

Authority cited: Sections 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. References: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50652 to Section 50752 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Editorial correction of Note (Register 2002, No. 46).
§50753. Discovery.
Note     •     History

(a) A party, after filing a request for a formal hearing, may make a written demand for information to an opposing party. The party receiving such demand must comply within 30 days after its mailing, provided that the 30th day precedes the hearing date and the demand is entitled to:
(1) Obtain the names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the formal hearing;
(2) Inspect and make a copy of any of the following in the possession or custody or under the control of the other party:
(A) Statements pertaining to the subject matter of the proceeding made by any party to another party or person;
(B) Statements of witnesses then proposed to be called by the party and of other persons having personal knowledge of the acts, omissions or events which are the basis for disputed audit findings, not included in Subsection (2) (A) above;
(C) All writings, including, but not limited to, audit work papers, client records, medical records, and invoices or things which the party then proposes to offer into evidence;
(D) Other real or documentary evidence which is relevant and ordinarily admissible in administrative proceedings.
(b) Any records received pursuant to a demand for information under this section which contains client identifying information shall be maintained as confidential information.
(c) For the purpose of this section, “statements” includes written statements by persons, signed or otherwise authenticated by such persons, stenographic, mechanical, electrical or other recordings, or transcripts thereof, or oral statements by persons, and written reports of summaries of such oral statements.
(d) Nothing in this section shall authorize the inspection or copying of any writing or thing which is privileged from disclosure by law or otherwise made confidential or protected as the attorney's work product.
(e) Any denial of discovery shall be in writing and shall be accompanied by a written statement describing the specific reasons for denial as to each item of discovery denied. Such a denial shall be mailed within 30 days after the date of filing the request for discovery.
(f) Any party claiming his/her demand for discovery, pursuant to this section, has not been complied with, may serve upon the nonresponsive party and file with the hearing officer a verified petition to compel discovery. The petition shall set forth the facts showing that the nonresponsive party failed or refused to comply, a description of matter sought to be discovered, the reason or reasons why such matter is discoverable under this section, and ground or grounds of the nonresponsive party's refusal so far as known to the petitioner.
(g) The petition shall be served and filed within 15 days after the nonresponsive party first evidenced his/her failure or refusal to comply with this section, or within 30 days after the demand was made and the party has failed to reply to the demand whichever period is longer. If, from a reading of the petition, the hearing officer is satisfied that the petition sets forth good cause for relief, the hearing officer shall issue a subpoena duces tecum directed at the nonresponsive party requiring him/her to comply within 15 days after the issuance of the subpoena; otherwise, the hearing officer shall issue a written denial. The subpoena duces tecum shall be served upon the nonresponsive party by personal delivery or certified mail. Further proceedings shall be in accordance with Subsection 50754.
(h) Parties requesting discovery pursuant to this section shall be liable for all actual and reasonable costs arising therefrom, except that where a demand is contested, the losing party shall be responsible for all actual and reasonable costs arising from such contest.
(i) The provisions of this section provide the exclusive right to and the method of discovery as to any proceeding governed by this article.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, 11182, 11184, and 11189, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50653 to Section 50753 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Change without regulatory effect amending subsection (g) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
§50754. Subpoenas and Witnesses.
Note     •     History

(a) The hearing officer is authorized to issue subpoenas and subpoenas duces tecum before the formal hearing, for attendance of witnesses or production of documents at the formal hearing, as necessary or at the request of any party. The hearing officer may also issue subpoenas and subpoenas duces tecum after the formal hearing has commenced. Compliance with the provisions of Section 1985, California Code of Civil Procedure shall be a condition precedent to the issuance of a subpoena duces tecum.
(b) The process issued pursuant to subsection (a) above, shall be extended to all parts of the State and shall be served in accordance with the provisions of Sections 1987 and 1988, California Code of Civil Procedure. No witness shall be obligated to attend at a place out of the county in which he/she resides unless the distance be less than 50 miles from his/her place of residence.
(c) Any person receiving a subpoena duces tecum issued by the hearing officer pursuant to this article shall comply within the time stated, by:
(1) Producing the evidence required; or
(2) Filing an affidavit setting forth reasons why such evidence should not be produced.
(d) Where the person receiving the subpoena duces tecum files an affidavit pursuant to Subsection (2) above, the hearing officer shall, based upon a reading of both the affidavit and the petition, either deny the petition and withdraw the subpoena duces tecum, or order the affiant to produce the evidence as required by the subpoena. If a person fails to comply, the hearing officer may refer the matter to the Chief Counsel of the Department for institution of court proceedings pursuant to Government Code Section 11187, to compel production of the evidence; or, in the case of a party, the hearing officer may decide the appeal against the nonresponsive party.
(e) All witnesses appearing pursuant to subpoena, other than the parties or officers or employees of the state or any political subdivision thereof, shall receive fees and all witnesses appearing pursuant to subpoena, except the parties, shall receive mileage reimbursement from the party which requested the subpoena, in the same amount and under the same circumstances as prescribed by law for witnesses in civil actions in a superior court.
(f) Witnesses appearing pursuant to subpoena, except the parties, who attend formal hearings at points so far removed from their residences as to prohibit return thereto from day to day shall be entitled, in addition to fees and mileage, to a per diem compensation of $3.00 for expenses of subsistence for each day of actual attendance and for each day necessarily occupied in traveling to and from the hearing. Fees, mileage and expenses of subsistence shall be paid by the party at whose request the witness is subpoenaed.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4631, 4648.1 and 4780.5, Welfare and Institutions Code; Sections 1985, 1987, and 1988, Code of Civil Procedure; and Sections 11180, 11181, 11182, 11184, 11185, 11186, 11187, 11188, 11189, 11190, and 11191, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50654 to Section 50754 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50755. Depositions.
Note     •     History

(a) On verified petition of any party, the hearing officer may order that the testimony of any material witness residing within or without the state be taken by deposition in the manner prescribed by law for depositions in civil actions. The petition shall set forth:
(1) The nature of the pending proceeding;
(2) The name and address of the witness whose testimony is desired;
(3) A showing of the materiality of his/her testimony;
(4) A showing that the witness will be unable or cannot be compelled to attend; and
(5) A request for an order requiring the witness to appear and testify before an officer named in the petition for that purpose.
(b) The hearing officer's order for taking of testimony by deposition from a witness residing out-of-state shall be supported by a court order. The court order shall be obtained by filing a petition in the Superior Court of Sacramento County, in accordance with Section 11189 of the Government Code.
(c) Parties requesting depositions pursuant to this section, shall be liable for actual and reasonable costs arising therefrom.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, 11182, 11184, 11189, 11190, and 11191, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50655 to Section 50755 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50756. Affidavits.
Note     •     History

(a) Any party shall mail or deliver to all other parties, at least 20 days prior to a formal hearing or a continued hearing, a copy of any affidavit to be introduced in evidence, together with a notice as provided in Subsection (b) below. Unless an opposing party, within ten days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine an affiant, the right to cross-examine such affiant is waived and the affidavit, if introduced in evidence, shall be given the same effect as if the affiant had testified orally. If an opportunity to cross-examine an affiant is not offered after request therefor is made as herein provided, the affidavit may be introduced in evidence, but shall be given only the same effect as other hearsay evidence.
(b) The notice referred to in Subsection (a) above, shall be in a form prescribed by the Department.
(c) “Affidavit” as used in this subchapter means either an affidavit under oath or an unsworn, written declaration under penalty of perjury.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11181 and 11182, Government Code.
HISTORY

1. Renumbering of former Section 50656 to Section 50756 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50757. Preparation for Formal Hearing.
Note     •     History

A party appearing at a formal hearing shall have necessary evidence and witnesses present and be ready to proceed. Two copies of any documents to be introduced in evidence shall be made available. The hearing officer, if necessary and following reasonable notice, may require the parties to submit, prior to a formal hearing, a written statement of contentions and reasons, together with any requested documents. A copy of such written statement and documents shall be provided to the parties.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, and 11182, Government Code.
HISTORY

1. Renumbering of former Section 50657 to Section 50757 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50758. Conduct of Formal Hearing.
Note     •     History

(a) Testimony shall be taken only on oath, affirmation or penalty of perjury.
(b) The proceedings at the formal hearing shall be electronically recorded or reported by phonographic reporter.
(c) Each party shall have the right to:
(1) Call and examine parties and witnesses;
(2) Introduce exhibits;
(3) Question opposing witnesses and parties on any matter relevant to the issue even though the matter was not covered in the direct examination;
(4) Impeach any witness regardless of which party first called the witness to testify;
(5) Rebut the evidence against him/her.
(d) The appellant shall not be called to testify during presentation of the Department's prima facie case pursuant to subsection (k) of this section. An appellant who declines to testify or present his/her case may be called and examined by the Department as if under cross-examination.
(e) The formal hearing need not be conducted according to technical rules relating to evidence and witnesses.
(f) Irrelevant repetitious evidence shall be excluded.
(g) Relevant evidence, including hearsay, shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions, provided:
(1) Hearsay evidence shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions;
(2) The rules of privilege shall be effective to the same extent that they are now or hereafter may be recognized in civil actions;
(3) The evidence shall be excluded if its probative value is outweighed by excessive consumption of time, undue repetition, or its prejudicial effect.
(h) The “best evidence” rule (Evidence Code Section 1500) does not apply unless:
(1) A genuine question is raised as to the authenticity of the original or the duplicate; or
(2) It would be unfair to admit the duplicate in lieu of the original.
(i) A hearing officer may question any party or witness.
(j) The hearing officer shall control the taking of evidence in a manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall set forth the order in which evidence will be received.
(k) The Department or regional center shall present its findings and evidence first at the hearing. The Department or regional center has the burden of proof of demonstrating, by a preponderance of the evidence, that the findings were correctly made. Once the Department or regional center has presented such a prima facie case, the burden of proof shifts to the appellant to demonstrate, by a preponderance of the evidence, that the appellant's position regarding disputed issues is correct.
(l) The burden of producing evidence is the obligation of introducing sufficient testamentary or demonstrative evidence to establish the existence of an alleged fact. A party who, in support of his/her position, alleges a fact which is specifically or generally disputed by the opposing party, as the burden of producing evidence as to that fact. If the party having the burden of producing evidence fails to introduce sufficient evidence, the hearing officer shall find against such party as to the existence of the particular fact alleged.
(m) The hearing shall be conducted in the English language. The proponent of any testimony to be offered by a witness who does not speak the English language proficiently shall provide an interpreter, approved by the hearing officer as proficient in the English language and the language in which the witness will testify, to serve as interpreter during the hearing. The cost of the interpreter shall be paid by the party providing the interpreter.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4629, 4635, 4648.1 and 4780.5, Welfare and Institutions Code; and Sections 11180, 11181, and 11182, Government Code.
HISTORY

1. Renumbering and amendment of former Section 50658 to Section 50758 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Editorial correction of subsection (k) (Register 2002, No. 46).
§50759. Official Notice.
Note     •     History

(a) The hearing officer shall take official notice of those matters which must be judicially noticed by a court under Section 451 of the Evidence Code. The hearing officer may take official notice of those matters set forth in Section 452 of the Evidence Code.
(b) Parties present at the formal hearing shall be informed of the matters to be noticed, and those matters shall be noted in the record, referred to therein, or appended thereto.
(c) If the hearing officer has been requested to take, or has taken, or proposes to take official notice of such matters, the hearing officer shall afford each party reasonable opportunity before closing the record, to present to the hearing officer information relevant to:
(1) The propriety of taking official notice of the matter; or
(2) The probative value to be accorded to the matter to be noticed.
(d) If the hearing officer resorts to any source of information not received at the formal hearing, including the advice of persons learned in the subject matter, such information and its source, shall be made a part of the record in the appeal and the hearing officer shall afford each party reasonable opportunity to rebut such information before official notice of the matter may be taken.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50659 to Section 50759 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50760. Continued or Further Hearings.
Note     •     History

(a) Upon the hearing officer's own motion or upon the request of a party, the hearing officer may, for good cause, continue a formal hearing to another time or place. Oral notice of the time and place of the continued formal hearing may be given to each party present at the formal hearing. Such oral notice shall be confirmed in writing by the hearing officer within five days unless waived by the parties.
(b) Upon the hearing officer's own motion or upon a written request by a party, the hearing officer may, for good cause, order a further formal hearing prior to his/her issuance of notice of dismissal or adoption of his/her proposed decision by the Director. Notice of the further formal hearing shall be mailed to the parties not less than 30 days prior to such hearing. This period may be shortened with the consent of all parties. Any party may waive notice.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50660 to Section 50760 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50761. Introduction of New Evidence.
Note     •     History

The hearing officer upon a showing of good cause consistent with Subsection 50730(f), in order to obtain new evidence necessary for the proper determination of the case, may:
(a) Continue the formal hearing and hold the record open in order to permit any party to produce additional evidence;
(b) Close the hearing and hold the record open in order to permit the introduction of additional documentary evidence. Any material submitted after the close of the formal hearing shall be served upon all parties and each party shall have reasonable opportunity for rebuttal;
(c) Order a further formal hearing if the nature of the additional evidence or the refutation thereof make a further hearing desirable. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50661 to Section 50761 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50762. Representation at a Formal Hearing.
Note     •     History

A hearing officer may refuse to allow any person to represent a party in any hearing when the person:
(a) Engages in unethical, disruptive or contemptuous conduct which impairs the appeals process; or
(b) Either intentionally and repeatedly or willfully fails to comply with the proper instructions or orders of the hearing officer or the provisions of this subchapter.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50662 to Section 50762 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50763. Oral Arguments and Briefs.
Note     •     History

(a) The formal hearing shall be an evidentiary hearing. However, the hearing officer may, in his/her discretion, permit the submission of oral or written arguments, if requested to do so by a party prior to the close of the formal hearing. The parties shall be advised as to the time and manner in which arguments are to be submitted.
(b) The hearing officer may require any party to submit memoranda or affidavits pertaining to any or all issues raised in the formal hearing.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5 Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50663 to Section 50763 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50764. Decision.
Note     •     History

(a) The hearing officer shall take the matter under submission at the conclusion of the hearing. A proposed decision, in a form that may be adopted as the decision of the Director, shall be submitted within 60 days after the close of the formal hearing record. The proposed decision shall be in writing and shall contain findings of fact, a determination of the issues presented, and an order.
(b) The Director may adopt the proposed decision in its entirety or may revise the amount due and adopt the balance of the proposed decision.
(c) If the proposed decision is not adopted under Subsection (b) above, the Director may decide the case upon his/her review of the record, including the transcript, without taking additional evidence, or may remand the matter to the same hearing officer to take additional evidence. Upon remand, the hearing officer shall prepare a proposed decision, as provided in Subsection (a) above, upon the additional evidence and the transcript and other papers, which are part of the record of the prior hearing.
(d) The decision shall be final upon adoption by the Director. Copies of the decision of the Director shall be provided to the parties; the appellant's copy shall be delivered by certified mail.
(e) If a party to a formal hearing other than the appellant fails to appear at a hearing and the hearing officer issues a decision on the merits adverse to that party's interests, the decision shall be accompanied by a statement of the party's right to make application to vacate the decision. The application shall be in writing and shall be mailed within 10 days after personal service or mailing of the decision. Upon a showing of good cause for failure to appear at the hearing, the Director may issue an order to vacate his/her decision and the matter may be set for further hearing. Lack of good cause will be inferred when a continuance of the hearing was not promptly requested by the applicant upon discovery of the reasons for failure to appear at the hearing as scheduled.
(f) The parties shall be given written notice of an order granting or denying any application to vacate a decision.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4635, 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Section 50664 to Section 50764 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Editorial correction of subsection (b) (Register 2002, No. 46).
§50765. Dismissal.
Note     •     History

(a) A dismissal may be issued by the hearing officer if an appellant fails to appear at a formal hearing. A copy of such dismissal shall be mailed to each party together with a statement of the appellant's right to reopen the hearing.
(b) The Director may vacate any dismissal if the appellant makes application in writing, within 10 days after personal service or receipt of such dismissal, showing good cause for failure to appear at the hearing. Lack of good cause will be presumed when a continuance of the formal hearing was not promptly requested by the appellant upon discovery of the reasons for his/her inability to appear at the hearing as scheduled. If a dismissal has been vacated by the Director, the hearing officer shall reschedule the hearing. Notice of the time and place of the hearing shall be sent to the parties not less than 30 days prior to the scheduled hearing date. This period may be shortened with the consent of all parties. Any party may waive notice.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50665 to Section 50765 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
§50766. Reconsideration.
Note     •     History

(a) The Director may order a reconsideration of all or part of the decision on his/her own motion or on petition of any party. The power to order a reconsideration shall expire 30 days after delivery or mailing of a decision to the appellant. The petition of a party shall be deemed denied if the Director takes no action within the time allowed for ordering reconsideration.
(b) If a reconsideration is ordered, the Director may:
(1) Issue a revised decision based upon a review of all the pertinent parts of the records and such additional evidence and arguments as he/she may permit; or
(2) Assign the case to a hearing officer for preparation of a revised decision based upon the records and such additional oral or written evidence as may be necessary. Preparation and adoption of the revised decision shall be in accordance with the procedures provided for in Section 50764.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50666 to Section 50766 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
2. Change without regulatory effect amending subsection (b)(2) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
§50767. Judicial Review.
Note     •     History

The final decision of the Director shall be subject to judicial review in accordance with the provisions of Section 1094.5 of the Code of Civil Procedure within six months after the date of mailing of the Director's final decision.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648.2 and 4780.5, Welfare and Institutions Code. Reference: Sections 4635, 4648.1 and 4780.5, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 50667 to Section 50767 filed 7-5-88; operative 8-4-88 (Register 88, No. 29).
Subchapter 8. Peer Review of Behavior Modification Interventions That Cause Pain or Trauma, and Electroconvulsive Therapy
Article 1. General Provisions
§50800. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense and words in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct; “may” denotes permissive conduct; and “should” denotes recommended conduct.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New Subchapter 8 (Articles 1-4, Sections 50800-50835, not consecutive) filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50801. Definitions.
Note     •     History

The following definitions govern the construction of sections within this subchapter unless the context requires otherwise:
(a) “Behavior modification” means an occurrence under which any person subjects a client at any time or place to stimuli, events, acts, activities, or responses that are intended to cause that client to change, adapt, or alter the occurrence or performance of his or her behavior, provided that it shall not be construed to prohibit conduct which is otherwise privileged pursuant to the provisions of Section 692 through 694 of the California Penal Code.
(b) “Behavior Modification Review Committee” means the group of persons within the developmental center or regional center appointed to review and consider for approval or denial behavior modification interventions that cause pain or trauma, in accordance with Article 3. For the purposes of these regulations, the Behavior Modification Review Committee is intended to serve as the Peer Review Committee required in Welfare and Institutions Code, Section 4505.
(c) “Behavior Modification Interventions that Cause Pain or Trauma” means every form of behavior modification, as defined in these regulations, that a Behavior Modification Review Committee determines will result in or cause the recipient to experience either pain or trauma as those terms are defined in these regulations.
(d) “Care provider” means any person, corporation, partnership, agency or other entity which directly or indirectly owns, administers, or operates a developmental center, a community care facility as defined in Sections 1502 and 1504 of the Health and Safety Code, or a health facility as defined in Section 1250 of the Health and Safety Code. Unless otherwise stated, this term also includes all agents, employees, and contractors of the care provider involved with or responsible for the provision of care to clients.
(e) “Client” means any person who is eligible for regional center services pursuant to Chapter 3, Subchapter 1 (beginning with Section 54000), and who resides in a developmental center, a licensed community care facility, or a licensed health facility, or receives services in a program described in Health and Safety Code, Section 1502.
(f) “Consent” means that the client or the client's parent/guardian/conservator has had the proposed procedure explained in terms understandable to the consentor, including prior unsuccessful interventions, the expected side effects and/or risks of the proposed procedure, and the client or the client's parent/guardian/conservator agrees in writing to the procedure. Consent may be withdrawn at any time.
(g) “Department” means the Department of Developmental Services.
(h) “Developmental Center” means a center which is operated by the State and serves persons with developmental disabilities.
(i) “Director” means the Director of the Department of Developmental Services.
(j) “Electroconvulsive Therapy” (ECT) means a treatment procedure for mental disorders in which a convulsive reaction is inducted by passing an electric current through the cerebral cortex by means of electrodes placed bilaterally or unilaterally on the patient's head. ECT is a treatment of last resort.
(k) “Electroconvulsive Therapy (ECT) Review Committee” means the group of persons appointed to review and consider for approval or denial requests to conduct ECT. For the purpose of these regulations the ECT Review Committee is intended to serve as the Peer Review Committee required in Welfare and Institutions Code, Section 4505.
(l) “Pain” means a subjectively experienced, substantially unpleasant bodily sensation; it ordinarily results from, or is induced by physiological stimuli which may include, but not be limited to injury, bodily contact, situational stress, heat, cold, noise, physical exertion, or immobilization. Typical observable responses may include, but not be limited to, evasive action, verbal exclamation or protest, escape, resistance, stiffening, grimacing, and reflexive avoidance or fainting. Some individuals may not exhibit any perceivable response.
(m) “Program” means a planned, organized approach to habilitative treatment of clients that is developed and implementated in accordance with the provisions of Article 2 (commencing with Section 4640) of Chapter 5 of Part 2 of Division 4.1 of the Welfare and Institutions Code, or with developmental center procedures subject to approval by the Department.
(n) “Qualified Professional” means a person designated to review proposed treatment plans in accordance with Article 2 of these regulations.
(o) “Regional Center” means a private nonprofit community agency that provides services for persons with developmental disabilities and their families under contract to the Department pursuant to Welfare and Institutions Code, Section 4620 et seq.
(p) “Trauma” means an occurrence under which the client experiences either:
(1) Tissue damage: or
(2) Severe and long-lasting emotional distress.
(q) “Treatment Plan” means the written description of a program containing ECT or behavior modification interventions that may cause pain or trauma, that is prepared for review and approval in accordance with this subchapter.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4503, 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50802. Limitations on Use of Behavior Modification Interventions That May Cause Pain or Trauma.
Note     •     History

All care providers shall be prohibited from using any form of behavior modification intervention that may cause pain or trauma upon the client unless this behavior modification has been developed into a program that is fully described in a treatment plan proposed by the Interdisciplinary Team and either endorsed for implementation by a qualified professional pursuant to Article 2, or approved by a Behavior Modification Review Committee pursuant to Article 3.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
Article 2. Review by Qualified Professional
§50810. Designation of Qualified Professionals.
Note     •     History

(a) Each regional center and developmental center shall designate in writing one or more persons to serve as qualified professionals to be responsible for reviewing proposed treatment plans that may cause pain or trauma in accordance with this article. Only physicians or psychologists licensed by the State Department of Consumer Affairs to practice in the State of California or other professionals whose California licensure permits the practice of behavior modification programs may be so designated. The regional center or developmental center, as appropriate, shall designate a sufficient number of qualified professionals to review all proposed treatment plans that may cause pain or trauma within a reasonable period of time following the date of the plans' submission for review.
(b) Each qualified professional designated in (a) shall possess the following minimum qualifications:
(1) One year of experience designing behavior modification programs for persons with developmental disabilities; or
(2) Two years of experience teaching behavior modification at the college level or above.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
2. Change without regulatory effect amending subsections (a) and (b)(1) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
§50811. Procedures for Review of Proposed Treatment Plans.
Note     •     History

(a) Interdisciplinary Teams intending to apply or institute any form of behavior modification interventions that may cause pain or trauma shall, prior to its implementation:
(1) Incorporate or develop the behavior modification into a complete program that is described in a proposed treatment plan as described in Section 50822;
(2) Obtain consent for the implementation of the proposed treatment plan; and
(3) Except as specified in (f), forward the proposed treatment plan and documentation of consent for review by the qualified professional designated for the client pursuant to Section 50810.
(b) The qualified professional shall:
(1) Review all treatment plans forwarded for review pursuant to this article within a reasonable time; and
(2) Enter into the client's treatment record a notation of the scope of the review that was conducted, along with the determination made concerning whether the treatment plan involves pain or trauma.
(c) Under no instance shall a qualified professional approve a treatment plan that has the potential to cause pain or trauma.
(d) Upon his/her determination that the proposed treatment plan can be approved for implementation, the qualified professional shall:
(1) Place his/her original signature and California professional license number on the treatment plan to indicate approval;
(2) Make the proper entries in the client's treatment record in accordance with subsection (b) (2); and
(3) Forward the approved plan to the client's case manager for implementation through the Individual Program Plan process. The approval shall be effective for a period not to exceed one year.
(e) Upon his/her determination that the proposed treatment plan may cause pain or trauma, the qualified professional shall:
(1) Forward the plan and a copy of the written results of his/her review to the Behavior Modification Review Committee designated by the client's regional center or developmental center, providing consent to the proposed treatment plan has been documented; or
(2) Disapprove the plan and return it to the Interdisciplinary Team which proposed the plan when consent has not been documented.
(f) When a qualified professional is a member of an Interdisciplinary Team that develops a proposed treatment plan pursuant to (a) (1), the provisions of (a) (3) and (b) shall not apply. Such qualified professional shall comply with the provisions of paragraph (C) through (e) of this section.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
Article 3. Review of Behavior Modification Treatment Plans
§50820. Establishment of Behavior Modification Review Committees.
Note     •     History

() Each regional center and developmental center shall establish one or more committees to be known as Behavior Modification Review Committees, which shall be responsible for the review and consideration for approval or denial of behavior modification interventions that may cause pain or trauma in the manner specified in this article.
(b) Each Behavior Modification Review Committee shall consist of not less than three persons. The committee shall include at least one California licensed psychologist or other professional whose California licensure permits the practice of behavior modification programs, one California licensed physician, and one Clients' Rights Advocate. The person responsible for the development or implementation, or for review under Section 50811, of the treatment plan that is before the committee for approval shall not sit on the committee for any portion of the review and approval of the treatment plan.
(c) either the physician or psychologist or other professional specified in (b) shall have at least three years experience in:
(1) The supervision of the implementation of behavior modification programs;
(2) Teaching behavior modification at the college level or above; or
(3) A combination of (1) and (2).
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50821. Procedures for Review by Behavior Modification Review Committee.
Note     •     History

(a) The Behavior Modification Review Committee shall:
(1) Complete a review, within a reasonable time, of each proposed treatment plan which has been referred to the committee pursuant to Section 50811.
(2) Upon completion of its review, send written notification to the Interdisciplinary Team which prepared the proposed treatment plan of its decision to approve or disapprove the plan.
(b) Approval of a treatment plan shall be by consensus, and documented pursuant to Section 50822.
(c) Disapproval of a treatment plan shall include the reasons for the action along with any suggested changes to the plan which could lead to subsequent approval.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50822. Criteria for Approval of Behavior Modification Programs Involving Pain or Trauma.
Note     •     History

(a) All proposed treatment plans for behavior modification which may cause pain or trauma shall:
(1) Describe the program which is proposed for implementation.
(2) Prescribe procedures for the monitoring and implementation of the behavior modification program by the Interdisciplinary Team.
(3) Identify those staff members authorized to use the approved interventions.
(4) Be accompanied by all of the following:
(A) Documentation that consent has been given for the program described in the treatment plan.
(B) A functional analysis of the target behavior(s).
(C) A history of the prior interventions that have proven unsuccessful.
(D) Evidence of a prior review for the proposed treatment plan by the client's physician, including a statement that:
1. Medical intervention to remediate the target behaviors is not an appropriate course of action; and
2. There are no medical contraindications to the proposed treatment plans.
(b) A Behavior Modification Review Committee shall approve a proposed treatment plan only after making a finding that all of the following conditions exists:
(1) All of the information specified in subsection (a) is present.
(2) The treatment Plan:
(A) Conforms to the requirements of the license of the facility in which it is to be performed.
(B) Is designed solely for the purpose of achieving the goal of enabling the client to lead a more independent, productive, and normal life as expressed in the Lanterman Developmental Disabilities Services Act (Welfare and Institutions Code, Sections 4500 et seq.)
(3) The history of prior interventions demonstrates that all less restrictive alternative methods have been tried without success.
(4) The procedures prescribed in the plan for the monitoring and implementation of the program are adequate.
(5) Each element of the behavior modification program described in the plan is technically adequate and appropriate in light of prevailing behavior modification standards within the psychological treatment profession.
(6) The potential harm from not providing each element of the program outweighs the potential harm created by implementing each element.
(7) The program will not cause irreparable harm to the client.
(c) No treatment plan shall be deemed approved by the Behavior Modification Review Committee until the committee has completed and transmitted a written notice of approval to the initiating Interdisciplinary Team that includes an express finding concerning each of the elements listed above, along with a statement of the supporting facts and reasons for each finding.
(d) Approval by the Behavior Modification Review Committee shall be effective for a period not to exceed one year.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50823. Behavior Modification Reporting Requirements.
Note     •     History

(a) Each regional center director and developmental center executive director shall prepare and submit to the Director by February 15 of each year the following annual reports from their respective Behavior Modification Review Committees:
(1) The number and type of behavior modification treatment plans approved by the Behavior Modification Review Committee during the reporting period; and
(2) The source and type of license held by each facility in which approved treatment plans were implemented during the reporting period.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
Article 4. Electroconvulsive Therapy (ECT)
§50830. Limitations on the Use of ECT.
Note     •     History

Physicians shall be prohibited from using ECT on a regional center client unless the use of ECT has been developed into a program that is fully described in a proposed treatment plan that has been approved by the ECT Review Committee pursuant to section 50833.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50831. Procedure for Seeking Approval to Use ECT.
Note     •     History

(a) All proposals to use ECT shall be developed into a program that is fully described in a treatment plan. The proposed treatment plan shall include at a minimum:
(1) A description of:
(A) The reasons for proposing the use of ECT which shall include:
(1) A list of the client behaviors, symptoms, and diagnoses leading to the decision to propose the use of ECT.
(2) The results of other, less restrictive alternative treatments used to modify these behaviors or alleviate the described symptoms.
(B) The anticipated benefits to the client of using ECT, with a statement of the probable consequences of denying the use of ECT.
(C) The number and frequency of proposed treatments, their methods of administration, and the medical support to be used during the course of treatments.
(2) The methods to be used to determine and document the results of the treatments.
(3) Consent that shall be:
(A) Limited to a specified maximum number of treatments over a maximum period of time not to exceed 30 days. Additional treatments in number or time, not to exceed 30 days, shall require a renewed written consent.
(B) Revocable at any time before or between treatments. Withdrawals of consent may be either oral or written and shall be given effect immediately.
(b) The proposed treatment plan shall be submitted in writing to the ECT Review Committee.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50832. Electroconvulsive Therapy (ECT) Review Committee.
Note     •     History

(a) The ECT Review Committee shall be established and shall consist of at least four persons, including:
(1) Two board certified psychiatrists and/or neurologists, licensed in California with experience in electroconvulsive treatment; one of whom shall be appointed by the facility and one of whom shall be appointed by the local mental health director. Neither of these physicians shall be the client's treating physicians.
(2) A representative from the Department of Developmental Services appointed by the Director who will function as a Clients Rights Advocate; and
(3) A representative from the Area Board serving the area in which the client resides, appointed by the Chairperson of the Area Board.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
2. Editorial correction amending subsection (a)(2) and restoring inadvertently omitted subsection (a)(3) (Register 2006, No. 20).
§50833. Criteria for Approval of ECT.
Note     •     History

(a) The following criteria are required, at a minimum, for approval of ECT:
(1) The ECT Review Committee shall consider for approval or denial only those proposed treatment plans which have met the requirements specified in Section 50831.
Approval is predicated upon the unanimous agreement of the ECT Review Committee with the treating physician's determinations.
(3) If the ECT Review Committee approves the proposed treatment plan, their approval shall be limited to 30 days, effective upon written notification of the committee's approval shall be limited to 30 days, effective upon written notification of the committee's approval. Further, the approval of the ECT Review Committee shall be nullified if the treatment plan is not followed exactly as written when approved.
(4) Approval of the proposed plan by the ECT Peer Review Committee shall not supersede or replace the review requirements necessary under Section 5325 et seq. of the Welfare and Institutions Code. The review of a proposal to use ECT with a person with both developmental disabilities and a mental illness that might justify the use of ECT shall be completed separately and independently by both the ECT Peer Review Committee pursuant to these regulations and the reviewing entity required by Sections 5325 et seq. of the Welfare and Institutions Code.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50834. Procedures for Review of Proposed ECT.
Note     •     History

(a) The ECT Review Committee shall complete its review of all treatment plans submitted pursuant to Section 50831 within 30 calendar days of receipt of the plans. The chairperson of the ECT Review Committee shall telephone the requesting physician and relay the committee's approval or denial of the proposed treatment plan on the day the review is completed.
(b) Written notice of the approval or denial shall:
(1) Be mailed within five working days of the telephone notice pursuant to paragraph (a).
(2) Include express findings of conformity or nonconformity to the criteria in Section 50833 with statements of reasons for each finding.
(3) Be documented in the client's treatment record.
(4) Be signed by all members of the ECT Review Committee.
(5) Be permanently attached to the treatment plan as proposed.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40).
§50835. Reporting Requirements.
Note     •     History

The physician conducting the ECT shall submit a narrative progress report within 30 days of completion of the treatment to the ECT Review Committee. The report shall include, but not be limited to, the number of treatments given and the benefits derived. This regulation shall also apply to physicians who are small businesses.
NOTE

Authority cited: Section 4505, Welfare and Institutions Code. Reference: Section 4505, Welfare and Institutions Code.
HISTORY

1. New section filed 9-29-89; operative 10-29-89 (Register 89, No. 40). 
Subchapter 9. Fair Hearings
Article 1. General Provisions and Definitions
§50900. Intent and Purpose.
Note     •     History

The intent and purpose of this subchapter is to implement, interpret, and make specific, and this subchapter shall be read in conjunction with, the statutory provisions of the Lanterman Developmental Disabilities Services Act (Division 4.5 of the Welfare and Institutions Code, commencing with Section 4700) relative to the fair hearing procedures and fair hearing rights of persons applying for or receiving services pursuant to said Act. It is the intent of this subchapter:
(a) To implement the fair hearing procedures such that resolutions of disagreements may be accomplished at the earliest opportunity.
(b) To interpret the fair hearing procedures in a manner which protects the claimant's fair hearing rights and promotes the rights of claimants to dignity, privacy, and humane care as established by the Lanterman Developmental Disabilities Services Act.
(c) To make specific the responsibilities of the claimant, service agency, and state department to conduct full and impartial fair hearings to resolve differences between service agencies and persons applying for or receiving services pursuant to the Lanterman Developmental Disabilities Services Act.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4501, 4502 and 4705, Welfare and Institutions Code.
HISTORY

1. New subchapter 9 (Articles 1-4, Sections 50900-50964, not consecutive) filed 7-15-85; effective thirtieth day thereafter (Register 85, No. 29).
§50902. Definitions.
Note     •     History

Whenever the following terms are used in Chapter 7 of Division 4.5 of the Welfare and Institutions Code (commencing with Section 4700) and in this subchapter, the following definition shall apply:
(a) “Authorized Representative” means those persons described in Section 4701.6 of the Welfare and Institutions Code, and a representative appointed by the Area Board pursuant to subsection (e) of Section 4705 of the Welfare and Institutions Code.
(b) “Business Day” or “Working Day” means any day that is not a Saturday, Sunday, or holiday as specified in Sections 6700 and 6701 of the Government Code.
(c) “Clients' Rights Advocate” means the person assigned by a service agency to be responsible for rights assurance for applicants, recipients, and persons with developmental disabilities. 
(d) “Immediately” or “Immediate” means within two (2) business days.
(e) “Recipient” means those persons described in Section 4703.5 of the Welfare and Institutions Code and persons receiving services for prevention of a developmental disability.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4701, 4702, 4702.6, 4703, 4703.5, 4703.7, 4705, 4710, 4710.5, 4710.6, 4710.7, 4710.9, 4711, 4712, 4712.2, 4715, 4726, 4727 and 4728, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect amending subsection (a) filed 4-21-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§50904. Computation of Time for Performance of Act.
Note

If the last date of the performance of any act required within a specified period of time by these regulations or the provisions of Chapter 7 of Division 4.5 of the Welfare and Institutions Code (commencing with Section 4700) is not a business day, then such period shall be extended to the next business day.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4701, 4710, 4710.5, 4710.6, 4710.7, 4710.8, 4710.9, 4712, 4712.2, 4712.5, 4713 and 4715, Welfare and Institutions Code. 
Article 2. Adequate Notice
§50920. Appeal to Be Filed with Service Agency.
Note

The portion of the adequate notice describing the fair hearing appeal procedure shall emphasize the requirement of filing a request for fair hearing with the service agency, and shall explain to the applicant, recipient, and authorized representative, if any, that the service agency will forward the request to the responsible state agency. The requirement of subsection (e) of Section 4701 of the Welfare and Institutions Code to give notice of the name and address of the responsible state agency with whom an appeal may be filed is intended solely to require the provision of information to the applicant, recipient, or authorized representative, and does not supplant the procedure described in subsections (a) and (b) of Section 4710.9 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4701(e) and (g) and 4710.9, Welfare and Institutions Code.
§50922. Notice to Clients' Rights Advocate Regarding Adult Without Conservator.
Note

If a client entitled to adequate notice is an adult, without a court-appointed conservator, the service agency shall also provide the adequate notice to the service agency's clients' rights advocate.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4710(a) and 4710.8(b), Welfare and Institutions Code.
§50924. Notice to Regional Center Director for Conservatee of Director of Developmental Services.
Note

When the Director of Developmental Services is the conservator of the person, or person and estate, of an applicant or recipient entitled to adequate notice, the conservator's notice shall be given to the director of the regional center which is delegated the responsibility and authority for serving as that applicant or recipient's conservator of the person pursuant to Section 416.19 of the Health and Safety Code and to the service agency's Client's Rights Advocate.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Section 4710(a), Welfare and Institutions Code.
Article 3. Procedures for Fair Hearings
§50930. Notice of Right to Request Consolidation.
Note

The written decision of the service agency director resulting from the informal meeting shall include in its explanation of procedures for appeal, notice of the right to request consolidation of appeals involving a common question of law or fact.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4710.7(b) and 4712.2, Welfare and Institutions Code.
§50932. Notice of and Consent to Consolidation.
Note

(a) The hearing officer shall notify a party and the authorized representative, if any, in writing that a request for consolidation of his or her appeal with another appeal has been received, and such notification shall include an explanation that consolidation may necessitate disclosure of confidential information about each claimant to other claimants and their authorized representatives.
(b) Whether or not written consent or objections to consolidation are received by the hearing officer at the time of the fair hearing, the hearing officer in all cases shall explain the claimants' rights to confidentiality pursuant to subsection (a) and obtain consent to consolidation from each claimant or authorized representative on the record prior to the taking of testimony. If a claimant, authorized representative, or service agency objects to consolidation on the record, the hearing officer shall decide whether to consolidate that case as if written objections had been submitted prior to the hearing.
(c) Any request for consolidation may constitute good cause for the hearing officer to continue a hearing beyond 30 days but no longer than 45 days from the receipt of the request for fair hearing.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4712 and 4712.2, Welfare and Institutions Code.
§50934. Claimant Objection to Authorized Representative.
Note

When the claimant objects to a person appointed by the Area Board to serve as an authorized representative, that person shall not serve as the authorized representative. The Area Board shall consult with the claimant and may appoint another person to serve as authorized representative if the claimant consents and does not personally appoint an authorized representative.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4701.6 and 4710.8(b), Welfare and Institutions Code.
§50936. Notice of Documents Provided to Hearing Officer.
Note     •     History

NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4710.9 and 4712(d), Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect repealing section filed 4-21-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 17).
§50938. Submission of Written Argument.
Note

(a) When the hearing officer determines that there are complex issues of law or fact or novel interpretations of difficult questions of law, the hearing officer may cause the record of the fair hearing to be held open for submission of written argument by either or both parties. New or additional evidence, not already entered into evidence on the record, may not be included with the written argument unless the hearing officer grants permission on the record to the belated admission of the evidence.
(b) Whenever written argument or new or additional evidence is submitted to the hearing officer pursuant to subsection (a), the submitting party shall mail or deliver a copy to the other party.
(c) Nothing herein precludes the submission of written argument at the time of the hearing.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Sections 4710.6, 4712 and 4712.5, Welfare and Institutions Code.
Article 4. Miscellaneous Provisions
§50960. Internal Grievance Procedure.
Note

The written internal grievance procedure mandated by subsection (a) of Section 4705 of the Welfare and Institutions Code shall include, but not be limited to, the rights specified in subsection (a) of Section 47106 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Section 4705(a), Welfare and Institutions Code.
§50962. Hearing Procedure in Nontechnical Language.
Note

Service agencies shall write their fair hearing procedures mandated by subsection (a) of Section 4705 of the Welfare and Institutions Code in clear and nontechnical language.
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Section 4705(a) and (c), Welfare and Institutions Code.
§50964. Regulations to Be Posted.
Note

The service agency shall prominently display a copy of these regulations on the premises of the service agency with the service agency's fair hearing procedure and the provisions of Chapter 7 of Division 4.5 of the Welfare and Institutions Code (commencing with Section 4700).
NOTE

Authority cited: Section 4705, Welfare and Institutions Code. Reference: Section 4705(c), Welfare and Institutions Code.
§50966. Receipt of Fair Hearing Request by Office of Administrative Hearings.
Note     •     History

(a) Upon receipt of a fair hearing request from a claimant, service agencies shall not have the discretion to determine the appropriateness or timeliness of the fair hearing request. All fair hearing requests received by a service agency shall be immediately forwarded to the agency designated for conducting fair hearings and, if applicable, the agency designated for conducting mediations.
(b) If a service agency believes that a fair hearing request raises issues that are not appropriately addressed through a fair hearing pursuant to Section 4700 et seq. of the Welfare and Institutions Code, or for other reasons does not comply with statutory requirements, the service agency may file a request to have the matter dismissed with the agency responsible for conducting hearings. Such dismissal requests shall state the reasons for the request.
NOTE

Authority cited: Section 4707, Welfare and Institutions Code. Reference: Sections 4710.5 and 4711.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-4-2000; operative 9-3-2000 (Register 2000, No. 31).
Article 5. Mediation
§50980. Confidentiality of Mediation.
Note     •     History

Confidentiality of mediation shall be governed by Chapter 2, Division 9 of the Evidence Code, commencing with §1115.
NOTE

Authority cited: Section 4707, Welfare and Institutions Code. Reference: Section 4711.5, Welfare and Institutions Code.
HISTORY

1. New article 5 (sections 50980-50992) and section filed 8-4-2000; operative 9-3-2000 (Register 2000, No. 31).
§50984. Continuances in Mediation.
Note     •     History

(a) The standard for granting a continuance request in mediation shall be good cause, as defined in Section 4712, Welfare and Institutions Code.
(b) A continuance granted to a claimant in mediation shall extend the timeline for rendering a final decision, should the matter proceed to hearing.
(c) The extension of time for the final decision resulting from the continuance shall only be as long as the time period of the continuance.
NOTE

Authority cited: Section 4707, Welfare and Institutions Code. Reference: Sections 4710.6(c), 4711.5 and 4712, Welfare and Institutions Code.
HISTORY

1. New section filed 8-4-2000; operative 9-3-2000 (Register 2000, No. 31).
§50988. Mediation Request Made Subsequent to Fair Hearing Request.
Note     •     History

(a) A claimant may request mediation at any time prior to five days before the first day of the fair hearing.
(b) A claimant requesting mediation after the fair hearing request has been submitted must do so in writing. Such request may be made by submitting an amended fair hearing request form.
(c) The written request for mediation shall be submitted to the service agency. The service agency shall immediately forward a copy of the written request for mediation to the agency responsible for conducting mediations, the Department, and the agency responsible for conducting fair hearings. The service agency shall have five days from the date of the written request for mediation to accept or reject mediation. Such decision shall be communicated immediately to the claimant and the agency responsible for conducting mediations.
(d) Upon receipt of the written request for mediation, the agency responsible for conducting mediations shall schedule the mediation to take place within 20 days of the date of the written request. The agency shall provide notice to the claimant and service agency regarding the time, date and location of the mediation and notice to the claimant in compliance with Section 4711 of the Welfare and Institutions Code.
(e) A mediation request made subsequent to a fair hearing request and agreed to by the service agency shall constitute good cause for continuing the fair hearing. In such instances, the timeline for scheduling the fair hearing and rendering a final decision shall be extended 20 days.
NOTE

Authority cited: Section 4707, Welfare and Institutions Code. Reference: Sections 4702.6, 4710.5, 4710.6, 4711 and 4711.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-4-2000; operative 9-3-2000 (Register 2000, No. 31).
§50992. Time and Place of Mediation; Nonadversarial.
Note     •     History

(a) The mediation shall be held at a time and place reasonably convenient to the claimant.
(b) Mediation shall be conducted in a nonadversarial manner. Witnesses and other forms of evidence, other than to explain one party's position to the other, shall not be presented in mediation.
NOTE

Authority cited: Section 4707, Welfare and Institutions Code. Reference: Section 4711.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-4-2000; operative 9-3-2000 (Register 2000, No. 31).
Chapter 2. Early Intervention Services
Subchapter 1. General Provisions
Article 1. Definitions
§52000. Meaning of Words.
Note     •     History

(a) Words shall have their usual meaning unless the context of a definition clearly indicates a different meaning. Words used in their present tense include the future tense; words in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct; “may” denotes permissive conduct.
(b) The following definitions shall apply to the words used in this subchapter:
(1) Acidemia means an excessive acidity of the blood wherein the acid-base balance of the body is disturbed.
(2) Adaptive development means the acquisition of skills that are required to meet environmental demands. Adaptive development includes, but is not limited to, activities of self-care, such as dressing, eating, toileting, self-direction, environmental problem-solving and attention/arousal.
(3) Asphyxia neonatorum means a condition caused by insufficient oxygen at or near the time of birth.
(4) Assessment means the ongoing procedures used by qualified personnel throughout the period of an infant's or toddler's eligibility for early intervention services to identify the infant's or toddler's unique strengths and needs and the services appropriate to meet those needs. Assessment also includes the identification of the family's resources, priorities, and concerns regarding the development of the infant or toddler and the supports and services necessary to enhance the family's capacity to meet the developmental needs of the eligible infant or toddler.
(5) Authorized representative means the parent or guardian of a minor, or person who is legally entitled to act on behalf of the infant, toddler or family.
(6) Biomedical insult is a general term referring to those biological or medical conditions such as infection or brain injury which may result in developmental delay or disability.
(7) Cognitive development means the acquisition of learning through ongoing interactions with the environment. Cognitive development involves perceiving, thinking, problem solving and remembering information.
(8) Communication development means the acquisition of expressive and/or receptive language skills which include understanding and/or using any of the following: gestures, facial expressions, speech reading, sign language, body postures and vocal and visual contacts with another person.
(9) Complainant means any individual or organization filing a written complaint pursuant to the provisions of Subchapter 5, Article 3.
(10) Concerns means areas that family members identify as needs, issues or problems they want to address as part of the individualized family service plan (IFSP) or the evaluation and assessment process which are related to meeting the developmental needs of the infant or toddler.
(11) Day means calendar day unless otherwise stated.
(12) Early intervention services means those services designed to meet the developmental needs of each eligible infant or toddler and the needs of the family related to the infant's or toddler's development. The services include but are not limited to assistive technology; audiology; family training; counseling and home visits; health services; medical services only for diagnostic or evaluation purposes; nursing services; nutrition services, occupational therapy; physical therapy; psychological services; service coordination; social work services; special instruction; speech and language services; transportation and related costs; and vision services. Early intervention services may include such services as respite and other family support services.
(13) Evaluation means procedures used by qualified personnel to determine an infant's or toddler's present level of development.
(14) Exception circumstances means events beyond the control of the regional center or local education agency (LEA). These include but are not limited to the infant's or toddler's or parent's illness, the infant's or toddler's and parent's absence from the geographical area, inability to locate the parent, or a natural disaster. Delays caused by the failure to obtain copies of existing records or other administrative events do not constitute exceptional circumstances.
(15) Family means the primary caregivers and others who assume major long-term roles in an infant's or toddler's daily life.
(16) Fine motor means the use of muscles that control small and detailed movements of the body, as an example, in the hand related to manual dexterity and coordination.
(17) Funded Capacity means the number of eligible infants, between 12 and 16 students per instructional unit, that the California Department of Education requires LEAs to serve to maintain funding for their classes/programs/services in a given year pursuant to Education Code section 56728.8 as it read on November 1, 1993.
(18) Gross motor means the use of large muscle groups of the body, arms, or legs, as in sitting up, walking, or balancing.
(19) Health status means a description of the physical and mental condition of an infant or toddler. Health status may include current diagnoses, medications, required regular medical procedures, current medical supplies and technological devices, primary and specially care providers, and immunization status, nutrition and oral health.
(20) Hearing impairment means a condition, whether permanent or fluctuating, which impairs the processing of linguistic information through hearing, even with amplification, and which adversely affects an infant's or toddler's development. Processing linguistic information includes speech and language reception and speech and language discrimination.
(21) Hyperbilirubinemia means a condition in which an excessive amount of bilirubin, a bile pigment released from the breakdown of red blood cells, is in the blood.
(22) Hypertonia means a condition of excessive tone or tension in the skeletal muscles.
(23) Hypotonia means a condition of diminished tone of the skeletal muscles.
(24) Hypoglycemia means a condition in which the blood sugar is abnormally low.
(25) Immediate need means a situation in which an infant or toddler requires early intervention services without delay pursuant to a physician's order or written determination by the multidisciplinary team specifying consequences of a delay in the provision of services.
(26) Individual program plan (IPP) means a plan developed for persons with developmental disabilities to describe the provisions of services and supports to meet the written goals and objectives pursuant to Welfare and Institutions Code sections 4646-4648.
(27) Individualized education program (IEP) means a written statement that is developed and implemented pursuant to Title 20 United States Code Section 1401(b)(20).
(28) Individualized family service plan (IFSP) means a written plan for providing early intervention services to infants or toddlers and their families who have been determined eligible for early intervention services. The plan must: (A) Be developed in accordance with Sections 52100 through 52110; and, (B) Be based on the evaluation and assessment processes described in Sections 52082 though 52086 of these regulations.
(29) Informed clinical opinion means the judgment of a qualified professional who is a member of the multidisciplinary team. Informed clinical opinion is based on but is not limited to opinions derived from: a review of records, parental and professional observation of the infant or toddler, and professional knowledge.
(30) Language of the parent's choice means a primary written or oral language or mode of communication that the family chooses as a means of communication. Language of the parent's choice may be the native language. If the parent is deaf or blind or has no written language, the mode of communication shall be that normally used by the parent such as sign language, braille, or oral communication.
(31) Local education agency (LEA) means the school district in which the infant or toddler resides or the county office of education or the special education local plan area (SELPA) that is responsible for providing early intervention services to infants and toddlers with disabilities.
(32) Low incidence disability means a severe disabling condition with an expected incidence rate of less than one percent of the total statewide enrollment in kindergarten through grade 12. For purposes of this definition, severe disabling conditions are hearing impairments, vision impairments, and severe orthopedic impairments, or any combination thereof.
(33) Mediation means a voluntary resolution process in which an impartial third party may assist the disagreeing parties to resolve issues prior to a due process hearing.
(34) Multidisciplinary team means two or more individuals of various disciplines or professions, and the parent, who participate in the provision of integrated and coordinated services, including evaluation, assessment, and IFSP development.
(35) Natural environments means settings that are natural or typical for the infant or toddler's age peers who have no disability including the home and community settings in which children without disabilities participate.
(36) Parent means:
(A) A natural or adoptive parent of a child;
(B) A guardian;
(C) A person acting in place of a parent (such as a grandparent or stepparent with whom the child lives, or a person who is legally responsible for the child's welfare);
(D) A surrogate parent who has been assigned in accordance with 34 CFR 303.406 and 17 CCR 52175 of these regulations; or
(E) A foster parent, when:
1. The foster parent has no interest that would conflict with the interests of the child,
2. The natural parents' authority to make the decisions required of parents has been limited or relinquished under State law, and
3. The foster parent is willing to make the decisions required of parents.
(37) Payor of last resort means the regional center or LEA that is required to pay for early intervention services listed on the IFSP when third party payers or other agencies do not have an obligation to pay as required by 34 CFR 303.527.
(38) Personally identifiable means information that includes:
(A) The full name of the infant or toddler, infant's or toddler's parent, or other family member;
(B) The address of the infant or toddler;
(C) A personal identifier, such as the infant's, toddler's or parent's social security number; or
(D) A list of personal characteristics or other information that would make it possible to identify the infant or toddler with reasonable certainty.
(39) Physical development means the acquisition of fine and gross motor skills involved in functional movement. Physical development includes vision, hearing and health status.
(40) Priorities means a family's choice for the focus of early intervention services as well as for the ways in which early intervention services will be incorporated into the family's day-to-day organization, routine and planning.
(41) Qualified means that a person meets state certification, licensing, credentialing, registration, or other comparable requirements for the area in which he or she is providing early intervention services, or, in the absence of such approved or recognized requirements, meets the Department of Developmental Services or California Department of Education requirements.
(42) Record means the documentation in the infant's or toddler's regional center client file and/or the LEA's cumulative file.
(43) Regional center means a diagnostic, counseling and service coordination center for persons with developmental disabilities and their families which is established and operated pursuant to Chapter 5 of Division 4.5 of the Welfare and Institutions Code, Sections 4620 through 4669, by a private nonprofit community agency/corporation acting as a contractor for the Department of Developmental Services.
(44) Referral means the receipt of oral or written information that causes a record to be opened for an infant or toddler who may be eligible for early intervention services.
(45) Resources means the strengths, abilities, formal and informal supports of the family available to meet the developmental needs of the infant or toddler.
(46) Severe orthopedic impairment means a condition which adversely affects an infant's or toddler's development. Such orthopedic impairments include impairments caused by congenital anomaly, impairments caused by disease and impairments from other causes which may affect functional movement and/or growth.
(47) Social or emotional development means the acquisition of capacities for human relationships, emotional expression, communication and learning. Social or emotional development is based on the motivation to engage in positive interaction and to sustain personal relationships and precedes the development of effective coping skills, self esteem and the ability to take advantage of opportunities for learning. Differences in temperament, self regulation, range and intensity of affect and modulating one's response to the environment are additional factors influencing social or emotional development.
(48) Solely low incidence disability means one or a combination of low incidence disabilities which are vision impairment, severe orthopedic impairment, and hearing impairment which is the primary disability and has a significant impact on learning and development of the infant or toddler as determined by the IFSP team of the LEA. The infant or toddler who has a solely low incidence disability shall not be eligible for services from a regional center.
(49) Teratogen means an agent or factor that causes the production of physical defects in the developing embryo.
(50) Vision impairment means a visual condition which, even with correction, adversely affects the infant's or toddler's development.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 95014 and 95028, Government Code; Sections 3001(y) and 3030, Title 5 California Code of Regulations; Sections 1432, 1436 and 1440, Title 20 United States Code; Sections 303.12, 303.16, 303.17, 303.18, 303.19, 303.21, 303.321, 303.322, 303.340, 303.342, 303.343, 303.344, 303.345, 303.401, 303.402, 303.403, 303.406,  303.420, 303.511 and 303.527 Title 34 Code of Federal Regulations.
HISTORY

1. New subchapter 1, article 1 (section 52000) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Change without regulatory effect adding chapter 2 heading filed 8-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
3. Editorial correction of subsections (b)(24), (b)(27) and (b)(47) (Register 98, No. 5).
4. New chapter 2, subsection 1, article 1 (section 52000) and section, including amendment of subsection (b)(27) and Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
5. New chapter 2, subchapter 1, article 1 (section 52000) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-1-98 order, including amendment of section and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
7. Amendment of subsection (b)(36), new subsections (b)(36)(A)-(b)(36)(E)3., and amendment of Note filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
Article 2. Eligibility for California's Early Start Program
§52020. General.
Note     •     History

An infant or toddler shall be eligible for early intervention services if he or she is between birth up to thirty-six months of age and meets one of the criteria specified in Section 52022 as determined by means of evaluation pursuant to Section 52082 of these regulations and needs early intervention services.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1432(5), Title 20 United States Code; Sections 95014(a) and 95016, Government Code; and Section 303.16, Title 34 Code of Federal Regulations.
HISTORY

1. New article 2 (sections 52020-52022) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 52020-52022) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 52020-52022) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52022. Eligibility Criteria.
Note     •     History

(a) Developmental Delay
A developmental delay exists if there is a significant difference pursuant to 52082 between the infant's or toddler's current level of functioning and the expected level of development for his or her age in one or more of the following developmental areas:
(1) Cognitive;
(2) Physical: including fine and gross motor, vision, and hearing;
(3) Communication;
(4) Social or emotional;
(5) Adaptive.
(b) Established Risk
(1) An established risk condition exists when an infant or toddler has a condition of known etiology which has a high probability of resulting in developmental delay; or
(2) An established risk condition exists when an infant or toddler has a solely low incidence disability.
(c) High Risk for Developmental Disability
(1) High risk for a developmental disability exists when a multidisciplinary team determines that an infant or toddler has a combination of two or more of the following factors that requires early intervention services based on evaluation and assessment pursuant to section 52082 and section 52084:
(A) Prematurity of less than 32 weeks gestation and/or low birth weight of less than 1500 grams.
(B) Assisted ventilation for 48 hours or longer during the first 28 days of life.
(C) Small for gestational age: below the third percentile on the National Center for Health Statistics growth charts.
(D) Asphyxia neonatorum associated with a five minute Apgar score of 0 to 5.
(E) Severe and persistent metabolic abnormality, including but not limited to hypoglycemia, acidemia, and hyperbilirubinemia in excess of the usual exchange transfusion level.
(F) Neonatal seizures or nonfebrile seizures during the first three years of life.
(G) Central nervous system lesion or abnormality.
(H) Central nervous system infection.
(I) Biomedical insult including, but not limited to, injury, accident or illness which may seriously or permanently affect developmental outcome.
(J) Multiple congenital anomalies or genetic disorders which may affect developmental outcome.
(K) Prenatal exposure to known teratogens.
(L) Prenatal substance exposure, positive infant neonatal toxicology screen or symptomatic neonatal toxicity or withdrawal.
(M) Clinically significant failure to thrive, including, but not limited to, weight persistently below the third percentile for age on standard growth charts or less than 85% of the ideal weight for age and/or acute weight loss or failure to gain weight with the loss of two or more major percentiles on the growth curve.
(N) Persistent hypotonia or hypertonia, beyond that otherwise associated with a known diagnostic condition.
(2) High risk for a developmental disability also exists when a multidisciplinary team determines that the parent of the infant or toddler is a person with a developmental disability and the infant or toddler requires early intervention services based on evaluation and assessment as specified in section 52082 and section 52084.
(d) A developmental delay shall not be determined based on:
(1) Temporary physical disability;
(2) Cultural or economic factors;
(3) The normal process of second language acquisition; or
(4) Manifestation of dialect and sociolinguistic variance.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1432(5), 1432(3) and 1435(a)(1), Title 20 United States Code; Sections 303.10, 303.16 and 303.300, Title 34 Code of Federal Regulations; Sections 95014 and 95028(b)(2), Government Code; and Section 4642, Welfare and Institutions Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of section and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Subchapter 2. Program and Service Components
Article 1. Child Find & Referral
§52040. Child Find.
Note     •     History

(a) Regional centers and LEAs shall conduct child find activities to locate all infants and toddlers who may be eligible for early intervention services.
(b) Child find activities may include:
(1) Assigning liaisons to local hospitals and hospitals with neonatal intensive care units;
(2) Contacting local parent organizations and support groups;
(3) Distributing early intervention materials to agencies and individuals providing medical, social and educational services in the community;
(4) Community-wide health and developmental screening;
(5) Producing and distributing public service announcements;
(6) Producing pamphlets, brochures and other written communication; and,
(7) Making presentations to local professional groups, philanthropic organizations and other organizations established to inform and/or to serve culturally diverse populations.
(c) Regional centers and LEAs shall coordinate local child find activities with each other and other public agencies.
(d) Primary referral sources include but are not limited to hospitals, including prenatal and postnatal care facilities, physicians, parents, child care programs, LEAs, public health facilities, other social services agencies and other health care providers.
(e) Regional centers and LEAs shall inform primary referral sources of the:
(1) Eligibility criteria for early intervention services;
(2) Types of early intervention services available through the Early Start Program;
(3) Contact persons and telephone numbers for regional centers and LEAs; and,
(4) Federal requirement that a referral shall be made to the regional center or LEA within two (2) working days of identification of an infant or toddler who is in need of early intervention services.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1435(a)(5), Title 20, United States Code; Section 303.321, Title 34 Code of Federal Regulations; and Section 95022(b) and (e), Government Code.
HISTORY

1. New subchapter 2, article 1 (sections 52040-52060) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (b) (Register 98, No. 5).
3. New subchapter 2, article 1 (sections 52040-52060) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New subchapter 2, article 1 (sections 52040-52060) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (d) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52060. Referral.
Note     •     History

The regional center or LEA that receives an oral or written referral for early intervention services shall ensure that:
(a) The date of the referral is documented in the infant's or toddler's record;
(b) A service coordinator is assigned pursuant to Section 52120 of these regulations; and,
(c) Written notice is provided and consent is requested pursuant to Section 52161 and 52162 of these regulations.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 303.321(d), Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Article 2. Evaluation and Assessment
§52082. Procedures for Evaluation to Determine Eligibility.
Note     •     History

(a) The determination of eligibility for an infant or toddler shall be made by qualified personnel of the regional center or LEA. The determination shall be made with the participation of the multidisciplinary team including the parent.
(b) Evaluation to determine eligibility shall be based on informed clinical opinion and include:
(1) A review of pertinent records related to the infant or toddler's health status and medical history provided by qualified health professionals who have evaluated or assessed the infant or toddler;
(2) Information obtained from parental observation and report; and,
(3) Evaluation by qualified personnel of the infant's or toddler's level of functioning in each of the following areas:
(A) Cognitive development;
(B) Physical and motor development, including vision and hearing;
(C) Communication development;
(D) Social or emotional development; and,
(E) Adaptive development.
(c) No single procedure shall be used as the sole criterion for determining an infant's or toddler's eligibility.
(d) Standardized tests or instruments may be used as part of the evaluation specified in 52082(b) above, and, if used, they shall:
(1) Be selected to ensure that, when administered to an infant or toddler with impaired sensory, motor or speaking skills, the tests produce results that accurately reflect the infant's or toddler's aptitude, developmental level, or any other factors the test purports to measure and not the infant's or toddler's impaired sensory, motor or speaking skills unless those skills are the factors the test purports to measure;
(2) Be validated for the specific purpose for which they are used.
(e) If standardized, normed or criterion referenced instruments are used as part of the evaluation specified in 52082(b) above, a significant difference between an infant's or toddler's current level of functioning and the expected level of development for his or her age shall be established when an infant's or toddler's age equivalent score falls one third below age expectation.
(f) Procedures and materials for evaluation and assessment of infants and toddlers shall be selected and administered so as not to be racially or culturally discriminatory.
(g) Infants or toddlers with solely low incidence disabilities shall be evaluated and assessed by qualified personnel of the LEA whose professional preparation, license or credential authorization are specific to the suspected disability.
(h) Regional centers, LEAs and multidisciplinary teams shall not presume or determine eligibility, including eligibility for medical services provided through the Department of Health Care Services, for any other state or local government program or service when conducting evaluations or assessments of an infant or toddler or their family.
(i) Evaluations for eligibility shall be conducted in natural environments whenever possible.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 303.300(b) and (c), 303.322, 303.344 and 303.323(b) and (c), Title 34 Code of Federal Regulations; and Sections 95014(a)(1) and 95016, Government Code.
HISTORY

1. New article 2 (sections 52082-52086) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsections (b) and (d)(2)(B) (Register 98, No. 5).
3. New article 2 (sections 52082-52086) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New article 2 (sections 52082-52086) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of section and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
6. Amendment of section heading and subsection (b) and new subsection (i) filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
7. Change without regulatory effect amending subsection (h) filed 9-24-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 39).
§52084. Assessment for Service Planning.
Note     •     History

(a) Assessment for service planning for eligible infants or toddlers shall identify all of the following:
(1) The infant or toddler's unique strengths and needs in each of the five areas specified in Section 52082(b)(3);
(2) Early intervention and other services appropriate to meet the needs identified in (a)(1) of this subsection; and
(3) If the family consents to a family assessment, the resources, priorities and concerns of the family and the supports and services necessary to enhance the family's capacity to meet the developmental needs of an infant or toddler with a disability.
(b) For purposes of service planning, regional centers and LEAs may use existing evaluation materials if the multidisciplinary team agrees that the existing materials adequately describe the levels of development and service needs for the infant or toddler.
(c) Assessment for service planning shall be based on age appropriate methods and procedures which may include any of the following:
(1) A review of information related to the infant's or toddler's health status and medical history provided by qualified health professionals who have evaluated or assessed the infant or toddler;
(2) Developmental observations by qualified personnel and the parent;
(3) Other procedures used by qualified personnel to determine the presence of a developmental delay, established risk condition, or high risk for a developmental disability; and
(4) Standardized tests or instruments.
(d) Assessments of family resources, priorities and concerns related to enhancing the development of the infant or toddler shall be voluntary on the part of the family. The family assessment shall:
(1) Be conducted by qualified personnel trained to utilize appropriate methods and procedures;
(2) Be based on information provided by the family through a personal interview;
(3) Incorporate the family's description of its resources, priorities and concerns related to enhancing the development of the infant or toddler; and,
(4) Be conducted in the language of the family's choice or other mode of communication unless it is not feasible to do so.
(e) Assessments for service planning shall be conducted in natural environments whenever possible.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections Sections 1435(a)(3) and 1436(a)(1), Title 20 United States Code; Section 303.322, Title 34 Code of Federal Regulations; and Sections 95014 and 95016, Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (a)(3), repealer and new subsection (b), and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
5. Amendment of subsection (e) filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
§52086. Time Lines for Completion of Evaluation and Assessment.
Note     •     History

(a) Except as provided in subsection (b), the initial evaluation and assessment for eligibility for each infant or toddler shall be completed within 45 days of the date that the regional center or LEA received the referral.
(b) In the event of exceptional circumstances which make it impossible to complete the initial evaluation and assessment for eligibility within 45 days of receiving a referral, the service coordinator shall:
(1) Document the exceptional circumstances in the infant's or toddler's record;
(2) Inform the parent of the reasons for the delay;
(3) Inform the parent of an alternative time line which includes a specific date for completing the evaluation as soon as possible; and,
(4) Document that the parent has been informed and is in agreement with the reasons documented for the extension beyond 45 days.
(c) If an infant or toddler has been determined eligible but the assessment required in Section 52082 has not been completed within 45 days of receiving a referral because of exceptional circumstances, the service coordinator shall:
(1) Document the exceptional circumstances in the infant's or toddler's record;
(2) Inform the parent of the reasons for the delay;
(3) Develop an interim IFSP pursuant to Section 52107 of these regulations; and,
(4) Provide the services agreed upon in the interim IFSP.
(d) At the parent's signed request, regional centers or LEAs may extend the 45 day time line for completion of evaluation and assessment. The request for an extension shall be documented in the infant's or toddler's record.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1435(a)(3), Title 20 United States Code; Sections 303.322(d), 303.322(e) and 303.345(b), Title 34 Code of Federal Regulations; and Sections 95016(b) and 95020(b), Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (b)(3) (Register 98, No. 5).
3. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of subsections (a) and (b)(4) and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Subchapter 3. Individualized Family Service Plan
Article 1. General
§52100. Individualized Family Service Plan (IFSP).
Note     •     History

Regional centers and/or LEAs shall ensure that a written IFSP is developed for providing early intervention services. The IFSP shall address the infant's or toddler's developmental needs and the needs of the family related to meeting the developmental needs of the infant or toddler. An IFSP shall be developed and implemented for each infant or toddler who has been evaluated, assessed and determined to be eligible for early intervention services.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1435(a)(4) and 1436(a)(2), Title 20 United States Code; Sections 303.14, 303.340 and 303.342, Title 34 Code of Federal Regulations; and Section 95020, Government Code.
HISTORY

1. New subchapter 3, article 1 (section 52100) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New subchapter 3, article 1 (section 52100) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New subchapter 3, article 1 (section 52100) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Article 2. Content and Procedures for the IFSP
§52102. Procedures for IFSP Development, Review and Evaluation.
Note     •     History

(a) An initial IFSP shall be developed by the regional center and/or LEA for each eligible infant or toddler, who has been evaluated and assessed, within 45 days of the receipt , by either the regional center or LEA, of the oral or written referral except as provided for in Section 52107 of these regulations.
(b) A periodic review of the IFSP for an infant or toddler and the infant's or toddler's family shall be conducted every six months, or more frequently if service needs change, or if the parent requests such a review.
(c) Documentation of each periodic review of the IFSP by the service coordinator shall include:
(1) The degree to which progress toward achieving the outcomes is being made; and
(2) All modifications or revisions of the outcomes or services as necessary.
(d) The periodic review of the IFSP may be carried out by a meeting or by another means that is acceptable to the parent and other participants.
(e) An annual meeting to review the IFSP shall be conducted to document the infant's or toddler's progress and revise its provisions and shall include team members as specified in Section 52104 of these regulations.
(f) Information obtained from ongoing assessment shall be used in reviewing and revising outcomes and determining the appropriate services that will be provided or continued.
(g) All IFSP meetings shall be conducted:
(1) In settings and at times or by means that are reasonably convenient to the parent; and
(2) In the language of parent's choice unless it is clearly not feasible to do so.
(h) Meeting arrangements shall be made with, and written notice provided to, the parent and other members of the multidisciplinary team in a timely manner to ensure attendance at the IFSP meeting pursuant to the general notice requirements contained in Section 52161 of these regulations.
(i) The contents of the initial and annual IFSP and changes to the IFSP resulting from the periodic review shall be fully explained and a legible copy of the document given to the parent. Written consent from the parent shall be obtained prior to the provision of early intervention services described in the IFSP as required in Section 52162(a) of these regulations.
(j) If the parent does not provide consent with respect to a particular early intervention service listed in the IFSP or withdraws consent after first providing it, that service shall not be provided. The early intervention services to which parental consent is obtained shall be provided.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1435(a)(4) and 1436, Title 20 United States Code; Sections 303.340, 303.342, 303.343, 303.344 and 303.403, Title 34 Code of Federal Regulations; and Section 95020(b), Government Code.
HISTORY

1. New article 2 (sections 52102-52110) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 52102-52110) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 52102-52110) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsections (a), (h) and (i) and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52104. Participants in Initial and Annual IFSP Meetings and Periodic Reviews.
Note     •     History

(a) Each initial IFSP meeting and each annual IFSP meeting shall include the following participants:
(1) The parent of the infant or toddler;
(2) The service coordinator who has been working with the family since the initial referral of the infant or toddler for evaluation and assessment or who has been designated by the regional center or LEA to be responsible for implementation of the IFSP; and,
(3) The person(s) who conducted the evaluations or assessments.
(b) If requested by the parent, each initial IFSP meeting and each annual IFSP meeting shall include the following participants:
(1) Other family members; and
(2) An advocate or person outside of the family.
(c) Each IFSP meeting shall include persons who will be providing services to the infant or toddler and family, as appropriate.
(d) Each periodic review of the IFSP shall include:
(1) The parent;
(2) The service coordinator;
(3) Service providers as appropriate; and,
(4) Other family members, an advocate or person outside of the family upon parent request.
(e) If either the evaluators or assessors are unable to attend an initial, or annual IFSP meeting, arrangements shall be made for the person's involvement through other means, including:
(1) Participating in a telephone conference call;
(2) Having a knowledgeable representative attend an IFSP meeting; and
(3) Making pertinent records available at the IFSP meeting.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1435(b)(4) and 1436(b), Title 20 United States Code; Section 95020(e), Government Code; and Section 303.343, Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (e) and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52106. Content of IFSP.
Note     •     History

(a) For purposes of this Section:
(1) Duration means the period between the initiation date of services and the ending date of services in the IFSP.
(2) Frequency means the number of days or sessions that a service will be provided during a specified period of time, such as, two times each week or four times each month.
(3) Initiation means the beginning date of the service.
(4) Intensity means the length of time the service is provided during each session, and whether the service is provided in a group or individual setting.
(5) Location means the environment where early intervention services are provided. 
(6) Method means how a service is provided by qualified persons to accomplish a specified outcome.
(b) The IFSP shall include the following:
(1) With the agreement of the parent, a statement of the family's resources, priorities, and concerns related to enhancing the development of the infant or toddler;
(2) A statement, based on evaluation and assessment information, of the infant's or toddler's present levels of:
(A) Physical development including fine and gross motor development, vision, hearing, and health status;
(B) Cognitive development;
(C) Communication development;
(D) Social or emotional development; and,
(E) Adaptive development;
(3) The statement of present levels of development required in subsection (b)(2) of this section shall be based on evidence that can be measured or observed by a qualified professional;
(4) A statement of the developmental outcomes expected for the infant or toddler and the criteria, procedures, and time lines used to determine the degree to which progress toward achieving outcomes is being made. Such outcomes shall be based on the identified needs of the infant or toddler and family pursuant to assessment;
(5) A statement about the outcomes for the family when services for the family are related to meeting the special developmental needs of the infant or toddler;
(6) Statements of the specific early intervention services necessary to meet the unique needs of the infant or toddler and the family to achieve the outcomes including:
(A) The frequency, intensity, and method of delivering the services;
(B) The location where the services will be delivered;
1. The statements of location shall specify the natural environments such as home, child care, school program, or private program where early intervention services shall be provided; and
2. The statement shall include a justification of the extent, if any, to which the services will not be provided in a natural environment.
(C) The projected date for initiation of each service;
(D) The anticipated duration of the services;
(E)  The scheduled days when services/programs will not be available when the service provider operates a program which has a fixed schedule which includes breaks in service for periods such as holidays or vacations; and
(F) The name of the regional center, LEA or service provider providing each early intervention service;
(7) The funding source for other or non-required services provided by any entity other than regional centers or LEAs including the procedures that will be followed to obtain such funding;
(8) The name of the service coordinator; and,
(9) A statement of the transition steps, which are initiated when the toddler is two years nine months, or at the discretion of all parties, up to six months before the toddler turns three years old, that are necessary to ensure the transition of the toddler to:
(A) Preschool services under Part B of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1400-1420, if the toddler with a disability is eligible; or
(B) Other public and private services that may be needed by the toddler pursuant to Section 52112 of these regulations.
(c) Regional centers and LEAs shall not place an infant or toddler on a waiting list for early intervention services required by the IFSP.
(d) Regional centers and LEAs shall arrange, provide or purchase early intervention services required by the IFSP as soon as possible.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1400-1420 and 1436(d), Title 20 United States Code; Sections 303.12 and 303.344, Title 34 Code of Federal Regulations; and Section 95020, Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Change without regulatory effect amending subsections (a)(4) and (b)(9) filed 8-7-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 32).
3. Editorial correction of subsections (b)(6)(C) and (b)(6)(E) (Register 98, No. 5).
4. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-1-98 order, including amendment of subsections (a)(2), (a)(5), (a)(6), (b)(6)(E) and (b)(9), new subsections (b)(6)(B)1. and 2., and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52107. Interim IFSP.
Note     •     History

(a) An interim IFSP may be developed for an infant or toddler, who has been determined eligible for early intervention services. The early intervention services may begin before the completion of the assessment if there is an immediate need to provide services and the infant's or toddler's parent has given written consent.
(b) The interim IFSP shall include:
(1) Time lines for completing assessments;
(2) The name of the service coordinator responsible for completion of evaluation and assessment within the 45 day timeline and implementation of the interim IFSP;
(3) The services agreed upon at the interim IFSP meeting as necessary for the infant or toddler.
(c) An interim IFSP meeting shall provide for the participation of the parent and the service coordinator and the persons responsible for the assessment at a minimum pursuant to Section 52104(a) of these regulations. Provisions shall be made for the participation of other family members, an advocate or person outside of the family at the parent's request.
(d) The immediate need, the early intervention services needed and the name of the service coordinator must be documented in the infant's or toddler's interim IFSP.
(e) The existence of an interim IFSP does not absolve the regional center or LEA from complying with the 45 day time period to complete the initial assessment in all five areas of development.
(f) An interim IFSP developed to meet an immediate need shall be followed by an IFSP meeting within the 45-day period that commenced with the referral except as provided for in Section 52086(d) of these regulations.
(g) An interim IFSP may be developed for an infant or toddler who has been determined eligible when exceptional circumstances prevent the completion of assessment within 45 days.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 303.322(e)(2)(ii) and 303.345, Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (b)(2) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52108. Designation of Services on the IFSP.
Note     •     History

(a) Each service on the IFSP shall be designated as one of the following:
(1) A required early intervention service. These services shall be provided, purchased or arranged by a regional center or LEA; or
(2) Other public programs providing services that may benefit the infant, toddler and/or family which the eligible infant or toddler or his or her family may be eligible to receive, subject to the statutory, regulatory and other program criteria of those programs or agencies. These services may include but not be limited to: residential care; family reunification services, Head Start, Supplemental Security Income; Supplemental Security Programs; Temporary Assistance to Needy Families and food stamps; Medi-Cal; or
(3) A referral to a community service that may be provided to an eligible infant or toddler or his or her family but is not required under the California Early Intervention Services Act, Government Code Sections 95000-95030.
(A) A non required service includes but is not limited to: employment; child care; housing; medical services such as surgery, or medication, hospitalization, medical devices necessary to control or treat a medical condition, or immunizations, well-baby care, income  support, family or marital counseling unrelated to the infant or toddler's development, and substance abuse counseling.
(B) The IFSP shall, to the extent appropriate, include the steps and time lines for the service coordinator to assist the parent to secure those services through public or private sources.
(b) The receipt of required early intervention services listed on the IFSP, pursuant to Section 52108(a)(1) of these regulations, from other state or federal agencies such as California Children Services, is dependent on the infant or toddler and the infant's or toddler's parent meeting the statutory, regulatory, and other program criteria of the agency and/or program that provides those services. These criteria may include financial eligibility and medical condition eligibility as diagnosed by program certified personnel, and on the availability of funding for the program.
(1) In the event that the infant or toddler or infant's or toddler's parent is not eligible to receive those agency services, or funding for the program is unavailable, the required early intervention services shall be provided by the regional center or the LEA.
(2) The parent shall be informed in writing of this provision during the initial 45 day evaluation and assessment period and/or during the IFSP meeting.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1435(a)(4), Title 20 United States Code; Sections 303.12, 303.522 and 303.527(c), Title 34 Code of Federal Regulations; and Section 95020(d), Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (a)(2) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52109. Basis for the Provision of and Payment for Services Through Regional Centers.
Note     •     History

(a) Regional centers shall provide, arrange, or purchase early intervention services, as required by the infant's or toddler's IFSP, and be payor of last resort for infants and toddlers determined eligible for early intervention services as:
(1) Developmentally delayed pursuant to 52022(a);
(2) Established risk pursuant to 52022(b)(1); or
(3) High risk for developmental disability pursuant to 52022(c).
(b) Regional centers shall be the payor of last resort after all other public sources for payment have been reviewed to determine if a referral shall be made by the service coordinator and/or the parent. Referrals may include but not be limited to California Children Services, Medi-Cal, or other public agencies that may have responsibility for payment. This review shall not delay the provision of early intervention services specified on the IFSP. Early Intervention services specified on the IFSP shall begin as soon as possible.
(c) The use of the family's private insurance to pay for evaluation, assessment, and required early intervention services specified on the infant or toddler's IFSP, shall be voluntary.
For purposes of this subsection, voluntary means there is documentation in the child's record that parents have been informed of their right to receive evaluation, assessment and required early intervention services at no cost to the family and that the use of private insurance is voluntary.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1435(a)(10) and (c) and 1440, Title 20 United States Code; Sections 303.12, 303.520 and 303.527, Title 34 Code of Federal Regulations; and Sections 95004 and 95014(b), Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (b) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
5. Amendment of section heading and subsection (b), new subsection (c) and amendment of Note filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
§52110. Basis for the Provision of Services Through LEAs.
Note     •     History

(a) LEAs shall provide, arrange, or purchase early intervention services, as required by the infant's or toddler's IFSP, and be payor of last resort for infants and toddlers with solely low incidence disabilities determined eligible for early intervention services under the category of established risk as specified in Section 52022(b)(2) of these regulations and who are not eligible for regional center services.
(b) LEAs, pursuant to Education Code Section 56425, shall provide services for infants and toddlers who are also eligible for regional center services when the infant or toddler is identified as an individual with exceptional needs pursuant to Education Code Section 56026 and Title 5 California Code of Regulations Section 3030 and who requires intensive special education services and:
(1) The infant or toddler is functioning at or below 50% of his or her chronological age level in any one of the following skill areas:
(A) Gross or fine motor development;
(B) Receptive or expressive language development;
(C) Social or emotional development;
(D) Cognitive development;
(E) Visual development; or,
(2) The infant or toddler is functioning between 51% and 75% of his or her age level in any two of the skill areas identified in (b)(1)(A) through (b)(1)(E) of this section; or,
(3) Has a condition of known etiology which has a high probability of resulting in developmental delay as specified in section 52022(b)(1); and,
(4) The LEA is operating below the funded capacity as required by Government Code section 95014(c).
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1440, Title 20 United States Code; Sections 303.520 and 303.527, Title 34 Code of Federal Regulations; and Sections 95014(b) and (c), Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of section and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Article 3. Transfer and Transition Procedures
§52111. Transfer.
Note     •     History

(a) Regional centers and LEAs shall use existing information whenever possible to determine continued eligibility and to minimize delay in the provision of appropriate early intervention services when an eligible infant's or toddler's residence changes to another regional center or LEA.
(b) The procedures contained in Welfare and Institutions Code section 4643.5, pertaining to transfers between regional centers, shall apply for an infant or toddler with an existing IFSP who moves from an area where he or she received early intervention services from a regional center into another regional center area.
(c) The procedures contained in Education Code section 56325, pertaining to an IEP, shall apply instead for an infant or toddler with an existing IFSP who moves from an area where he or she received early intervention services from an LEA into another LEA that provides early intervention services and the LEA is operating below the funded capacity, or for an infant or toddler with a solely low incidence disability.
(d) For an infant or toddler, with an existing IFSP, who is receiving early intervention services from an LEA:
(1) Who has not been determined eligible for regional center services; and,
(2) Who moves from an area where an LEA provides early intervention services to an area where there are no services available for the infant or toddler through the LEA.
(A) With parent consent, the sending LEA, if informed about the move by the family, shall notify the receiving regional center as soon as possible of a move to the new area and transmit the infant or toddler's record to expedite service delivery in the new area; or
(B) With parent consent, the LEA shall transmit the infant or toddler's record upon request of the receiving regional center if the LEA was not previously informed of the move by the family.
(C) The receiving regional center shall:
1. Assign a service coordinator as specified in section 52060; and,
2. Arrange, purchase or provide early intervention services to the extent possible within existing resources as specified on the infant's or toddler's current IFSP as soon as possible; and,
3. Within 30 days of receipt of evaluation and assessment materials from the LEA determine eligibility and conduct a periodic review of the IFSP.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 4643.5, Welfare and Institutions Code; and Section 56325, Education Code.
HISTORY

1. Amendment of article 3 heading and new section filed 7-28-98; operative 8-27-98 (Register 98, No. 31).
§52112. Transition from Early Intervention Services.
Note     •     History

(a) LEAs shall provide special education and related services to eligible children at age three. Pursuant to the requirements contained in Title 34 Code of Federal Regulations, Section 303.344, each LEA shall participate in the transition planning for toddlers served under the Early Intervention Services Act, Government Code Sections 95000-95030, who may be eligible for preschool programs under Part B of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1400-1420, before the toddler is two years nine months, or at the discretion of all parties up to six months before the child turns three to ensure that an IEP has been developed and is implemented by the toddler's third birthday.
(b) The service coordinator, six months before the third birthday of the toddler receiving early intervention services, shall:
(1) Notify the parent of a toddler who may be eligible for special education and related services under Part B of the Individuals with Disabilities Education Act that transition planning will occur within the next three to six months;
(2) Notify the LEA where the toddler resides that there will be an IFSP meeting requiring the attendance of an LEA representative pursuant to 34 CFR 300.132, before the toddler is two years nine months, or at the discretion of all parties, up to six months before the toddler turns three years old to specify the transition steps necessary for movement into services under Part B of the Individuals with Disabilities Education Act; and,
(3) Within thirty days following notification of the parent and the LEA, the family, service coordinator, and LEA shall agree on the date for the IFSP to specify the transition steps necessary for movement into services under Part B.
(c) For all toddlers with an IFSP, the transition steps contained in the IFSP at two years nine months or earlier shall include all of the following:
(1) Discussions with and providing information to parents regarding:
(A) The toddler's transition to special education for a toddler with a disability who may be eligible for special education and related services under Part B of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1400-1420; and,
(B) Steps to prepare the toddler for changes in service delivery, including steps to help the toddler adjust to, and function in, a new setting;
(2) Provide information about community resources such as Head Start, Child Development Preschools, private or public preschool, for a toddler who will not be eligible for special education services after thirty six months of age; and,
(3) A projected date for conducting a final review of the IFSP to review the early intervention services and the transition outcomes by age three.
(d) For toddlers who may be eligible for preschool services from the LEA under Part B of The Individuals with Disabilities Education Act, Title 20 United States Code Section 1400-1420, the transition steps necessary for movement into services under Part B or other appropriate program, written at the IFSP meeting before the toddler is two years nine months, or, at the discretion of all parties, up to six months before the toddler's third birthday, shall include all of the following:
(1) With parental consent, the transmission of information about the toddler to the LEA including evaluation and assessment information and copies of IFSPs that have been developed and implemented;
(2) Identifying needed assessments to determine regional center and special education eligibility and determining the regional center or LEA responsible and time lines for completing the needed assessments;
(3) Statements of the steps necessary to ensure that the referral to an LEA is received by the LEA in a timely manner to ensure that assessments required under the provisions of Part B of the Individuals with Disabilities Education Act are completed and an IEP is implemented by the toddler's third birthday;
(4) A referral for evaluation and assessment for services under Part B of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1400-1420, no later than the time that the toddler is two years nine months of age or before the LEA's break in school services if the toddler will become three years of age during a break in school services. The transition IFSP shall contain steps necessary to satisfy the referral and IEP development requirements contained in Education Code Sections 56321 and 56344;
(5) Identification of the people responsible for convening an IEP and final IFSP meeting, and the person responsible for convening an IPP meeting, if necessary, for a toddler by age three to:
(A)  Review the progress toward meeting the early intervention services outcomes identified in the IFSP;
(B) Determine the eligibility for special education and develop the IEP; and,
(C) Develop an IPP if the toddler is also eligible for services under the Lanterman Developmental Disabilities Services Act as required in Welfare and Institutions Code Section 4646.
(e) If a toddler is older than two years and six months on the date of the initial IFSP, the IFSP shall include steps to ensure transition to Special Education Services under Part B of the Individuals with Disabilities Education Act or other services that may be appropriate.
(f) Regional centers may continue providing or purchasing services for a preschooler who has been determined eligible for regional center services:
(1) Until the beginning of the next school term after the toddler's third birthday during a period when the LEA special education preschool program is not in session; and,
(2) When the multidisciplinary team determines that services are necessary until the LEA special education program resumes.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1436(d)(8), Title 20 United States Code; Sections 303.148, 303.322, 303.340, 303.342, 303.343, 303.344(h) and 303.346, Title 34 Code of Federal Regulations; and Sections 56321, 56343 and 56344, Education Code.
HISTORY

1. New article 3 (section 52112) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (b)(1) (Register 98, No. 5).
3. New article 3 (section 52112) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New article 3 (section 52112) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of section and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Subchapter 4. Service Coordination and Interagency Agreements
Article 1. Service Coordination
§52120. General.
Note     •     History

(a) Regional centers or LEAs shall assign a service coordinator under the following circumstances:
(1) At the time that infants or toddlers are referred for evaluation and assessment; and,
(2) When infants or toddlers are determined eligible for early intervention services from regional centers and/or LEAs.
(b) A parent may perform service coordination activities for his or her own infant or toddler in collaboration with the service coordinator assigned by the regional center or LEA.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 303.22 and 303.344(g), Title 34 Code of Federal Regulations; and Section 95018, Government Code.
HISTORY

1. New subchapter 4,  article 1 (sections 52120-52122) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (a)(1) and History 1 (Register 98, No. 5).
3. New subchapter 4, article 1 (sections 52120-52122) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New subchapter 4, article 1 (sections 52120-52122) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52121. Service Coordination Responsibilities.
Note     •     History

(a) The service coordinator shall:
(1) Provide the initial notice to the parent pursuant to Section 52160 of these regulations;
(2) Obtain consent pursuant to Section 52162 of these regulations and provide written notice pursuant to Section 52161;
(3) Serve as the primary point of contact for coordinating services and assistance for the infant's or toddler's parent, service providers and regional center and/or public agencies;
(4) Inform the parent of the availability of additional non-required services as specified in Section 52108(a)(3)(A) of these regulations which may provide assistance to the family;
(5) Facilitate the delivery of services on the initiation date identified in the IFSP;
(6) Continuously seek the appropriate services and service providers necessary to enhance the development of each infant or toddler being served for the duration of the infant's or toddler's eligibility;
(7) Coordinate the performance of initial and subsequent evaluations and assessments;
(8) Participate in the development and review of the IFSP;
(9) Monitor the delivery of services and the degree to which progress toward achieving outcomes is being made through the periodic review of the IFSP;
(10) Inform the parent of advocacy services and procedural safeguards contained in these regulations;
(11) Facilitate the exchange of information between service providers including health providers, medical case managers, regional centers and LEAs; and
(12) Facilitate the development of transition steps in the IFSP.
(b) Service Coordination may include medical case management services provided by another agency such as High Risk Infant Follow-up Program, California Children Services or Medi-Cal Managed Care.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1436(d)(8), Title 20 United States Code; Sections 303.22 and 303.344(g), Title 34 Code of Federal Regulations; and Section 95018, Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (b) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52122. Service Coordinator Qualifications.
Note     •     History

Service coordinators shall have demonstrated knowledge about:
(a) Infants and toddlers who are referred for evaluation and assessment or who are eligible for early intervention services;
(b) Working with families and community resources; and
(c) Federal and State requirements related to California's Early Start Program including:
(1) Parent rights and responsibilities;
(2) Due process;
(3) Confidentiality;
(4) Required components of the IFSP;
(5) Time lines specified within these regulations beginning with section 52000 et seq.; in Sections 52086(a), 52112(b), 52164(b), 52168(c), 52171(a) and 52174(c) of these regulations;
(6) Transition processes from the early intervention service system specified in section 52112 of these regulations; and,
(7) The system of payments for services identified in the IFSP.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1436(d)(8), Title 20 United States Code; Sections 303.22(d) and 303.344(g), Title 34 Code of Federal Regulations; and Section 95018, Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (c)(5) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Article 2. Interagency Agreements
§52140. Local Interagency Agreements.
Note     •     History

(a) Regional centers and LEAs shall develop and maintain local interagency agreements.
(b) Local interagency agreements shall include, but not be limited to, the following:
(1) The responsibilities of each LEA and regional center for meeting the terms of the agreement;
(2) Procedures for coordination of child find activities with local public agencies and regional centers to identify infants and toddlers who may be eligible for early intervention services;
(3) Specific procedures for coordination of referrals for evaluation and assessment;
(4) Procedures for the assignment of a service coordinator;
(5) Interagency procedures for identifying the responsibilities of the regional center and LEA for completing the evaluation and assessment and determining eligibility within the time requirements contained in Section 52086 of these regulations, when an infant or toddler may receive services from both the regional center and LEA;
(6) Procedures for the timely exchange of information between regional centers and LEAs;
(7) Mechanisms for ensuring the availability of contacts at regional centers and LEAs at all times during the year;
(8) Procedures for interagency IFSP development when infants and toddlers may be eligible for early intervention services from the regional center and the LEA or other state or local programs or services;
(9) Procedures to ensure the provision of services during periods of school vacations when services are required on the IFSP;
(10) Transition planning procedures which begin at least six months prior to a toddler's third birthday pursuant to Section 52112 of these regulations;
(11) Procedures for resolving disputes between regional centers and LEAs;
(12) Procedures for the training and assignment of surrogate parents; and
(13) Procedures for accepting transfers of infants or toddlers with existing IFSPs.
(c) Local interagency agreements shall be dated and signed by representatives of the regional center and LEA.
(d) Interagency agreements shall be reviewed by both parties annually, revised as necessary, dated, and signed by both parties.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1435(a)(10, Title 20 United States Code; Sections 303.1, 303.174, 303.523 and 303.524, Title 34 Code of Federal Regulations.
HISTORY

1. New article 2 (section 52140) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New article 2 (section 52140) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (section 52140) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (c), new subsection (d), and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Subchapter 5. Procedural Safeguards
Article 1. Notice and Consent
§52160. Initial and Annual Notice.
Note     •     History

Prior to the initial evaluation and assessment to determine eligibility required in Section 52082 of these regulations and annually thereafter, service coordinators shall give written notice to the parent, which shall include:
(a) The personally identifiable information maintained by the regional center or LEA;
(b) The types of information used in the evaluation, assessment and IFSP development; and,
(c) The methods that regional centers and LEAs use to protect the confidentiality of personally identifiable information including:
(1) The sources from whom personally identifiable information is gathered;
(2) The uses to be made of the personally identifiable information;
(3) The policies and procedures which regional centers and LEAs follow regarding storage, disclosure to third parties, retention, and destruction of personally identifiable information as required in Title 34 Code of Federal Regulations, Sections 300.572 through 300.573; and,
(4) The rights of parents and infants and toddlers regarding access to information, including the rights accorded to families in these regulations and the rights under the Family Education Rights and Privacy Act of 1974, Title 20, United States Code, Section 1232(g) and implementing regulations in Title 34 Code of Federal Regulations, Section 99.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 99.7, 300.561(a)(4) and 303.460, Title 34 Code of Federal Regulations; and Sections 1232(g), 1476(b)(12) and 1480(2) and (3), Title 20 United States Code; and Section 95007(g), Government Code.
HISTORY

1. New subchapter 5, article 1 (sections 52160-52162) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of Note (Register 98, No. 5).
3. New subchapter 5, article 1 (sections 52160-52162) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New subchapter 5, article 1 (sections 52160-52162) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52161. General Notice Requirements.
Note     •     History

(a) Written notice shall be given to the parent of an infant or toddler, eligible or suspected to be eligible to receive early intervention services, a reasonable time before a regional center or LEA proposes, or refuses, to initiate or change:
(1) The identification, evaluation, assessment or placement of the infant or toddler; or
(2) Early intervention services to the infant or toddler and the infant's or toddler's family.
(b) The notice shall be in sufficient detail to inform the parent about:
(1) The action that is being proposed or refused;
(2) The reasons for taking the action; and
(3) All procedural safeguards that are available under Title 34 Code of Federal Regulations, Sections 303.400 through 303.460.
(c) The notice shall be:
(1) Written using words that are understandable to the general public; and
(2) Provided in the language of the parent's choice, unless it is clearly not feasible to do so. The regional center or LEA shall take steps to ensure that:
(A) The notice is translated;
(B) The parent understands the notice; and
(C) There is written evidence that the requirements of this subsection have been met.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 95007(g), Government Code; Sections 1435(a)(13) and 1439(6)-(7), Title 20 United States Code; and Sections 303.403(a), 303.403(b) and 303.403(c)(1)-(2), Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52162. Consent.
Note     •     History

(a) The service coordinator shall obtain written parental consent before:
(1) The initial evaluation and assessment of an infant or toddler is conducted; and
(2) Early intervention services are initiated.
(b) The infant's or toddler's record shall contain written evidence that the parent has been informed:
(1) Of information relevant to the evaluation, assessment, early intervention service, or exchange of records for which consent is sought, in the language of the parent's choice, and agrees to the completion of the evaluation or assessment and the provision of early intervention services;
(2) That consent is voluntary and may be revoked at any time;
(3) That he/she may accept or decline any early intervention service and may decline such service after first accepting it, and continue to receive other early intervention services; and,
(4) About who will receive the records and a listing of the records to be exchanged.
(c) If consent is not given or is withdrawn, the regional center or LEA service coordinator shall ensure:
(1) That the parent has been informed of the nature of the evaluation and assessment or the early intervention services that would have been provided;
(2) That the parent has been informed that the infant or toddler will not receive the evaluation and assessment or early intervention services unless consent is given; and,
(3) That the infant's or toddler's record contains documentation of the attempts to obtain consent.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1480, Title 20 United States Code; Sections 303.401(a)(1)-(3), 303.403(c)(2)(iii), 303.404(a), 303.404(b) and 303.405, Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Article 2. Access Rights
§52164. Access Rights.
Note     •     History

(a) A regional center and/or LEA shall permit the parent or authorized representative to inspect and review any record relating to their infant or toddler.
(b) The regional center and/or LEA shall comply with a request for access to records before any meeting regarding an IFSP or any hearing relating to the identification, evaluation, assessment, placement, or the provision of early intervention services to the infant or toddler and in no case more than 5 working days after the request has been made.
(c) A regional center and/or LEA shall respond to requests for explanations and interpretations of the content of a record from parents with the requested explanation or interpretation.
(d) A regional center and/or LEA may presume that the parent has authority to inspect and review records relating to their infant or toddler unless there is a court order, state statute, or legally binding document relating to such matters as divorce, separation or custody that specifically revokes those rights.
(e) Each service coordinator shall provide parents, on request, a list of the types and locations of records collected or used by the regional center or LEA.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1435(a)(13) and 1439(4), Title 20 United States Code; Sections 300.562, 300.565, 300.576, 303.402 and 303.460, Title 34 Code of Federal Regulations; and Section 95007(g), Government Code.
HISTORY

1. New article 2 (sections 52164-52169) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 52164-52169) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 52164-52169) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (c) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52165. Documentation of Access.
Note     •     History

(a) The regional center and/or LEA providing early intervention services to the infant or toddler shall maintain documentation specifying to whom the record was disclosed other than parents and authorized employees specified by the regional center or LEA. The parent may inspect the documentation.
(b) Documentation of access shall include:
(1) The name of the person to whom the record was disclosed;
(2) The date the record was disclosed; and
(3) The purpose for which the record was disclosed.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1435(a)(13) and 1439(4), Title 20 United States Code; Sections 300.402 and 303.460, Title 34 Code of Federal Regulations; and Section 95007(g), Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52166. Records on More Than One Infant or Toddler.
Note     •     History

If a record includes information on more than one infant or toddler, the regional center or LEA shall provide, for the parent's inspection or review, only the information relating to their infant or toddler or inform the parent of that specific information.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1439(2) and (3), Title 20 United States Code; and Sections 300.564 and 303.460, Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52167. Fees for Copies of Records.
Note     •     History

(a) A regional center or LEA may charge a reasonable fee for copies of records in an amount not to exceed the actual cost of reproducing records.
(b) The amount of the fee shall not prevent the parents from exercising their right to inspect and review those records.
(c) A regional center or LEA may not charge a fee to search for or retrieve records requested by parents or an authorized representative.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1439(3), Title 20 United States Code; Sections 300.566 and 303.460, Title 34 Code of Federal Regulations; and Section 49065, Education Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52168. Amendment of Records at Parental Request.
Note     •     History

(a) A parent, who believes that information in a regional center's or LEA's records is inaccurate or misleading or violates the privacy or other rights of an infant or toddler or family, may request that the director of the regional center or the Superintendent of the LEA amend or remove the information over which the regional center or LEA has authority. 
(b) The service coordinator, upon request, shall assist a parent in communicating with those persons who created information contained in the record, when the regional center or LEA did not originate the information which the parent believes is inaccurate, misleading, or violates the privacy or other rights of an infant or toddler or family. 
(c) No later than 14 days after receipt of the request for amendment or removal of information from a record, the regional center or LEA shall notify the parent if the request has been denied and advise the parent of the right to a meeting with the Director of the regional center or the Superintendent of the LEA pursuant to Title 34 Code of Federal Regulations, Section 99.20(c).
(d) If the result of the meeting is that the record will not be amended, the regional center or LEA shall inform the parent of the right to place, in the record maintained on the infant or toddler, a statement commenting on the information contained in the record or setting forth any reasons for disagreeing with the contents of any document in the child's records, regardless of whether the document was created by the regional center or LEA or by any other agency or individual.
(e) Any statement placed in the record of the infant or toddler pursuant to subsection (d) above shall:
(1) Be kept by the regional center or LEA as part of the record of the infant or toddler as long as the contested portion of the record is maintained by the regional center or LEA; and,
(2) Accompany the record of the infant or toddler if the contested portion is disclosed by the regional center or LEA. 
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 300.566, 300.567, 300.569 and 303.460, Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of subsection (b) (Register 98, No. 5).
3. New section, including amendment of subsection (e) and Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of subsections (c)-(e) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
§52169. Consent for Release of Information.
Note     •     History

Written parental consent shall be obtained before personally identifiable information is disclosed in writing or orally to anyone other than authorized employees specified by the regional center or LEA. 
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 1435(a)(13) and 1439(2), Title 20 United States Code; and Sections 300.571 and 303.460, Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Article 3. Complaint Process
§52170. Complaint Procedures.
Note     •     History

(a) A complaint shall be a written and signed statement alleging that a regional center, LEA or any private service provider receiving funds under Part C of the Individuals with Disabilities Education Act, Title 20 United States Code, Sections 1431-1445, has violated any federal or state law or regulation governing the provision of early intervention services including the process of determining eligibility provided through Part C of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1431-1445, for infants or toddlers and their families. 
(b) Any individual or organization may file a complaint.
(c) The alleged violation must have occurred:
(1) Not more than one year before the date that the complaint is received by the Department of Developmental Services unless a longer period is reasonable because the alleged violation continues for that child or other children; or
(2) Not more than three years before the date on which the complaint is received by the Department of Developmental Services, if the complainant is requesting reimbursement or corrective action as remediation of the complaint.
(d) The procedures under Chapter 1, commencing with Section 4500 of Division 4.5 of the Welfare and Institutions Code or Part 30, commencing with Section 56500 of the Education Code, or Title 5 California Code of Regulations Section 4600 et seq., shall not be used for resolving complaints regarding California's Early Start Program.
(e) Each regional center and LEA shall inform the parent and other interested individuals or organizations of the right to file a complaint directly with the Department of Developmental Services at the following address: 

DEPARTMENT OF DEVELOPMENTAL SERVICES 
OFFICE OF HUMAN RIGHTS
ATTENTION: EARLY START COMPLAINT UNIT
1600 NINTH STREET, ROOM 240, M.S. 2-15
SACRAMENTO, CA 95814
(f) If the complainant is unable to provide the complaint in writing, the service coordinator shall directly assist the complainant or provide assistance to identify resources which can aid the complainant in completing the written complaint.
(g) The complaint shall include the following:
(1) The name, address and phone number of the complainant;
(2) A statement that a regional center, LEA or any private service provider receiving funds under Part C of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1431-1445, has violated any federal or state law or regulation of a Part C requirement governing the provision of early intervention services for infants or toddlers and their families in California;
(3) A statement of facts upon which the alleged violation is based;
(4) The party allegedly responsible; and
(5) A description of the voluntary steps taken at the local level to resolve the complaint, if any. 
(h) Mediation is available at any time to resolve disagreements involving any matter related to IDEA Part C.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Sections 303.22 and 303.510-303.512, Title 34 Code of Federal Regulations; and Section 95007(f), Government Code.
HISTORY

1. New article 3 (sections 52170-52171) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of Note (Register 98, No. 5).
3. New article 3 (sections 52170-52171) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New article 3 (sections 52170-52171) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of section and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
6. New subsections (c)-(c)(2), subsection relettering, amendment of newly designated subsection (e) and amendment of Note filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
7. Amendment of subsections (a) and (g)(2) and new subsection (h) filed 2-17-2011; operative 3-19-2011 (Register 2011, No. 7).
§52171. Complaint Investigation.
Note     •     History

(a) Within 60 days of receipt of the complaint the Department of Developmental Services shall:
(1) Assign the investigation of the complaint to a state interagency team or to the appropriate state agency that is responsible for the administration of the regional center, LEA or any private service provider receiving funds under Part C of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1431-1445, named in the complaint, which shall:
(A) Conduct an investigation, on-site if necessary; and
(B) Give the complainant the opportunity to submit additional information, either orally or in writing, about the allegations in the complaint;
(2) Review all relevant information and make a determination as to whether there has been a violation of a statutory or regulatory requirement contained in:
(A) Part C of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1431-1445; 
(B) The Federal regulations pertaining to Part C of the Individuals with Disabilities Education Act; 
(C) The California Early Intervention Services Act, Government Code Sections 95000-95030;
(D) Regulations contained in this chapter; 
(E) Welfare and Institutions Code, Division 4.5, Chapter 5, beginning with Section 4500; or, 
(F) Education Code beginning with Sections 56425 through 56431.
(3) Provide a written decision to all parties which addresses each allegation and includes: 
(A) Findings and conclusions;
(B) The reasons for the final decision; 
(C) The required corrective actions; 
(D) Time lines for completion of the corrective actions; and, 
(E) Provisions for technical assistance.
(4) If the decision of the Department of Developmental Services includes remedies for denial of appropriate services, the remedies may include:
(A) Actions to remediate denial of those services, including as appropriate, the awarding of monetary reimbursement or other corrective action appropriate to the needs of the child and the child's family, and
(B) Actions to assure that services are provided appropriately in the future for infants and toddlers with disabilities and their families
(b) An extension of the time limit under paragraph (a) of this Section shall be made by the Department of Developmental Services when events beyond the control of the Department of Developmental Services occur including but not limited to the complainant's illness, the complainant's absence from the geographical area, inability to locate the complainant, or a natural disaster. 
(c) If a written complaint is received that is also the subject of a due process hearing pursuant to 34 CFR 303.420 and 17 CCR 52172 and 52174, or contains multiple issues, of which one or more are part of that hearing, the Department of Developmental Services shall set aside any part of the complaint that is being addressed in the due process hearing, until the conclusion of the hearing. Any issue in the complaint that is not part of the due process action will be resolved by the Department of Developmental Services within the 60 calendar-day time line using the complaint procedures described in this section.
(d) If an issue is raised in a complaint filed under this section that has previously been decided in a due process hearing involving the same parties, the hearing decision is binding, and the Department of Developmental Services shall inform the complainant to that effect.
(e) The Department of Developmental Services shall resolve any complaint alleging the failure of a public agency or private service provider to implement a due process decision.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 303.510-303.512, Title 34 Code of Federal Regulations; and Section 52007(g), Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of section heading (Register 98, No. 5).
3. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of subsections (a)(1), (a)(2)(A) and (B) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
6. Repealer and new subsection (a)(4), new subsections (a)(4)(A), (a)(4)(B) and (c)-(e) and amendment of Note filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
Article 4. Mediation and Due Process Procedures
§52172. Procedures That Apply to Both Mediation and Due Process.
Note     •     History

(a) A parent may request a mediation conference and/or a due process hearing under any of the following circumstances: 
(1) A regional center or LEA proposes to initiate or change the identification, evaluation, assessment, placement or provision of appropriate early intervention services; 
(2) A regional center or LEA refuses to initiate or change the identification, evaluation, assessment, placement or provision of appropriate early intervention services; or,
(b) A parent may also request a mediation conference at any time to resolve disagreements involving any matter related to IDEA, Part C.
(c) A regional center or LEA may request a mediation conference or a due process hearing when the parent refuses to consent to all or any part of an evaluation and assessment of the infant or toddler. 
(d) All requests for a mediation conference and/or due process hearing shall be in writing and filed with the contractor that the Department of Developmental Services uses for mediation and due process hearings. If a parent is unable to make a request for mediation or a due process hearing in writing, the service coordinator shall assist the parent in filing the request. 
(e) The duration for either a mediation conference or a due process hearing shall not exceed a total thirty days for each process from the receipt of the mediation or due process request to the mailing of the mediation agreement or hearing decision. If a mediation conference is requested at or during the time of a due process hearing the mediation conference resolution shall occur prior to the due process hearing.
(f) The location of the mediation and/or due process hearing shall be at a time and place reasonably convenient to the parent.
(g) During the pendency of mediation and/or due process hearing procedures, the infant or toddler shall continue to receive the early intervention services listed on the IFSP they are currently receiving. If mediation and/or due process hearing involves the initiation of a service(s) the infant or toddler shall receive those services that are not in dispute. 
(h) Mediation and due process hearings shall be conducted in English and interpreted in the language of the family's choice or other mode of communication.
NOTE

Authority cited: Sections 95009 and 95028, Government Code; and Section 4712(k), Welfare and Institutions Code. Reference: Sections 1435(a)(13) and 1439(l), Title 20 United States Code; Sections 303.420 and accompanying notes, 303.421, 303.423 and 303.425, Title 34 Code of Federal Regulations; and Section 95007(g), Government Code.
HISTORY

1. New article 4 (sections 52172-52174) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of Note (Register 98, No. 5).
3. New article 4 (sections 52172-52174) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
4. New article 4 (sections 52172-52174) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-1-98 order, including amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
6. New subsection (b), subsection relettering and amendment of newly designated subsection (e) filed 2-17-2011; operative 3-19-2011 (Register 2011, No. 7).
§52173. Mediation Procedures.
Note     •     History

(a) Mediation shall be voluntary. 
(b) Mediation is available at any time to resolve disagreements involving any matter related to IDEA Part C.
(c) The mediation conference shall be conducted by a mediator who is an impartial, third party with no personal or professional interest that would conflict with his or her objectivity in mediating a disagreement.
(d) The due process hearing officer shall be a different person than the mediator when mediation does not resolve the disagreement.
(e) The mediator shall be trained in communication, mediation and problem solving and shall be knowledgeable about early intervention programs and the federal and state laws and regulations applicable to Part C of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1431-1445, and the California Early Intervention Services Act, Government Code Sections 95000-95030. 
(f) The mediator shall be under contract with the Department of Developmental Services. 
(g) A person who otherwise qualifies under Subsection (c) and (d) of this Section as a mediator is not an employee of the Department of Developmental Services solely because the person is paid by the Department of Developmental Services to conduct the mediation process. 
(h) A parent may be accompanied by any representative at the mediation.
(i) The mediator shall ensure that written agreements from the mediation conference are signed and provided to all participants at the conclusion of the mediation conference. 
(j) Discussions during mediation must be confidential and may not be used as evidence in any subsequent due process or civil proceedings.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1439(1), Title 20 United States Code; Sections 303.420(a)-(b) and accompanying notes, 303.421(a)-(b) and  303.422, Title 34 Code of Federal Regulations.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (e) and Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
5. New subsection (j) filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
6. Repealer and new subsection (b) filed 2-17-2011; operative 3-19-2011 (Register 2011, No. 7).
§52174. Due Process Hearing Procedures.
Note     •     History

(a) The hearing shall be conducted by a due process hearing officer who is an impartial, third party with no personal or professional interest that would conflict with his or her objectivity in conducting the hearing.
(b) The due process hearing officer shall be knowledgeable about the federal and state laws and regulations applicable to Part C of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1431-1445, and the California Early Intervention Services Act, Government Code Sections 95000-95030, the Lanterman Developmental Disabilities Services Act, Welfare and Institutions Code sections 4500 et seq.; and Part 30 of the California Education Code, commencing with Section 56500 et seq.
(c) The hearing officer shall:
(1) Listen to the presentation of relevant viewpoints about the issue of disagreement; 
(2) Examine the evidence presented during the hearing;
(3) Issue a decision that is in compliance with federal and state law;
(4) Provide documentation of the proceedings, including findings of fact and a written decision; and 
(5) Ensure that the decision is mailed to each party after completion of the hearing and within 30 days of receipt of the due process hearing request.
(d) A parent involved in a due process hearing shall have the right to:
(1) Be accompanied and advised by counsel and/or by an individual with special knowledge and training with respect to early intervention services;
(2) Present evidence and confront, cross-examine, and compel the attendance of witnesses;
(3) Prohibit the introduction of any evidence at the proceeding that has not been disclosed to the parent or the other party at least five days before the proceeding;
(4) Obtain a written or electronic, verbatim transcription of the proceeding; 
(5) Obtain written findings of fact and decision.
(e) The hearing officer shall be under contract with the Department of Developmental Services. A person who otherwise qualifies under Subsection (a) or (b) of this Section is not an employee of a regional center or LEA solely because the person is paid by the agency to conduct the due process hearing. 
(f) Disputes which occur related to an IEP meeting which may occur prior to the child's third birthday and which pertain to proposed Part B preschool placements or services shall be filed with and processed by the agent or division of the Department of Education which is responsible for administering due process mediations and hearings pursuant to Part B of the Individuals with Disabilities Education Act and Part 30 of the California Education Code, commencing with section 56500 et seq.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1439(l), Title 20 United States Code; Sections 303.421(a)-(b), 303.422(b) and 303.423(b), Title 34 Code of Federal Regulations; and Section 95007(g), Government Code.
HISTORY

1. New section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of  subsection (d)(1) and Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsection (b), new subsection (f) and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
Article 5. Surrogate Parents
§52175. Surrogate Parents.
Note     •     History

(a) Regional centers or LEAs shall assign an individual to act as a surrogate parent if:
(1) No parent can be identified;
(2) The infant or toddler is a dependent of the juvenile court and the parental rights of the parent have been limited by the court or relinquished; or
(3) The parent cannot be located, after reasonable efforts by the regional center or LEA. 
(b) Interagency agreements as required in Section 52140(b)(12) shall include procedures for:
(1) Determining whether an infant or toddler needs a surrogate parent;
(2) Assigning a surrogate parent to the infant or toddler consistent with the provisions of this Article and Government Code section 7579.5;
(3) Ensuring that surrogates have no interest that conflicts with the interests of the infant or toddler he or she represents;
(4) Ensuring that surrogates have knowledge and skills that ensure adequate representation of the infant or toddler;
(5) Ensuring that the surrogate parent is not an employee of any state agency, regional center, LEA or service provider involved in the provision of early intervention services to the infant or toddler. A person who otherwise qualifies as a surrogate parent is not an employee solely because he or she is paid by a state agency, regional center or LEA to serve as a surrogate parent.
(c) A surrogate parent may represent an infant or toddler in all matters related to:
(1) The evaluation and assessment of the infant or toddler;
(2) Development and implementation of the infant's or toddler's IFSP including annual evaluations, assessments and periodic reviews;
(3) The ongoing provision of early intervention services to the infant or toddler; 
(4) Requesting mediation or due process hearings; and,
(5) Any other early intervention service established under Part C of the Individuals with Disabilities Education Act, Title 20 United States Code Sections 1431-1445.
(d) A surrogate parent may not provide consent for medical services for which consent by a parent or legal guardian is required.
NOTE

Authority cited: Sections 95009 and 95028, Government Code. Reference: Section 1439(5), Title 20 United States Code; Sections 303.18 and 303.406(a-e), Title 34 Code of Federal Regulations; and Section 95022(f), Government Code.
HISTORY

1. New article 5 (section 52175) and section filed 8-4-97 as an emergency; operative 8-4-97 (Register 97, No. 32). Pursuant to Government Code section 95028(c), a Certificate of Compliance must be transmitted to OAL by 1-31-98, or emergency language will be repealed by operation of law on the following day.
2. New article 5 (section 52175) and section, including amendment of  Note, refiled 1-30-98 as an emergency; operative 1-31-98 (Register 98, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-98 or emergency language will be repealed by operation of law on the following day.
3. New article 5 (section 52175) and section refiled 6-1-98 as an emergency; operative 6-1-98 (Register 98, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-98 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-1-98 order, including amendment of subsections (b), (b)(2), (b)(5) and (c)(5) and amendment of Note, transmitted to OAL 6-16-98 and filed 7-28-98 (Register 98, No. 31).
5. Amendment of subsection (b)(5) filed 1-14-2003; operative 2-13-2003 (Register 2003, No. 3).
Chapter 3. Community Services
Subchapter 1. General
Article 1. Definitions
§54000. Developmental Disability.
Note     •     History

(a) “Developmental Disability” means a disability that is attributable to mental retardation, cerebral palsy, epilepsy, autism, or disabling conditions found to be closely related to mental retardation or to require treatment similar to that required for individuals with mental retardation.
(b) The Developmental Disability shall:
(1) Originate before age eighteen;
(2) Be likely to continue indefinitely;
(3) Constitute a substantial disability for the individual as defined in the article.
(c) Developmental Disability shall not include handicapping conditions that are:
(1) Solely psychiatric disorders where there is impaired intellectual or social functioning which originated as a result of the psychiatric disorder or treatment given for such a disorder. Such psychiatric disorders include psycho-social deprivation and/or psychosis, severe neurosis or personality disorders even where social and intellectual functioning have become seriously impaired as an integral manifestation of the disorder.
(2) Solely learning disabilities. A learning disability is a condition which manifests as a significant discrepancy between estimated cognitive potential and actual level of educational performance and which is not a result of generalized mental retardation, educational or psycho-social deprivation, psychiatric disorder, or sensory loss.
(3) Solely physical in nature. These conditions include congenital anomalies or conditions acquired through disease, accident, or faulty development which are not associated with a neurological impairment that results in a need for treatment similar to that required for mental retardation.
NOTE

Authority cited: Section 4512, Welfare and Institutions Code. Reference: Sections 4500 et seq., Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Editorial redesignation of former Chapter 5 (Subchapter 1, Sections 54000-54010) to Chapter 3, (Subchapter 1, Sections 54000-54010) filed 9-28-83 (Register 83, No. 40).
3. Change without regulatory effect amending subsections (a) and (b)(3) filed 10-29-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 44).
§54001. Substantial Disability.
Note     •     History

(a) “Substantial disability” means:
(1) A condition which results in major impairment of cognitive and/or social functioning, representing sufficient impairment to require interdisciplinary planning and coordination of special or generic services to assist the individual in achieving maximum potential; and
(2) The existence of significant functional limitations, as determined by the regional center, in three or more of the following areas of major life activity, as appropriate to the person's age:
(A) Receptive and expressive language;
(B) Learning;
(C) Self-care;
(D) Mobility;
(E) Self-direction;
(F) Capacity for independent living;
(G) Economic self-sufficiency.
(b) The assessment of substantial disability shall be made by a group of Regional Center professionals of differing disciplines and shall include consideration of similar qualification appraisals performed by other interdisciplinary bodies of the Department serving the potential client. The group shall include as a minimum a program coordinator, a physician, and a psychologist.
(c) The Regional Center professional group shall consult the potential client, parents, guardians/conservators, educators, advocates, and other client representatives to the extent that they are willing and available to participate in its deliberations and to the extent that the appropriate consent is obtained.
(d) Any reassessment of substantial disability for purposes of continuing eligibility shall utilize the same criteria under which the individual was originally made eligible.
NOTE

Authority cited: Section 4512, Welfare and Institutions Code. Reference: Section 4512, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Amendment of section heading, section and Note filed 9-25-2003 as an emergency; operative 9-25-2003 (Register 2003, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-23-2004 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 1-23-2004 as an emergency; operative 1-24-2004 (Register 2004, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-24-2004 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-23-2004 order, including amendment of subsection (a)(2)(A), transmitted to OAL 3-3-2004 and filed 4-12-2004 (Register 2004, No. 16).
§54002. Cognitive.
Note     •     History

“Cognitive” as used in this chapter means the ability of an individual to solve problems with insight, to adapt to new situations, to think abstractly and to profit from experience.
NOTE

Authority cited: Section 4512, Welfare and Institutions Code. Reference: Sections 4500 et seq., Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
Article 2. Eligibility
§54010. Eligibility for Regional Center Services.
Note     •     History

(a) Any resident of the State of California believed to have a developmental disability, and any resident of the State of California believed to be at high risk of parenting an infant with a developmental disability shall be eligible, upon application to the regional center, for initial intake, diagnostic and counseling services, and a determination regarding the need for assessment.
(b) Eligibility for ongoing regional center services shall be contingent upon the determination, after intake and assessment, that the person has a developmental disability that constitutes a substantial disability as defined in Article 1 of this subchapter.
(c) Any individual deemed ineligible may appeal the decision in accordance with Welfare and Institutions Code, Sections 4700-4716. The Director's decision resulting from a fair hearing appeals process shall be final and binding on all parties.
NOTE

Authority cited: Sections 4512 and 4640, Welfare and Institutions Code. Reference: Sections 4512, 4640, 4642, 4643 and 4644, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-80; effective thirtieth day thereafter (Register 80, No. 26).
2. Order of Repeal of subsection (c) and relettering of subsection (d) to subsection (c) filed 8-26-82 by OAL pursuant to Government Code Section 11349.7(j) (Register 82, No. 35).
3. Amendment of subsections (b)-(c) and amendment of Note filed 9-25-2003 as an emergency; operative 9-25-2003 (Register 2003, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-23-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)-(c) and amendment of Note refiled 1-23-2004 as an emergency; operative 1-24-2004 (Register 2004, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-24-2004 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-23-2004 order transmitted to OAL 3-3-2004 and filed 4-12-2004 (Register 2004, No. 16).
Subchapter 2. Vendorization
Article 1. Definitions
§54300. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense and words in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct; “may” denotes permissive conduct; and “should” denotes recommended conduct.
NOTE

Authority cited: Sections 4405, and 4648(a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Article II, Chapter 5, Division 4.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
Article 2. Vendorization Process
§54302. Definitions.
Note     •     History

(a) Except as provided in subsection (b) below, the following definitions shall apply to the language contained in Sections 54310 through 54390 of these regulations:
(1) “Accreditation” means a formal determination and recognition by CARF that a Work Activity or Supported Employment Program is in compliance with the service delivery standards CARF has established for the program. 
(2) “Activity Center” means a community-based day program that serves adults who generally have acquired most basic self-care skills, have some ability to interact with others, are able to make their needs known, and respond to instructions. Activity center programs focus on the development and maintenance of the functional skills required for self-advocacy, community integration and employment;
(3) “Adult” means a person 18 years of age or older;
(4) “Adult Day Health Care Program” means an Adult Day Health Care Program as defined in Health and Safety Code Section 1570.7(a);
(5) “Adult Day Programs” means those community-based day programs defined in (a)(1), above and (a)(6), (11), (13), (31), and (60) below;
(6) “Adult Day Services” means the broad category of nonresidential services under which adult day programs are categorized;
(7) “Adult Development Center” means a community-based day program that serves adults who are in the process of acquiring self-help skills. Individuals who attend adult development centers generally need sustained support and direction in developing the ability to interact with others, to make their needs known, and to respond to instructions. Adult development center programs focus on the development and maintenance of the functional skills required for self-advocacy, community integration, employment, and self-care;
(8) “Age Appropriate” means the consideration of the chronological age of the person in the use of activities, instructional locations, and techniques;
(9) “Applicant” means an individual, partnership, group, association, corporation, nonprofit organization, institution, or entity, and the officers, directors, boards of directors, owners, managing employees or agents thereof, that apply to the regional center to become a vendor; 
(10) “Authorized Agency Representative” means a person authorized to act on behalf of either the Department or the regional center, by law, by court order, or by a written statement signed by the Director of the Department or the regional center director, respectively;
(11) “Authorized Consumer Representative” means the parent or guardian of a minor, conservator of an adult, or person who is legally entitled to act on behalf of the consumer;
(12) “Behavior Management Program” means a community-based day program that serves adults with severe behavior disorders and/or dual diagnosis who, because of their behavior problems, are not eligible for or acceptable in any other community-based day program;
(13) “CARF” means The Rehabilitation Accreditation Commission, as referenced in Welfare and Institutions Code, Section 4851. 
(14) “Certification” means a certification determination completed by the Department of Rehabilitation. 
(15) “Child” means a person under the age of 18 years;
(16) “Community-based Day Programs” means those programs which provide services to individuals on an hourly or daily basis, but less than a 24-hour basis in the community rather than at a developmental center. Only the following types of services are community-based day programs: activity centers, adult development centers, behavior management programs, independent living programs, infant developmental programs and social recreation programs;
(17) “Community Integration” means presence, participation and interaction in natural environments;
(18) “Congregate Living Health Facility” means a Congregate Living Health Facility as defined in Health and Safety Code Section 1250(i)(1);
(19) “Consumer” means an individual who has been determined by a regional center to meet the eligibility criteria of the Welfare and Institutions Code, Section 4512, and of Title 17, Sections 54000, 54001 and 54010, and for whom the regional center has accepted responsibility;
(20) “Controlling Agency” means any agency, department, or commission that by statute requires standards to be met for the issuance of a license, credential, registration, certificate or permit required for the operation or provision of service;
(21) “Days” means calendar days unless otherwise stated;
(22) “Department” means the Department of Developmental Services;
(23) “Developmental Center” means any institution referred to in the Welfare and Institutions Code, Section 4440. Developmental Center is synonymous with state hospital;
(24) “DHS” means the Department of Health Services;
(25) “DSS” means the Department of Social Services;
(26) “Direct Care Staff” means staff who personally provide direct services to consumers. Personnel who are responsible for other staff functions may be considered direct care staff only during that time when they are providing direct services to consumers or are involved in program preparation functions;
(27) “Direct Services” means hands-on training provided by the vendor in accordance with the requirements of the consumer's Individual Program Plan and the provisions of Section 56720 of these regulations;
(28) “Director” means the Director of the Department of Developmental Services;
(29) “Family Member” means an individual who: A) Has a developmentally disabled person residing with him or her; B) Is responsible for the 24-hour care and supervision of the developmentally disabled person; and C) Is not a licensed or certified resident care facility or foster family home receiving funds from any public agency or regional center for the care and supervision provided;
(30) “Functional Skills” means those skills which enable an individual to communicate, interact with others and to perform tasks which have practical utility and meaning at home, in the community or on the job;
(31) “Generic Agency” means any agency which has a legal responsibility to serve all members of the general public and which is receiving public funds for providing such services;
(32) “Generic Support(s)” means voluntary service organizations, commercial businesses, non-profit organizations, generic agencies, and similar entities in the community whose services and products are regularly available to those members of the general public needing them.
(33) “Group Practice” means more than one individual which functions as a business entity while providing services to individuals;
(34) “Habilitation Services” means community-based services purchased or provided for adults with developmental disabilities, including services provided under the Work Activity Program and the Supported Employment Program, to prepare and maintain these adults at their highest level of vocational functioning, or to prepare them for referral to Vocational Rehabilitation services; 
(35) “Independent Living Program” means a community-based day program that provides to adult consumers the functional skills training necessary to secure a self-sustaining, independent living situation in the community and/or may provide the support necessary to maintain those skills. Independent living programs focus on functional skills training for adult consumers who generally have acquired basic self-help skills and who, because of their physical disabilities, do not possess basic self-help skills, but who employ and supervise aides to assist them in meeting their personal needs;
(36) “Individual Program Plan (IPP)” means a written plan that is developed by a regional center interdisciplinary (ID) team, in accordance with the provisions of the Welfare and Institutions Code, Sections 4646 and 4646.5;
(37) “Infant Development Program” means a community-based day program defined in the Welfare and Institutions Code, Section 4693;
(38) “In-home Respite Services” means intermittent or regularly scheduled temporary non-medical care and supervision provided in the consumer's own home and designed to do all of the following:
(A) Assist family members in maintaining the consumer at home;
(B) Provide appropriate care and supervision to protect the consumer's safety in the absence of family members;
(C) Relieve family members from the constantly demanding responsibility of caring for a consumer; and
(D) Attend to the consumer's basic self-help needs and other activities of daily living, including interaction, socialization, and continuation of usual daily routines which would ordinarily be performed by the family member;
(39) “Interdisciplinary (ID) Team” means the group of persons convened in accordance with the Welfare and Institutions Code, Section 4646, for the purpose of preparing a consumer's IPP;
(40) “Intermediate Care Facility” means an Intermediate Care Facility as defined in Health and Safety Code Section 1250(d);
(41) “Intermediate Care Facility/Developmentally Disabled (ICF/DD)” means a licensed residential health facility which provides care and support services to developmentally disabled consumers whose primary need is for developmental services and who have a recurring, but intermittent, need for skilled nursing services;
(42) “Intermediate Care Facility/Developmentally Disabled-Habilitative (ICF/DD-H)” means a licensed residential health facility which has as its primary purpose the furnishing of 24-hour personal care, developmental training, habilitative, and supportive health services in a facility with 15 beds or less to residents with developmental disabilities;
(43) “Intermediate Care Facility/Developmentally Disabled-Nursing (ICF/DD-N)” means a licensed residential health facility which has as its primary purpose the furnishing of 24-hour nursing supervision, personal care, and training in habilitative services in a facility with 4-15 beds to medically fragile developmentally disabled consumers, or to consumers who demonstrate a significant developmental delay that may lead to a developmental disability if not treated. Such consumers must have been certified by a physician as not requiring skilled nursing care;
(44) “Long-Term Health Care Facility” means an Adult Day Health Care Program, a Congregate Living Health Facility, a Skilled Nursing Facility (SNF), an Intermediate Care Facility (ICF), an Intermediate Care Facility/Developmentally Disabled (ICF/DD), an Intermediate Care Facility/Developmentally Disabled-Habilitative (ICF/DD-H), or an Intermediate Care Facility/Developmentally Disabled-Nursing (ICF/DD-N);
(45) “Management Organization” means a separate and distinct corporation or entity which operates two or more services;
(46) “Mobility Training” means individually planned activities and instruction which enable adults with developmental disabilities to utilize the most normalizing independent transportation modes possible;
(47) “Natural Environment” means places and social contexts commonly used by individuals without developmental disabilities;
(48) “Natural Supports” means, pursuant to Welfare and Institutions Code, Section 4512(e), personal associations and relationships typically developed in the family and community that enhance or maintain the quality and security of life for people;
(49) “Nonresidential Services” means all services provided by any vendor other than a residential facility;
(50) “Nursing Facility” means a licensed health facility or a distinct part of a hospital which provides continuous skilled nursing and supportive care to patients whose primary need is for availability of skilled nursing care on an extended basis. It provides 24-hour inpatient care and, as a minimum, includes physician, skilled nursing, dietary and pharmaceutical services, and an activity program;
(51) “Program Preparation Functions” means secondary activities performed by non-residential direct care staff, such as preparation of lesson plans, completion of the necessary documentation required by these regulations, preparation and clean-up of the area where the direct service is provided to consumers, or involvement in other duties such as staff meetings and parent conferences;
(52) “Purchase of Service Funds” means those funds identified in the Budget Act for the purpose of purchasing services, provided by vendors, for consumers;
(53) “Reasonably suspected” means an objectively reasonable suspicion that a person would entertain, based upon facts that could cause a reasonable person in a like position, drawing, when appropriate, on his or her training and experience, to suspect abuse.
(54) “Regional Center” means a diagnostic, counseling, and service coordination center for developmentally disabled persons and their families which is established and operated pursuant to the Welfare and Institutions Code, Sections 4620 through 4669, by a private nonprofit community agency or corporation acting as a contracting agency. As used in these regulations, any reference to the regional center shall, by reference, be applicable to those agencies or persons with which the regional center contracts to provide service coordination to consumers under the provisions of the Welfare and institutions Code, Section 4648;
(55) “Residential Facility” means any licensed community care facility as defined in Health and Safety Code Section 1502(a)(1), (4), (5) or (6), or a licensed residential care facility for the elderly as defined in Health and Safety Code Section 1569.2;
(56) “Self-Advocacy” means the awareness, motivation and ability of an individual to represent and communicate his or her own interests, to exercise personal choice, to exert control over his or her environment, and to avoid exploitation and abuse;
(57) “Self-Care” means meeting one's physical and personal needs, such as dressing, grooming and hygiene without dependence on others or having the ability to direct others to meet those needs;
(58) “Service Catchment Area” means the geographical area within which a regional center provides services specified in its contract with the Department as required by the Welfare and Institutions Code, Section 4640;
(59) “Service Code” means a number which is assigned by the vendoring regional center to a vendor which indicates the type of authorized service to be provided;
(60) “Service Contract” means an agreement entered into between a regional center and a non-residential vendor which specifies the level of payment and units of service to be used by the vendor to charge and invoice the regional center for services provided to consumers;
(61) “Service Design” means a written description of the service delivery capabilities and orientation developed, maintained, and implemented by a  SLS vendor;
(62) “Services” means assistance provided, and duties performed, by a vendor for a consumer;
(63) “Skilled Nursing Facility (SNF)” means a Skilled Nursing Facility as defined in Health and Safety Code Section 1250(c);
(64) “Social Recreation Program” means a community-based day program which provides community integration and self-advocacy training as they relate to recreation and leisure pursuits;
(65) “Special Incident Report” is the documentation prepared by vendor staff or long-term health care facility staff detailing a special incident and provided to the regional center;
(66) “Staffing Ratio” or “Staff-to-Consumer Ratio” means the numerical relation of the number of direct care staff to the number of consumers;
(67) “Statewide Vendor Panel” means the statewide listing of all vendors which contains information specified in Section 54334 of these regulations;
(68) “Subcode” means a series of a maximum of five numbers and/or letters which is assigned by the vendoring regional center to a vendor for billing purposes;
(69) “Supported Employment” means services that are provided by a job coach in order to support and maintain an individual with developmental disabilities in employment; 
(70) “Supported Employment Program” means a program that meets the requirements of the term supported employment , as defined in this section, and of the terms, integrated work, supported employment placement, allowable supported employment services, group services, and individualized services as defined in Section 58801. 
(71) “Supported Living Service(s) (SLS)” means those services and supports referenced in Section 54349(a) through (e), and specified as SLS service and support components in Title 17, Section 58614, which are provided by a SLS vendor, paid for by the regional center, and support consumers' efforts to:
(A) Live in their own homes, as defined in Title 17, Section 58601(a)(3);
(B) Participate in community activities to the extent appropriate to each consumer's interests and capacity; and
(C) Realize their individualized potential to live lives that are integrated, productive, and normal;
(72) “Unit of Service” means the increment of service provided to consumers which is used to charge and invoice the regional center for services provided. The increment of service is specified as hours, days, transportation mileage or any other increment of service agreed to by the Department, regional center and the vendor;
(73) “User Regional Center” or “Utilizing Regional Center” means any regional center which utilizes a service within the vendoring regional center's catchment area;
(74) “Vendor” means an applicant which has been given a vendor identification number and has completed the vendorization process, and includes those specified in Section 54310(d) and (e);
(75) “Vendor Application” or “Application Packet” means the form, DS 1890 (7/2011), and the information specified in Section 54310(a)(1) through (10) of these regulations;
(76) “Vendor Identification Number” means the unique number which is assigned to each vendor in order to establish a recordkeeping and tracking system for regional centers' billing purposes;
(77) “Vendoring Regional Center” means the regional center in whose service catchment area the vendor is located; 
(78) “Vendorization” means the process used to:
(A) Verify that an applicant meets all of the requirements and standards pursuant to Section 54310 of these regulations prior to the provision of services to consumers; and
(B) Assign vendor identification numbers, service codes and subcodes, for the purpose of identifying vendor expenditures;
(79) “Voucher” means a written authorization issued by a regional center to a family member or consumer to procure the service for which the voucher was issued and which specifies the maximum reimbursement authorized by the regional center.
(80) “Work Activity Program” includes, but is not limited to, Work Activity centers or settings that provide support to consumers engaged in paid work and have demonstrated that the program is in compliance with Department of Rehabilitation certification standards or are accredited by CARF; 
(b) The following definitions shall apply to Section 54311: 
(1) “Excluded Individuals or Entities” means either those individuals and entities that have been placed on the U.S. Department of Health and Human Services Office of Inspector General (OIG) List of Excluded Individuals/Entities and the Department of Health Care Services (DHCS) Medi-Cal Suspended and Ineligible Provider list or those individuals and entities that meet the criteria included in Section 54311(a)(6); 
(2) “Indirect Ownership Interest” means an ownership interest in an entity that has an ownership interest in the applicant or vendor entity. This term includes an ownership interest in any entity that has an indirect ownership interest in the applicant or vendor entity; 
(3) “Managing Employee” means a general manager, business manager, administrator, director, or other individual who exercises operational or managerial control over, or who directly or indirectly conducts the day-to-day operation of an institution, organization, agency or business entity; 
(4) “Ownership Interest” means the possession of equity in the capital, the stock or the profits of an applicant or vendor entity; 
(5) “Person with an Ownership or Control Interest” means a person or corporation that: 
(A) Has an ownership interest totaling 5 percent or more in an applicant or vendor entity; 
(B) Has an indirect ownership interest equal to 5 percent or more of an applicant or vendor entity; 
(C) Has a combination of direct or indirect ownership interests equal to 5 percent or more in an applicant or vendor entity; 
(D) Owns an interest of 5 percent or more in any mortgage, deed of trust, note, or other obligation secured by the applicant or vendor entity if that interest equals at least 5 percent of the value of the property or assets of the applicant or vendor entity; 
(E) Is an officer or director of an applicant or vendor entity that is organized as a corporation; or
(F) Is a partner in an applicant or vendor entity that is organized as a partnership; 
(6) “Significant Business Transaction” means any business transaction or series of transactions that, during any one fiscal year, exceed the lesser of $25,000 or 5 percent of an applicant or vendor's total operating expenses; 
(7) “Subcontractor” means an individual, agency, or organization to which an applicant or vendor entity has contracted or delegated some of its management functions or responsibilities of providing services;
(8) “Wholly Owned Supplier” means a supplier whose total ownership interest is held by an applicant or vendor entity or by a person, persons, or other entity with an ownership or control interest in an applicant or vendor entity. 
NOTE

Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(A), 4689.7(c) and 4866, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 1250 and 1502, Health and Safety Code; Sections 240, 242, 243.4, 245, 261, 264.1, 273d, 285, 286, 288, 288a, 289, 311.2, 311.3, 311.4, 647a, 11165.1, 11165.2, 11165.3 and 11165.6, Penal Code; Sections 4504, 4512(i), 4646.5, 4648(a), 4648.12, 4689.7(c), 4691, 4693, 4791, 4851, 12305.81(a)(2), 15610.57 and 15610.63; and Article II, Chapter 5, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment  filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of  law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsections (a)(14) and (a)(46) and subsection renumbering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Editorial correction of printing error restoring article heading (Register 92, No. 34).
7. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
8. Amendment of subsection (a)(57) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
9. Amendment of subsections (a)(2) and (a)(57) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
10. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
11. Amendment of subsections (a)(2) and (a)(10), new subsections (a)(13), (a)(26), (a)(39), (a)(51), (a)(59)-(a)(59)(C), subsection renumbering and amendment of Note filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (a)(2) and (a)(10), new subsections (a)(13), (a)(26), (a)(39), (a)(51), (a)(59)-(a)(59)(C), subsection renumbering and amendment of Note refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (a)(62), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
14. Amendment of subsections (a)(2) and (a)(10), new subsections (a)(13), (a)(26), (a)(39), (a)(51), (a)(59)-(a)(59)(C), subsection renumbering and amendment of Note refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 8-14-95 order, including further amendment of subsections (a)(13), (a)(39), (a)(51) and (a)(59)(A), transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
16. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
17. Amendment of section and Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
18. Amendment of section and Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 10-20-98 order, including further amendment of section, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
20. Amendment of subsection (a)(16), (a)(34)(D), (a)(53)(A)4., (a)(53)(B)3., (a)(62)(B)-(C), (a)(66)-(a)(66)(A), (a)(66)(C), subsection renumbering of duplicate subsection (a)(71) et seq., amendment of newly designated subsections (a)(72)-(73) and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
21. Repealer of subsections (a)(53)-(a)(53)(B)3. and (a)(62)-(a)(62)(C), subsection renumbering and amendment of subsection (a)(61) filed 6-27-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
22. Reinstatement of section as it existed prior to 6-27-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 43).  
23. Repealer of subsections (a)(53)-(a)(53)(B)3. and (a)(62)-(C), subsection renumbering and amendment of subsection (a)(61) filed 10-25-2001 as an emergency; operative 10-31-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-28-2002 or emergency language will be repealed by operation of law on the following day.
24. Certificate of Compliance as to 10-25-2001 order, including new subsection (a)(49) and subsection renumbering, transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
25. New definitions of “Accreditation,” “CARF,” “Certification,” “Habilitation Services,” “Supported Employment,” “Supported Employment Program” and “Work Activity Program” and subsection renumbering filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
26. Reinstatement of section as it existed prior to 7-22-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 49).
27. New definitions of “Accreditation,” “CARF,” “Certification,” “Habilitation Services,” “Supported Employment,” “Supported Employment Program” and “Work Activity Program” and subsection renumbering refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
28. New definitions of “Accreditation,” “CARF,” “Certification,” “Habilitation Services,” “Supported Employment,” “Supported Employment Program” and “Work Activity Program” and subsection renumbering refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
29. Certificate of Compliance as to 3-30-2005 order, including further amendment of definitions of “Supported Employment” and “Work Activity Program,” transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
30. Amendment of subsections (a), (a)(9), (a)(75) and (a)(78)(A), new subsections (b)-(b)(8) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54306. Service Bank Application. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 93, Statutes of 1991, Section 2(g); Sections 4405 and 4648(b), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Chapter 93, Statutes of 1991, Section 2(g); and Sections 4502, 4631, 4648(b) and 4691, Welfare and Institutions Code.
HISTORY

1. New section  filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of  law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Repealer filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Editorial correction of printing error moving article heading to section 54302 (Register 92, No. 34).
§54308. Determination of Need and Notice Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 93, Statutes of 1991, Section 2(g); Sections 4405 and 4648(b), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Chapter 93, Statutes of 1991, Section 2(g); and Sections 4631 and 4648(b), Welfare and Institutions Code.
HISTORY

1. New section  filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of  law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Repealer filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
§54310. Vendor Application Requirements.
Note     •     History

(a) An applicant who desires to be vendored shall submit Form DS 1890 (7/2011), entitled Vendor Application, and the information specified in (1) through (10) below, to the vendoring regional center. 
(1) Applicant's name, including the name of any governing body or management organization;
(2) Applicant's Social Security Number, Federal Tax ID number, or a copy of any document accepted by the federal government which establishes identity of applicant;
(3) Applicant's mailing address;
(4) Address of service, if applicable;
(5) Name of family member, owner or executive director, as applicable;
(6) Types of service to be provided;
(7) Telephone number;
(8) Facility capacity, if applicable;
(9) Identification of the type of consultants, subcontractors and community resources to be used by the vendor as part of its service.
(10) Copies of:
(A) Any license, credential, registration, certificate or permit required for the performance or operation of the service, or proof of application for such document;
(B) Any academic degree required for performance or operation of the service;
(C) Any waiver from licensure, registration, certification, credential, or permit from the responsible controlling agency;
(D) The proposed or existing program design as required in Sections 56712 and 56762 of these regulations, if applicable, for applicants seeking vendorization as community-based day programs;
(E) The proposed or existing staff qualifications and duty statements as required in Sections 56722 and 56724 of these regulations for applicants seeking vendorization as community-based day programs;
(F) The proposed or existing service design as required in Section 56780 of these regulations for applicants seeking vendorization as in-home respite service agencies;
(G) The proposed or existing program design as required in Section 58811 of these regulations for applicants seeking vendorization as habilitation service providers; 
(H) The proposed or existing staff qualifications and duty statements as required in Sections 56790 and 56792 of these regulations for applicants seeking vendorization as in-home respite services agencies;
(I) The proposed service design as required in Sections 58630 and 58631 of these regulations for applicants seeking vendorization to provide supported living service;
(J) The signed Home and Community-Based Services Provider Agreement (6/99) with the Department of Health Services, obtainable from the regional centers as part of the vendorization packet, for those applicants whose proposed service is eligible for Medi-Cal reimbursement; and
(K) The proposed program design as required by Subchapter 4.1, Section 56084 for those applicants seeking vendorization as a family home agency (FHA).
(b) The applicant shall sign and date Form DS 1890 (7/2011), which includes a certification that the information is true, correct and complies with Title 17, Section 54310(a).
(c) In addition to subsection (a), a Family Home Agency (FHA) shall specify the following information:
(1) The name, title, business address and telephone number of each officer and member of the governing board;
(A) The application packet shall include copies of the corporation's articles of incorporation; by-laws, which shall include provisions for control by a responsible governing board; annual statement filed with the Secretary of State; corporate charter, if applicable; and evidence certifying the corporation's nonprofit status.
(B) The application packet shall contain a written resolution from the governing board stating that the board shall operate the FHA in full conformity with all applicable statutes and regulations.
(2) Name, address and telephone number of the owner of the facility premises if the applicant is leasing or renting;
(3) Disclosure of:
(A) Any board member's or officer's prior or present service as an administrator, general partner, corporate officer or director of any health facility certified by the Department of Health Services or community care facility licensed by the Department of Social Services' Community Care Licensing Division; and
(B) Any revocation or other action taken, or in the process of being taken, against any community care facility license or health facility certification held or previously held by the applicant or any officer or member of the governing board.
(4) A financial statement and budget which demonstrate the applicant's ability to cover the costs of operating the FHA to provide the level of services and supports necessary to maintain consumers for whom the regional center is responsible in family homes;
(5) A written statement that no FHA employee, Board of Directors member or officer shall be a family home provider of the FHA;
(6) A written statement that no family home shall be approved by the FHA as a residence for a consumer who is a relative of the family home provider except when: (1) the residence is consistent with the services and supports referenced in the consumer's IPP; and (2) the relative has no legal obligation to support the consumer;
(7) Any other information required by the regional center which is pertinent to vendorization of the FHA.
(d) Habilitation services providers who, on July 1, 2004, are providing services to consumers shall be deemed to be an approved vendor. Each approved vendor shall submit to the vendoring regional center, and a copy to the Department, a completed Vendor Application, DS 1890 (12/03) and a completed Annual Habilitation Services Provider Profile, DS 1970 (4/04) by July 31, 2004. 
(e) Habilitation Services providers not deemed approved vendors pursuant to (d), and approved vendors seeking vendorization as Habilitation Services providers in a new location, shall, in addition to meeting the general requirements of this section and of Title 17, Sections 58800 through 58882, meet the following requirements as a condition of vendorization: 
(1) The applicant shall: 
(A) If currently accredited, supply a copy of its last accreditation report and indicate the date its next accreditation review is due. 
(B) If not currently accredited, supply a copy of certification by the Department of Rehabilitation and shall become accredited within 3 years of the date of their certification. 
(f) The following applicants shall be required to submit only Form DS 1890 (7/2011) and, if applicable, a copy of any license, credential, registration, certificate, permit, or academic degree required for the performance or operation of the service, or any waiver from licensure, registration, certification, credential, or permit from the responsible controlling agency. If the proposed service is eligible for Medi-Cal reimbursement, the applicant shall also sign the Home and Community Based Services Provider Agreement (6/99), and submit the original of the signed agreement to the vendoring regional center. 
(1) Public transit authorities, dial-a-ride, rental car agencies, or taxis;
(2) Out-of-state manufacturers or distributors who are eligible for vendorization pursuant to Section 54318 of these regulations;
(3) Retail/wholesale stores; and
(4) Generic agencies specified in Section 54316(a)(2) of these regulations.
(g) Family members or consumers who desire to be vendored in the following categories shall be required to submit to the vendoring regional center Form DS 1890 (7/2011), and, if the vouchered family member or consumer is also the provider of the vouchered service, a copy of any license, credential, registration, certificate, permit, or academic degree required for the performance or operation of the service, or any waiver from licensure, registration, certification, credential, or permit from the responsible controlling agency, if applicable. If a proposed service is eligible for Medi-Cal reimbursement, the applicant shall also sign the Home and Community-Based Services Provider Agreement (6/99) and submit it to the vendoring regional center.
(1) Respite service--family member;
(2) Nursing service--family member;
(3) Transportation--family member;
(4) Day care--family member; and
(5) Diaper and nutritional supplements--family member.
(h) For the purposes of subsections (a) and (b) of this section, the documentation provided to the dentist by the Department of Health Care Services (DHCS) approving the dentist's enrollment in the Denti-Cal program, including the dentist in the Provider Master File and providing the dentist with a Medi-Cal provider number, constitutes vendorization for the purposes of providing services to consumers under Dentistry -- Service Code 715. The dentist's status as a Denti-Cal provider is under the oversight of DHCS. 
NOTE

Authority cited: Chapter 157, Statutes of 2003; Sections 4405, 4648(a), 4648.12(c)(1)(A) and 4689.1, Welfare and Institutions Code; and Section 11152, Government Code; and Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4502, 4631, 4648(a), 4648.12, 4690, 4691 and 12305.81(a)(2), Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Editorial correction of printing error in article 2 heading (Register 91, No. 30).
4. Amendment of section heading, subsections (a), (a)(5)(b) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, subsections (a), (a)(5)(b) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-4-92 order including amendment of section heading and text transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
7. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
8. Amendment of subsections (a)(10)(H), (c) and (d) filed 4-22-94; operative 4-22-94. Submitted to OAL for printing only (Register 94, No. 16).
9. Amendment of subsections (d)(1)-(5) and new subsections (e)-(e)(8) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
10. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
11. New subsections (a)(10)(I) and (c)-(c)(7), subsection relettering and amendment of Note filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
12. New subsection (a)(10)(H), subsection relettering and amendment of Note filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
13. New subsections (a)(10)(I) and (c)-(c)(7), subsection relettering and amendment of Note refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
14. New subsection (a)(10)(H), subsection relettering and amendment of Note refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 7-24-95 order including new subsection (a)(10)(H) and subsection relettering transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
16. Certificate of Compliance as to 6-20-94 order, including amendment of subsections (a)(10)(I), (d) and (e) and repealer of subsections (f)-(f)(8), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
17. Editorial correction of History 12 and History 14 (Register 96, No. 15).
18. New subsection (a)(10)(H), subsection relettering and amendment of Note refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 8-14-95 order transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
20. Change without regulatory effect amending subsection (e) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
21. New subsections (a)(10)(G) and (d)-(f), subsection relettering and amendment of Note filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
22. Amendment of subsections (a), (a)(5), (a)(10)(J), (b), (g) and (i) and amendment of Note filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
23. Reinstatement of section as it existed prior to 7-22-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 49).
24. New subsections (a)(10)(G) and (d)-(f), subsection relettering and amendment of Note refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
25. Refiling of 8-27-2004 order, including relettering of subsection (i) to subsection (h), 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
26. New subsections (a)(10)(G) and (d)-(f), subsection relettering and amendment of Note refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
27. Certificate of Compliance as to 12-22-2004 order, including further amendment of subsections (a)(2) and (h), transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
28. Certificate of Compliance as to 3-30-2005 order, including redesignation of former subsections (f)-(f)(2) as new (e)(1)-(e)(1)(B) and subsection relettering, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
29. Amendment of subsections (a), (b), (c)(1)(A)-(B), (f) and (g), new subsection (h) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54311. Disclosure Requirements.
Note     •     History

(a) The applicant or vendor shall disclose all the information required by Title 42, Code of Federal Regulations (CFR), Sections 455.104, 455.105 and 455.106, as of March 25, 2011, and shall complete and submit to the regional center the Applicant/Vendor Disclosure Statement, Form DS 1891 (7/2011), hereby incorporated by reference, which shall include, but not be limited to all of the following: 
(1) The name, address, title and percentage of ownership or control interest of each person(s) with an ownership or control interest, as defined in Section 54302(b)(5), in the applicant or vendor or in any subcontractor in which the applicant or vendor has direct or indirect ownership of 5 percent of more. 
(2) Whether any of the persons named in subsection (a)(1), above, is related to another as spouse, parent, child or sibling. 
(3) The name and address of any other disclosing entity as defined in 42 CFR Section 455.101 with an ownership or control interest in the applicant or vendor. This requirement applies to the extent that the applicant or vendor can obtain this information by requesting it in writing from the disclosing entity. The applicant or vendor shall: 
(A) Keep copies of all disclosure information submitted to the regional center at vendorization and upon request. 
(B) Make the disclosure information available to the regional center upon request. 
(C) Advise the regional center when there is no response to a request. 
(4) The name and address of each person(s) with an ownership or control interest in any subcontractor with whom the applicant or vendor has had business transactions totaling more than $25,000 during the 12-month period either immediately preceding the date of the vendor application or immediately preceding the date of the regional center request for such information. 
(5) Any significant business transactions between the applicant or vendor and any wholly owned supplier, or between the applicant or vendor and any subcontractor, at the time of the application, or during the 5-year period ending on the date of the written request by the regional center for such information. 
(6) The name, title and address of any person(s) who, as applicant or vendor, or who has ownership or control interest in the applicant or vendor, or is an agent, director, member of the board of directors, officer, or managing employee of the applicant or vendor, has within the previous ten years: 
(A) Been convicted of any felony or misdemeanor involving fraud or abuse in any government program, or related to neglect or abuse of an elder or dependent adult or child, or in any connection with the interference with, or obstruction of, any investigation into health care related fraud or abuse; or
(B) Been found liable any civil proceeding for fraud or abuse involving any government program; or 
(C) Entered into a settlement in lieu of conviction involving fraud or abuse in any government program. 
(b) Each applicant or vendor shall submit a new signed and dated DS 1891 (7/2011) to the regional center within 30 days of any change in the information previously submitted pursuant to this section or upon a written request by the regional center for such information. 
(c) All current vendors shall submit a signed and dated DS 1891 (7/2011) to the vendoring regional center within 120 days of the effective date of these regulations for review by regional center by June 30, 2012. 
(d) In addition to (c) above, the vendor shall supply the information in subsection (a) above upon written request to the vendoring regional center, Department of Developmental Services, the State Medicaid Agency, Department of Health Care Services, any State survey team, the Secretary of the United States Department of Health and Human Services, or any duly authorized representatives of the above-named entities. 
NOTE

Authority cited: Sections 4648.12(c)(1)(A) and 14043.75, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4648.12 and 12305.81(a)(2), Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106. 
HISTORY

1. New section filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54312. Applicants Exempted from the Application Process. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 93, Statutes of 1991, Section 2(g); Sections 4405 and 4648(b), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Chapter 93, Statutes of 1991, Section 2(g); and Sections 4631 and 4648(b), Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(1) filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
4. Amendment of section heading, subsections (a), (a)(2)-(4), repealer of subsection (b) and new subsections (b)-(c), and amendment of  Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of  law on the following day.
5. Amendment of section heading, subsections (a), (a)(2)-(4), repealer of subsection (b), and new subsections (b)-(c), and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-4-92 order including amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
7. Repeal of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
§54314. Ineligibility for Vendorization.
Note     •     History

(a) The following applicants shall not be vendored:
(1) Any officer or employee of the State of California;
(2) Any applicant in which an officer or employee of the State of California has a financial interest, as defined in the Government Code, Section 87103, except as permitted by Public Contract Code, Section 10430(g), effective January 1, 1992;
(3) Employees and board members of any regional center with a conflict of interest pursuant to Title 17, Sections 54500 through 54525, unless the conflict is eliminated or a waiver is obtained pursuant to Title 17, Sections 54522 through 54525;
(4) Any applicant in which the regional center employee or board member has a relationship which creates a conflict of interest pursuant to Title 17, Sections 54500 through 54525, unless the conflict is eliminated or a waiver is obtained pursuant to Title 17, Sections 54522 through 54525;
(5) Consumers, to provide services for, or to, themselves except to:
(A) Provide transportation services to themselves as specified in Section 54355(g)(5); and
(B) Serve as their own Supported Living Service vendors as specified in Title 17, Section 58616.
(6) Except as specified in Section 54318 of these regulations, any applicant located outside the state.
(7) Any applicant that has been determined to be an excluded individual or entity as defined in Section 54302(b)(1). 
NOTE

Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(A) and 4689, Welfare and Institutions Code; and  Section 11152, Government Code. Reference: Sections 4626, 4627, 4631, 4648(a), 4648.1(d), 4648.12 and 4689(a)(1), Welfare and Institutions Code; Section 10430(g), Public Contract Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(5) filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
4. Amendment of subsection  (a)(2) and  Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of  law on the following day.
5. Amendment of subsection (a)(2) refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-4-92 order including amendment of text and Note transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
7. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
8. Amendment of subsection (a)(5)(A) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Amendment of subsections (a)(5)-(a)(5)(A), new subsection (a)(5)(B) and amendment of Note filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (a)(5)-(a)(5)(A), new subsection (a)(5)(B) and amendment of Note refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
13. Amendment of subsections (a)(5)-(a)(5)(A), new subsection (a)(5)(B) and amendment of Note refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 8-14-95 order, including further amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
15. New subsection (a)(7) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54316. Generic Agencies.
Note     •     History

(a) Any service operated by a generic agency shall be:
(1) Ineligible for vendorization if the generic agency is statutorily mandated to provide the services to the general public and/or to consumers, except as specified in (a)(2) below;
(2) Eligible for vendorization and subject to the vendorization process specified in Section 54310(d) and (e) of these regulations, if the generic agency:
(A) Provides services to the general public; and
(B) Charges a fee; however, the amount charged for consumers is the same as the amount charged to the general public for the same type of service.
(3) Eligible for vendorization and subject to the entire vendorization process specified in Section 54310(a) of these regulations, if the generic agency:
(A) Operates a service which is not mandated to provide to the general public;
(B) Has designed the service specifically for consumers; and
(C) Charges the regional center for the services received.
(b) For purposes of (a) above, fees shall not include:
(1) Shares of cost under the Medi-Cal program pursuant to the Welfare and Institutions Code, Section 14009;
(2) Annual deductibles under the uniform patient fee schedule for community mental health services pursuant to the Welfare and Institutions Code, Sections 5717 and 5718; or
(3) Repayment obligations under the California Children Services program pursuant to the Health and Safety Code, Section 255.
(c) Any generic agency meeting the requirements specified in (a)(2) above may request an exemption from the vendorization process by submitting a written statement to the vendoring regional center which includes:
(1) A description of the services to be provided; and
(2) The reasons it believes it qualifies for the exemption.
(d) Upon receipt of the written statement specified in (c) above:
(1) The vendoring regional center shall submit the request to the Department within 15 days of its receipt; and
(2) Within 15 days of receipt of the request from the regional center, the Department shall review the request and notify the vendoring regional center and the generic agency, in writing, that the exemption has been:
(A) Approved, along with the service code assigned pursuant to Section 54358(b) of these regulations; or
(B) Denied, along with the basis for the denial and an explanation of the appeal rights pursuant to Sections 54380 through 54390 of these regulations.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4644, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(2) and (a)(3) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(2) and (a)(3) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a)(2)-(3) and Note transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsections (a)(2) and (3) and (c) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Amendment of subsection (a)(2) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (a)(2), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect amending subsections (a)(1), (a)(2), (a)(2)(B) and (a)(3)(B) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54318. Vendorization of Out-of-State Applicants and Manufacturers or Distributors.
Note     •     History

(a) A regional center may approve for vendorization an applicant not located and licensed, certified, or registered in California if the applicant meets all of the following requirements:
(1) Meets the requirements in California for the specific type of service, or meets the requirements for the specific service as specified by the appropriate controlling agency in the jurisdiction in which the applicant is located;
(2) Meets either of the following two criteria:
(A) Is located in a state bordering California and has an office or facility located within 50 miles of the California border: or
(B) Receives prior approval by the Director of the Department of the Director's designee pursuant to the Welfare and Institutions Code, Sections 4519(a) through (c).
(b) Manufacturers and distributors of merchandise which are located outside of California shall only be vendored if:
(1) The specific item is not available in California; or
(2) It is more economical to purchase the item outside of California.
(c) Out-of-state applicants and manufacturers or distributors shall:
(1) Submit a vendor application pursuant to Section 54310(d)(2) of these regulations; and
(2) Receive a service code pursuant to Sections 54342 through 54354 of these regulations, as applicable, providing they meet California requirements for a specific type of service; or
(3) Be vendored through miscellaneous services pursuant to Section 54356 of these regulations, providing they do not meet California requirements for a specific type of service.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4519, 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (c)(1) and Note filed as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of  law on the following day.
4. Amendment of subsection (c)(1) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsection (c)(1) and Note transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (c)(1) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16). 
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Change without regulatory effect amending subsection (c)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54319. Group Practices.
Note     •     History

(a) Services which shall apply to both individuals and group practices include:
(1) Adaptive Skills Trainer -- Service Code 605;
(2) Art Therapist -- Service Code 691;
(3) Associate Behavior Analyst -- Service Code 613;
(4) Attorney -- Service Code 610;
(5) Behavior Analyst -- Service Code 612;
(6) Behavior Management Consultant -- Service Code 620;
(7) Counseling Services -- Service Code 625;
(8) Dance Therapist -- Service Code 692;
(9) Developmental Specialist -- Service Code 670;
(10) Educational Psychologist -- Service Code 672;
(11) Music Therapist -- Service Code 693;
(12) Recreational Therapist -- Service Code 694;
(13) Teacher -- Service Code 674;
(14) Teacher of Special Education -- Service Code 678;
(15) Tutor -- Service Code 680;
(16) Dentistry -- Service Code 715;
(17) Dietary Services (Dietitian only) -- Service Code 720;
(18) Laboratory and Radiologic Services -- Service Code 735;
(19) Occupational Therapy -- Service Code 773;
(20) Orthoptic Services -- Service Code 745;
(21) Orthotic and Prosthetic Services -- Service Code 750;
(22) Other Medical Equipment or Supplies -- Service Code 750;
(23) Other Medical Services -- Service Code 760;
(24) Pharmaceutical Services -- Service Code 765;
(25) Physical Therapy -- Service Code 772;
(26) Physicians or Surgeons -- Service Code 775;
(27) Psychiatrist -- Service Code 780;
(28) Clinical Psychologist -- Service Code 785; and
(29) Genetic Counselor -- Service Code 800.
(b) Group practices which provide more than one service shall be vendored separately for each service.
(c) The name of the group practice shall appear on the statewide vendor panel if all persons providing services as a group practice:
(1) Require no license, registration, and/or certificate; or
(2) Have the appropriate license, registration, and/or certificate.
(d) If some of the persons providing services within a group practice are assistants or trained aides who are not licensed, registered, or certified as appropriate to the service, the name of the group practice and the licensed/registered/certified applicant shall both appear on the statewide vendor panel.
(e) Except as specified in (f)(3) below, the following person shall sign the vendor application pursuant to Section 54310(b) of these regulations:
(1) Any person in the group practice for those services that do not require licensing, registration or certification; or
(2) A licensed/registered/certified person in the group practice for those services that require licensing, registration or certification.
(f) Any group practice which is incorporated shall:
(1) Possess corporation papers issued by the Secretary of State or other appropriate agency;
(2) Possess the appropriate license, certificate, and/or registration for all persons providing services as a group practice, if applicable; and
(3) Ensure that the corporation president sign the vendor application pursuant to Section 54310(b) of these regulations.
(g) The name of the corporation shall appear on the vendor panel for any group practice which is incorporated.
NOTE

Authority cited: Sections 4405 and 4648(a), Welfare and Institutions Code; and Section 11152, Government Code. References: Sections 4631 and 4648(a), Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (a)(1) and (a)(9) and subsection renumbering, amendment of subsections (c) and (f) and Note and repealer and new subsection (e) filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (a)(1) and (a)(9) and subsection renumbering, amendment of subsections (c) and (f) and NOTE, repealer of subsection (e) and new subsection (e) refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (e) and (f)(3) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Repealer of subsection (a)(14) and subsection renumbering filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
10. Change without regulatory effect amending subsections (a)(1)-(a)(27) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
11. New subsection (a)(4) and subsection renumbering filed 5-3-2001; operative 6-2-2001 (Register 2001, No. 18).
12. New subsection (a)(3) and subsection renumbering filed 7-11-2005; operative 8-10-2005 (Register 2005, No. 28).
§54320. Regional Center Review of Vendor Application.
Note     •     History

(a) The vendoring regional center shall review the vendor application identified in Section 54310(a) and, as applicable, (d) or (e) within 45 days after receipt from the applicant, to ensure all of the following:
(1) The vendor application is complete;
(2) The applicant has complied with provisions of Sections 54342 through 54355 of these regulations, as applicable;
(3) Any required license, credential, registration, accreditation, certificate or permit:
(A) Is current,
(B) Has been issued for the service to be vendored, and
(C) Has a current address that matches the address on the vendor application.
(4) Staffing ratios and qualifications as specified in Section 56724, and 56770, if applicable, and Section 56756 or 56772 of these regulations are consistent with the program design as required in Section 56712 and Section 56762 of these regulations, if applicable, for applicants seeking vendorization as community-based day programs.
(5) The applicant has signed the Home and Community Based Services Provider Agreement (6/99), if applicable pursuant to Section 54310.
(6) That the applicant or person(s) disclosed pursuant to Section 54311 has not been determined to be an excluded individual or entity as defined in Section 54302(b)(1) and is not under investigation pursuant to the criteria in Section 54311(a)(6). 
(b) If an applicant submits an incomplete vendor application, the regional center shall provide written notification to the applicant of the missing items within 45 days of receipt of the vendor application. The regional center shall take no further action until all required information is received, and any investigation pursuant to (a)(6) above is resolved. At that time, the vendoring regional center shall consider the vendor application completed.
(c) No provision of this section shall preclude the regional center from completing the vendorization process, up to the point of approval for those applicants which have applied for the appropriate license, credential, registration, certificate, or permit. However, the regional center shall not approve vendorization, nor refer consumers, until the appropriate license, credential, registration, certificate or permit is received.
NOTE

Authority cited: Chapter 157, Statutes of 2003; Sections 4405, 4648(a) and 4648.12(c)(1)(A), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4502, 4631, 4648(a) 4648.12 and 4691, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section heading and text filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and text refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsections (a) and (d) and subsection relettering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (a)(5) filed 4-22-94; operative 4-22-94.  Submitted to printing only (Register 94, No. 16). 
8. Amendment of subsections (a)(2) and (5) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (a)(5), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect amending subsections (a)(5) and (c) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
12. Amendment of subsection (a) filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (a)(5) and amendment of Note filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
14. Reinstatement of section as it existed prior to 7-22-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 49).
15. Amendment of subsection (a) refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsection (a)(5) and amendment of Note refiled 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
17. Amendment of subsection (a) refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 12-22-2004 order transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
19. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (a)(3), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
20. Amendment of subsections (a)(1), (a)(3)(A)-(C) and (a)(5), new subsection (a)(6), amendment of subsection (b) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54322. Regional Center Approval/Denial of Vendorization.
Note     •     History

(a) The vendoring regional center shall approve vendorization within 45 days of receipt of all information which specifies that the applicant is in compliance with Section 54320(a).
(b) The vendoring regional center shall select criteria to apply in vendoring family home agencies (FHAs), including but not limited to, the following:
(1) The FHA's potential for providing cost-effective quality services and supports;
(2) The degree to which consumer choice regarding the provision of services and supports is identified as a factor in the FHA's program design;
(3) The experience of the FHA or key agency personnel in providing the same or comparable services;
(4) The reasonableness of the FHA's overhead;
(5) The capability of the regional center to monitor and evaluate the FHA; and
(6) The need for service.
(c) The regional center shall not approve vendorization of the FHA until completion of the criminal record review required by Title 17, Section 56085(a) and (b).
(d) The vendoring regional center shall issue an approval letter pursuant to (a) above to the vendor specifying all of the following:
(1) That the vendor is approved to provide the specified vendored services to consumers;
(2) That the statewide vendor panel reflects (1) above;
(3) The vendor identification number pursuant to Section 54340 of these regulations;
(4) The approved service code pursuant to Sections 54342 through 54358 of these regulations;
(5) The subcode, if applicable, pursuant to Section 54340 of these regulations;
(6) The approved staffing ratio for community-based day programs pursuant to Section 56756 or 56772 of these regulations;
(7) The approved facility service type and/or service level for residential services, as applicable;
(8) The process by which consumers are referred to the vendor and authorized to receive services;
(9) That vendorization is valid during the effective period of any license, credential, registration, certificate or permit required, and that vendorization shall not continue if the required document is suspended or revoked; and
(10) That vendorization does not guarantee that any consumers will be placed or referred to the vendor by the regional center.
(e) A vendoring regional center shall deny an application for vendorization within 45 days of receipt of a completed vendor application if the applicant fails to comply with the requirements of Section 54320(a) of these regulations, as applicable. 
(f) The vendoring regional center shall notify the applicant, in writing, of the denial pursuant to (e) above and the reason for such denial. The notification shall also include:
(1) A statement that the applicant may appeal the action pursuant to Section 54380(a) of these regulations;
(2) A statement that failure to file an appeal within 30 days shall result in denial of the appeal pursuant to Sections 54380(b) and (d) of these regulations; and
(3) An explanation of the appropriate appeal procedures pursuant to Sections 54380 through 54390 of these regulations.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a), 4689.1 and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4631, 4648(a), 4689.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsections (a), (b)-(b)(5) and (d)(1) and subsection relettering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Editorial correction of subsections (b)(3)-(4) (Register 95, No. 30).
9. New subsections (b)-(c), subsection relettering, amendment of newly designated subsection (f) and amendment of Note filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
10. New subsections (b)-(c), subsection relettering, amendment of newly designated subsection (f) and amendment of Note refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 7-24-95 order including amendment of subsection (b)(4)-(5), new subsection (b)(6) and amendment of subsection (c) transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
12. Change without regulatory effect amending subsections (d)(1), (d)(8) and (d)(10) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54324. Emergency Vendorization.
Note     •     History

(a) The regional center is authorized to approve emergency vendorization for an applicant prior to the receipt of a completed vendor application if the regional center determines that the health or safety of a consumer is in jeopardy and no current vendor is available to provide the needed service.
(b) If emergency vendorization is approved, the applicant may provide services for no more than 45 days.
(c) The applicant shall meet all applicable requirements pursuant to Section 54320(b)(2) through (5) of these regulations.
(d) The applicant shall submit a completed vendor application pursuant to Section 54310(a), (d) or (e) of these regulations within 30 days of the authorization by the vendoring regional center to provide the service.
(e) Within 15 days after receipt of the vendor application, the regional center shall:
(1) Review the vendor application as required in Section 54320(a) of these regulations; and
(2) Notify the vendor of vendorization approval pursuant to Section 54322(d) of these regulations; or
(3) Notify the applicant of vendorization denial pursuant to Section 54322(f) of these regulations.
(f) The emergency vendorization shall lapse if the vendor application is not properly submitted or if the regional center does not approve the application within 45 days of the initial authorization.
(g) If a lapse of emergency vendorization occurs pursuant to (f) above, in no case shall the regional center allow the vendor to reapply for emergency vendorization.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4502, 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a) and (c)-(f) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 91, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (c)-(f) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a), (c)-(d) and (e)(1)-(2) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (d) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Editorial correction of History 3 (Register 95, No. 18).
10. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (d), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect amending subsections (a), (d), (e)(2) and (e)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54326. General Requirements for Vendors and Regional Centers.
Note     •     History

(a) All vendors shall:
(1) Be prohibited from transferring vendorization of their service to another person or entity;
(2) Provide access to regional center and/or Department staff, on an announced or unannounced basis, for the purposes specified in the Welfare and Institutions Code, Section 4648.1;
(3) Maintain records of services provided to consumers in sufficient detail to verify delivery of the units of service billed:
(A) Such records shall be maintained for a minimum of five years from the date of final payment for the State fiscal year in which services were rendered or until audit findings have been resolved, whichever is longer. This requirement may be satisfied by retaining an electronic record of the information in the record, if the record reflects accurately the information set forth in the record at the time it was first generated in its final form as an electronic record or otherwise, and the electronic record remains accessible for later reference.
(B) Records must include for each consumer the information specified in Section 50604(d)(3)(A), (B), (C), (D), (E) or (F), as applicable. 
(C) Data, as specified in Section 50604(d)(3)(A), (B), (C), (D), (E) or (F), as applicable, for the billing period shall be submitted to the regional center with the billings/invoices.
(4) Make available any books and records pertaining to the vendored service, including those of the management organization and disclosure information required in Section 54311, if applicable, for audit, inspection or authorized agency representatives. This shall also include only those portions of any personnel records that are necessary to ensure staff qualifications comply with the requirements contained in Section 56724, and Section 56770 or 56792 of these regulations, if applicable, in order to comply with the monitoring of program standards pursuant to the Welfare and Institutions Code, Section 4691(f);
(5) Utilize and be bound by Title 17, Sections 50700 through 50767, and the Welfare and Institutions Code, Section 4648.2, should the vendor elect to appeal any audit findings;
(6) Comply with the provisions contained in the Fair Labor Standards Act (29 U.S.C., Sections 201 through 219);
(7) Not discriminate in the provision of services to consumers on the basis of race, religion, age, disability, sex, or national origin of the consumer, or his/her parents, guardian, or conservator;
(8) Be vendored separately for each type of service provided, as specified in Sections 54342 through 54356 of these regulations unless the regional center waives separate vendorization pursuant to Section 54342(a)(37) or 54342(a)(78)(A);
(9) Provide certification consistent with the Public Contract Code, Sections 10410 and 10411, that the vendor and the agents or employees of the vendor, in the performance of the contracts, are independent contractors and are not officers or employees of the State of California;
(10) Bill only for services which are actually provided to consumers and which have been authorized by the referring regional center. When the vendor is receiving payment for a consumer from the Department of Rehabilitation and/or the Department of Health Services for a portion of the program day, and the vendor's rate of reimbursement is based on costs reported pursuant to Section 57422(c)(2), the vendor shall only bill the prorate share of the daily rate.
(11) Not bill for consumer absences for nonresidential services.  The Department shall authorize payment for absences which are the direct result of situations and/or occurrences for which a State of Emergency has been declared by the Governor. If payment for absences due to a State of Emergency is authorized by the Department, the vendor shall bill only for absences in excess of the average number of absences experienced by the vendor during the 12-month period prior to the month in which the disaster occurred;
(12) Agree to accept the rate established, revised or adjusted by the Department as payment in full for all authorized services provided to consumers and not bill the consumer nor the consumer's family, conservator, guardian or authorized consumer representative for a supplemental amount regardless of the cost of providing the authorized service. This shall not preclude the vendor from billing the consumer or consumer's family for services provided which were authorized by the consumer or family and which were not authorized by the regional center;
(13) Comply with all applicable staffing ratio requirements;
(14) Be prohibited from being vendored by more than one regional center for the same service at the same location; and
(15) Comply with conflict of interest requirements as determined by the criteria established by Title 17, Sections 54500 through 54525 and the Welfare and Institutions Code, Sections 4626 through 4628.
(16) Sign the Home and Community-Based Services Provider Agreement (6/99), if applicable pursuant to Section 54310. If the Home and Community-Based Services Provider Agreement (6/99) is required and has not been signed, the regional center shall:
(A) For new applicants requesting vendorization, deny vendorization pursuant to Section 54322(c); or
(B) For existing vendors, notify in writing, the vendor and utilizing regional center(s), if any, that the signed Home and Community-Based Services Provider Agreement (6/99) is required and that payment of the vendor's rate will be suspended, the effective date of the suspension, and that payment shall remain suspended until the signed Home and Community-Based Services Provider Agreement (6/99), is received.
(1) The effective date for suspension of payment of the vendor's rate shall be 15 days from the date of the letter notifying the vendor that payment will be suspended.
(2) If the signed Home and Community-Based Services Provider Agreement (6/99), is submitted within the time specified, no further action will be taken.
(3) If the Home and Community-Based Services Provider Agreement (6/99), is submitted after the date when payment of the vendor's rate has been suspended, the vendoring regional center shall notify the vendor and utilizing regional center(s) that payment of the vendor's rate is reinstated as of the date payment was suspended.
(17) Notify the vendoring regional center of any additions or changes in the information disclosed on the DS 1891 (7/2011) and submit the information pursuant to requirements of Section 54311(c). 
(18) Notify the vendoring regional center of: 
(A) Any conviction for any felony or misdemeanor, within the previous ten years, involving fraud or abuse in any government program, or related to neglect or abuse of an elder or dependent adult or child, or in connection with the interference with, or obstruction of, any investigation into health care related fraud or abuse, or that has been found liable, within the previous ten years, in any civil proceeding for fraud or abuse in any government program; 
(B) Any settlement in lieu of conviction involving fraud or abuse in any government program within the previous ten years; or
(C) Any loss of license, certificate or credential, or failure to maintain any valid licenses, certificates or credentials required for the performance or operation of the vendored service. 
(b) The vendor shall maintain a written description of its organizational structure and operations at the vendor's business office in accordance with the following:
(1) All descriptions shall include:
(A) An identification of the legal entity serving as the governing body or board of directors;
(B) The policies of operation that are established by the governing body or board of directors; and
(C) A diagram depicting the relationships among organizational units and titles of persons responsible for those units.
(2) In addition to the information specified in (b)(1) above, if the vendor:
(A) Operates more than one service, the description shall also include:
1. The names, addresses and vendor numbers of the other services; and
2. Whether any of the services share staff or facility space.
(B) Has a management organization, the description shall also include a diagram depicting the relationships among the management organization, the vendor, and any other services under the management organization.
(c) Regional centers shall submit the information specified in subsection (a)(3)(C) above to the Department on a monthly basis, and no later than 30 days after the end of the previous month.
(d) Regional centers shall not:
(1) Use purchase of service funds to purchase services for a minor child without first taking into account, when identifying the minor child's service needs, the family's responsibility for providing similar services to a minor child without disabilities. In such instances, the regional center must provide for exceptions, based on family need or hardship.
(2) Use purchase of service funds to purchase services for those executive/management services, legal services for the benefit of the regional center, service coordination, and administrative service and support functions that are funded through the regional center operations budget. Funding of specialized clinical and diagnostic assessment services and other services for the benefit of a consumer through purchase of service funds is permissible.
(3) Charge vendors or consumers for providing representative payee services.
(4) Except as specified in Section 54324 of these regulations:
(A) Refer any consumer to an applicant until the vendor application is approved; or
(B) Reimburse a vendor for services provided before vendorization.
(e) Compliance with the standards and requirements specified in these regulations does not exempt a vendor from compliance with existing statutes and regulations or with any other applicable standards or requirements promulgated by the controlling agencies for the service provided by the vendor.
(f) Regional centers shall take routine action to ensure that vendors have no convictions and have not been found liable as described in (a)(18)(A) above, have not entered into any settlement agreements in lieu of convictions involving fraud or abuse in any government program as described in (a)(18)(B), and are serving consumers with the valid licenses, certificates or credentials required for the performance or operation of the vendored service. 
NOTE

Authority cited: Chapter 157, Statutes of 2003; Section 4648.12(c)(1)(A), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4500, 4501, 4502, 4641.5, 4648, 4648.1, 4648.12 and 4742, Welfare and Institutions Code: and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(9) and (d)(1)(A) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(9) and (d)(1)(A) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a)(9) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsections (a)(17), (a)(17)(B) and (a)(17)(B)2-3 filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Amendment of subsections (a)(12) and (17) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order, including amendment of subsections (a)(9), (a)(12), (a)(17), (a)(17)(B) and (a)(17)(B)(2)-(3), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
12. Repealer of subsection (a)(2), subsection renumbering, and amendment of  Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
13. Repealer of subsection (a)(2), subsection renumbering, and amendment of Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
15. Amendment of subsection (a)(3)(B), new subsections (a)(3)(C) and (c), subsection relettering and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
16. Amendment of subsection (a)(3)(B), new subsections (a)(3)(C) and (c), subsection relettering and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
17. Amendment of subsection (a)(3)(B), new subsections (a)(3)(C) and (c), subsection relettering and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
18. Amendment of subsections (a)(3)(A), (a)(16), (a)(16)(B) and (a)(16)(B)(2)-(3) and amendment of Note filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 6-1-2004 order, including amendment of subsections (a)(3)(B)-(C), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
20. Amendment of subsections (a)(3)(A), (a)(16), (a)(16)(B) and (a)(16)(B)(2)-(3) and amendment of Note refiled 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 12-22-2004 order, including further amendment of subsection (a)(16), transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
22. Amendment of subsections (a)(4) and (a)(16), new subsections (a)(17)-(a)(18)(C) and (f) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
23. Amendment of subsection (a)(3)(A) and Note filed 1-17-2012; operative 2-16-2012 (Register 2012, No. 3).
§54327. Requirements for Special Incident Reporting by Vendors and Long-Term Health Care Facilities.
Note     •     History

(a) Parent vendors, and consumers vendored to provide services to themselves, are exempt from the special incident reporting requirements set forth in this Article.
(b) All vendors and long-term health care facilities shall report to the regional center:
(1) The following special incidents if they occurred during the time the consumer was receiving services and supports from any vendor or long-term health care facility:
(A) The consumer is missing and the vendor or long-term health care facility has filed a missing persons report with a law enforcement agency;
(B) Reasonably suspected abuse/exploitation including:
1. Physical;
2. Sexual;
3. Fiduciary;
4. Emotional/mental; or
5. Physical and/or chemical restraint.
(C) Reasonably suspected neglect including failure to:
1. Provide medical care for physical and mental health needs;
2. Prevent malnutrition or dehydration;
3. Protect from health and safety hazards;
4. Assist in personal hygiene or the provision of food, clothing or shelter or
5. Exercise the degree of care that a reasonable person would exercise in the position of having the care and custody of an elder or a dependent adult.
(D) A serious injury/accident including:
1. Lacerations requiring sutures or staples;
2. Puncture wounds requiring medical treatment beyond first aid;
3. Fractures;
4. Dislocations;
5. Bites that break the skin and require medical treatment beyond first aid;
6. Internal bleeding requiring medical treatment beyond first aid;
7. Any medication errors;
8. Medication reactions that require medical treatment beyond first aid; or
9. Burns that require medical treatment beyond first aid.
(E) Any unplanned or unscheduled hospitalization due to the following conditions:
1. Respiratory illness, including but not limited, to asthma; tuberculosis; and chronic obstructive pulmonary disease;
2. Seizure-related;
3. Cardiac-related, including but not limited to, congestive heart failure; hypertension; and angina;
4. Internal infections, including but not limited to, ear, nose and throat; gastrointestinal; kidney; dental; pelvic; or urinary tract;
5. Diabetes, including diabetes-related complications;
6. Wound/skin care, including but not limited to, cellulitis and decubutus;
7. Nutritional deficiencies, including but not limited to, anemia and dehydration; or
8. Involuntary psychiatric admission;
(2) The following special incidents regardless of when or where they occurred:
(A) The death of any consumer, regardless of cause;
(B) The consumer is the victim of a crime including the following:
1. Robbery, including theft using a firearm, knife, or cutting instrument or other dangerous weapons or methods which force or threaten a victim;
2. Aggravated assault, including a physical attack on a victim using hands, fist, feet or a firearm, knife or cutting instrument or other dangerous weapon;
3. Larceny, including the unlawful taking, carrying, leading, or riding away of property, except for motor vehicles, from the possession or constructive possession of another person;
4. Burglary, including forcible entry; unlawful non-forcible entry; and, attempted forcible entry of a structure to commit a felony or theft therein;
5. Rape, including rape and attempts to commit rape.
(c) The report pursuant to subsection (b) shall be submitted to the regional center having case management responsibility for the consumer.
(d) When the regional center with case management responsibility is not the vendoring regional center, the vendor or long-term health care facility shall submit the report pursuant to subsection (b) to both the regional center having case management responsibility and the vendoring regional center.
(e) The vendor's or long-term health care facility's report to the regional center pursuant to subsection (b) shall include, but not be limited to:
(1) The vendor or long-term health care facility's name, address and telephone number;
(2) The date, time and location of the special incident;
(3) The name(s) and date(s) of birth of the consumer(s) involved in the special incident;
(4) A description of the special incident;
(5) A description (e.g., age, height, weight, occupation, relationship to consumer) of the alleged perpetrator(s) of the special incident, if applicable;
(6) The treatment provided to the consumer(s), if any;
(7) The name(s) and address(es) of any witness(es) to the special incident;
(8) The action(s) taken by the vendor, the consumer or any other agency(ies) or individual(s) in response to the special incident; 
(9) The law enforcement, licensing, protective services and/or other agencies or individuals notified of the special incident or involved in the special incident; and
(10) The family member(s), if applicable, and/or the consumer's authorized representative, if applicable, who have been contacted and informed of the special incident.
(f) The report pursuant to subsection (b) shall be submitted to the regional center by telephone, electronic mail or FAX immediately, but not more than 24 hours after learning of the occurrence of the special incident.
(g) The vendor or long-term health care facility shall submit a written report of the special incident to the regional center within 48 hours after the occurrence of the special incident, unless a written report was otherwise provided pursuant to subsection (e). The report pursuant to this subsection may be made by FAX or electronic mail.
(h) When a vendor makes a report of an event to the Department of Social Services' Community Care Licensing Division pursuant to Title 22, California Code of Regulations, Section 80061(b) the vendor shall simultaneously report the event to the regional center by telephone, FAX or electronic mail.
(1) The vendor shall concurrently submit to the regional center a copy of any subsequent written report regarding the event that is submitted to the Department of Social Services' Community Care Licensing Division.
(i) When a long-term health care facility reports an unusual occurrence to the Department of Health Services' Licensing and Certification Division pursuant to Title 22, California Code of Regulations, Sections 72541, 75339, 76551 or 76923, the long-term health care facility shall simultaneously report the unusual occurrence to the regional center immediately by telephone, FAX or electronic mail.
(1) The long-term health care facility shall concurrently submit to the regional center a copy of any subsequent report, or any written confirmation of the unusual occurrence, that is submitted to the Department of Health Services' Licensing and Certification Division.
(j) The vendor or long-term health care facility may submit to the regional center a copy of the report submitted to a licensing agency when the report to the licensing agency contains all the information specified in subsection (d)(1) through (10).
(k) These regulations shall not remove or change any reporting obligations under the Elder and Dependent Adult Abuse Reporting Act commencing with Welfare and Institutions Code Section 15600 or the Child Abuse and Neglect Reporting Act commencing with Penal Code Section 11164.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 4500, 4501, 4502, 4648, 4648.1 and 4742, Welfare and Institutions Code.
HISTORY

1. New section filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-20-98 order, including further amendment of section, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
4. Amendment filed 6-27-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement of section as it existed prior to 6-27-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 43).  
6. Amendment filed 10-25-2001 as an emergency; operative 10-31-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-28-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-25-2001 order, including further amendment of section, transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
8. Change without regulatory effect amending subsection (b)(2)(B)5. filed 5-27-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 22).
§54327.1. Requirements for Special Incident Reporting by Regional Centers.
Note     •     History

(a) The regional center shall submit an initial report to the Department of any special incident, as defined in Section 54327(b), within two working days following receipt of the report pursuant to Section 54327(b).
(b) When a regional center has knowledge of a special incident for which the vendor or long-term health care facility is responsible for reporting but has not submitted a report to the regional center within the required time period, the regional center shall submit an initial report to the Department within two working days of learning of the occurrence.
(c) The initial report shall include the following information, to the extent the information is available at the time of the initial report:
(1) The consumer(s) name and date of birth;
(2) The vendor or long-term health care facility's name, address and telephone number;
(3) The name and telephone number of the regional center contact person regarding the special incident;
(4) The consumer(s) Unique Consumer Identifier (UCI);
(5) Name of the consumer's conservator or guardian, if applicable;
(6) Date, time and location of the incident;
(7) Date the incident was reported to the regional center;
(8) Name of the person preparing the report;
(9) Date the report was prepared;
(10) Type of incident;
(11) Any medical care or treatment required as a result of the special incident;
(12) Relationship of the alleged perpetrator to the consumer;
(13) Identification of any persons or entities notified about the incident and the date they were notified;
(14) A description of the special incident;
(15) If the special incident was a death, indication if the death was disease related; non-disease related; or, unknown;
(16) A description of any actions/outcomes taken by any of the following persons or entities in response to the special incident:
(A) Regional center(s);
(B) Vendor(s);
(C) Department of Health Services Licensing;
(D) Department of Social Services Community Care Licensing;
(E) Child Protective Services;
(F) Adult Protective Services;
(G) Long Term Care Ombudsman;
(H) Law enforcement; and/or
(I) Coroner.
(17) Any additional information that the regional center determines is necessary to explain or describe the special incident.
(d) Any required information that is not submitted with the initial report in (c) shall be submitted within 30 working days following receipt of the report of the special incident pursuant to Section 54327(b).
(e) The regional center shall comply with all Department requests for initial and follow-up information pertaining to a special incident.
(f) The report shall be considered complete when the regional center has submitted all the information required by this section.
(g) Effective January 1, 2002, all reports of special incidents prepared by the regional center shall be transmitted to the Department utilizing the Department's Electronic Data Reporting System.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 4434, 4500, 4501, 4502, 4629, 4648, 4648.1 and 4742, Welfare and Institutions Code.
HISTORY

1. New section filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-20-98 order, including further amendment of section, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
4. Amendment filed 6-27-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
5. Reinstatement of section as it existed prior to 6-27-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 43).  
6. Amendment filed 10-25-2001 as an emergency; operative 10-31-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-28-2002 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-25-2001 order, including further amendment of section, transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
8. Change without regulatory effect relettering subsections and the internal cross-references thereto filed 5-27-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 22).
§54327.2. Regional Center Risk Management, Assessment and Planning Committee and Risk Management and Mitigation Plans.
Note     •     History

(a) Each regional center shall establish a Risk Management, Assessment and Planning Committee that, at a minimum, includes a representative from the regional center's clinical, quality assurance and training staff.
(b) The Risk Management, Assessment and Planning Committee shall develop the regional center's Risk Management and Mitigation Plan which shall address, at a minimum:
(1) The process and procedures for ensuring accurate and timely handling and reporting of special incidents by regional center staff, vendors, and long-term health care facilities;
(2) The provision of training and technical assistance to regional center staff, vendors and long-term health care facility staff and others on the legal obligations of abuse reporting, special incident reporting, risk assessment, developing and implementing an incident prevention plan and proactive accident/safety planning through the individualized program planning process;
(3) Coordination and communication with local licensing, protective service and law enforcement agencies relative to investigative actions and findings;
(4) A process for reviewing individual and aggregate special incident report data to identify trends and unusual patterns which may require regional center action, and;
(5) A process for reviewing medical records and coroner reports, as appropriate, associated with special incidents to ensure that appropriate medical attention was sought and/or given.
(c) The Risk Management, Assessment and Planning Committee shall:
(1) Monitor the regional center's Risk Management and Mitigation Plan to ensure it is being implemented;
(2) Annually review the regional center's internal special incident reporting and risk management systems; and
(3) Update the Risk Management and Mitigation Plan as necessary.
(d) The Risk Management, Assessment and Planning Committee shall meet at least semi-annually.
NOTE

Authority cited: Section 11152, Government Code. Reference: Sections 4434, 4500, 4501, 4502, 4629, 4648, 4648.1 and 4742, Welfare and Institutions Code.
HISTORY

1. New section filed 6-27-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2001, No. 43).  
3. New section filed 10-25-2001 as an emergency; operative 10-31-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-28-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 10-25-2001 order, including amendment of subsection (b)(2), transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
§54330. Changes in Vendor Ownership, Location, or Program/Service Design.
Note     •     History

(a) The vendor shall notify the vendoring regional center 30 days prior to any change in any of the following:
(1) Ownership. A new vendor application shall be completed by the new owners and be approved by the vendoring regional center prior to provision of services to consumers. If necessary, a new license shall be obtained prior to approval of the vendor application and the provision of services to consumers;
(2) Location. If a license is applicable, the new location shall be licensed prior to the provision of services to regional center consumers; and
(3) The vendor's required license, certificate, registration, credential or permit.
(b) The vendor shall notify the vendoring regional center and all user regional centers:
(1) In writing at least 60 days before it discontinues providing services. The regional center shall delete the vendor from the vendor panel; or
(2) Of any modification to the program design or service design pursuant to Section 56712(b), 56762(c) or 56780(b) of these regulations, if applicable.
NOTE

Authority cited: Sections 4405 and 4648(a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Repealer of subsections (a)(1) and new subsections (a)(1)-(B) and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Repealer of subsection (a)(1) and new subsections (a)(1)-(B) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of printing error in HisTory 3 (Register 92, No. 25).
6. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a)(1) and Note transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
7. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Change without regulatory effect amending subsections (a)(1)-(a)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54332. Regional Center Files.
Note     •     History

(a) The vendoring regional center shall maintain a file for each vendor which includes copies of:
(1) The vendor application as described in Section 54310(a) of these regulations;
(2) Any required certificate, credential, license, degree, permit or registration;
(3) Statement of current vendor status;
(4) The regional center approval letter;
(5) The program design or service design as described in Sections 56712, 56762 and 56780 of these regulations, if applicable;
(6) The staff qualifications and duty statements as described in Sections 56722, 56724, 56752, 56754, 56770, 56790 and 56792 of these regulations, if applicable;
(7) Notification of established rate and all documentation submitted pursuant to Sections 57422, 57433 through 57439, 58020, and 58033 through 58039 of these regulations, for a rate determination, if applicable;
(8) The signed Home and Community Based Services Provider Agreement, (6/99) if applicable.
(9) Agreements negotiated pursuant to Section 57300(d) or (e), if applicable;
(10) Service contracts negotiated pursuant to Section 57540, if applicable;
(11) Agreements negotiated pursuant to Section 58140, if applicable.
(b) Regional centers shall review, at least biannually or sooner upon notification by the Department of Developmental Services, Department of Health Services, or any governing licensing or certification board or entity, all vendor files maintained by the regional center to determine that:
(1) The information required for vendorization is current, completed and accurate;
(2) At least one consumer has been provided services by the vendor within the last 24 months;
(3) The service currently provided by the vendor is the same service approved for vendorization; 
(4) Vendors meet the minimum program standards as specified in Sections 56710 through 56802 of these regulations, if applicable; 
(5) The vendor has signed the Home and Community Based Services Provider Agreement (6/99), if applicable; and
(6) The vendor is not in violation of the requirement stated in Section 54314(a)(7). 
(c) If, after a review of the vendor files, the vendoring regional center determines that the vendored service has not been provided to any consumer within the last 24 months, the vendoring regional center shall:
(1) Send the vendor a written notice stating that vendorization will be terminated in 30 days unless the vendoring regional center receives notification from the vendor expressing an interest to continue as a vendor; and
(2) Make the changes to the statewide vendor panel required by Section 54334(d) of these regulations if the vendor does not respond in accordance with (c)(1) above.
NOTE

Authority cited: Chapter 157, Statutes of 2003; Sections 4405, 4648(a) and 4648.12(c)(1)(A), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4648.12, 4691 and 4791, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsection (a) and subsection relettering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsections (a)(8) and (b)(5) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Change without regulatory effect amending subsections (b)(2) and (c) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
10. Amendment of subsection (a)(9) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
11. Amendment of subsections (a)(8) and (b)(5) and amendment of Note filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (a)(8) and (b)(5) and amendment of Note refiled 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 12-22-2004 order transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
14. Amendment of subsections (b), (b)(1) and (b)(3)-(5), new subsection (b)(6) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54334. Statewide Vendor Panel.
Note     •     History

(a) The statewide vendor panel shall include the following information for all vendors:
(1) Vendor's name and telephone number;
(2) Vendor's Social Security Number or Federal tax ID number;
(3) Vendor's mailing address, including the county;
(4) Location of vendor's facility;
(5) The vendor identification number, service code, and subcode;
(6) The vendor's area of specialty, if any;
(7) A description of the service provided;
(8) Licensed capacity, if applicable;
(9) The effective date of vendorization;
(10) The vendoring and all user regional centers; and
(11) The name of the management organization, if any.
(b) Any regional center utilizing a service within the vendoring regional center's catchment area shall notify the vendoring regional enter, in writing, within 15 days from the day the vendor begins to serve, or ceases to serve, the utilizing regional center's consumers.
(c) The vendoring regional center shall:
(1) Input all applicable information for each vendor into the statewide vendor panel;
(2) Transmit this information to the Department via the centralized automated regional center accounting system. This information shall be maintained on a master file by the Department; and
(3) Ensure that all the information contained in the statewide vendor panel is current by updating the panel any time a change to any of the items specified in (a) above, is reported by a vendor or a regional center utilizing the service.
(d) The vendoring regional center shall delete a vendor's name from the vendor panel and shall send the vendor written notification, along with an explanation of the appeal rights pursuant to Sections 54380 through 54390 of these regulations, that vendorization has been terminated, if any of the following conditions exist:
(1) The vendor notifies the vendoring regional center of its intent to discontinue providing services;
(2) The vendor has not responded to the 30-day notice pursuant to Section 54332(c)(1) of these regulations; or
(3) Vendorization is being terminated for noncompliance pursuant to Sections 54370 or 54372.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsections (b)-(b)(6) and (e) and subsection relettering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsection (b) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 3. Vendor Numbers and  Service Codes
§54340. Vendor Identification Numbers, Service Codes, and Subcodes.
Note     •     History

(a) The Department shall issue a block of numbers to each regional center to use in assigning vendor identification numbers. The vendoring regional center shall assign a vendor identification number to each vendor in accordance with this section. The vendor identification number shall be used by all regional centers purchasing the vendored service from that specific vendor. Vendors shall be assigned vendor identification numbers as follows:
(1) Vendor identification numbers beginning with the letter “H” shall be assigned to adult day programs, mobility training services agencies, acute care hospitals, day treatment centers, infant development programs, camping services vendors, day care vendors, home health agencies, homemaker services, in-home respite services agencies, out-of-home respite services vendors, supported employment programs -- group, supported employment programs -- individual, work activity programs, transportation companies, transportation/additional component vendors, residential facilities, intermediate care facilities and nursing facilities:
(A) A separate vendor identification number shall be assigned for each location at which the vendor provides the service, with the exception of in-home respite services agency vendors which have received a waiver pursuant to Section 54342(a)(37) of these regulations;
(B) If a single vendor has more than one service of the same type at the same location, the regional center shall assign each service a separate vendor identification number; and
(C) Location, pursuant to paragraphs (a)(1)(A) and (B) above, shall be the business address for those vendors who offer services solely in the community and have no specific facility or building site.
(2) Vendor identification numbers beginning with the letter “P” shall be assigned to all vendors not listed in (a)(1) above, or (a)(3) , (a)(4) or (a)(5) below;
(3) A vendor identification number beginning with the letter “Z” shall be assigned to: 
(A) The following vendors when the rate charged for consumers is the same charged to the general public for the same service: 
1.  Out-of-state manufacturers or distributors; 
2. Retail/wholesale stores; 
3. Public transit authorities; 
4. Dial-a-ride; 
5. Rental care agencies; 
6. Taxis;  and 
7. Generic agencies. 
(4) A vendor identification number beginning with the letter “V” shall be assigned to:
(A) Respite service - family member, nursing service - family member,  day care - family member, transportation - family member, diaper and nutritional supplements - family member.
(B) Vendors who provide vouchered and non-vouchered services shall be assigned two vendor identification numbers:
1. a vendor identification number beginning with the letter “V” shall be assigned for vouchered services; and
2. A vendor identification number shall be assigned pursuant to (a)(1) through (3) above, as applicable, for non-vouchered services.
3. Regional centers may issue only one number to a vendor which shall be preceded by the letter “V” for vouchered services and the letter “H”, “P”, or “Z”, as appropriate pursuant to (a)(1) through (3) above, for non-vouchered services.
(5) A vendor identification number beginning with the letter “S” shall be assigned to vendors with whom the regional center negotiates and enters into a service contract pursuant to Section 57540.
(b) The Department shall assign vendor identification numbers to:
(1) Regional centers:
(A) When an emergency arises which affects the health or safety of a consumer and requires the regional center to provide services; and
(B) To facilitate payment for services pursuant to agreements between regional centers.
(2) Developmental centers to provide a mechanism for a regional center to pay a developmental center when the developmental center is providing services to a consumer residing in the community.
(c) The vendoring regional center shall assign a service code to the vendor based upon the program design and/or the services provided.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)-(a)(6) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)-(a)(6) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsections (a)(1) and (a)(5)-(6) and subsection relettering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Certificate of Compliance as to 6-20-94 order, including amendment of subsections (a)(1)(A) and (a)(4)(A), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
10. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
11. Amendment of subsection (a)(1) filed 8-1-2005; operative 8-31-2005 (Register 2005, No. 31).
§54342. Types of Services.
Note     •     History

(a) The following service codes shall be assigned to the following types of services:
(1) Activity Center -- Service Code 505. Activity Centers shall meet the requirements in Sections 56710 through 56756 of these regulations for the specific service being vendored.
(2) Acute Care Hospitals -- Service Code 700. A regional center shall classify a vendor as an acute care hospital if the vendor is either:
(A) An acute care hospital which is validly licensed as such by DHS, and which provides inpatient care 24-hours per day; or
(B) An acute psychiatric hospital which is validly licensed as such by DHS, and which provides care for the mentally disordered, incompetent persons referred to in Welfare and Institutions Code, Sections 5000 to 5550.
(3) Adaptive Skills Trainer -- Service Code 605. A regional center shall classify a vendor as an adaptive skills trainer if the vendor possesses the skills, training and education necessary to enhance existing consumer skills. An adaptive skills trainer may also remedy consumer skill deficits in communication, social function or other related skill areas and shall meet the following requirements:
(A) Possess a Master's Degree in one of the following: education, psychology, counseling, nursing, social work, applied behavior analysis, behavioral medicine, speech and language, or rehabilitation; and
(B) Have at least one year of experience in the design and implementation of adaptive skills training plans.
(4) Adult Day Care -- Service Code 855.
(A) A regional center shall classify a vendor as an adult day care facility if the vendor:
1. Possesses a valid day care license for adults issued by DSS or an agency authorized by DSS to assume specific licensing responsibilities; and
2. Provides nonmedical care and supervision to adults 18 years of age or older on less than a 24-hour per day basis.
(B) Adult day care does not include adult day programs as identified in (a)(1), (6), (12), (33), and (72).
(5) Adult Day Health Center -- Service Code 702. A regional center shall classify a vendor as an adult day health center if the vendor has a signed adult day health care provider agreement with the Department of Health Services to provide the services described in Title 22, Chapter 5 to Medi-Cal beneficiaries who are eligible for and voluntarily elect to participate in an adult day health care program.
(6) Adult Development Center -- Service Code 510. Adult Development Centers shall meet the requirements in Sections 56710 through 56756 of these regulations for the specific service being vendored.
(7) Art Therapist -- Service Code 691. A regional center shall classify a vendor as an art therapist if the vendor possesses a current registration issued by the American Art Therapy Association and works with an individual using art media as a means of expression and communication to promote the individual's perceptive, intuitive, affective, and expressive experiences which lead to the individual's personal growth or personality reintegration.
(8) Associate Behavior Analyst -- Service Code 613. A regional center shall classify a vendor as an Associate Behavior Analyst if the vendor assesses the function of a behavior of a consumer and designs, implements, and evaluates instructional and environmental modifications to produce socially significant improvements in the consumer's behavior through skill acquisition and the reduction of behavior, under direct supervision of a Behavior Analyst or Behavior Management Consultant. Associate Behavior Analysts engage in descriptive functional assessments to identify environmental factors of which behavior is a function. Associate Behavior Analysts shall not practice psychology, as defined in Business and Professions Code Section 2903. A regional center shall classify a vendor as an Associate Behavior Analyst if an individual is recognized by the National Behavior Analyst Certification Board as a Board Certified Associate Behavior Analyst.
(9) Attorney -- Service Code 610. A regional center shall classify a vendor as an attorney if the vendor:
(A) Is an active member in good standing of the State Bar of California;
(B) Advises individuals of their legal rights; and
(C) Represents them in administrative and judicial proceedings, when necessary.
(10) Audiology -- Service Code 706.
(A) A regional center shall classify a vendor as a provider of audiology services if the vendor is:
1. An audiologist who is validly licensed as an audiologist by the Speech Pathology and Audiology Examining Committee of the Medical Board of California; and
2. Uses techniques to identify and evaluate hearing disorders and to develop methods of improving hearing disorders involving speech, language, auditory behavior, and other aberrant behavior related to hearing loss.
(B) A vendored audiologist shall not dispense hearing aids to consumers, or be additionally vendored as an audiology center or hearing aid dispenser.
(11) Behavior Analyst -- Service Code 612. Behavior Analyst means an individual who assesses the function of a behavior of a consumer and designs, implements, and evaluates instructional and environmental modifications to produce socially significant improvements in the consumer's behavior through skill acquisition and the reduction of behavior. Behavior Analysts engage in functional assessments or functional analyses to identify environmental factors of which behavior is a function. A Behavior Analyst shall not practice psychology, as defined in Business and Professions Code section 2903. A regional center shall classify a vendor as a Behavior Analyst if an individual is recognized by the national Behavior Analyst Certification Board as a Board Certified Behavior Analyst.
(12) Behavior Management Assistant -- Service Code 615. A regional center shall classify a vendor as a behavior management assistant if the vendor designs and/or implements behavior modification intervention services under the direct supervision of a behavior management consultant; or if the vendor assesses the function of a behavior of a consumer and designs, implements, and evaluates instructional and environmental modifications to produce socially significant improvements in the consumer's behavior through skill acquisition and the reduction of behavior, under direct supervision of a Behavior Analyst or Behavior Management Consultant, and meets either of the following requirements:
(A) Possesses a Bachelor of Arts or Science Degree and has either:
1. Twelve semester units in applied behavior analysis and one year of experience in designing and/or implementing behavior modification intervention services; or
2. Two years of experience in designing and/or implementing behavior modification intervention services.
(B) Is registered as either:
1. A psychological assistant of a psychologist by the Medical Board of California or Psychology Examining Board; or
2. An Associate Licensed Clinical Social Worker pursuant to Business and Professions Code, Section 4996.18.
(13) Behavior Management Consultant -- Service Code 620. 
(A) A regional center shall classify a vendor as a behavior management consultant if the vendor designs and/or implements behavior modification intervention services and meets the following requirements:
1. Individuals vendored as a behavior management consultant prior to, or as of, December 31, 2006, that have not previously completed twelve semester units in applied behavior analysis, shall have until December 31, 2008 to complete twelve semester units in applied behavior analysis and possess a license and experience as specified in 3. through 7. below.
2. Individuals vendored as a behavior management consultant on, or after, January 1, 2007, shall, prior to being vendored, have completed twelve semester units in applied behavior analysis and possess a license and experience as specified in 3. through 7. below.
3. Possesses a valid license as a psychologist from the Medical Board of California or Psychology Examining Board; or
4. Is a Licensed Clinical Social Worker pursuant to Business and Professions Code, Sections 4996 through 4998.7; or
5. Is a Licensed Marriage and Family Therapist pursuant to Business and Professions Code, Sections 4980 through 4984.7; or
6. Is any other licensed professional whose California licensure permits the design and/or implementation of behavior modification intervention services.
7. Have two years experience designing and implementing behavior modification intervention services.
(B) Behavior management consultants shall follow the requirements of Title 17, Sections 50800 through 50823, when using planned behavior modification interventions that cause pain or trauma.
(14) Behavior Management Program -- Service Code 515. Behavior Management Programs shall meet the requirements in Sections 56710 through 56756 of these regulations for the specific service being vendored.
(15) Camping Services -- Service Code 850. A regional center shall classify a vendor as a provider of camping services if the vendor has staff that possesses demonstrated competence to supervise safety of camp activities and is:
(A) A day camp which:
1. Provides a creative experience in outdoor living for a limited period of hours per day and days per year; and
2. Contributes to the individual's mental, physical, and social growth by using the resources of the natural surroundings;
(B) A residential camp which:
1. Possesses a valid fire clearance issued by the California State Fire Marshal, city fire department, or local fire district;
2. Complies with the requirements of Title 17, Sections 30700 through 30753;
3. Has a registered nurse on staff at all hours of operation; or
4. Has received a waiver issued by the appropriate agency if any of the requirements specified in 1. through 3. above are not met; and
5. Provides:
a. A creative experience in outdoor living on a 24-hour per day basis for a limited period of time;
b. Services which use the resources of the natural surroundings to contribute to the individual's mental, physical, and social growth; and
c. Other consistent services; or
(C) A traveling camp which provides camping or vacation experiences by traveling to various campgrounds or other tourist areas.
(16) Child Day Care -- Service Code 851. A regional center shall classify a vendor as child day care if the vendor:
(A) Possesses a valid family day care license issued by DSS or by an agency authorized by DSS to assume specified licensing responsibilities, and provides nonmedical care and supervision to children under 18 years of age on a less than 24-hour per day basis in the vendor's own home; or
(B) Possesses a valid day care license for children issued by DSS or by an agency authorized by DSS to assume specific licensing responsibilities, and provides personal care, protection, supervision and assistance to children under 18 years of age with special developmental needs in a nonresidential facility; or
(C) Possesses a preschool license issued by the Department of Education or a valid child care center license issued by DSS or an agency authorized by DSS to assume specified licensing responsibilities, and aids children in developing pre-academic skills, group training, and social skills in a nonresidential facility.
(17) Clinical Psychologist -- Service Code 785. A regional center shall classify a vendor as a clinical psychologist if the vendor:
(A) Is validly licensed as a clinical psychologist by the Psychology Examining Committee of the Medical Board of California; and
(B) Provides:
1. Diagnosis and psychotherapy of mental and emotional disorders; or
2. Individual and group testing and counseling in order to assist individuals achieve more effective personal, social, educational, and vocational development and adjustment.
(18) Counseling Services -- Service Code 625. The services included within this service code shall be provided by the following persons:
(A) Family Counselor -- A regional center shall classify a vendor as a family counselor if the vendor possesses a valid Marriage and Family Therapist license issued by the California Board of Behavioral Science Examiners, and provides support and counseling to help the individual maintain and maximize the use of his or her current functioning patterns; and
(B) Social Worker -- A regional center shall classify a vendor as a social worker if the vendor possesses a valid Clinical Social Worker's license issued by the California State Board of Behavioral Science Examiners, and provides the following services:
1. Social assessments;
2. Counseling; and
3. Other case work functions for the benefit of the individual.
(19) Dance Therapist -- Service Code 692. A regional center shall classify a vendor as a dance therapist if the vendor is validly registered as a dance therapist by the American Dance Therapy Association, and provides the following services:
(A) Teaches the individual to use body movement and dance as the process in therapeutic intervention directed toward gaining insight into the consumer's problematic behavior, and expanding the consumer's freedom of movement, flexibility, and coordination;
(B) Provides opportunities for the individual to express and communicate feelings, needs, and conflicts; and
(C) Provides other services consistent with the duties specified in (A) and (B) above.
(20) Day Treatment Centers -- Service Code 710. A regional center shall classify a vendor as a day treatment center if the vendor provides services to outpatients at an acute care hospital or acute psychiatric hospital.
(21) Dentistry -- Service Code 715. A regional center shall classify a vendor as a dentist if the vendor is validly licensed by the California Board of Dental Examiners and practices the branch of medicine which specializes in the diagnosis, prevention, and treatment of diseases of the teeth and their associated structures.
(22) Developmental Specialist -- Service Code 670. A regional center shall classify a vendor as a developmental specialist if the vendor possesses valid certification by an accredited hospital as having successfully completed a one-year developmental specialist training program, or if the vendor possesses a Master's Degree in Developmental Therapy from an accredited college or university.
(23) Diaper Service -- Service Code 627.  A regional center shall classify a vendor as a provider of diaper service if the vendor:
(A) Supplies cloth diapers for the consumer; and
(B) Provides pick-up, laundering, and delivery of the diapers to the consumer's home.
(24) Dietary Services -- Service Code 720. A regional center shall classify a vendor as a provider of dietary services if the vendor is:
(A) A dietitian who is validly registered as a member of the American Dietetic Association and who prescribes or modifies a person's diet to meet the person's nutritional needs; or
(B) a nutritionist who evaluates an individual's nutritional needs and meets one of the following requirements:
1. Possesses a Master's Degree in one of the following:
a. Food and Nutrition;
b. Dietetics; or
c. Public Health Nutrition; or
2. Is employed as a nutritionist by a county health department.
(25) Driver Trainer -- Service Code 630. A regional center shall classify a vendor as a driver trainer if the vendor possesses the skills and training necessary to teach other individuals to drive automobiles and meets the following requirements:
(A) Possesses a current certification by the California Department of Motor Vehicles as a driver instructor; and
(B) Possesses a current and valid California driver's license.
(26) Durable Medical Equipment Dealer -- Service Code 725. A regional center shall classify a vendor as a durable medical equipment dealer if the vendor possesses a valid business license, and operates a business which manufactures, individually tailors, or sells durable medical equipment as defined in Title 22, California Code of Regulations, Section 51160.
(27) Educational Psychologist -- Service Code 672. A regional center shall classify a vendor as an educational psychologist if the vendor possesses a valid educational psychologist's license issued by the California Board of Behavioral Science Examiners, and provides evaluation and counseling to assist individuals in achieving more effective educational development.
(28) Family Home Agency (FHA) -- Service Code 904. A regional center shall classify a vendor as a family home agency (FHA) if the agency:
(A) Recruits, approves, trains, and monitors family home and family teaching home providers;
(B) Provides services and supports to family home and family teaching home providers; and
(C) Assists consumers in moving into, or relocating from, family homes and family teaching homes.
(29) Genetic Counselor -- Service Code 800. A regional center shall classify a vendor as a genetic counselor if the vendor:
(A) Has successfully completed training in an accredited genetic counseling program at the master or doctoral level;
(B) Is eligible for certification, or is certified by the National Board of Human Genetics; and
(C) Advises and counsels persons and families concerning a genetic and medical diagnosis and the probability that they carry and may transmit genetically determined characteristics to their offspring.
(30) Hearing and Audiology Facilities -- Service Code 730. A regional center shall classify a vendor as a hearing or audiology facility if the vendor is:
(A) A hearing facility which provides the following services:
1. Diagnosis of the individual's hearing loss; and
2. Treatment for individuals whose hearing loss does not require multi-disciplined diagnostic services; or
(B) An audiology facility which:
1. Treats the individual whose hearing loss requires multi-disciplined diagnostic services;
2. Provides a diagnosis of the individual's hearing loss;
3. Provides services intended to help the individual compensate for the hearing loss;
4. Does not dispense hearing aids to the individual;
5. Employs at least one audiologist who is licensed by the Speech Pathology and Audiology Examining Committee of the Medical Board of California; and
6. Employs individuals, other than (B)5. above, who perform services, all of whom shall be:
a. Licensed audiologists; or
b. Obtaining required professional experience, and whose required professional experience application has been approved by the Speech Pathology and Audiology Examining Committee of the Medical Board of California.
(31) Home Health Agency -- Service Code 854. A regional center shall classify a vendor as a home health agency if the vendor possesses a valid home health agency license issued by DHS, or meets the requirements established by DHS for providing home health services, and is primarily engaged in providing skilled nursing services and at least one of the following:
(A) Physical therapy;
(B) Occupational therapy;
(C) Speech therapy;
(D) Medical social work; or
(E) Home health aide services.
(32) Home Health Aide -- Service Code 856. A regional center shall classify a vendor as a home health aide if the vendor possesses a valid home health aide license issued by DHS or meets the requirements established by DHS for providing home health services, and who:
(A) Provides services to the individual in order to maintain a safe and healthful home environment;
(B) Performs personal services directed toward adequate nutrition and personal cleanliness;
(C) Supports a continuing medical and social treatment plan for homebound individuals; and
(D) Other services consistent with the duties specified in (a)(31)(A) through (C) above.
(33) Homemaker -- Service Code 858. A regional center shall classify a vendor as a homemaker if the vendor maintains, strengthens, or safeguards the care of individuals in their homes.
(34) Homemaker Service -- Service Code 860. A regional center shall classify a vendor as a homemaker service if the vendor employs, trains, and assigns personnel who maintain, strengthen, or safeguard the care of individuals in their homes.
(35) Independent Living Program -- Service Code 520. Independent Living Programs shall meet the requirements in Sections 56710 through 56756 of these regulations for the specific service being vendored.
(36) Independent Living Specialist -- Service Code 635. A regional center shall classify a vendor as an independent living specialist if the vendor possesses the skill, training, or education necessary to teach consumers to live independently and/or provide the supports necessary for the consumer to maintain a self-sustaining, independent-living situation in the community.
(37) Infant Development Program -- Service Code 805. Infant development programs shall meet the appropriate requirements in Sections 56710 through 56734 and 56760 through 56774 of these regulations.
(38) Infant Development Specialist -- Service Code 810. A regional center shall classify a vendor as an infant development specialist if the vendor has at least one year of experience working with parents and children with disabilities and possesses either of the following:
(A) A valid license or certification in one of the following disciplines:
1. Occupational therapy;
2. Physical therapy;
3. Special education;
4. Psychology;
5. Nursing; or
6. Speech and language therapy; or
(B) A Masters degree in child development/early childhood education which includes a minimum of 15 units of formal instruction in at least one of the following areas:
1. Typical and atypical infant development;
2. Infant assessment;
3. Infant intervention techniques; or
4. Family involvement in infant treatment.
(39) In-home Respite Services Agency -- Service Code 862. A regional center shall classify a vendor as an in-home respite services agency if the vendor meets the appropriate requirements in Sections 56780 through 56802 of these regulations. Separate vendorization may be waived at the vendor's request for existing in-home respite services agency vendors requesting to provide new in-home respite services at an additional business address.
(40) In-home Respite Worker -- Service Code 864. A regional center shall classify a vendor as a provider of in-home respite worker services if the vendor is an individual who:
(A) Has received Cardiopulmonary Resuscitation (CPR) and First Aid training from agencies offering such training, including, but not limited to, the American Red Cross;
(B) Has the skill, training, or education necessary to perform the required services; and
(C) Provides in-home respite services.
(41) Intermediate Care Facility/Developmentally Disabled (ICF/DD) -- Service Code 925. A regional center shall classify a vendor as an intermediate care facility/developmentally disabled if the vendor possesses a valid ICF/DD health facility license issued by the Department of Health Services.
(42) Intermediate Care Facility/Developmentally Disabled-Habilitative (ICF/DD-H) -- Service Code 930. A regional center shall classify a vendor as an intermediate care facility/developmentally disabled-habilitative if the vendor possesses a valid ICF/DD-H health facility license issued by the Department of Health Services.
(43) Intermediate Care Facility/Developmentally Disabled-Nursing (ICF/DD-N) -- Service Code 935. A regional center shall classify a vendor as an intermediate care facility/developmentally disabled-nursing if the vendor possesses a valid ICF/DD-N health facility license issued by the Department of Health Services.
(44) Interpreter -- Service Code 642.  A regional center shall classify a vendor as an interpreter if the vendor demonstrates:
(A) Fluency in both English and in sign language; and
(B) Proficiency in facilitating communication between hearing-impaired and hearing persons using American sign language and spoken language.
(45) Laboratory and Radiologic Services -- Service Code 735. The following types of services are included within this service code:
(A) A regional center shall classify a vendor as a clinical laboratory if the vendor:
1. Is validly licensed by DHS as a clinical laboratory, and examines and tests specimens.
(B) A regional center shall classify a vendor as a provider of radiological services if the vendor:
1. Possesses a valid license as a technologist or radiologist issued by DHS;
2. Uses x-ray equipment which is validly registered with DHS; and
3. Provides services which involve the use of x-rays or radioactive materials for medical, diagnostic, or treatment procedures.
(46) Licensed Vocational Nurse -- Service Code 742. A regional center shall classify a vendor as a licensed vocational nurse if the vendor:
(A) Is validly licensed as a licensed vocational nurse by the California State Board of Vocational Nurse and Psychiatric Technician Examiners; or
(B) Is a nurse registry from whom the services of a licensed vocational nurse are obtained; and
(C) Provides services under the direction of a validly licensed registered nurse or physician.
(47) Mobility Training Services Agency -- Service Code 645. A regional center shall classify a vendor as a provider of mobility training services if the vendor is an agency which employs staff who possess the skill, training, or education necessary to teach individuals how to use public transportation or other modes of transportation which will enable them to move about the community independently.
(48) Mobility Training Services Specialist -- Service Code 650. A regional center shall classify an individual as a vendor of mobility training services if the vendor possesses the skill, training, or education necessary to teach individuals how to use public transportation or other modes of transportation which will enable them to move about the community independently.
(49) Music Therapist -- Service Code 693. A regional center shall classify a vendor as a music therapist if the vendor possesses a valid registration issued by the National Association for Music Therapy, and uses music media and activities to effect change or growth in the individual's:
(A) Self-awareness;
(B) Gross motor development;
(C) Fine motor development;
(D) Eye-hand coordination and visual tracking;
(E) Visual, auditory, and tactile awareness and perception;
(F) Language development and communication skills;
(G) Emotional expression;
(H) Self-esteem and body image;
(I) Socialization and community awareness; and
(J) Sterotypical behaviors.
(50) Nurse Anesthetist -- Service Code 741. A regional center shall classify a vendor as a nurse anesthetist if the vendor:
(A) Is a nurse anesthetist who is validly licensed by the California State Board of Registered Nurses and certified by the American Association of Nurse Anesthetists; or
(B) Is a nurse registry from whom the services of a nurse anesthetist are obtained.
(51) Nurse's Aide or Assistant -- Service Code 743. A regional center shall classify a vendor as a nurse's aide or assistant if the vendor:
(A) Is certified as a nurse's aide or a home health aide by DHS; or
(B) Is a nurse registry from whom the services of a nurse's aide or assistant are obtained; and
(C) Provides services under the direction of a validly licensed registered nurse or physician.
(52) Nursing Facility -- Service Code 940. A regional center shall classify a vendor as a nursing facility if the vendor possesses a valid nursing facility license issued by the Department of Health Services.
(53) Occupational Therapy -- Service Code 773. A regional center shall classify a vendor as a provider of occupational therapy if the vendor is:
(A) An occupational therapist validly licensed by the California Board of Occupational Therapy and who, based on the written prescription of a physician, dentist or podiatrist, provides occupational therapy evaluation, treatment planning, treatment, instruction and consultative services; or
(B) An occupational therapist assistant validly certified by the California Board of Occupational Therapy and who provides occupational therapy evaluation, treatment planning, treatment, instruction and consultative services while under the direct supervision of a registered occupational therapist.
(54) Orthoptic Services -- Service Code 745. A regional center shall classify a vendor as a provider of orthoptic services if the vendor is:
(A) An orthoptic technician who is validly certified by the American Orthoptic Council and provides the following services:
1. Treats an individual's defective visual habits.
2. Treats defects of binocular vision and muscle imbalance by exercise and visual training, and re-educating the individual's visual habits.
(B) An optometrist who is validly licensed as an optometrist by the California State Board of Optometry and provides the following services:
1. Examines the eye for defects and faults of refraction; and
2. Prescribes correctional lenses or exercises.
(55) Orthotic and Prosthetic Services -- Service Code 750. A regional center shall classify a vendor as a provider of orthotic and prosthetic services if the vendor is:
(A) An orthotist who makes or fits orthopedic braces and who is either:
1. Validly certified by any of the following:
a. American Board for Certification in Orthotics and Prosthetics;
b. Academy of Orthotics and Prosthetics; 
c. American Orthotics and Prosthetics Association;
d. California Children's Services Association; or
e. Veteran's Administration; or
2. A member of the California Orthotic and Prosthetic Association which employs only those orthotists who are eligible for certification.
(B) A prosthetist who makes or fits artificial limbs or other parts of the body, and who is either:
1. Validly certified by any of the following:
a. American Board for Certification in Orthotics and Prosthetics;
b. Academy of Orthotics and Prosthetics;
c. California Children's Services Association; or
d. Veteran's Administration; or
2. A member of the California Orthotic and Prosthetic Association which employs only those prosthetists who are eligible for certification.
(C) An individual who is validly licensed as a pharmacist by the California State Board of Pharmacy and who fits orthotic or prosthetic devices.
(56) Other Medical Equipment or Supplies -- Service Code 755. A regional center shall classify a vendor as a provider of other medical equipment or supplies if the vendor is:
(A) A dispensing optician who is validly registered as a dispensing optician by the Division of Allied Health Professions of the Medical Board of California, and who:
1. Fills prescriptions of physicians or optometrists for prescription lenses and related products;
2. Fits and adjusts such lenses and spectacle frames; and
3. Fits contact lenses under the advice, direction, and responsibility of a physician or optometrist;
(B) A hearing aid dispenser who is validly licensed as a hearing aid dispenser by the Hearing Aid Dispensers' Examining Committee of the Medical Board of California, and who:
1. Performs audiometric pure tone and speech testing;
2. Tests hearing in order to fit, dispense, or repair hearing aids; and
3. Is not vendored separately as an audiology center or individually as an audiologist; or
(C) A prosthetic and orthotic appliance factory which fits and sells orthotic and prosthetic appliances necessary for the restoration of function or replacement of body parts.
(57) Other Medical Services -- Service Code 760. A regional center shall classify a vendor as a provider of other medical services if the vendor provides any medical services not included otherwise in this section, and services provided by clinics or other medical facilities which are not included in another service code.
(58) Out-of-home Respite Services -- Service Code 868. A regional center shall classify a vendor as a provider of out-of-home respite services if the vendor:
(A) Is licensed by DSS or by an agency authorized by DSS or is licensed by DHS to provide out-of-home care to persons with developmental disabilities; and
(B) Is vendored by the regional center and provides services under the following service codes:
1. Service Code 855 -- Adult Day Care; or
2. Service Code 851 -- Child Day Care; or
3. Service Code 905 or 915 -- Residential Facility Serving Adults; or
4. Service Code 910 or 920 -- Residential Facility Serving Children; or
5. Service Code 930 -- Intermediate Care Facility/Developmentally Disabled -- Habilitative (ICF/DD-H); or
6. Service Code 935 -- Intermediate Care Facility/Developmentally Disabled -- Nursing (ICF/DD-N).
(C) Has staff who have received Cardiopulmonary Resuscitation (CPR) and First Aid training from agencies offering such training, including, but not limited to, the American Red Cross;
(D) Has the training, education, and skill to perform the required services; and
(E) Provides out-of-home respite services which consist of intermittent or regularly scheduled temporary care to individuals in a licensed facility and which:
1. Are designed to relieve families of the constant responsibility of caring for a member of that family who is a consumer;
2. Meet planned or emergency needs;
3. Are used to allow parents or the individual the opportunity for vacations and other necessities or activities of family life; and
4. Are provided to individuals away from their residence.
(59) Out-of-state Manufacturer or Distributor - Service Code 655. A regional center shall classify a vendor as an out-of-state manufacturer or distributor of merchandise if the vendor provides a specific item that is not available in California, or it is more economical to purchase the item outside of California.
(60) Pharmaceutical Services -- Service Code 765. A regional center shall classify a vendor as a provider of pharmaceutical services if the vendor is:
(A) A person who is validly licensed as a pharmacist by the California State Board of Pharmacy, and who identifies, prepares, or preserves compounds and dispenses drugs; or
(B) A pharmacy which is validly licensed as a pharmacy by the California State Board of Pharmacy, and which is a facility where medicines are compounded or dispensed.
(61) Physical Therapy -- Service Code 772. A regional center shall classify a vendor as a provider of physical therapy services if the vendor is:
(A) A physical therapist who is validly licensed by the Physical Therapy Examining Committee of the Medical Board of California and who, under medical supervision, treats individuals to relieve pain, develop or restore motor function, and maintain performance by using a variety of physical means; or
(B) A physical therapist assistant who is registered as a physical therapist assistant by the Physical Therapy Examining Committee of the Medical Board of California and who provides physical therapy while under the direct supervision of the licensed physical therapist.
(62) Physicians or Surgeons -- Service Code 775. A regional center shall classify a vendor as a physician or surgeon if the vendor provides professional services to individuals and is validly licensed by the Medical Board of California as a physician or surgeon.
(63) Psychiatric Technician -- Service Code 790. A regional center shall classify a vendor as a psychiatric technician if the vendor:
(A) Under medical direction, provides psychotherapeutical services; and
(B) Possesses a valid psychiatric technician's license issued by the California State Board of Vocational Nurse and Psychiatric Technician Examiners.
(64) Psychiatrist -- Service Code 780. A regional center shall classify a vendor as a psychiatrist if the vendor:
(A) Is validly licensed as a physician and surgeon by the Medical Board of California;
(B) Is validly certified by the American Board of Psychiatry and Neurology; and
(C) Specializes in the diagnosis, treatment, and prevention of mental disorders.
(65) Recreational Therapist -- Service Code 694. A regional center shall classify a vendor as a recreational therapist if the vendor possesses a valid registration issued by either the National Council for Therapeutic Recreation Certification or the California Board of Recreation and Park Certification and provides the following services:
(A) Uses self-motivating recreational activities to develop the individual's motor skills, social skills, sensory functioning, or acceptable behavior;
(B) Counsels the individual in recreation and leisure pursuits; and
(C) Provides other services consistent with the duties specified in (A) and (B) above.
(66) Registered Nurse -- Service Code 744. A regional center shall classify a vendor as a registered nurse if the vendor:
(A) Is an individual who is validly licensed as a registered nurse by the California State Board of Registered Nurses; or
(B) Is a nurse registry from whom the services of a registered nurse are obtained.
(67) Residential Facility Serving Adults -- Owner Operated -- Service Code 905. A regional center shall classify a vendor as an owner-operated residential facility serving adults if:
(A) The facility serves adults;
(B) The vendor possesses a valid community care facility license as required by Health and Safety Code, Sections 1500 through 1569.87; and
(C) The facility is the residence of the licensee or a member of the corporate board (board of directors). The licensee may perform all of the activities necessary to operate the facility, or he/she may employ staff, which may include members of his/her family, to assist.
(68) Residential Facility Serving Children -- Owner Operated -- Service Code 910. A regional center shall classify a vendor as an owner-operated residential facility serving children if:
(A) The facility serves children;
(B) The vendor possesses a valid community care facility license as required by Health and Safety Code, Sections 1500 through 1569.87; and
(C) The facility is the residence of the licensee or a member of the corporate board (board of directors). The licensee may perform all of the activities necessary to operate the facility, or he/she may employ staff which may include members of his/her family, to assist.
(69) Residential Facility Serving Adults -- Staff Operated -- Service Code 915. A regional center shall classify a vendor as a staff-operated residential facility serving adults if:
(A) The facility serves adults;
(B) The vendor possesses a valid community care facility license as required by Health and Safety Code, Sections 1500 through 1569.87; and
(C) The facility is not the residence of the licensee or a member of the corporate board (board of directors) and the licensee employs personnel to provide direct care and training to individuals.
(70) Residential Facility Serving Children -- Staff Operated -- Service Code 920. A regional center shall classify a vendor as a staff-operated residential facility serving children if:
(A) The facility serves children;
(B) The vendor possesses a valid community care facility license as required in the Health and Safety Code, Section 1500 through 1569.87; and
(C) The facility is not the residence of the licensee or a member of the corporate board (board of directors) and the licensee employs personnel to provide direct care and training to individuals.
(71) Respiratory Therapist -- Service Code 793. A regional center shall classify a vendor as a respiratory therapist if the vendor:
(A) Provides respiratory therapy services; and
(B) Possesses a valid respiratory care practitioner certificate issued by the Respiratory Care Board of California of the Department of Consumer Affairs.
(72) Respite Facility -- Service Code 869. A regional center shall classify a vendor as a respite facility if the vendor:
(A) Is licensed as a residential facility by DSS or by an agency authorized by DSS;
(B) Provides only out-of-home respite services in accordance with (a)(58)(E)1. through 4. above.
(C) Meets the criteria specified in (a)(58)(C) and (D); and
(D) Is not vendored by the regional center to provide services under the following service codes:
1. Service Code 905 or 915 -- Residential Facility Serving Adults; or
2. Service Code 910 or 920 -- Residential Facility Serving Children.
(73) Retail/Wholesale Stores -- Service Code 660. A regional center shall classify a vendor as a retail/wholesale store if the facility provides goods for purchase and possesses a valid business license to operate that facility.
(74) Social Recreation Program -- Service Code 525. Social Recreation Programs shall meet the requirements in Sections 56710 through 56756 of these regulations for the specific service being vendored.
(75) Speech Pathology -- Service Code 707. A regional center shall classify a vendor as a provider of speech pathology services if the vendor is:
(A) A speech pathologist who is validly licensed as a speech pathologist by the Speech Pathology and Audiology Examining Committee of the Medical Board of California; and provides:
1. Diagnostic screening; and
2. Preventative and corrective therapy for persons with speech or language disorders.
(76) Teacher -- Service Code 674. A regional center shall classify a vendor as a teacher if the vendor possesses a valid California teaching credential issued by the California Commission on Teacher Credentialing or an instruction credential such as a “Life Diploma” or “California Community Colleges Certificate” issued by the California Commission on Teacher Credentialing. A teacher provides the following services:
(A) Conducts lessons;
(B) Prepares instructional materials;
(C) Instructs and supervises individuals in specific areas; and
(D) Provides other services consistent with the duties specified in (A) through (C) above.
(77) Teacher's Aide -- Service Code 676. A regional center shall classify a vendor as a teacher's aide if the vendor works under the supervision of a teacher and possesses the training, education, and/or skill to perform the services specified in (a)(76)(A) through (D) above.
(78) Teacher of Special Education -- Service Code 678. A regional center shall classify a vendor as a teacher of special education if the vendor possesses a valid California teaching credential in Special Education issued by the California Commission on Teacher Credentialing and provides the services specified in (a)(76)(A) through (D) above.
(79) Translator -- Service Code 643. A regional center shall classify a vendor as a translator if the vendor demonstrates:
(A) Fluency in both English and a language other than English; and
(B) The ability to read and write accurately in both English and a language other than English.
(80) Transportation -- Additional Component -- Service Code 880. A regional center shall classify a vendor as a provider of transportation services -- additional component if the vendor:
(A) Is vendored separately from the primary service. The vendoring regional center may waive separate vendorization as a transportation services--additional component if the vendor is a community-based day program vendor, who conducts its curriculum solely in natural environments, and the regional center  determines that it would be more cost effective to include the cost of transportating consumers, which occurs between the first and last training site as specified in Section 57434(a)(3)(N). The cost of transporting consumers shall be considered more cost effective if the cost of including the transportation service in determining the rate of reimbursement for the community-based day program is less than the cost of providing the transportation service pursuant to separate vendorization as a provider of transportation services -- additional component;
(B) Provides services by employees of the primary service agency; and
(C) Provides the regional center with proof of adequate insurance as designated by the vendoring regional center in accordance with the Welfare and Institutions Code, Section 4648.3.
(81) Transportation Assistant -- Service Code 882. A regional center shall classify a vendor as a provider of transportation assistant services if the vendor:
(A) Is vendored separately from the transportation service vendor;
(B) Assists and monitors regional center consumers while the consumers are being transported; and
(C) Meets the qualifications for transportation aides specified in Title 17, Section 58520(b).
(82) Transportation Auto Driver -- Service Code 890. A regional center shall classify a vendor as transportation auto driver if the vendor provides the transportation to authorized services identified in the consumer's IPP and the vendor:
(A) Is an individual who is actually providing the transportation service;
(B) Possesses a valid California driver's license; and
(C) Has evidence of maintenance of adequate insurance coverage.
(83) Transportation Broker -- Service Code 883. A regional center shall classify a vendor as a transportation broker if the vendor:
(A) Is not the transportation service provider; and
(B) Develops routing and time schedules for the transport of consumers to and from their day program;
(C) In addition to performing the duties specified in (A) and (B) above, a transportation broker may:
1. Conduct monitoring and quality assurance activities; and/or
2. Perform safety reviews; and/or
3. Assist the regional center in implementing contracted transportation services.
(84) Transportation Companies -- Service Code 875. A regional center shall classify a vendor as a transportation company if the vendor possesses a current business license as a transportation company and:
(A) Provides the regional center with proof of adequate insurance as designated by the vendoring regional center in accordance with the Welfare and Institutions Code, Section 4648.3; and
(B) Will be employed to transport individuals to and from their community-based day programs or other vendored services for the regional center.
(85) Transportation -- Medical -- Service Code 885. A regional center shall classify a vendor as a provider of medical transportation if the vendor:
(A) Provides medical transportation services; and
(B) Meets the standards specified in Title 22, California Code of Regulations, Sections 51231, 51231.1 or 51231.2, for Litter Vans, Wheelchair Vans, or Medical Transportation Services.
(86) Transportation -- Public Transit Authority, Dial-A-Ride, Rental Car Agency or Taxi -- Service Code 895. A regional center shall classify a vendor as a public transit authority, dial-a-ride rental car agency or taxi provider if the vendor is licensed to perform such services, and if the rate charged in the use of these services to consumers is the same as that charged to the general public for the same service.
(87) Tutor -- Service Code 680. A regional center shall classify a vendor as a tutor if the vendor possesses the training, education, and/or skill necessary to provide the in-home individualized instruction to the individual which is supplementary to, or independent of, instruction provided by the classroom teacher.
(b) The following service code shall be assigned to the following type of service: Behavior Management Technician (Paraprofessional) -- Service Code 616. A regional center may vendor a group practice, vendored pursuant to Section 54319(d), for the above service. The Behavior Management Technician (Paraprofessional) shall practice under the direct supervision of a certified Behavior Analyst or a Behavior Management Consultant who is within the same vendored group practice. The Behavior Management Technician (Paraprofessional) implements instructional and environmental modifications to produce socially significant improvements in the consumer's behavior through skill acquisition and the reduction of behavior. The Behavior Management Technician (Paraprofessional) shall meet the following requirements: 
(1) Has a High School Diploma or the equivalent, has completed 30 hours of competency-based training designed by a certified behavior analyst, and has six months experience working with persons with developmental disabilities; or
(2) Possesses an Associate's Degree in either a human, social, or educational services discipline, or a degree or certification related to behavior management, from an accredited community college or educational institution, and has six months experience working with persons with developmental disabilities. 
NOTE

Authority cited: Sections 4405, 4648(a) and 4686.3, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section, including incorporation and amendment of former section 54344, filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
6. Amendment of subsection (a)(37), (a)(52)(B)2., (a)(54)(A)1., (a)(54)(B), (a)(58)(A), (a)(72), (a)(75) and (a)(81)(B), new subsections (a)(81)(C)1.-3. and amendment of (a)(83)(B) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
7. New subsection (a)(10) and subsection renumbering filed 5-3-2001; operative 6-2-2001 (Register 2001, No. 18).
8. Change without regulatory effect amending subsections (a)(52)(A)-(B) filed 6-12-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 24).
9. New subsection (a)(8), subsection renumbering, amendment of newly designated subsections (a)(12) and (a)(13)(A), new subsection (a)(13)(A)1. and amendment of newly designated subsections (a)(13)2.-4., (a)(18)(A), (a)(32)(D), (a)(72)(B)-(C), (a)(76) and (a)(77) filed 4-29-2004; operative 5-29-2004 (Register 2004, No. 18).
10. Amendment of subsections (a)(28)(A)-(C) filed 11-7-2006; operative 12-7-2006 (Register 2006, No. 45).
11. Repealer and new subsection (a)(13)(A)1., new subsection (a)(13)(A)2., subsection renumbering and new subsection (a)(13)(A)7. filed 6-27-2007; operative 7-27-2007 (Register 2007, No. 26).
12. New subsections (b)-(b)(2) and amendment of Note filed 9-19-2011 as an emergency; operative 9-19-2011 (Register 2011, No. 38). A Certificate of Compliance must be transmitted to OAL by 9-19-2013 pursuant to Welfare and Institutions Code section 4686.3 or emergency language will be repealed by operation of law on the following day.
§54344. Other Services: Nonmedical Services. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order including editorial correction to subsection (n)(4) transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (g) and Note filed 11-5-91 as  an  emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (g) and Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of History 3 (Register 92, No. 25).
6. Certificate of Compliance as to 3-4-92 order including amendment of subsection (e)(1) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
7. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
8. Amendment of section and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect incorporating former section 54344 into section 54342, including amendments, and repealing former section 54344, filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54346. Other Services: Medical Services. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (h)-(h)(2) and subsection relettering and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (h)-(h)(2) and subsection relettering and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsection (h)(1)(B) and subsection relettering, adoption of new subsections (h)(2) and (n) and subsection renumbering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of section and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (s)(2), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
10. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54348. Prevention Services/Infant Development Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4405 and 4648 (a), Welfare and Institutions Code and Section 11152, Government Code. Reference: Sections 4631, 4648 (a) and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54349. Supported Living Service.
Note     •     History

The following service codes are included within “Supported Living Service,” and shall be accessed only by providers who are vendored as Supported Living Service vendors, pursuant to Title 17, Section 58612.
(a) Personal Support Service -- Service Code: 891. A regional center shall classify a vendor as a provider of Personal Support Service for any services the vendor provides prior to July 1, 2000, pursuant to Title 17, Section 58614(b) to meet the consumer's need for assistance with common daily living and routine household activities, accessing medical services, and animal companions. Personal Support Service must be tailored to meet those specific needs of an individual consumer which can not be met by the unassisted consumer because of the nature or severity of the consumer's physical or developmental challenges. Personal Support Service differs from Training and Habilitation Service as defined in (b), in that the immediate result of the service (e.g., successful preparation of a meal) is the primary objective of the service, while any training or habilitation that may result is an incidental and unanticipated consequence. Beginning July 1, 2000, all services previously provided under Service Code 891 shall be provided only in accordance with (d).
(b) Training and Habilitation Service -- Service Code: 892. A regional center shall classify a vendor as a provider of Training and Habilitation Service for any services the vendor provides prior to July 1, 2000, pursuant to Title 17, Section 58614(b) to meet the training and habilitation needs of the consumer. Training and Habilitation Service must be tailored to the specific training and habilitation needs and capacities of an individual consumer, and is intended to result in an increased ability on the part of the consumer to establish and maintain constructive human relationships, assume and exercise membership in the community, and meet his/her needs without assistance. Training and Habilitation Service is accessed only in accordance with the determination made through the consumer's IPP process of its appropriateness in consideration of the consumer's cognitive or physical challenges, and only when any corresponding Personal Support Service alternative, as defined in (a), is determined to be less appropriate in consideration of the consumer's cognitive or physical challenges. Training and Habilitation differs from any corresponding Personal Support Service in that the immediate result of the service (e.g., successful preparation of a meal) is always consequential to, but never the primary objective of, the training. Beginning July 1, 2000, all services previously provided under Service Code 892 shall be provided only in accordance with (d).
(c) 24-Hour Emergency Assistance -- Service Code: 893. A regional center shall classify a vendor as a provider of 24-Hour Emergency Assistance Service for any services the vendor provides prior to July 1, 2000, pursuant to Title 17, Section 58614(b)(16). Beginning July 1, 2000, all services previously provided under Service Code 893 shall be provided only in accordance with (d).
(d) Supported Living Service -- Service Code: 896. Beginning July 1, 2000, a regional center shall classify a vendor as a provider of Supported Living Service if the vendor provides services enumerated in Title 17, Section 58614.
(e) Supported Living Service Vendor Administration -- Service Code: 894. A regional center shall classify a vendor as a provider of Supported Living Service Vendor Administration if the vendor:
(1) Pursuant to Title 17, Section 58660(b)(2), is paid for any direct services referenced in (a); and
(2) Provides administrative services as specified in Section 58614(c), in support of the delivery of direct services.
(f) Vendors shall bill for services included in (a) through (d) under the following subcodes:
(1) Subcode “HA” when billing at an hourly rate negotiated pursuant to Title 17, Section 58660(b)(1);
(2) Subcode “MA” when billing at a monthly rate negotiated pursuant to Title 17, Section 58660(b)(1);
(3) Subcode “OA” when billing at other than an hourly or monthly rate negotiated pursuant to Title 17, Section 58660(b)(1);
(4) Subcode “H” when billing at an hourly rate negotiated pursuant to Title 17, Section 58660(b)(2);
(5) Subcode “M” when billing at a monthly rate negotiated pursuant to Title 17, Section 58660(b)(2);
(6) Subcode “O” when billing at other than an hourly or monthly rate negotiated pursuant to Title 17, Section 58660(b)(2).
(g) A regional center shall authorize a SLS vendor to provide a service only if such service:
(1) Is cost-effective; and
(2) Can not feasibly be provided without cost, or at a lesser cost, through generic or natural supports available in the community.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648, 4689, 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Section 4640.7(b), 4648(a)(2), 4689(c) and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including further amendment of subsections (b), (d)(2), (e)(3), (e)(5)-(6) and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of section and Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§54350. Supportive Services. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code. Reference: Sections 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (b)(2), new subsection (b)(4), amendment of subsections (g) and (i) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b)(2), new subsection (b)(4), amendment of subsections (g) and (i) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including adoption of subsection (c) and subsection renumbering and amendments transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsections (i)(1), (j)(1)(C) and (k)(3) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Amendment filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54351. Habilitation Services.
Note     •     History

The following service codes are included within “Habilitation Services”: 
(a) Supported Employment Program -- Group Services -- Service Code 950. A regional center shall classify a vendor as a provider of Supported Employment -- Group Services if the vendor meets all the requirements of the vendorization process, including proof of certification of nonprofit status and provides supported employment services with a single job coach to a group of individuals engaged in paid work that is integrated in the community. 
(b) Supported Employment Program -- Individual Services -- Service Code 952. A regional center shall classify a vendor as a provider of Supported Employment -- Individual Services if the vendor meets all the requirements of the vendorization process, including proof of certification of nonprofit status and provides supported employment services including job coaching services to a single individual with developmental disabilities engaged in paid work in an community setting. 
(c) Work Activity Program -- Service Code 954. A regional center shall classify a vendor as a provider of Work Activity Program services if the vendor provides support to consumers engaged in paid work in a work activity center or similar setting. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4857 and 4860, Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (b), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§54352. Transportation Services.
Note     •     History

NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4690.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsection (c), amendment of former subsection (e) (now subsection (f)) and subsection renumbering filed 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
4. Amendment of subsections (b)(1) and (e) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b)(1) and (e) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-4-92 order including amendment of subsection (b)(1) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
7. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
8. Amendment of section and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54354. Service Codes for Residential, Intermediate Care and Nursing Facility Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4405, 4648 (a) and 4689.1, Welfare and Institutions Code; and Section 11152, Government Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 1500 through 1569.87 and 1250 through 1338.3, Health and Safety Code; and Sections 4631, 4648 (a) and 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. New subsections (a)(1)(A)-(C), subsection renumbering, and amendment of Note filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
6. New subsections (a)(1)(A)-(C), subsection renumbering, and amendment of Note refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
8. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§54355. Vouchers.
Note     •     History

(a) A regional center may offer vouchers to family members or adult consumers to allow the families and consumers to procure their own diaper/nutritional supplements, day care, nursing, respite, and/or transportation services.  When vouchers are issued they shall:
(1) Be used in lieu of, and shall not exceed the cost of services the regional center would otherwise provide; and
(2) Be issued only for services which are unavailable from generic agencies.
(b) The regional center shall provide prospective voucher recipients with information to assist them in determining liabilities they may incur by  participating in a voucher program. Information provided shall include, but need not be limited to:
(1) Identification of the following areas of potential impact:
(A) Impact of vouchers on Supplemental Security Income (SSI) and/or other benefits;
(B) Voucher recipient's status as an employer and employer responsibilities;
(C) Impact of vouchers on personal taxes;
(D) Potential increase in insurance needs; and
(E) Voucher recipient's responsibility for worker's compensation; and
(F) Voucher recipient's responsibility to withhold and pay the appropriate Federal, State and local taxes; and
(2) Identification of the appropriate agency(ies), including the Internal Revenue Service and the Employment Development Department, which the voucher recipient may contact to obtain information and/or technical assistance regarding the areas of potential impact specified in (1)(A) through (F) above.
(3) The requirement to maintain records for at least 5 years, pursuant to Section 50604(d)(3)(A) through (E), as applicable.
(4) The requirement to submit to the regional center on form DS 1811, Respite Services Billing Form (7/04) data as specified in (A) through (O) below with billings/invoices for the billing period:
(A) Name and Unique Client Identifier (UCI) number of consumer receiving respite service;
(B) Vendored family member name;
(C) Vendor number;
(D) Vendor address;
(E) Vendor phone number;
(F) Date of service;
(G) Address where respite services were provided;
(H) Start and end times of service provided;
(I) Number of hours respite worker worked;
(J) Amount billed to the regional center;
(K) Name of respite worker, agency or facility used;
(L) Respite worker's social security number or any document pursuant to Section 50604(d)(3), if individual worker is used;
(M) Respite worker's address, if individual worker is used;
(N) Respite worker's phone number, if individual worker is used; and
(O) Respite worker's signature, if individual worker is used.
(5) The requirement of the vendored family member to sign, with original signature, and date Form DS 1811 (8/04), which includes a certification that the information provided on the form is true and correct, and that the person signing the form is the only person who employed, supervised, and assigned duties to the respite worker(s) listed on the form, in addition to having read and followed all respite service program requirements and the terms and conditions pursuant to Title 17, Sections 50604(a), 50604(d), 54326(a)(10), 54355(b)(1) through (3), 54355(g)(4)(B), 54355(g)(4)(C)1. and 54355(g)(4)(C)2.
(c) If a family member or adult consumer accepts a voucher to procure their own service, the regional center shall assist the consumer or family member, as appropriate, in identifying providers of services and supports.
(d) Voucher recipients shall be legally responsible for the selection and supervision of the services provided under any voucher issued pursuant to this section.  It is the responsibility of the voucher recipient to ensure that the requirements specified in (g)(1) through (5) below for the actual provider of the vouchered service are met by the individual/entity selected to provide the service.  
(e) If a family member or adult consumer accepts a voucher to procure their own service, as listed in (a) above, the regional center shall vendor either:
(1) The vouchered family member or adult consumer pursuant to (g) below; or
(2) The provider of the vouchered service pursuant to Section 54342.
The regional center shall not vendor the voucher recipient and the voucher service provider for the same service.
(f) Family members or adult consumers to whom the voucher is issued shall only be vendored as the provider of the service for which the voucher is issued if specifically authorized pursuant to (g)(1) through (5) below.
(g) If the vouchered family member or adult consumer is to be vendored to procure their own service, the family member or adult consumer shall meet the specified criteria and be vendored pursuant to the following:
(1) Day Care -- Family Member -- Service Code 405.
(A) A regional center shall classify a vendor as day care - family member if the vendor:
1. Is a family member;
2. Is not the direct provider of the day care service; and
3. Selects the day care service for the consumer from:
a. An individual who possesses the skill, training, or education necessary to provide the day care service; or
b. An agency that meets the criteria specified in Section 54342(a)(4)(A)1. and 2., or (a)(15)(A), (B), or (C).
(B) Vouchers for day care for children shall only be issued by regional centers for day care costs and/or hours exceeding the cost of providing day care services provided to a child without disabilities.  The regional center may pay in excess of this amount when a family can demonstrate a financial need and when doing so will enable the children to remain in the family home. 
(2) Diaper and Nutritional Supplements -- Family Member -- Service Code 410.
(A) A regional center shall classify a vendor as diaper and nutritional supplements -- family member if the vendor is a family member who is authorized by the regional center to directly purchase diapers and/or nutritional supplements for a consumer in the family member's home.
(B) Vouchers for diapers shall only be issued for the procurement of diapers for children three years of age or older. A regional center may purchase diapers for children under three years of age when a family can demonstrate a financial need and when doing so will enable the child to remain in the family home.
(3) Nursing Service -- Family Member -- Service Code 415.
(A) A regional center shall classify a vendor as nursing service - family member if the vendor:
1. Is a family member; and
2. Selects, assigns, and monitors an individual who provides nursing services for a consumer.
(B) The family member may be the direct provider of the nursing service if the service is not intended to provide respite to the family member.
(C) The individual or family member who provides the nursing service shall possess the qualifications specified in Section 54342(a)(46), (51), or (66).
(4) Respite Service -- Family Member -- Service Code 420.  A regional center shall classify a vendor as respite service - family member if the vendor:
(A) Is a family member;
(B) Is not the direct provider of the respite service; and
(C) Selects the respite service for the consumer from:
1. An individual who:
a. Is at least 18 years of age. Individuals currently providing in-home respite service shall have 90 days from the effective date of these regulations to comply; and
b. Possesses the skill, training, or education necessary to provide the respite service. The vendored family member shall be responsible for ensuring that the individual selected to provide the respite service will possess the skill, training, or education necessary to provide the respite service. In addition, the vendored family member is responsible for ensuring that the person providing respite care is familiar with the consumer's daily routines and needs, and is trained in any specialized supports necessary for the consumer. To the extent that these specialized support needs require additional training or certification in such things as First Aid, Cardiopulmonary Resuscitation (CPR), etc., these needs and requirements will be included as part of the description of respite care needs in the consumer's Individual Program Plan (IPP) or Individualized Family Service Plan (IFSP); or
2. An agency that meets the criteria specified in Section 54342(a)(38); or
3. For out-of-home respite services, a facility which meets the standards specified in Section 54342(a)(58) or (72). A relative who provides out-of-home respite in the relative's own house is exempt from licensure pursuant to Title 22, California Code of Regulations, Section 80007.
(5) Transportation -- Family Member -- Service Code 425.
(A) A regional center shall classify a vendor as transportation - family member if the vendor secures the transportation to and/or from authorized services identified in the consumer's IPP and the vendor:
1. Is a family member or adult consumer.  The family member or adult consumer may either provide the transportation service or secure an individual to provide the transportation services identified in the consumer's IPP;
(B) The individual who is actually providing the transportation service shall:
1. Possess a driver's license which is valid in California; and
2. Have evidence of maintenance of adequate insurance coverage pursuant to Welfare and Institutions Code, Section 4648.3.
(C) Vouchers for transportation shall only be issued by regional centers to cover transportation costs which exceed the transportation costs that the family member would incur for a minor child without disabilities.  The regional center may pay in excess of this amount when a family can demonstrate a financial need and when doing so will enable the consumer to remain in the family home.
(h) The voucher recipient shall maintain records of services provided to the consumer pursuant to Section 54326(a)(4).
(i) Effective October 1, 2011, for the services in (g)(1), (3), (4), and (5) above, when funded with federal financial participation through Medicaid programs, the consumers and family members of consumers shall:
(1) Be vendored for the services pursuant to California Code of Regulations, Title 17, Section 58886; or
(2) Use another vendored service provider.
NOTE

Authority cited: Sections 4405, 4648(a) and 4648.12(c)(1)(B), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4648.12(c), Welfare and Institutions Code.
HISTORY

1. New section filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
2. Certificate of Compliance as to 6-20-94 order, including amendment of section, transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
4. Redesignation of subsections (b)1.-2. to (b)(1)-(2) and amendment of newly designated subsection (b)(2) and subsections (e) and (e)(2) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
5. Change without regulatory effect amending subsections (g)(1)(A)3.b., (g)(3)(C) and (g)(4)(C)1.-3. filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
6. Amendment of section and Note filed 8-27-2004 as an emergency; operative 8-27-2004 (Register 2004, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-22-2004 order, including further amendment of subsections (b)(4) and (b)(4)(L), transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
9. Change without regulatory effect amending subsection (g)(4)(C)3. filed 11-10-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 45).
10. Change without regulatory effect amending subsection (g)(3)(C) filed 4-21-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 17).
11. New subsections (i)-(i)(2) and amendment of Note filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54356. Miscellaneous Services.
Note     •     History

(a) A regional center shall classify a vendor as a miscellaneous service provider only if the vendor does not provide goods or services which are similar to any of the descriptions of goods or services contained within sections 54342 through 54355 of these regulations.
(b) The regional center shall obtain a service code from the Department for the vendors specified in (a) above.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Amendment of subsection (a) and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
§54358. Exempted Services.
Note     •     History

(a) For all vendors identified in Section 54310(d)(1) through (3) and (e) of these regulations, the vendoring regional center shall issue a service code consistent with the service codes identified in Sections 54342 through 54355 of these regulations.
(b) For generic agencies specified in Section 54310(d)(4) of these regulations, the vendoring regional center shall obtain a service code from the Department.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648(a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (b) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Amendment of subsection (a) and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (a)(3), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Vendor Compliance and Prohibitions
§54370. Termination of Vendorization for Noncompliance.
Note     •     History

(a) The vendoring regional center shall be responsible for ensuring that vendors within its service catchment area comply with the vendorization requirements. Except as specified in section 54372 of these regulations, the regional center shall take the actions as appropriate for the violations specified in (b) and (c) below.
(b) Vendorization shall be terminated at the end of the first working day after written notification is received from the vendoring regional center if any of the following conditions exist:
(1) The vendor is serving consumers without a current license, credential, registration, accreditation, certificate, degree or permit that is required for the performance or operation of the service;
(2) Vendorization has been transferred to another person or entity;
(3) The vendor has refused to make available any books and records pertaining to the vendored service, including those of the management organization, for audit, inspection or reproduction by regional center, Department or authorized agency representative staff;
(4) The service currently provided is not the same service that was approved for vendorization;
(5) The vendor is using planned behavior modification interventions that cause pain or trauma without meeting the conditions specified in title 17, sections 50800 through 58023.
(6) The vendor is transporting consumers using a driver who does not possess a valid driver's license appropriate for the vehicle being driven.
(7) The regional center has determined that continued utilization of the vendor threatens the health and safety of the consumer(s).
(8) The vendor knowingly and willfully makes or causes to be made a false statement or representation, including omissions, of any vendor application information specified in Section 54310 upon initial application or request for information from the regional center. 
(9) The vendor or any person with an ownership or control interest in the vendor, or person who is a director, officer, or managing employee of a vendor, has been determined to be an excluded individual or entity as defined in Section 54302(b)(1). 
(c) If a vendor is not in compliance with any requirement, other than those specified in (b) above, vendorization shall be terminated 30 days after written notification from the vendoring regional center.
(d) The written notification pursuant to (b) or (c) above shall:
(1) Be sent by registered return receipt requested mail with a copy to any user regional center(s); and
(2) Include all of the following:
(A) A description of the specific violation(s); 
(B) A reference to the statute(s) or regulation(s) with which the vendor is not complying; and
(C) The date on which vendorization will be terminated unless action pursuant to (e) or (f) below is taken by the vendor.
(e) Termination pursuant to (b) above shall not occur if the vendor notifies the vendoring regional center, in writing, prior to the expiration of the period specified in the notice, of the vendor's intent to take either of the following actions:
(1) Correct the violation(s) and provide documentation of the correction to the vendoring regional center within 30 days from receipt of the notice; or
(2) File an appeal within 30 days from receipt of the notice in accordance with section 54380 of these regulations.
(3) If, within the 30-day period, the vendor fails to correct the violation and provide documentation pursuant to (1) above or to file an appeal pursuant to (2) above, vendorization will be terminated effective immediately.
(f) Termination pursuant to (c) above shall not occur if the vendor takes either of the following actions prior to the expiration of the period specified in the notice:
(1) Corrects the violation(s) and provides documentation of the correction to the vendoring regional center; or
(2) Files an appeal in accordance with section 54380 of these regulations. 
(g) Action taken by the vendor pursuant to (e) or (f) above shall not preclude the vendoring regional center nor any user regional center from withdrawing purchase of service authorizations if necessary to protect the health, safety and welfare of the consumers.
(h) Regional Centers may place a moratorium on new referrals during the appeal process or until such violations have been corrected.
(i) No provision of this section shall be construed to supersede or replace the monitoring or corrective action plan provisions for residential facilities contained in title 17, sections 56550 through 56610.
NOTE

Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(A) and 4866, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4648.12 and 4861(c), Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 455.104, 455.105 and 455.106.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsections (b)(1), (b)(6) and (e)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
6. Amendment of subsection (a), new subsection (b)(7) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (a), new subsection (b)(7) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (a), new subsection (b)(7) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (b)(1) and amendment of Note filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (d)(1)(C), new subsections (e)-(e)(3) and (h), subsection relettering and amendment of newly designated subsections (f) and (g), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
11. Reinstatement of section as it existed prior to 7-22-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2004, No. 49).
12. Amendment of subsection (b)(1) and amendment of Note refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (b)(1) and amendment of Note refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (b)(1), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
15. Amendment of subsection (b)(5), new subsections (b)(8)-(9), amendment of subsection (d)(1) and amendment of Note filed 12-27-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 12-27-2011 (Register 2011, No. 52). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§54372. Review of Existing Vendors. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4405 and 4648 (b), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4648 (b), Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Repeal of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§54374. Use of Planned Behavior Modification Interventions That Cause Pain or Trauma.
Note     •     History

Vendors and regional centers shall follow the requirements of title 17, sections 50800 through 50823, when using planned behavior modification interventions that cause pain or trauma.
NOTE

Authority cited: Sections 4405 and 4648 (a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4502 and 4648 (a), Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
Article 5. Vendorization Appeal
§54380. Vendorization Appeal.
Note     •     History

(a) A vendor or an applicant for vendorization may appeal any of the following actions to the director of the vendoring regional center:
(1) Denial of a vendorization application; 
(2) Failure of the vendoring regional center to comply with the provisions of these regulations; or
(3) Findings of noncompliance as specified in section 54370 of these regulations.
(b) The vendor shall file an appeal with the director of the vendoringregional center within 30 days after the receipt of written notification of the action of the regional center, or within 30 days after the failure of the vendoring regional center to comply with these regulations.
(c) Notwithstanding the provisions of (b) above, if a vendor wishes to have the termination of vendorization pursuant to section 54370 (b) of these regulations stayed pending appeal, such appeal must be made prior to the end of the first working day after receipt of written notification of the proposed termination from the vendoring regional center.
(d) If an appeal is not filed within the time specified, it shall be denied unless good cause pursuant to section 54388 of these regulations is established for the late submission. Good cause shall be determined by the director of the vendoring regional center or his or her designee in accordance with section 54388 of these regulations. If good cause for late submission is established, the director or his or her designee shall proceed to decide the appeal in accordance with section 54382 of these regulations.
NOTE

Authority cited: Sections 4440 and 4648 (a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Section 4648 (a), Welfare and Institutions Code; U.S Constitution, Amendment XIV, Section 1 and California Constitution, Article I, Section 7.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§54382. Contents of Appeal and Decision.
Note     •     History

(a) The appeal filed pursuant to section 54380 of these regulations shall be in writing and shall include the following:
(1) The appellant's:
(A) Name, business address, and telephone number; and 
(B) Vendor identification number, service code, subcode, and type of service provided as specified in sections 54340 through 54356 of these regulations, if applicable.
(2) Identification of the action being appealed; 
(3) The specific basis for the appeal; and 
(4) All supporting documentation and any other information necessary to substantiate and/or justify the appeal, including the specific regulation used as the basis for the appeal.
(b) Within 15 days after receipt of the appeal, the director of the vendoring regional center or his or her designee shall review the appeal to determine whether it contains the information required by (a) above.
(1) If all required information has been submitted, the director or his or her designee shall render a decision pursuant to (c) below.
(2) If all the required information has not been submitted and/or additional information is needed, the director of the vendoring regional center or his or her designee shall request the information in writing from the appellant. The appellant shall submit the information within 15 days after receipt of the request:
(A) If the information is not submitted within the time specified, the appeal shall be deemed withdrawn and no further action will be taken unless the appellant established good cause pursuant to section 54388 of these regulations for the later submission. Good cause shall be determined by the director of the vendoring regional center or his or her designee in accordance with section 54388 of these regulations:
1. If good cause for late submission is established, the director of the vendoring regional center or his or her designee shall proceed with the appeal and render a decision pursuant to (c) below.
(B) If the information is submitted but does not comply with the request, the appeal shall be deemed withdrawn and no further action will be taken.
(c) The director of the vendoring regional center or his or her designee shall render a decision on the appeal within 60 days after receipt of all required and/or requested information. The decision shall:
(1) Identify the specific issue(s) in dispute; 
(2) Rule on each issue identified; 
(3) State the facts supporting each ruling; 
(4) Specify the statutes and regulations upon which each ruling is based; and
(5) Specify the procedure for appealing the vendoring regional center's decision to the Director of the Department.
(d) A written copy of the decision shall be mailed to the appellant within 15 days after the decision is rendered.
(e) If the appellant does not appeal the decision to the Director of the Department, pursuant to section 54384 of these regulations, it shall be deemed final, and the vendoring regional center shall send a copy of the decision to all regional center(s) utilizing the service.
NOTE

Authority cited: Sections 4405 and 4648 (a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Section 4648 (a), Welfare and Institutions Code; U.S. Constitution, Amendment XIV, Section 1 and California Constitution, Article I, Section 7.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§54384. Appeal of the Regional Center's Decision.
Note     •     History

(a) The appellant may appeal the decision of the vendoring regional center's director to the Director of the Department within 15 days after receipt of the written decision. The appeal must be filed with the director of the vendoring regional center who shall forward the appeal to the Director of the Department in accordance with (c) below.
(b) The appeal shall be in writing and shall include the following:
(1) All information submitted to the vendoring regional center pursuant to section 54382 (a) of these regulations;
(2) A copy of the vendoring regional center's decision; and 
(3) A statement of the issue(s), facts, documentation, and supporting authority identifying why the appellant believes the decision of the director of the vendoring regional center should be reversed by the Director.
(c) Within 15 days after receipt of the appeal, the director of the vendoring regional center or his or her designee shall ensure that the appeal includes all information required by (b) above, and forward the appeal to the Director. The vendoring regional center shall not forward an incomplete appeal or an appeal filed after the time specified unless the appellant establishes good cause pursuant to section 54388 of these regulations.
(d) Within 30 days after receipt of the appeal, the Director of the Department or the Director s designee shall review the appeal and determine whether additional information upon which to base a decision is needed from the appellant, or the vendoring regional center.
(1) If no additional information is needed, the Director of the Department or the Director's designee shall render a decision pursuant to (e) below.
(2) If additional information is required, the Director of the Department or the Director's designee shall request the information from the appellant or the regional center. The appellant or the regional center shall submit the information within 15 days after receipt of the request.
(A) If the appellant does not submit the information within that time, the appeal shall be deemed withdrawn and no further action taken unless the appellant establishes good cause pursuant to section 54388 of these regulations for the late submission. Good cause shall be determined by the Director of the Department or the Director's designee pursuant to section 54388 of these regulations.
1. If good cause for late submission is established, the Director of the Department or the Director's designee shall proceed with the appeal and render a decision pursuant to (e) below.
(B) If the information is submitted, but does not comply with the request, the appeal shall be deemed withdrawn and no further action will be taken.
(C) If the regional center does not submit the requested information, the Director of the Department or the Director's designee shall proceed with the appeal and render a decision pursuant to (e) below.
(e) The Director of the Department or the Director's designee shall render a decision within 60 days after receipt of all required and/or requested information. The decision shall:
(1) Identify the specific issues in dispute; 
(2) Rule on each issue identified;
(3) State the facts supporting each ruling; and 
(4) Identify the statutes and regulations upon which each ruling is based.
(f) A written copy of the decision shall be sent to the appellant, the vendoring regional center and all regional center(s) utilizing the service within 15 days after the decision is rendered.
(g) The decision of the Director is the final administrative decision.
NOTE

Authority cited: Sections 4405 and 4648 (a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Section 4648 (a), Welfare and Institutions Code; U.S. Constitution, Amendment XIV, Section 1 and California Constitution, Article I, Section 7.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§54386. Effective Date of Decision.
Note     •     History

The effective date of the director of the vendoring regional center's and the Director of the Department's decisions shall be stated in the decisions.
NOTE

Authority cited: Sections 4405 and 4648 (a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Section 4648 (a), Welfare and Institutions Code; U.S. Constitution, Amendment XIV, Section 1 and California Constitution, Article I, Section 7.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§54388. Good Cause.
Note     •     History

(a) For the purposes of sections 54380 through 54386 of these regulations, good cause for a failure to act is limited to:
(1) A violent act of nature including but not limited to, flood, earthquake, blizzard or fire; and/or
(2) Arson, vandalism and/or theft of records and/or property by individuals other than the appellant which preclude the appellant from filing a timely appeal.
(b) The appellant shall, within a reasonable time, not to exceed 60 days after the incident giving rise to its claim of good cause, submit to the director of the regional center or the Director of the Department, whichever is appropriate, the basis for its claim of good cause and all supporting documents or other evidence substantiating its claim. The director of the regional center, the Director of the Department or the Director's designee, whichever is appropriate, shall, within 30 days of receipt of the claim and supporting documentation, review the information and render a decision regarding whether good cause has been established.
(c) The director of the regional center, the Director of the Department or the Director's designee, whichever is appropriate, shall notify the appellant in writing of the decision and shall specify what action will be taken, if any, pursuant to sections 54380 through 54386 of these regulations.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4648 (a) and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4648 (a) and 4791, Welfare and Institutions Code; U.S. Constitution, Amendment XIV, Section 1 and California Constitution, Article I, Section 7.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§54390. Review of Documents Only.
Note     •     History

An appeal made pursuant to sections 54380 through 54386 of these regulations shall be decided only on the documents submitted. There shall be no oral testimony or argument; however, the vendoring regional center and the appellant may hold an informal conference at any time to discuss or resolve the disputed issues.
NOTE

Authority cited: Sections 4405 and 4648(a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Section 4648(a), Welfare and Institutions Code; U.S. Constitution, Amendment XIV, Section 1 and California Constitution, Article I, Section 7.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Repealer of Appendix and new Appendices A and B filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New Appendices A and B refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of  law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of Appendix A and repealer of Appendix B transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Certificate of Compliance as to 6-20-94 order, including new form, transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
9. Repealer of Appendix A filed 12-22-2004 as an emergency; operative 12-22-2004 (Register 2004, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-21-2005 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 12-22-2004 order transmitted to OAL 4-19-2005 and filed 5-18-2005 (Register 2005, No. 20).
Subchapter 3. Regional Center Administrative Practices and Procedures
Article 1. Regional Center Conflict of Interest Standards and Procedures
§54500. Authority and Scope.
Note     •     History

These regulations prescribe conflict of interest standards and procedures for all members of the regional center governing boards, employees, and those acting on the regional center's behalf to ensure that such persons make decisions relative to the regional center which are in the best interests of the center's consumers and families pursuant to authority provided in section 4627 of the Welfare and Institutions Code. 
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4626, 4626.5 and 4627, Welfare and Institutions Code.
HISTORY

1. Editorial redesignation and renumbering of former Chapter 3 (Articles 1-3, Sections 50301-50327, not consecutive) to Chapter 3 (Subchapter 2, Article 1, Sections 54500-54529, not consecutive) filed 9-28-83 (Register 83, No. 40). For prior history, see Register 76, No. 51.
2. Repealer and new section filed 12-29-86; effective thirtieth day thereafter (Register 87. No. 1).
3. Amendment of section and Note filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54505. Definitions.
Note     •     History

As used in this subchapter, the following words and phrases have the specified meanings:
(a) “Area Board” means the organization of individuals established and constituted according to Welfare and Institutions Code Section 4546 et seq.
(b) “Business Entity, Entity or Provider” means any individual or business venture from whom or from which the regional center purchases, obtains, or secures goods or services to conduct its operations. These entities or providers include, but are not limited to, residential facilities, intermediate care facilities, skilled nursing supported and independent living, hospitals, medical groups, activity centers, housing providers, entities formed in support of the regional center, infant programs, clinics, laboratories, pharmacies, drug stores, ambulance services, furniture stores, equipment and supply stores, physicians, psychologists, nurses, therapists, teachers, social workers, and contract case managers. For purposes of these conflict of interest regulations “business entity, entity or provider” does not include a consumer or family member of a consumer who receives vouchers for consumer services. 
(c) “Consumer” means an individual who has been determined by a regional center to meet the eligibility criteria of the Welfare and Institutions Code Section 4512, and of Title 17, California Code of Regulations, Sections 54000, 54001 and 54010, and for whom the regional center has accepted responsibility.
(d) “Decision or Policy-Making Authority” means the authority an individual possesses whenever the individual:
(1) exercises discretion or judgment, without significant intervening substantive review, in making, advising or recommending, a decision or in making a final decision; or
(2) may compel a decision or may prevent a decision either by reason of an exclusive power to initiate the decision or by reason of a veto which may or may not be overridden; or
(3) makes substantive recommendations which are, and over an extended period of time have been, regularly approved without significant amendment or modification by another person or entity or provider; or
(4) votes on matters, obligates or commits his or her entity to any course of action, or enters into, modifies, amends, or renews, any contractual agreement on behalf of his or her entity, or has authority to obligate resources; or
(5) votes to approve, appoint or ratify, or the individual approves, appoints, ratifies, assigns, elects, selects, designates, names, creates, confirms, contracts or hires, any director, trustee, member of the board, member of a board committee, officer, agent, employee, contractor, or consultant, for his or her entity or any other business entity or provider.
Decision or policy-making authority does not include actions of the individuals which are solely ministerial, secretarial, or clerical.
(e) “Department” means the Department of Developmental Services.
(f) “Family Member” includes the individual's spouse, domestic partner, parents, stepparents, grandparents, siblings, step-siblings, children, stepchildren, grandchildren, and in-laws.
(g) “Member of the Board” or “Member” means an individual serving as a member of the governing board, board of directors or board committee of a business entity, entity, or provider as defined herein.
(h) “Potential Conflict of Interest” means a situation which, based upon circumstances reasonably expected to occur at a point in the future, may result in a conflict of interest, as specified in these regulations.
(i) “Present Conflict of Interest” means a conflict of interest, as specified in these regulations, which currently exists.
(j) “Regional Center” means a diagnostic, counseling, and service coordination center for persons with developmental disabilities and their families which is established and operated pursuant to Chapter 5 of Division 4.5 of the Welfare and Institutions Code and Title 14 of the Government Code, by a private nonprofit corporation acting as a contracting agency.
(k) “Regional Center Employee” means any person who performs services for wages, salary or a fee under a contract of employment, express or implied, with the regional center. For purposes of these regulations, a business entity, entity or provider as defined herein, is not a regional center employee.
l “Regional Center Governing Board” means the board of directors of a private nonprofit corporation which contracts with the State for the purpose of establishing and operating a regional center and which is constituted in accordance with section 4622 of the Welfare and Institutions Code. 
(m) “Regional Center Operations” means those activities or services which regional centers are required by law, regulation, or contract with the State to provide, obtain, or purchase. Such activities include, but are not limited to, case finding, outreach, prevention, intake and assessment, individual program planning, case management, community programs, program development, and consumer advocacy and protection.
(n) “State Council” means the organization of individuals established and constituted pursuant to Welfare and Institutions Code, Section 4520 et seq.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4520, 4525, 4543, 4546, 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code.
HISTORY

1. New section filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
2. Amendment of section and Note filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54510. Regional Center. [Repealed]
History

HISTORY

1. Repealer filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
§54511. Contracting Agency. [Repealed]
History

HISTORY

1. Repealer filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
§54512. Regional Center Employee. [Repealed]
History

HISTORY

1. Repealer filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
§54520. Positions Creating Conflicts of Interest for Regional Center Governing Board Members and Executive Directors.
Note     •     History

(a) A conflict of interest exists when a regional center governing board member, executive director, or a family member of such person is any of the following for a business entity, entity, or provider as defined in section 54505 of these regulations, except to the extent such position is permitted by Welfare and Institutions Code, sections 4622 and 4626. 
(1) a governing board member
(2) a board committee member
(3) a director
(4) an officer
(5) an owner 
(6) a partner
(7) a shareholder 
(8) a trustee 
(9) an agent
(10) an employee 
(11) a contractor 
(12) a consultant 
(13) a person who holds any position of management; or 
(14) a person who has decision or policy making authority 
(b) An employee or contractor of a state or local government entity, which provides services to regional center consumers, who works in a position having no relation to providing those services to regional center consumers, does not have a conflict of interest as a result of his or her position. This exception does not apply to an employee of the Department of Developmental Services.
(c) There is no conflict of interest for purposes of these regulations where a consumer receives employment services through a regional center provider, and the consumer's family member is a governing board member or executive director of the regional center, or the consumer's family member holds a position described in subsection (a)(1) to (14) with the provider providing the employment services, if the employment service is made equally available to all eligible consumers of the regional center in question.
(d) These conflict of interest provisions are in addition to those conflicts identified in Welfare and Institutions Code sections 4622 and 4626.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4620.3, 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB484 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Amendment of section heading, section and Note filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54521. Conflicts of Interest for Regional Center Advisory Committee Board Members.
Note     •     History

(a) A conflict of interest exists when a regional center advisory committee board member, appointed pursuant to Welfare and Institutions Code section 4622(i), is:
(1) in any of the following positions for a business entity, entity, or provider from which the regional center purchases, obtains or secures consumer services:
(A) member of the governing board 
(B) board committee member
(C) owner
(D) partner
(E) shareholder
(F) agent 
(G) manager 
(H) employee
(I) contractor 
(J) consultant
and (2) that person does any of the following:
(A) Serves as an officer of the regional center board; or
(B) Votes on any fiscal matter affecting the purchase of services 
from any regional center provider; or 
(C) Votes on any matters in which the member has a financial interest as that term is defined in section 54522(b).
“Fiscal Matters” as used in this subdivision, include setting purchase of service priorities, making any fiscal commitments, transferring funds to the purchase of service budget, and establishing policies and procedures with respect to payment of services.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626 and 4627, Welfare and Institutions Code. 
HISTORY

1. Repealer and new section filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
2. Repealer and new section heading and section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54522. Financial Interests in Decisions Creating a Conflict of Interest for Regional Center Governing Board Members and Executive Directors.
Note     •     History

(a) A regional center governing board member or regional center executive director shall not make, participate in making or in any way attempt to use his or her position to influence a regional center or board decision, in which he or she knows or has reason to know, that he or she or a family member has a financial interest. 
(b) Financial interest, as used in this section, includes any current or contingent ownership, equity, or security interest that could result directly or indirectly, in receiving a pecuniary gain or sustaining a pecuniary loss as a result of the interest in any of the following:
(1) business entity worth two thousand dollars ($2,000) or more.
(2) real or personal property worth two thousand dollars ($2,000) or more in fair market value.
(3) stocks or bonds worth two thousand dollars ($2,000) or more.
(4) intellectual property rights worth five hundred dollars ($500) or more. 
(5) sources of gross income aggregating five hundred dollars ($500) or more within the prior 12 months.
(6) future interests for compensation of five hundred dollars ($500) or more.
(7) personal finances of two hundred fifty dollars ($250) or more.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code; and Section 87103, Government Code.
HISTORY

1. Repealer and new section filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Repealer and new section heading and section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54523. Financial Interests in Contracts Creating a Conflict of Interest for Regional Center Governing Board Members and Executive Directors.
Note     •     History

(a) The purpose of this section is to make certain that regional center governing board members and executive directors are guided solely by the interests of the regional center and its consumers and not by their personal financial interests when participating in the making of contracts in their official capacity.
(b) Regional center governing board members and regional center executive directors shall not be financially interested in any contract in which they participate in making in their official capacity.
(1) Financially interested, for purposes of this section, means any financial interest regardless of the dollar amount, and includes aiming to achieve a financial gain or avoid a financial loss. The financial interest may be direct or indirect and includes any monetary or proprietary benefit, gain of any sort, or the contingent possibility of monetary or proprietary benefits and extends to expectations of economic benefit. Certainty of financial gain is not necessary to create a conflict of interest. 
(A) The financial interest is direct when the individual, in his or her official capacity, does business with himself or herself in his or her private capacity. 
(B) The financial interest is indirect if a regional center board member or executive director enters into a contract in his or her official capacity with an individual or entity, and because of the relationship between the individual or entity to the board member or executive director, the individual or entity is in a position to render actual or potential pecuniary benefits to the board member or executive director based on that contract.
(2) Participation in the making of a contract includes any act involving preliminary discussions, development, negotiations, compromises, reasoning, planning, drawing of plans and specifications, solicitation for bids, approval and execution. 
(c) If a regional center governing board member, executive director, or his or her family member, has a financial interest in a potential contract that creates a present or potential conflict of interest, prior to the first consideration of the potential contract, the regional center board member or executive director shall do all of the following:
(1) fully disclose the existence and nature of the conflicting financial interest to the regional center board; 
(2) have it noted in the official board records; 
(3) recuse himself or herself from making, participating in making, or in any way attempting to use his or her position to influence a decision on the matter; 
(4) leave the room during any discussion or deliberations of the matter and shall not return until disposition of the matter is concluded; and 
(5) shall not cast his or her vote upon any matter or contract concerning the financial interest or be counted for purposes of a quorum. 
(d) Subdivision (c) does not apply if a board member, who is a regional center consumer, has a financial interest in a contract that will provide him or her with a financial benefit, if that benefit will be available to any regional center consumer.
(e) Regional center governing board members and executive directors shall not make any contract which is financially beneficial to a family member of such person, unless the benefits associated with the contract are available to regional center consumers or their families generally. When benefits associated with the contract are available to regional center consumer or their families generally, subdivision (c) does not apply. 
(f) The regional center board may not avoid a conflicting financial interest in a contract by delegating its decision-making authority to another individual or body. 
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code; and Sections 1090 and 87103, Government Code.
HISTORY

1. Repealer and new section filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
2. Repealer and new section heading and section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54524. General Prohibition of Conflicts of Interest for Regional Center Governing Board Members and Executive Directors.
Note     •     History

(a) In addition to the specific conflict of interest requirements and restrictions set forth above, regional center governing board members and executive directors are obligated to discharge their responsibilities with integrity and fidelity, and are prohibited from placing themselves in a position where their private, personal interests may conflict with their official duties. 
(b) Governing board members and executive directors are impliedly bound to exercise the powers conferred on them with disinterested skill, zeal and diligence and for the benefit of the regional center and the consumers. 
(c) If a situation arises that has not been specifically addressed in these regulations, where a governing board member, executive director or his or her family member's personal or pecuniary interest conflicts with the individual's duty to act in the best interest of the regional center or the consumers, the governing board member or executive director is disqualified from taking any part in the discussion, or from making any recommendation or decision regarding the transaction or decision. 
(d) In interpreting and applying this section, the common law doctrine against conflict of interest and the authorities interpreting that doctrine shall govern.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4626 and 4627, Welfare and Institutions Code. 
HISTORY

1. Repealer and new section filed 12-29-86; effective thirtieth day thereafter (Register 87. No. 1).
2. Repealer and new section heading and section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54525. Necessity of Conflict Resolution Plan for Conflicts of Interests for Regional Center Governing Board Members and Executive Directors.
Note     •     History

(a) The regional center governing board or executive director shall not allow the regional center to refer a consumer to any business entity, entity or provider in which a board member or executive director has a conflict of interest as set forth in these regulations, unless the board member or executive director has eliminated the conflict of interest or obtained an approved Conflict Resolution Plan prior to the referral.
(b) No regional center governing board member or executive director who has a conflict of interest, shall continue to serve as a board member or executive director in violation of these provisions, unless the individual has eliminated the conflict of interest or obtained an approved Conflict Resolution Plan. This subdivision does not apply to the extent it is permitted by Welfare and Institutions Code, sections 4622 and 4626.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626 and 4627, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 12-29-86; effective thirtieth day thereafter (Register 87, No. 1).
2. Repealer and new section heading and section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day.
§54526. Positions Creating Conflicts of Interests for Employees, Contractors, Agents and Consultants.
Note     •     History

(a) A conflict of interest exists when a regional center employee with decision or policy making authority, or contractor, agent or consultant with authority to act on behalf of the regional center, or family member of such person, is any of the following for a business entity, entity, or provider as defined in these regulations:
(1) a governing board member 
(2) a board committee member
(3) a director 
(4) an officer 
(5) an owner 
(6) a partner 
(7) a shareholder
(8) a trustee 
(9) an employee 
(10) an agent
(11) a contractor 
(12) a consultant 
(13) holds any position of management
(14) has decision or policy making authority 
(b) An employee or contractor of a state or local government entity, which provides services to regional center consumers, who works in a position having no relation to providing those services to regional center consumers, does not have a conflict of interest as a result of his or her position. This exception does not apply to an employee of the Department of Developmental Services.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4626, 4626.5 and 4627, Welfare and Institutions Code; and Section 87103, Government Code.
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54527. Financial Interests in Decisions Creating a Conflict of Interest for Employees, Contractors, Agents or Consultants.
Note     •     History

(a) A regional center employee, contractor, agent or consultant shall not make, participate in making or in any way attempt to use his or her position to influence a regional center decision, in which he or she knows or has reason to know that he or she, or his or her family member has a financial interest. 
(b) Financial interest, as used in this section, includes any current or contingent ownership, equity, or security interest that could result directly or indirectly, in receiving a pecuniary gain or sustaining a pecuniary loss as a result of the interest in any of the following:
(1) business entity worth two thousand dollars ($2,000) or more.
(2) real or personal property worth two thousand dollars ($2,000) or more in fair market value.
(3) stocks or bonds worth two thousand dollars ($2,000) or more.
(4) intellectual property rights worth five hundred dollars ($500) or more 
(5) sources of gross income aggregating five hundred dollars ($500) or more within prior 12 months
(6) future interests for compensation of five hundred dollars ($500) or more.
(7) personal finances of two hundred fifty dollars ($250) or more.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code; and Section 87103, Government Code.
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54528. Financial Interests in Contracts Creating a Conflict of Interest for Regional Center Employees, Contractors, Agents and Consultants.
Note     •     History

(a) The purpose of this section is to make certain that regional center employees, contractors, agents and consultants are guided solely by the interests of the regional center and the consumers and not by their personal interests, when participating in the making of contracts in their official capacity.
(b) Regional center employees, contractors, agents and consultants shall not be financially interested in any contract in which they participate in making in their official capacity.
(1) Financially interested, for purposes of this section, means any financial interest regardless of the dollar amount, and includes aiming to achieve a financial gain or avoid a financial loss. The financial interest may be direct or indirect and includes any monetary or proprietary benefit, gain of any sort, or the contingent possibility of monetary or proprietary benefits and extends to expectations of economic benefit. Certainty of financial gain is not necessary to create a conflict of interest. 
(A) The financial interest is direct when the individual, in his or her official capacity, does business with himself or herself in his or her private capacity. 
(B) The financial interest is indirect if an employee, contractor, agent or consultant enters into a contract in his or her official capacity with an individual or entity, and because of the relationship between the individual or entity to the employee, contractor, agent or consultant, the individual or entity is in a position to render actual or potential pecuniary benefits to the employee, contractor, agent or consultant based on that contract.
(2) Participation in the making of a contract includes any act involving preliminary discussions, development, negotiations, compromises, reasoning, planning, drawing of plans and specifications, solicitation for bids, approval and execution.
(c) Regional employees, contractors, agents or consultants shall not make any contract which is financially beneficial to a family member of such person, unless the benefits associated with the contract are available to regional center consumers or their families generally. 
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code; and Sections 1090 and 87103, Government Code.
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54529. General Prohibition of Conflicts of Interest for Regional Center Employees, Contractors, Agents and Consultants.
Note     •     History

(a) In addition to the specific conflict of interest requirements and restrictions set forth above, regional center employees, contractors, agents and consultants are obligated to discharge their responsibilities with integrity and fidelity, and are prohibited from placing themselves in a position where their private, personal interests may conflict with their official duties. 
(b) A regional center employee, contractor, agent or consultant is impliedly bound to exercise the powers conferred on him or her with disinterested skill, zeal and diligence and for the benefit of the regional center and its consumers. 
(c) If a situation arises that has not been specifically addressed in these regulations, where a present or potential personal conflict of interest exists as to a particular transaction or decision, the employee, contractor, agent or consultant is disqualified from taking any part in the discussion, or from making any recommendation or decision regarding the particular matter. 
(d) In interpreting and applying this section, the common law doctrine against conflict of interest and the authorities interpreting that doctrine shall govern.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4626 and 4627, Welfare and Institutions Code.
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54530. Employees, Contractors, Agents and Consultants Conflicts with Regional Center Duties.
Note     •     History

(a) A conflict of interest exists when a regional center employee, contractor, agent or consultant participates in the evaluation of an application for employment or bid for position or contract at the regional center that is submitted by a family member of such person.
(b) A potential conflict of interest exists when a regional center employee, contractor, agent or consultant acts as a supervisor of his or her family member.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4626 and 4627, Welfare and Institutions Code.
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54531. Conflict of Interest Reporting Statements for Employees, Contractors, Agents and Consultants, Time for Filing.
Note     •     History

(a) Each regional center employee, contractor, agent, and consultant, who has authority to act on behalf of the regional center, or who has decision or policy-making authority as defined in section 54505 of these regulations, shall complete and file a standard Conflict of Interest Reporting Statement (8/2012), hereby incorporated by reference.
(b) Each regional center employee, contractor, agent, and consultant shall complete and file an annual Conflict of Interest Reporting Statement with his or her respective regional center, whether or not the individual has identified a present or potential conflict of interest, by August 1 of each year.
(c) Each newly appointed regional center employee, contractor, agent, and consultant shall complete and file a Conflict of Interest Reporting Statement with the individual's respective regional center within 30 calendar days of assuming the position. 
(d) Each regional center employee, contractor, agent, and consultant shall complete and file a new Conflict of Interest Reporting Statement within 30 calendar days of any change in status that creates a present or potential conflict of interest. For purposes of this subdivision, a change of status includes, reporting a previously unreported activity that should have been reported, change in the circumstance of a previously reported activity, change in a financial interest, familial relationship, or legal commitment(s), change in regional center position or duties, and change to outside position or duties. This requirement is in addition to the annual August 1 submission of a Conflict of Interest Reporting Statement required by this section. 
(e) The executive director of the regional center shall review the completed Conflict of Interest Reporting Statement of each regional center employee, contractor, agent, and consultant required to file a Conflict of Interest Reporting Statement pursuant to subdivision (a) of this section, within 10 working days of receipt of the completed Conflict of Interest Reporting Statement, and shall determine whether the statement identifies a present or potential conflict of interest. 
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code. 
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54532. Conflict of Interest Reporting Statements for Regional Center Governing Board Members and Regional Center Executive Directors, Time for Filing.
Note     •     History

(a) Each regional center governing board member and regional center executive director shall complete and file an annual Conflict of Interest Reporting Statement with his or her respective regional center governing board, whether or not the individual has identified a present or potential conflict of interest, by August 1 of each year.
(b) Each new candidate for the regional center governing board and each new candidate for regional center executive director shall disclose any present or potential conflicts of interest to the regional center governing board, prior to being appointed, elected, or approved for hire, by the regional center or the regional center governing board. 
(c) Each new regional center governing board member and each new regional center executive director shall complete and file a Conflict of Interest Reporting Statement with his or her respective regional center board, within 30 calendar days of being selected, appointed, elected, or approved for the position.
(d) Each regional center governing board member and each regional center executive director shall complete and file a new Conflict of Interest Reporting Statement with his or her respective regional center board, within 30 calendar days of any change in status that creates a present or potential conflict of interest. For purposes of this subdivision, a change of status includes, reporting a previously unreported activity that should have been reported, change in the circumstance of a previously reported activity, change in financial interest, familial relationship, or legal commitment(s), change in regional center or regional center board position or duties, and change to outside position or duties. This requirement is in addition to the annual August 1 submission of a Conflict of Interest Reporting Statement required by this section. 
(e) The regional center governing board shall submit a copy of each completed Conflict of Interest Reporting Statement, of the governing board member(s) and the regional center executive director, to the Department within 10 working days of receipt of the completed Conflict of Interest Reporting Statement. 
(f) The Department and the regional center governing board shall review the Conflict of Interest Reporting Statement of each regional center governing board member and each regional center executive director and shall determine whether the statement identifies a present or potential conflict of interest.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code.
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54533. Present or Potential Conflict of Interest Identified, Proposed Conflict Resolution Plan Content, Timelines for Submission of Proposed Conflict Resolution Plan.
Note     •     History

(a) When a present or potential conflict of interest is identified for a regional center board member, executive director, employee, contractor, agent or consultant, the present or potential conflict shall be either eliminated or mitigated and managed through a Conflict Resolution Plan, or the individual shall resign his or her position with the regional center or regional center governing board. 
(b) When a present or potential conflict of interest has been identified by the regional center executive director for a regional center employee, contractor, agent or consultant, the regional center shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict to the Department, within 30 calendar days of receipt of the completed conflict of interest statement from the employee, contractor, agent or consultant.
(c) When a present or potential conflict of interest has been independently identified by the Department for a regional center employee, contractor, agent or consultant, the Department shall notify the regional center executive director, in writing, of the present or potential conflict. The regional center executive director shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict, to the Department within 30 calendar days of receipt of the Department's notification.
(d) When a present or potential conflict of interest has been identified by the regional center governing board, for a regional center governing board member or regional center executive director, the regional center governing board shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict, to the Department, in addition to the area board in the respective area, and to the State Council, within 30 calendar days of receipt of the completed Conflict of Interest Reporting Statement. 
(e) When a present or potential conflict of interest has been independently identified by the Department for a regional center governing board member or regional center executive director, the Department shall notify the regional center governing board, in writing, of the present or potential conflict. The regional center governing board shall submit a copy of the completed Conflict of Interest Reporting Statement and a proposed Conflict Resolution Plan for eliminating or mitigating and managing the present or potential conflict, to the Department, in addition to the area board in the respective area, and to the State Council, within 30 calendar days of receipt of the Department's notification.
(f) To promote transparency, the regional center shall post on its Internet Website each completed Conflict of Interest Reporting Statement that identifies a present or potential conflict of interest that cannot be resolved within 30 calendar days of receipt by the regional center governing board or the regional center executive director, or within 30 calendar days of receipt of the Department's notification that it has independently identified a present or potential conflict of interest. 
The completed Conflict of Interest Reporting Statement shall remain on the regional center's Internet Website until the present or potential conflict of interest has been eliminated, or the individual has resigned his or her regional center position.
(g) The proposed Conflict Resolution Plan shall be a written, detailed plan to eliminate, or mitigate and manage, the present or potential conflict of interest, along with any necessary supporting documents. 
The proposed Conflict Resolution Plan shall:
(1) Describe the precise nature of the present or potential conflict of interest or activity and give a detailed description of the conflict:
(A) The type of interest creating the present or potential conflict; and
(B) The identity and relationship between the individual(s) and/or entity(ies) involved; and
(C) The roles and duties of each individual and/or entity, that gives rise to the present or potential conflict of interest.
(2) State the action(s) that the regional center governing board, regional center and/or the individual(s) will take, including the necessary timeframes, to eliminate or mitigate and manage the present or potential conflict of interest. Actions to eliminate, or mitigate and manage, the present or potential conflict of interest, may include, but are not limited to, one or more of the following:
(A) Resignation of the individual(s) from the position or activity creating the conflict of interest
(B) Refraining from participation, or limiting the individual's ability to act, in a particular matter or category of matters
(C) Change of assignment, duties, or position
(D) Divestiture of financial interests that give rise to the conflict of interest
(E) Terminating or refraining from relationships that give rise to conflicts of interest 
(3) Provide a detailed explanation of how each of the proposed actions, will actually eliminate or mitigate and manage the present or potential conflict of interest. 
(4) Provide the name, position and duties of the individual(s) who will be responsible for ensuring that any actions, limitations, or restrictions, included in the Conflict Resolution Plan, if approved by the Department, will be taken, applied, followed, and monitored. Explain any oversight and monitoring mechanism in enough detail to allow the Department to ascertain that the mechanism is sufficient to eliminate, or mitigate and manage, the present or potential conflict of interest. 
(5) A proposed Conflict Resolution Plan shall be signed by the individual(s) subject to the Conflict Resolution Plan, in addition to the person in the designated position or committee responsible for reviewing the Conflict of Interest Reporting Statement, and the person in the designated position or committee responsible for monitoring performance under the proposed Plan, if approved.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626, 4626.5 and 4627, Welfare and Institutions Code.
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54534. Conflict Resolution Plan Review, Procedures.
Note     •     History

(a) Not later than 90 calendar days after the area board in the respective area and the State Council receive copies of the completed Conflict of Interest Reporting Statement and the proposed Conflict Resolution Plan for a regional center governing board member or regional center executive director, the area board and the State Council shall each provide to the Department their written approval or disapproval of the proposed Conflict Resolution Plan. If either the area board or the State Council fail to provide the Department with its written approval or disapproval of the proposed Plan within 90 calendar days of receipt of the Conflict of Interest Reporting Statement and the proposed Plan, the Department alone, may make the decision to disapprove the proposed Plan. The Department shall not approve a proposed Conflict Resolution Plan without the approval of both the area board and the State Council. 
(b) The Department shall determine whether a proposed Conflict Resolution Plan is sufficient or needs to be modified to adequately eliminate, or mitigate and manage, the present or potential conflict of interest. The Department may impose additional restrictions and additional obligations to the proposed Conflict Resolution Plan and/or make a determination that further information is required. 
(c) The Department is responsible for making the final decision as to what conditions, restrictions, obligations, or actions, if any, shall be imposed or taken, by the regional center governing board, regional center, and/or the individual(s), to eliminate, or mitigate and manage, the present or potential conflict of interest.
(d) The submission of a proposed Conflict Resolution Plan does not authorize an individual with a present or potential conflict of interest to engage in any activity that constitutes a present or potential conflict of interest. The proposed Conflict Resolution Plan shall be approved, in writing, by the Department, and the Conflict Resolution Plan fully implemented, prior to the individual engaging in otherwise prohibited conduct. Department approval is not granted until the regional center receives such determination in writing. Individuals shall not engage in activities in which there is a present or potential conflict of interest except in accordance with the terms of an approved Conflict Resolution Plan.
(e) Department approval of a proposed Conflict Resolution Plan is not valid unless it is based upon full disclosure of all relevant information by the regional center governing board, regional center, and/or the individual(s), with the present or potential conflict of interest. Nondisclosure or misrepresentation, of present or potential conflicts of interest or of material information bearing on the proposed Conflict Resolution Plan decision, shall result in the Department's rescission of its approval and/or immediate denial of the proposed Conflict Resolution Plan, in addition to any civil penalties imposed pursuant to Welfare and Institutions Code section 4626.
(f) The Department shall issue its modification, approval, or denial of the proposed Conflict Resolution Plan, in writing, to the regional center governing board or the regional center's designated party, within 30 calendar days of receiving the written approval or disapproval of the proposed Conflict Resolution Plan from the area board and the State Council, for regional center governing board members or executive directors, and within 30 calendar days of receipt of the proposed Conflict Resolution Plan, for employees, contractors, agents and consultants, unless the Department determines there is good cause for extending the time to respond. 
(g) If the proposed Conflict Resolution Plan of an employee, contractor, agent or consultant is denied by the Department, the individual shall have 30 calendar days, from the date of receipt of the Department's written denial, in which to take the necessary action to eliminate the conflict of interest or resign his or her position as an employee, contractor, agent, or consultant. The Department may, in exercise of its discretion grant the individual and/or the regional center an extension in which to complete any actions necessary to eliminate the conflict of interest.
(h) If the proposed Conflict Resolution Plan of a regional center governing board member or executive director is denied by the Department and/or the State Council or area board in the respective area, the governing board member or executive director shall have 30 calendar days, from the date of receipt of the Department's written denial, in which to take the necessary action to eliminate the conflict of interest or resign his or her position as a regional center governing board member or executive director. The Department may, in exercise of its discretion, grant the regional center governing board, governing board member, executive director or regional center, an extension in which to complete any actions necessary to eliminate the conflict of interest.
(i) If the proposed Conflict Resolution Plan is approved by the Department, the approved Conflict Resolution Plan shall be implemented not later than 30 calendar days after written notification is mailed by the Department, unless the Department, grants the regional center governing board, the regional center and/or the individual(s) an extension in which to complete any actions necessary to implement the approved Conflict Resolution Plan.
(j) The regional center governing board, the regional center, and/or the covered individual(s) shall fully comply with all elements set forth in the approved Conflict Resolution Plan. When required by the terms of the approved Plan, the regional center governing board, the regional center, and the individual(s) shall provide documentation demonstrating compliance with the approved Plan to the Department.
(k) A new proposed Conflict Resolution Plan shall be submitted to the Department on an annual basis and upon any change of status that creates a present or potential conflict of interest.
l The regional center governing board and/or the regional center shall retain a copy of each Conflict of Interest Reporting Statement and any approved Conflict Resolution Plan for the period of time consistent with the record retention requirements in its State contract.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4622, 4626 and 4627, Welfare and Institutions Code. 
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
§54535. Sanctions.
Note     •     History

(a) If the Department finds a regional center governing board, board member, executive director, employee, contractor, agent, or consultant, in violation of any of the provisions of this Article, the Department shall:
(1) Immediately inform the party or parties in writing of such violation, including the supporting facts or information upon which determination of violation was made; and
(2) Require that the party or parties take appropriate action, within 30 calendar days of the notice of violation, to resolve the conflict of interest or otherwise eliminate the violation. The Department may extend this 30 day period only once and for a period not to exceed 30 calendar days.
(b) If the violation is not resolved or eliminated within the 30 calendar days as herein provided, and no extension of time has been granted by the Department, the Department may take immediate action to commence procedures for termination or nonrenewal of the regional center contract pursuant to Welfare and Institutions Code section 4635. The area board in the respective area and the State Council shall be notified of the above action.
NOTE

Authority cited: Sections 4626 and 4627, Welfare and Institutions Code. Reference: Sections 4626, 4627 and 4635, Welfare and Institutions Code. 
HISTORY

1. New section filed 8-15-2012 as a deemed emergency pursuant to Welfare and Institutions Code section 4627(d); operative 8-15-2012 (Register 2012, No. 33). A Certificate of Compliance must be transmitted to OAL by 2-11-2013 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 87, No. 1.
Subchapter 3.5. Regional Center Budget Deficit Controls [Repealed]
Article 1. Definitions
§54600. Definitions.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Sections 4646, 4647, 4648 and 4693, Welfare and Institutions Code.
HISTORY

1. New Subchapter 3 (Sections 54600-54676, not consecutive) filed 8-24-83 as an emergency; effective upon filing (Register 83, No. 40). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-22-83.
2. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5)
3. Order of Repeal of subsections (l) and (m) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
4. Editorial relettering only of subsections (a)-(p) organizing text in alphabetical order (Register 84, No. 15).
5. Amendment filed 2-22-84 as an emergency; effective upon filing. Certificate of Compliance included (Register 84, No. 15).
6. Order of Repeal of subsections (g) and (h) filed 3-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 15).
7. Expired by own terms (Register 88, No. 25).
§54601. Expiration.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session.
HISTORY

1. Editorial correction adding new Section filed 1-23-84 (Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25).
Article 2. Service Authorization and Review
§54620. Service Purchase Authorizations.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Sections 4646, 4647 and 4648(b), Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Order of Repeal of subsections (b)-(c) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
3. Editorial correction of HISTORY NOTE No. 2 and reprinting of subsection (d) inadvertently deleted in Register 84, No. 5 (Register 84, No. 15).
4. New subsections (b) and (c) filed 2-22-84 as an emergency; effective upon filing. Certificate of Compliance included (Register 84, No. 15).
5. Order of Repeal of subsections (b) and (c) filed 3-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 15).
6. Expired by own terms (Register 88, No. 25).
§54621. Review of Service Authorizations.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes o 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Sections 4646, 4647 and 4648(b), Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including new subsection (c) transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25).
Article 3. Plans of Action
§54640. Projecting Deficits.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session.
HISTORY

1. Certificate of Compliance transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Order of Repeal of subsection (d) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
3. Editorial correction adding HISTORY NOTE Nos. 1 and 2 (Register 84, No. 15).
4. New subsection (d) filed 2-22-84 as an emergency; effective upon filing. Certificate of Compliance included (Register 84, No. 15).
5. Expired by own terms (Register 88, No. 25).
§54641. Content of Plans of Action.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25).
§54642. Review of Plans of Action.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session.
HISTORY

1. Certificate of Compliance transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Editorial correction adding HISTORY NOTE No. 1 (Register 84, No. 15).
3. Expired by own terms (Register 88, No. 25).
§54643. Modification and Implementation of Plans of Action.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session.
HISTORY

1. Certificate of Compliance transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Editorial correction adding HISTORY NOTE No. 1 (Register 84, No. 15).
3. Expired by own terms (Register 88, No. 25).
§54644. Noncompliance.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session.
HISTORY

1. Certificate of Compliance transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Editorial correction adding HISTORY NOTE No. 1 (Register 84, No. 15).
3. Expired by own terms (Register 88, No. 25).
Article 4. Service Standards
§54660. Early Intervention Services.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Sections 4642, 4644, 4648 and 4693, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25).
§54661. Preschool Services.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Sections 4648 and 4693, Welfare and Institutions Code.
HISTORY

1. Expired by own terms (Register 88, No. 25).
§54662. Education.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25).
§54663. Day Program Services.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Order of Repeal of subsection (b)(3) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
3. Expired by own terms (Register 88, No. 25).
§54664. Independent Living Skills Training.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Order of Repeal of subsection (c) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
3. New subsection (c) filed 2-22-84 as an emergency; effective upon filing. Certificate of Compliance included (Register 84, No. 15).
4. Order of Repeal of subsection (c) filed 3-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 15).
5. Expired by own terms (Register 88, No. 25).
§54665. Extended Day Programs.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Order of Repeal of subsection (a) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
3. New subsection (a) filed 2-22-84 as an emergency; effective upon filing. Certificate of Compliance included (Register 84, No. 15).
4. Expired by own terms (Register 88, No. 25).
§54666. Social Recreation Services.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25).
§54667. Special Services.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including repealer of Section 54667 transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
§54668. Behavior Modification.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Order of Repeal of subsection (a)(2) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
3. Expired by own terms (Register 88, No. 25).
§54669. Sensory Motor Development.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including repealer of Section 54669 transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
§54670. Education Training.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including repealer of Section 54670 transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
§54671. Independent Living Skills Training.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including repealer of Section 54671 transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
§54672. Vocational Training.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including repealer of Section 54672 transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
§54673. Work Activity.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Section. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including repealer of Section 54673 transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
§54674. Respite Care.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Sections 4648 and 4685, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25).
§54675. Transportation.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Editorial correction of subsection (b) filed 9-7-83 (Register 83, No. 40).
2. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
3. Order of Repeal of subsections (b) and (d)(3) filed 1-23-84 by OAL pursuant to Government Code Section 11349.6; effective thirtieth day thereafter (Register 84, No. 5).
4. Expired by own terms (Register 88, No. 25).
§54676. Exceptions.
Note     •     History

NOTE

Authority cited: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session. Reference: Section 26, Chapter 16, Statutes of 1983-84 First Extraordinary Session; and Section 4648, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment transmitted to OAL 12-22-83 and filed 1-23-84 (corrected Certificate of Compliance filed 1-30-84) (Register 84, No. 5).
2. Expired by own terms (Register 88, No. 25). 
Subchapter 4. Residential Services and Quality Assurance Regulations
Article 1. Definitions
§56001. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning.Words used in their present tense include the future tense; words in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct; “may” denotes permissive conduct.
NOTE

Authority cited: Sections 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4681.1 and 4748, Welfare and Institutions Code.
HISTORY

1. Repealer of former subchapter 4 (articles 1-2, sections 56550-56610) and new subchapter 4 (articles 1-11, sections 56001-56067), article 1 (sections 56001-56002) and section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Editorial correction of History 1 (Register 98, No. 27).
§56002. Definitions.
Note     •     History

(a) The following definitions shall apply to the regulations used in this subchapter:
(1) “Administrator” means the licensee, or the adult designated by the licensee to act in his/her behalf who assumes responsibility for facility operations.
(2) “Admission Agreement” means the agreement required pursuant to Title 22, California Code of Regulations, Sections 80068, 85068 and 87568.
(3) “Authorized Consumer Representative” means the parent, or guardian of a minor, conservator of an adult, or person who is legally entitled to act on behalf of the consumer.
(4) “Child With Special Health Care Needs” means a child with a developmental disability who: 1) is receiving services and service coordination from a regional center; 2) is placed in a foster family home, small family home or group home; and 3) has a medical condition that can rapidly deteriorate, resulting in permanent injury or death; or who has a medical condition that requires specialized in home health care, including an internal feeding tube, total parenteral feeding, a cardiorespiratory monitor, intervenous therapy, a ventilator, urinary catheterization, ministrations imposed by tracheostomy, colostomy, ileostomy, or other medical or surgical procedures; or special medication regimens, including injection, areosol treatment, and intravenous or oral medication which requires specialized in-home health care.
(5) “Consumer” means an individual who has been determined by a regional center to meet the eligibility criteria of the Welfare and Institutions Code Section 4512, and of Title 17, California Code of Regulations, Sections 54000, 54001 and 54010, and for whom the regional center has accepted responsibility.
(6) “Consumer Notes” means those ongoing notations made in the individual consumer file at the facility which are incidental to specific events in the consumer's life, and which are made at the time of occurrence and are not a part of the quarterly or semi-annual report.
(7) “Consumer Services” means those services which the residential service provider is responsible for implementing as a part of the program design and the consumer's IPP.
(8) “Consumers' Rights” means the rights of regional center consumers residing in facilities, as specified in Welfare and Institutions Code Sections 4502, 4502.1, 4503, 4504, 4705 and 4710.6; and Title 17, California Code of Regulations, Division 2, Chapter 1, Subchapter 5, Sections 50510, 50515(a)(2), (b)(2) and (c), 50520(b), 50530, 50532, 50534, 50536, 50540 and 50960. 
(9) “Contact” means any communication between two or more persons or entities by means of face-to-face meetings, phone conversations, or letters. 
(10) “Days” means calendar days unless otherwise stated.
(11) “Department” means the State Department of Developmental Services.
(12) “Direct Care Staff” means facility staff, in Service Level 2, 3 and 4 facilities, who personally provide direct supervision and special services to consumers and is synonymous with “Direct Support Professionals”. The term includes the licensee, the administrator, management and supervisory staff during that time when they are providing direct supervision and special services to consumers or are involved in performing program preparation functions.
(13) “Director” means the Director of the Department of Developmental Services or his/her designee. 
(14) “Direct Supervision” means those activities in which direct care staff provide care, supervision, training and support to promote the consumer's functioning in the areas of self-care, daily living skills, physical coordination, mobility, behavioral self-control, choice-making, community integration, accessing community resources and participating in leisure time activities.
(15) “Facility” means a licensed community care facility as defined in Health and Safety Code Section 1502(a)(1), (4), (5) or (6); or a licensed residential care facility for the elderly as defined in Health and Safety Code Section 1569.2(k), which has been vendorized as a residential facility by a regional center pursuant to the requirements of Title 17, California Code of Regulations, Division 2, Chapter 3, Subchapter 2. 
(16) “Facility Liaison” means the person, or his or her designee, assigned by the regional center as the principal coordinator between the regional center and the facility.
(17) “Facility Staff” means the administrator and direct care staff employed by the facility who provide direct supervision and special services to consumers residing in the facility, and consultants employed by the facility who provide support to direct care staff. 
(18) “Immediate Danger” means conditions which constitute an impending threat to the health and safety of a consumer(s) and which require immediate action by the regional center to safeguard the health and safety of the consumers in the facility.
(19) “Individual Life Quality Outcomes” means desired outcomes for individual life quality and represent life conditions that people have identified as being important in their everyday lives.
(20) “Individual Program Plan (IPP)” means a written plan that is developed by a regional center Interdisciplinary Team, in accordance with the provisions of Welfare and Institutions Code Sections 4646 and 4646.5.
(21) “Interdisciplinary Team (ID Team)” means the group of persons convened, in accordance with Welfare and Institutions Code Sections 4646 and 4645.5, for the purpose of preparing a consumer's IPP.
(22) “Licensee” means the person who is identified as the licensee on the license to operate as a community care facility which is issued to the facility by the Department of Social Services' Community Care Licensing Division.
(23) “Looking at Service Quality Provider's Handbook” means the publication so entitled and developed by the Department to help administrators and direct care staff increase the quality of their services through a self-assessment of their direct supervision and special services to consumers. The self-assessment is based upon twenty-five individual life quality outcomes. The publication entitled “Looking at Service Quality Provider's Handbook,” original edition which bears no revision or publication date, is hereby incorporated by this reference as though fully set forth herein.
(24) “Medication” means any drug or other agent ordered by a physician, and over-the-counter medications used to treat symptoms of illness or injury.
(25) “Natural Environment” means places and social contexts commonly used by individuals without developmental disabilities.
(26) “Noncompliance” means failure to comply with any of the requirements of Title 17, California Code of Regulations, Division 2, Chapter 3, Subchapter 4 or 6.
(27) “Normalization” means life conditions which enable consumers to lead more independent, productive and normal lives which approximate the pattern of daily living of non-disabled persons of the same age and reflect personal choice.
(28) “Personal and Incidental Allowance” means that portion of the Supplemental Security Income/State Supplemental Program (SSI/SSP) payment designated for the personal expenses of the consumer.
(29) “Placement” means the process the regional center and the consumer complete to assist the consumer to locate and make an initial move to a facility.
(30) “Program Design” means the description of consumer services offered by a facility, the functional characteristics of the consumers the facility will serve, and the resources available to meet individual service needs consistent with the facility's service level.
(31) “Program Preparation Functions” means ancillary activities performed by direct care staff or administrators, including, but not limited to, data collection and analysis, development of training plans, staff meetings, consumer meetings and parent conferences.
(32) “Quality Assurance (QA) Coordinator” means that person who is knowledgeable in, and designated by the regional center to be responsible for, managing all elements of the Quality Assurance Plan. 
(33) “Quality Assurance (QA) Evaluation” means the process of assessing a specific facility's ability to provide the minimum acceptable level of service required by these regulations and the effects of those services upon the consumers served.
(34) “Quality Assurance Evaluation Team” means a group of two or more persons who perform a QA evaluation and have knowledge of residential services for persons with a developmental disability by virtue of personal, professional or academic experience or training.
(35) “Quality Assurance (QA) Plan” means the written plan developed by each regional center to coordinate the QA evaluation process, ongoing monitoring, and necessary training and technical assistance to assure implementation of these regulations.
(36) “Regional Center” means a diagnostic, counseling and service coordination center for developmentally disabled persons and their families which is established and operated pursuant to Welfare and Institutions Code Sections 4620 through 4669, by a private nonprofit community agency or corporation acting as a contracting agency. As used in these regulations, any reference to the regional center shall, by reference, be applicable to those agencies or persons with which the regional center contracts or employs to provide service coordination to consumers under the provisions of Welfare and Institutions Code Section 4647.
(37) “Regional Center Director” means the Director of the Regional Center or his/her designee.
(38) “Regional Center Representative” means a person who is employed or designated by the regional center to represent that agency.
(39) “Relocation” means the process the regional center and the consumer complete to enable a consumer to move from one facility to another.
(40) “Residential Service(s)” means the direct supervision and special services which facility staff provide to a consumer during the process of implementing the program design and achieving the objectives of the Individual Program Plan (IPP) for which the residential service provider is responsible.
(41) “Residential Service Provider” means an individual or entity which has been licensed by the Department of Social Services as a community care facility pursuant to Health and Safety Code Section 1502(a)(1), (4), (5) or (6); or is defined as a licensed facility for the elderly in Health and Safety Code Section 1569.2; has completed the vendorization process pursuant to Title 17, California Code of Regulations, Division 2, Subchapter 2; and has been assigned a vendor identification number beginning with the letter “H” pursuant to Title 17, California Code of Regulations, Section 54340(a)(1).
(42) “Self Care” means providing for, or meeting, a consumer's own physical and personal needs in the areas related to eating, dressing, toileting, bathing and personal hygiene.
(43) “Service Coordinator” means the regional center or designee agency employee, or his/her designee, who has responsibility for providing or ensuring service coordination as specified in Welfare and Institutions Code Section 4647.
(44) “Service Level” means one of a series of 4 levels which has been approved for each facility by a regional center. Service Levels 2, 3 and 4 have a specified set of requirements that a facility must meet which addresses the direct supervision and special services for consumers within that facility. 
(45) “Service Needs” means those consumer needs which require direct supervision and special services, which are identified through the ID Team assessment process.
(46) “Service Outcomes” means the results, for the consumer, of direct supervision and special services provided by the facility's program. 
(47) “Special Incident Report (SIR)” means a special incident report as defined in Title 17, California Code of Regulations, section 54327(b).
(48) “Special Services” means specialized training, treatment, and/or supervision which are required by the consumer's IPP and provided by direct care staff in addition to direct supervision.
(49) “Submit” means the postmarking or hand delivery of the item required no later than the last day of the timeline allowed.
NOTE

Authority cited: Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4501, 4502, 4503, 4504, 4646, 4646.5, 4647, 4648, 4681.1, 4695, 4695.2, 4705, 4740 through 4748 and 17710, Welfare and Institutions Code; Sections 1502(a) and 13131, Health and Safety Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsections (a)(2) and (24) and capitalizing “S” of “Section” throughout (Register 95, No. 18).
6. Change without regulatory effect amending subsection (a)(21) and Note filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
7. Repealer of subsection (a)(1), subsection renumbering, and amendment of newly designated subsections (a)(20), (a)(38), (a)(40), (a)(41) and (a)(45) and amendment of Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
8. New subsections (a)(19) and (a)(22) and subsection relettering filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
9. New subsections (a)(19) and (a)(22) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
10. Repealer of subsection (a)(1), subsection renumbering, amendment of newly designated subsections (a)(20), (a)(38), (a)(40), (a)(41) and (a)(45) and amendment of Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to first 10-20-98 order, including further amendment of subsection (a)(22), transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
12. Certificate of Compliance as to second 10-20-98 order, including further amendment of section, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
13. Amendment of subsection (a)(12), new subsection (a)(13), repealer of subsection (a)(14), renumbering and amendment of former subsection (a)(13) to subsection (a)(14), amendment of subsections (a)(41) and (a)(48) and amendment of Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
14. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
15. Amendment of subsection (a)(12), new subsection (a)(13), repealer of subsection (a)(14), renumbering and amendment of former subsection (a)(13) to subsection (a)(14), amendment of subsections (a)(41) and (a)(48) and amendment of Note filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
16. Refiling of 7-26-2000 order, including further amendment of subsection (a)(12), new subsection (a)(22), subsection renumbering and amendment of newly designated subsections (a)(23) and (a)(42), 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
18. Change without regulatory effect amending subsection (a)(48) filed 8-28-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 35).
19. Repealer of subsection (a)(43), subsection renumbering, and amendment of newly designated subsection (a)(47) filed 10-25-2001 as an emergency; operative 10-31-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-28-2002 or emergency language will be repealed by operation of law on the following day.
20. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
21. Certificate of Compliance as to 10-25-2001 order transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
22. Change without regulatory effect repealing subsection (a)(42), renumbering subsections and adopting new subsection (a)(47) filed 5-27-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 22).
23. Change without regulatory effect amending subsection (a)(2) filed 11-10-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 45).
Article 2. General Requirements
§56003. Residential Services Orientation.
Note     •     History

(a) The regional center shall provide a residential services orientation for all persons who wish to become vendorized to provide services pursuant to Subchapter 4. The residential services orientation shall occur no less than every six months and shall include the following information:
(1) An overview of Title 17, California Code of Regulations requirements applicable to residential facilities, including:
(A) Record maintenance requirements pursuant to Title 17, California Code of Regulations, Section 50604.
(B) Vendorization procedures pursuant to Title 17, California Code of Regulations, Sections 54310 through 54374;
(C) Service level approval pursuant to Section 56005;
(D) Regional center evaluation and monitoring processes pursuant to Sections 56046 through 56052;
(E) Access requirements as specified in Title 17, California Code of Regulations, Section 50603;
(F) Consumers' Rights as defined in Section 56002(a)(9);
(G) Elements of the program design pursuant to Section 56013.
(2) An overview of the self-assessment process and the individual life quality outcomes identified in the “Looking at Service Quality Provider's Handbook”.
(3) Copies of sections of Title 17, California Code of Regulations applicable to residential facilities, and “Looking at Service Quality Provider's Handbook,” supplied by the Department.
(b) The administrator shall complete the residential services orientation:
(1) Before the admission of the first regional center consumer; or
(2) When two or more years have elapsed since he/she last served as an administrator.
NOTE

Authority cited: Chapter 157, Statutes of 2003; and Sections 4648.1, 4681.1, 4742 and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4681.1, 4740, 4742 and 4748, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Change without regulatory effect amending designation of subsection (a) filed 11-17-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 47).
4. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
5. Editorial correction of History 2 (Register 94, No. 47).
6. Editorial correction capitalizing “S” of “Section” throughout (Register 95, No. 18).
7. New subsections (a)(2) and (a)(3) filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
8. New subsections (a)(2)-(3) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-20-98 order, including further amendment of subsections (a)(2) and (a)(3) and amendment of Note, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
10. New subsection (a)(1)(A), subsection relettering, amendment of newly designated subsection (a)(1)(B) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
11. New subsection (a)(1)(A), subsection relettering, amendment of newly designated subsection (a)(1)(B) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
12. New subsection (a)(1)(A), subsection relettering, amendment of newly designated subsection (a)(1)(B) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 6-1-2004 order transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
§56004. Facility Service Levels.
Note     •     History

(a) Service Level 1 through 4 facilities shall possess a valid Community Care Facility license issued by the Department of Social Services' Community Care Licensing Division pursuant to Health and Safety Code Sections 1500 et seq., and Title 22, California Code of Regulations, Division 6, Sections 80000 et seq.
(b) Service Level 1 through 4 facilities shall be vendorized by a regional center pursuant to the requirements of Title 17, California Code of Regulations, Chapter 3, Subchapter 2.
(c) Service Level 2, 3, and 4 facilities shall provide:
(1) Direct supervision and special services pursuant to Welfare and Institutions Code Sections 4681.1(b)(2) and (b)(3) as needed to provide services in accordance with, and to meet the requirements of, the approved program design pursuant to Section 56005 and the consumer's  IPP objectives.
(2) A basic staffing level of no less than one direct care staff person at all times when consumers are under the supervision of facility staff. This basic staffing level shall be the total direct supervision and special services required of the facility up to a maximum number of consumers as follows:
(A) For Service Level 2, one direct care staff person for up to six consumers in the facility;
(B) For Service Levels 3, 4A, and 4B, one direct care staff person for up to three consumers in the facility;
(C) For Service Levels 4C, 4D, and 4E, one direct care staff person for up to two consumers in the facility;
(D) For Service Levels 4F, 4G, 4H, and 4I, one direct care staff person for the first consumer in the facility.
(d) In addition to the basic level of staffing described in subsection (c)(2)(A) through (D) above, facilities providing residential services to a greater number of consumers shall provide a cumulative number of additional weekly direct care staff hours for consumers based upon the facility's service level, as specified in the table below:

View Graphic
*Consumer(s)
(1) A facility with seven or more consumers shall provide the number of weekly direct care staff hours for each additional consumer as specified in the table above.
(e) A facility may include within the total number of additional direct care staff hours required pursuant to subsection (d) above, hours of program preparation functions which shall be counted as follows:
(1) Service Level 2 facilities: Up to 2 hours per consumer per week.
(2) Service Level 3 facilities: Up to 2 hours per consumer per week.
(3) Service Level 4A, 4B, 4C facilities: Up to 3 hours per consumer per week.
(4) Service Level 4D, 4E, 4F, 4G facilities: Up to 4 hours per consumer per week.
(5) Service Level 4H facilities: Up to 5 hours per consumer per week.
(6) Service Level 4I facilities: Up to 7 hours per consumer per week.
Program preparation function hours shall not be used as a basis for increasing a service level.
Staff schedules which were part of the facility's program design as approved by the regional center pursuant to Section 56005 prior to September 20, 1993 shall remain in effect.
(f) In addition to the above direct care staff hours requirements, Service Level 4 facilities shall provide a cumulative number of consultant hours consisting of no less than the number of hours indicated below during each consecutive six-month period after the effective date of these regulations based upon the number of consumers in the facility.

View Graphic
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4646, 4646.5, 4648, 4681.1, 4748, 4786 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Change without regulatory effect amending subsection (b) filed 1-18-91 pursuant to section 100, title 1, California Code of Regulations; operative 2-13-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 14).
3. Amendment of Table, new subsection (d) and subsection renumbering, and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day. 
4. Amendment of Table, new subsection (d) and subsection renumbering and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
6. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
7. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
8. Editorial correction of History 6 (Register 94, No. 47).
9. Editorial correction of subsection (c)(1) (Register 95, No. 18).
10. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
§56005. Facility Service Level Approval Process.
Note     •     History

(a) A residential service provider shall submit a written request to the regional center to establish an approved Service Level 2, 3 or 4. The written request shall include the following:
(1) A statement of the administrator's qualifications pursuant to Section 56037;
(2) A program design pursuant to Section 56013 which is consistent with the proposed service level; and
(3) Specification of the proposed facility service level pursuant to the requirements in Section 56004.
(b) Within 45 days of receipt of a request to establish an approved Service Level 2, 3 or 4, the regional center shall review the request and provide written notification to the applicant of the:
(1) Approval of the requested service level and the effective date for the approved service level which shall be the date of issuance of written notification to the applicant; or
(2) Disapproval of the requested service level specifying the reason(s) for disapproval.
(c) The requirements specified in subsections (a) and (b) above shall also apply to those facilities which have an approved service level and are submitting a request to establish another approved service level.
(1) A facility's written request to be established as another approved service level shall be considered only when there is a change in the facility's ownership or the ID Teams of a majority of the facility's consumers have identified, pursuant to Section 56022(a) and (b), that the consumers need a new service level.
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections  4681.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (c)(1) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day. 
3. New subsection (c)(1) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Change without regulatory effect amending subsection (c)(1) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56009. Regional Center Compliance.
Note     •     History

NOTE

Authority cited: Sections 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4631, 4635, 4648.1, 4681.1 and 4748, Welfare and Institutions Code.
HISTORY

1. New section filed 8-4-92; operative 8-4-92 (Register 92, No. 32).
2. Repealer filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
Article 3. Program Design
§56013. Program Design Requirements.
Note     •     History

(a) Each facility applying for Service Level 2, 3 or 4  approval shall submit a written program design to the regional center pursuant to Section 56005 which is based upon the principles of normalization as measured by consumer participation in a variety of integrated, age-appropriate activities which take place in natural environments, at home, at work, in the community and during leisure time. 
(b) The program design shall include:
(1) An organizational chart for the facility;
(2) A statement of purpose, a description of consumer services to be provided, and expected service outcomes for consumers to be served;
(3) Facility entrance and exit criteria which identify the characteristics of the consumer population the facility intends to serve, including age range, gender, ambulatory status, medical conditions, self-help skills and behavioral characteristics;
(4) A description of program preparation functions to be performed by facility staff which is consistent with the requirements specified in Section 56004(e)(1) through (6);
(5) A description of staff qualifications and a duty statement for each staff position in the facility;
(6) A sample staff schedule; and
(7) A staff training plan.
(c) In addition to subsection (b) the program design for each facility applying for Service Level 3 approval shall include:
(1) A description of services designed to enhance the capabilities of consumers including those with:
(A) Significant deficits in self-help skills; and/or
(B) Some limitations in physical coordination and mobility; and/or
(C) Disruptive or self-injurious behavior.
(d) In addition to subsection (b) the program design for each facility applying for Service Level 4 approval shall include:
(1) A description of services designed to enhance the capabilities of consumers including those with:
(A) Severe deficits in self-help skills; and/or
(B) Severe impairment in physical coordination and mobility; and/or
(C) Severely disruptive or self-injurious behavior.
(2) A description of consultant qualifications, hours and duties;
(3) A specific description of the instructional methods and techniques to be utilized to achieve the desired service outcomes; and
(4) A methodology for measurement of consumer progress toward achievement of IPP objectives which includes:
(A) Types of data to be collected;
(B) Data collection systems;
(C)  Frequency of data collection; and
(D) Methods and intervals for summarizing data and reporting on progress made toward achieving IPP objectives.
NOTE

Authority cited: Sections 4648(a), 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4501, 4646, 4648, 4681.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsections (a)(1)(A) and (a)(4), and amendment of renumbered subsections (a)(4)-(7) and NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day. 
3. New subsections (a)(1)(A) and (a)(4), and amendment of renumbered subsections (a)(4)-(7) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including repealer of subsections (a)(1)(A) and (d)(3) and amendment of subsections (a)(4) and (d)(2) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Editorial correction of subsections (a) and (d)(4)(D) (Register 95, No. 18).
9. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
Article 4. Consumer Placement and Relocation
§56016. Placement and Relocation Requirements.
Note     •     History

(a) The regional center shall, to the extent feasible, provide opportunities for each consumer or authorized consumer representative to have a choice among appropriate, available living arrangements.
(b) The regional center shall provide placement and relocation assistance to each consumer as specified in Welfare and Institutions Code Sections 4647, 4648 and 4747.
(c) The administrator may refuse to admit a consumer who has been referred to the facility by a regional center representative if the facility cannot meet the identified needs of the consumer.
(d) No consumer shall be placed into or relocated to a facility where a license revocation action is pending or the license renewal application has been denied.
(e) When the administrator determines that the facility can no longer meet the needs of the consumer, the administrator shall immediately notify the regional center, the consumer and/or the consumer's authorized representative.
(1) The administrator shall put verbal notification in writing and forward to the regional center within 24 hours.
(f) Upon notification as required in subsection (e), the regional center shall relocate the consumer within 30 days or within a time frame which has been mutually agreed-upon by the regional center, the administrator and the consumer and/or the consumer's authorized representative.
(g) Within a reasonable period of time based on the health and safety considerations for the consumer and no longer than the time frame for relocation pursuant to subsection (f) the regional center shall convene the consumer's I.D. Team to assess the consumer's needs and to determine:
(1) The services and supports to be provided to the consumer before, during and after the relocation; and
(2) Any additional measures necessary to meet the consumer's health and safety needs until the relocation has been accomplished.
NOTE

Authority cited: Sections 4681.1 , 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4647, 4648, 4652, 4681.1, 4741, 4744, 4746, 4747, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of article heading and section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction inserting subsection (c) and amending History 2 (Register 94, No. 47).
5. Editorial correction of subsection (b) and Authority cite (Register 95, No. 18).
6. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
§56017. Consumer Placement and Relocation Assistance.
Note     •     History

(a) When the consumer or the consumer's authorized representative requests assistance to relocate, or the administrator or regional center finds it necessary for a consumer to move from his/her current residential location, the ID Team, shall determine the living arrangement appropriate to the consumer's needs.
(b) When the appropriate living arrangement is determined to be a facility, the regional center shall release written information to the prospective administrator(s) for the purpose of determining if the residential service provider can meet the consumer's service needs. The information shall include:
(1) The current IPP;
(2) A description of the consumer's service needs;
(3) A statement of the consumer's ambulatory or nonambulatory status;
(4) Known information regarding individual likes and dislikes, abilities, interests and activities; 
(5) Known information related to any history of aggressive or dangerous behavior of the consumer towards self or others;
(6) Identified needs for training and treatment of behaviors which interfere with, or prevent participation in, activities; 
(7) Identified medical needs including special dietary requirements;
(8) When the consumer has an authorized representative, the name, address and telephone number of the consumer's authorized representative; and
(9) When the consumer has a parent(s) or other relative and the parent(s) or other relative has been actively involved in the provision of the services and supports specified in the consumer's IPP, the parent(s) or other relative(s) name, address and telephone number. 
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i),  Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4514, 4646, 4646.5, 4648, 4681.1, 4710, 4741, 4744, 4747, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section heading and text filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (b) (Register 95, No. 18).
6. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
§56018. Preadmission Visits.
Note     •     History

(a) The service coordinator shall advise the consumer, or the consumer's authorized representative, of the opportunity to arrange a preadmission visit to a facility for the purpose of determining the suitability of the facility as a living environment for the consumer.
(b) When the consumer or the consumer's authorized representative requests a preadmission visit, the service coordinator or the consumer or the consumer's authorized representative shall contact the facility administrator to establish an agreed-upon date and time for a preadmission visit.
(c) During the visit, the administrator shall:
(1) Be available to discuss the facility and its services pursuant to Section 56013; and
(2) Determine if the facility can meet the service needs of the consumer.
(d) The service coordinator shall provide information to the administrator in accordance with Section 56017(b)(1)-(9), when the consumer is on an overnight visit or is under the direct supervision of the facility during a day visit.
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i),  Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections  4681.1, 4747, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsections (c)(1) and (d) (Register 95, No. 18).
§56019. Consumer Admission.
Note     •     History

(a) When the consumer or the consumer's authorized representative, administrator and the service coordinator have reached an agreement regarding consumer placement or relocation to a specific facility, the administrator shall:
(1) Establish with the consumer or the consumer's authorized representative and the service coordinator a date and time for the consumer's admission to the facility;
(2) Explain any facility rules and the facility grievance procedure to the consumer and the consumer's authorized representative via methods appropriate to the communication skills of the consumer, and document such explanation in the consumer notes;
(3) Determine, with the service coordinator, and consumer or the consumer's authorized representative, how the consumer's personal and incidental allowance shall be dispensed and recorded; and
(4) Meet with the consumer and the consumer's family or the consumer's authorized representative on the day of admission.
(b) The service coordinator shall:
(1) For a consumer who is 18 years of age or younger, and as appropriate, up to 22 years of age:
(A) Identify the person responsible for representing the interests of the consumer for educational and related services, and provide this information in writing to the administrator;
(B) Notify the special education administrator for the school district in which the facility is located of the date the consumer will be admitted to the facility and any special educational services required.
(2) Document in the consumer's regional center record that the administrator was provided with the information specified in Section 56017(b)(1)-(9);
(3) Accompany the consumer to the facility at the time of admission unless other arrangements have been made with the consumer, or the consumer's authorized representative, and the administrator;
(A) The service coordinator shall, when not present on the day of admission, make a personal or telephone contact with the consumer, or the consumer's authorized representative and the administrator within five working days of the admission and meet with both the administrator and consumer and/or the consumer's authorized representative when requested by the administrator, consumer or the consumer's authorized representative.
(4) Provide and explain to the consumer or the consumer's authorized representative, information regarding the consumer's rights as specified in Section 56002(a)(9); and
(5) Provide a telephone number to the consumer or the consumer's authorized representative where he/she can contact the service coordinator.
(c) Each regional center shall develop a written admission agreement which shall be completed for each consumer.
(1) The admission agreement shall include statements certifying that:
(A) No objection has been made to admission of the consumer to the facility;
(B) The consumer or the consumer's authorized representative has been informed of the consumer's rights as defined in Section 56002(a)(9); and
(C) The consumer has a continuing right, which will be honored by all facility staff, to choose where he/she will live.
(2) The admission agreement shall be:
(A) Signed by the facility administrator, the regional center and the consumer or the consumer's authorized representative; and
(B) Effective on the date the consumer is admitted to the facility.
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i),  Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections  4648, 4659, 4681.1, 4741, 4742, 4747, 4748, 4803 and 4791, Welfare and Institutions Code; Sections 56026(c)(4) and 56156, Education Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section heading and text filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsections (b)(2) and (4) and Reference cite (Register 95, No. 18).
6. Change without regulatory effect amending Note filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56020. Emergency Placement and Relocation.
Note     •     History

Each regional center shall develop and maintain procedures to be implemented in the event of emergency situations requiring consumer placement(s) or relocation(s). 
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4681.1, 4741, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
Article 5. Consumer Services
§56022. Consumer IPP Objectives.
Note     •     History

(a) Within 30 days after the consumer's admission, the service coordinator shall review jointly with the ID Team the consumer's IPP objectives as necessary pursuant to Welfare and Institutions Code Sections 4646.5 and 4647.
(1) The service coordinator shall invite the administrator to meet with the ID Team to provide information concerning the consumer.
(2) It shall be the responsibility of the administrator to notify the service coordinator when there has been a change in the consumer's service needs which may necessitate a reassessment of the type and amount of services which are necessary to achieve the IPP objectives.
(b) The consumer's IPP shall include:
(1) The date of the IPP meeting;
(2) A determination of the type and amount of services which shall be provided by the facility to meet the consumer's service needs;
(3) An identification of the appropriate service level which is necessary to implement the IPP; and
(4) A list of all participants present at the IPP meeting.
(c) The service coordinator shall provide the administrator and the consumer, or the consumer's authorized representative and all persons responsible for the implementation of the IPP with a copy of the IPP within 30 days of the review specified in subsection (a) above.
(d) Administrators for all service levels shall provide services which are consistent with the program design and the consumer's IPP objectives for which the facility is responsible.
NOTE

Authority cited: Sections 4681.1, 4748, and 4791(i),  Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4646, 4647, 4681.1, 4740, 4743, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (a)(2) filed 8-4-92; operative 8-4-92 (Register 92, No. 32).
3. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
4. Amendment of article heading, section heading and text filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
5. Editorial correction of History 3 (Register 94, No. 47).
6. Editorial correction of subsection (a) (Register 95, No. 18).
7. Change without regulatory effect amending Note filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
8. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
§56026. Consumer Notes, Quarterly and Semi-Annual Reports.
Note     •     History

(a) The administrator for each Service Level 2, 3 or 4 facility shall be responsible for ensuring preparation and maintenance of on-going, written consumer notes which shall include:
(1) Community and leisure activities;
(2) Overnight visits away from the facility;
(3) Illness;
(4) SIRs as defined in Section 54327(b);
(5) Medical and dental visits; and
(6) The date and signature of the staff person making the entry.
(b) The administrator for each Service Level 2 and 3 facility shall be responsible for ensuring the preparation and maintenance of a written semi-annual report of consumer progress toward achievement of each IPP objective for which the facility is responsible. The report shall include the date of completion of the report and signature of the person preparing the report.
(c) The administrator for each Service Level 4 facility shall be responsible for ensuring the preparation and maintenance of a written quarterly report of consumer progress toward achievement of each IPP objective for which the facility is responsible.The report shall include:
(1) A summary of the data collected for each consumer as specified in Section 56013(d)(4); 
(2) Identification of barriers to consumer progress and actions taken in response to these barriers; and
(3) The date of completion of the report and signature of the person preparing the report.
(d) The administrator for each Service Level 4 facility shall submit the quarterly report required in subsection (c) above to the service coordinator within 30 days of the end of the quarter.
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i),  Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections  4646, 4646.5, 4681.1, 4742, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsections (e) and (f) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. New subsections (e) and (f) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of section heading, and subsections (b)-(d) and repealer of subsections (c)(3), (e) and (f) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section heading and text filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Change without regulatory effect amending subsection (a) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
9. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
10. Certificate of Compliance as to 10-25-2001 order, including amendment of subsection (a)(4) transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
§56027. Special Incidents.
Note     •     History

(a) Each regional center shall report special incidents to the Department pursuant to Title 17, California Code of Regulations, Section 54327.1.
NOTE

Authority cited: Section 11152, Government Code.  Reference: Sections  4434, 4500, 4501, 4502, 4629, 4648, 4648.1 and 4742, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (c)(1) (Register 95, No. 18).
6. Amendment of subsection (a), repealer of subsections (b)-(d) and amendment of Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (a), repealer of subsections (b)-(d) and amendment of Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
Article 6. Welfare and Institutions Code Section 4695.2 Direct Care Staff Training Regulations
§56031. Definitions.
Note     •     History

(a) When used in this article, the following words and phrases shall have the following meanings: 
(1) “Certified Family Home” means a family residence which is certified by a licensed Foster Family Agency (FFA) and is issued a certificate or approved by that FFA as meeting licensing standards, and is used only by that FFA for the placement of children. 
(2) “Certified Parent” means the adult(s) residing in a home which has been certified by a Foster Family Agency to provide care and supervision to children placed exclusively by that FFA. 
(3) “Challenge Test” means a Department-approved test which, if passed, substitutes for and satisfies the requirement of one of the two 35-hour competency-based training segments required by Welfare and Institutions Code Section 4695.2(a), (b) and (c). 
(4) “Competency-based Training and Testing” means the two 35-hour competency-based training courses and related competency tests which direct care staff are required by Welfare and Institutions Code Section 4695.2(a), (b) and (c) to complete satisfactorily. 
(5) “Foster Family Agency (FFA)” means a foster family agency as defined in Health and Safety Code Section 1502(a)(4). 
(6) “Satisfactory Completion” means attendance at each of the two 35-hour training courses required by Section 56033(a)(1) and (2), completion of the training and taking the Department-approved competency test for the applicable training segment.
NOTE

Authority cited: Section 4695.2(e), Welfare and Institutions Code. Reference: Section 4695.2, Welfare and Institutions Code.
HISTORY

1. New article 6 (sections 56031-56034) and section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 56031-56034) and section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New article 6 (sections 56031-56034) and section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New article 6 (sections 56031-56034) and section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of article heading, repealer of article 6 (sections 56031-56034), new article 6 (sections 56031-56035) and repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30).
8. Amendment of article heading, repealer of article 6 (sections 56031-56034), new article 6 (sections 56031-56035) and repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Refiling of 7-26-2000 order, including repealer of subsection (a)(5), subsection renumbering and new subsection (a)(6), 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
11. Change without regulatory effect amending article heading, subsections (a)(3)-(4) and Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56032. Purpose.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4681.4 and 4681.5, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Repealer refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
§56033. Direct Care Staff Competency-Based Training and Testing Requirements.
Note     •     History

(a) The following competency-based training and testing requirements apply only to those direct care staff who are employed in Service Level 2, 3, and 4 facilities. 
(1) Direct care staff employed in Service Level 2, 3, and 4 facilities before January 1, 2001 shall have until: 
(A) January 1, 2002 to satisfactorily complete the first 35-hour competency-based training course and pass the competency test applicable to that training segment, or to pass a challenge test applicable to that training segment; and 
(B) January 1, 2003 to satisfactorily complete the second 35-hour competency-based training course and pass the competency test applicable to that training segment, or to pass a challenge test applicable to that training segment. 
(2) Direct care staff hired in Service Level 2, 3, and 4 facilities on or after January 1, 2001 shall have: 
(A) One year from the date on which the direct care staff was hired to satisfactorily complete the first 35-hour competency-based training course and pass the competency test applicable to that training segment, or to pass a challenge test applicable to that training segment; and 
(B) Two years from the date on which the direct care staff was hired to satisfactorily complete the second 35-hour competency-based training course and pass the competency test applicable to that training segment, or to pass a challenge test applicable to that training segment. 
(b) After the direct care staff completes a challenge test for either of the two 35-hour training segments, the Department shall provide the direct care staff with written notification of the results of the challenge test. 
(1) A direct care staff who elects to take but does not pass the challenge test shall take the applicable competency-based training and competency test required by subsection (a)(1) or (2). 
(2) A direct care staff may take only one challenge test for each of the two 35-hour training segments prior to attending the related competency-based training segment. 
(c) After completing either 35-hour training segment, each direct care staff shall take a competency test to assess the direct care staff's competency in specific knowledge areas. 
(d) Within 60 days of a direct care staff taking the competency test for either of the 35-hour training segments, the Department shall provide the direct care staff and his/her administrator with written notification that the direct care staff has: 
(1) Satisfactorily completed the competency testing requirement for the applicable 35-hour training segment; or 
(2) Satisfactorily completed the competency testing requirement for the applicable 35-hour training segment with knowledge area(s) identified as needing improvement; or 
(3) Failed to satisfactorily complete the competency testing requirement for the applicable 35-hour training segment. 
(e) The administrator shall be responsible for ensuring that any direct care staff who has knowledge area(s) identified pursuant to subsection (d)(2) as needing improvement obtains the additional training. 
(f) Direct care staff who fail to satisfactorily complete the testing requirement may continue to provide direct supervision and special services to consumers only when the administrator ensures that the direct care staff: 
(1) Repeats the applicable 35-hour training segment and retakes the competency test for that training segment; and 
(2) Provides direct supervision and special services only in the presence of another direct care staff who has satisfactorily completed the applicable 35-hour training segment or has passed the challenge test applicable to that training segment. 
(A) If the facility is unable to satisfy the requirement in subsection (f)(2), the administrator shall comply with any condition(s) that the regional center may require to protect consumer health and safety. 
(g) The requirement of subsection (f)(2) shall remain in effect until such time as the direct care staff has satisfactorily completed the competency test for the applicable 35-hour training segment. 
(h) Upon written notification of satisfactory completion of the first 35-hour competency-based training and competency testing requirement pursuant to subsection (d), the direct care staff who has previously failed to satisfactorily complete the competency test for the first 35-hour training segment shall have: 
(1) One year from the date of written notification to satisfactorily complete the second 35-hour training segment; and 
(2) No more than two years from the date the direct care staff was hired to satisfactorily complete the competency test for the second 35-hour training segment. 
(i) The administrator shall enroll direct care staff in the training required by subsection (a)(1) or (2) on a schedule which ensures the opportunity for satisfactory completion of the training by all of the facility's direct care staff who are required to complete the training. 
NOTE

Authority cited: Section 4695.2(e), Welfare and Institutions Code. Reference: Section 4695.2, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30).
8. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Refiling of 7-26-2000 order, including amendment of subsections (a)(1)-(a)(2), (b)(1) and (h)(1)-(i), 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
11. Amendment of subsections (a)(1)-(2) filed 10-11-2001 as an emergency; operative 10-11-2001 (Register 2001, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-8-2002 or emergency language will be repealed by operation of law on the following day.
12. Reinstatement of section as it existed prior to 10-11-2001 emergency amendment pursuant to Government Code section 11346.1(f) (Register 2002, No. 9).
13. Change without regulatory effect amending subsections (a)(1)-(2) and (b) and amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56034. Waiver Requirements for Facilities.
Note     •     History

(a) A facility may apply in writing to the regional center for a waiver of the competency-based training and competency testing requirements specified in Section 56033(a)(1) and (2) when the facility:
(1) Has a consumer population of less than one third (33.3%) regional center consumers as defined in Section 56002(a)(5); and
(2) Is able to document in its written application to the regional center that the granting of a waiver will not create an adverse impact on consumer health and safety.
(b) To apply for a waiver pursuant to subsection (a), the facility shall submit a training plan to the regional center which shall include, but not be limited to:
(1) A description of how the facility's training program meets the requirements for competency-based training required by Welfare and Institutions Code Section 4695.2;
(2) The titles of all facility staff who are required to attend the facility's training;
(3) The number of hours of training required by the facility's training plan;
(4) The period of time over which the facility's training is to be provided;
(5) A training schedule for facility staff who are currently employed and another training schedule for facility staff who are hired following the effective date of these regulations;
(6) The titles and qualifications of the individuals who will conduct the facility's training; and
(7) A methodology for assessing individual competency in the knowledge area(s) included in the training.
(c) Within 45 days of receiving a complete training plan from a facility, the regional center shall either approve or deny the facility's request for a waiver and notify the facility in writing, by certified mail, of the regional center's approval or denial.
(d) If the facility's request for a waiver is denied by the regional center, the facility may, within fifteen days of receipt of the regional center's denial of the facility's request for a waiver, appeal the regional center's denial of the facility's request for a waiver to the Department.
(e) To file an appeal, the facility shall send to the Department:
(1) A copy of the training plan which was submitted to the regional center by the facility;
(2) A copy of the regional center's written denial of the facility's request for a waiver; and
(3) Any other information which the facility considers appropriate to the appeal.
(f) The Department shall render a written decision to uphold or deny the regional center's denial of the facility's request for a waiver within forty-five days of receipt of the information submitted pursuant to subsection (e)(1) through (3).
(1) The Department's written decision shall be sent to the residential facility and the regional center via certified mail within 15 days of the decision being rendered.
(g) The Department's decision is final.
NOTE

Authority cited: Section 4695.2(e), Welfare and Institutions Code. Reference: Section 4695.2, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30).
8. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Refiling of 7-26-2000 order, including repealer and new section, 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
11. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
12. Change without regulatory effect amending subsection (b)(1) filed 9-21-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 38).
§56034.1. Foster Family Agency Waiver Requirements.
Note     •     History

(a) The regional center may waive the requirement for certified parents and FFA staff, who provide direct supervision and special services to children who are regional center consumers to complete the direct care staff competency-based training and testing requirements described in Section 56033(a)(1) and (2). 
(b) To request a waiver pursuant to subsection (a), the FFA shall submit a training plan to the regional center which shall include, but not be limited to: 
(1) A description of how the FFA's training program meets the requirements for competency-based training required by Welfare and Institutions Code Section 4681.5; 
(2) The titles of all FFA staff who are required to attend the FFA's training; 
(3) The number of hours of training required by the FFA's training plan; 
(4) The period of time over which the FFA's training is to be provided; 
(5) A training schedule for FFA staff who are currently employed and another training schedule for FFA staff who are hired following the effective date of these regulations; 
(6) The titles and qualifications of the individuals who will conduct the FFA's training; and 
(7) A methodology for assessing individual competency in the knowledge area(s) included in the training. 
(c) Within 45 days of receiving a complete training plan from an FFA, the regional center shall either approve or deny the FFA's request for a waiver and notify the FFA in writing, by certified mail, of the regional center's approval or denial. 
(d) If the FFA's request for a waiver is denied by the regional center, the FFA may, within fifteen days of receipt of the regional center's denial of the FFA's request for a waiver, appeal the regional center's denial of the FFA's request for a waiver to the Department. 
(e) To file an appeal, the FFA shall send to the Department: 
(1) A copy of the training plan which was submitted to the regional center by the FFA; 
(2) A copy of the regional center's written denial of the FFA's request for a waiver; and 
(3) Any other information which the FFA considers appropriate to the appeal. 
(f) The Department shall render a written decision to uphold or deny the regional center's denial of the FFA's request for a waiver within forty-five days of receipt of the information submitted pursuant to subsection (e)(1) through (3). 
(1) The Department's written decision shall be sent to the FFA and the regional center via certified mail within 15 days of the decision being rendered. 
(g) The Department's decision is final. 
NOTE

Authority cited: Section 4695.2(e), Welfare and Institutions Code. Reference: Section 4695.2, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 30).
3. New section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 11-27-2000 as an emergency, including amendment of subsection (b)(1); operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-26-2000 order, including amendment of subsection (a), transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
6. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56035. Waiver for Prevailing Rate Facilities.
Note     •     History

A facility which is paid a prevailing rate pursuant to Title 17, California Code of Regulations, Section 56919, is waived from the training and competency testing requirements specified in Section 56033(a)(1) and (2). 
NOTE

Authority cited: Section 4695.2(e), Welfare and Institutions Code. Reference: Section 4695.2, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 30).
3. New section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
6. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
Article 7. Personnel
§56036. Training Plans.
Note     •     History

(a) Service Level 2, 3 and 4 administrators shall assure the development, implementation and maintenance of a written facility staff training plan.
(b) The plan shall include a description of how each of the following training components will be provided:
(1) The on-site orientation for direct care staff specified in Section 56038(a)(1);
(2) The on-the-job training for direct care staff specified in Section 56038(a)(2);
(3) Continuing education requirements as specified in Sections 56037(a) and 56038(a)(3); and
(4) Any additional training in any knowledge area(s) which is identified as needing improvement in the written notice pursuant to Section 56033(d)(2). 
(A) The written facility staff training plan shall specify a time frame for completing the additional training which shall be no more than one year from the receipt of the written notification pursuant to Section 56033(d)(2). 
NOTE

Authority cited: Sections 4681.1 and 4695.2(e), Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4681.1, 4695, 4695.2, 4740 and 4843, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (a)(1) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. New subsection (a)(1) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including repealer of subsection (a)(1) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Editorial correction of History 5 (Register 94, No. 47).
7. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
8. New subsection (d) and amendment of Note filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
9. New subsection (d) and amendment of Note refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
10. New subsection (d) and amendment of Note refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
11. Reinstatement of section as it existed prior to 9-9-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 2). 
12. New subsection (d) and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
13. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
14. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
15. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
16. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
17. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
18. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56037. Administrator Qualifications and Continuing Education.
Note     •     History

(a) Administrators for Service Level 2, 3 and 4 facilities shall fulfill requirements for continuing education in one or more of the following areas, as they relate to the administration and management of residential services for persons with developmental disabilities:
(1) Consumer services as described in the program design;
(2) Promotion of consumers' rights, health, safety and social and physical integration; and
(3) The ID Team process, including development and implementation of IPPs.
(b) An administrator of an adult residential facility may meet the requirements for continuing education specified in this section by meeting the requirements for continuing education specified in Health and Safety Code Section 1562.3(f)(1).
(c) The regional center shall count the hours required for the renewal of the administrator certification as required by Health and Safety Code Section 1562.3(f)(1), to the maximum extent allowed by that section, toward the continuing education requirements specified in this section when the administrator provides documentation to the regional center that the hours have been completed.
(1) Hours shall be counted on an hour-for-hour basis.
(d) Service Level 2 administrators shall:
(1) Have a minimum of six months of prior experience providing direct supervision and special services to persons with developmental disabilities;
(A) The regional center shall be permitted to waive the above requirement if the regional center determines that it is necessary to meet consumer needs.
(2) Complete a minimum of eight hours of continuing education in the areas specified in subsection (a) above within each twelve-month period following the assumption of the duties of an administrator.
(e) Service Level 3 administrators shall:
(1) Have a minimum of nine months of prior experience providing direct supervision and special services to persons with developmental disabilities;
(A) The regional center shall be permitted to waive the above requirement if the regional center determines that it is necessary to meet consumer needs.
(2) Complete a minimum of 12 hours of continuing education in the areas specified in subsection (a) above within each twelve-month period following the assumption of the duties of an administrator.
(f) Service Level 4 administrators shall:
(1) Have a minimum of 12 months of prior experience providing direct supervision and special services to persons with developmental disabilities;
(A) The regional center shall be permitted to waive the above requirement if the regional center determines that it is necessary to meet consumer needs.
(2) Complete a minimum of 12 hours of continuing education in the areas specified in subsection (a) above within each twelve-month period following the assumption of the duties of an administrator.
(g) Service Level 2, 3 and 4 administrators providing direct supervision and special services shall complete any additional training in a specific knowledge area(s) which has been identified as needing improvement in the written notification pursuant to Section 56033(d)(2). 
(h) Successful completion of the competency-based training and passage of the competency test required by Section 56033(a)(1) or (2) shall satisfy the continuing education requirements specified in this section for an administrator for the year in which the training is satisfactorily completed. 
(i) For administrators, passing the challenge test without attending the competency-based training required by Section 56033(a)(1) or (2) shall not satisfy the continuing education requirements specified in this section. 
NOTE

Authority cited: Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4681.1, 4695, 4695.2, 4748, 4833 and 4843, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (b)(2)(A) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. New subsection (b)(2)(A) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of subsections (b)(2), (c)(2) and (d)(2) and repealer of subsection (b)(2)(A) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Editorial correction of subsection (d)(2) and Reference cite (Register 95, No. 18).
9. Change without regulatory effect amending subsections (b)(1)(A), (c)(1)(A) and (d)(1)(A) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
10. New subsections (e)-(g) and amendment of Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
11. New subsections (b)-(c)(1), relettering of former subsection (b) to subsection (d), relettering of former subsection (c)-(d) to first pair of subsections (e)-(f) and amendment of Note filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12). 
12. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
13. New subsections (e)-(g) and amendment of Note filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
14. Refiling of 7-26-2000 order, including relettering of duplicate subsections (e)-(g) as (g)-(i) and amendment of Note, 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
16. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56038. Direct Care Staff Qualifications and Continuing Education Requirements.
Note     •     History

(a) Service Level 2, 3 and 4 administrators shall ensure that each direct care staff person meets applicable requirements as follows:
(1) Within the first 40 hours of providing consumer services in the facility, all new direct care staff shall complete an on-site orientation which addresses the following:
(A) The facility's program design;
(B) Consumer IPPs;
(C) Consumers' rights regulations;
(D) Assistance to consumers with prescribed medications, if applicable;
(E) Health and emergency procedures, including fire safety;
(F) Identification and reporting of Special Incidents, as required by Title 17, California Code of Regulations, Section 54327(a); and
(G) Identification and reporting of consumer abuse.
(2) Receive on-the-job training as necessary to implement consumer IPPs.
(3) Receive continuing education in one or more of the following areas, as they relate to planning and implementation of residential services for persons with developmental disabilities:
(A) Consumer services as described in the program design;
(B) Promotion of consumers' rights, health, safety, and social and physical integration; and
(C) The ID Team process, including development and implementation of IPPs.
(b) Service Level 2 direct care staff shall complete a minimum of eight hours of continuing education, as described in subsection (a)(3), above within each twelve-month period following the assumption of the duties of direct care staff.
(c) Service Level 3 direct care staff shall complete a minimum of 12 hours of continuing education specified in subsection (a)(3) above within each twelve-month period following the assumption of the duties of direct care staff.
(d) Service Level 4 direct care staff shall:
(1) Have a minimum of six months of prior experience providing direct supervision and special services; or
(2) Within six months of beginning to provide direct supervision and special services in the facility, complete at least 12 additional hours of continuing education as specified in subsection (a)(3) above.
(3) Complete a minimum of 12 hours of continuing education which meets the requirements specified in subsection (a)(3) above within each twelve-month period following the assumption of the duties of direct care staff.
(e) Direct care staff shall complete any additional training in a specific knowledge area(s) which has been identified as needing improvement in the written notification pursuant to Section 56033(d)(2). 
(f) Successful completion of the competency-based training and passage of the competency test required by Section 56033(a)(1) or (2) shall satisfy the direct care staff continuing education requirements specified in this section for a direct care staff for the year in which the training is satisfactorily completed. 
(g) For direct care staff, passing the challenge test without attending the competency-based training required by Section 56033(a)(1) or (2) shall not satisfy the direct care staff continuing education requirements specified in this section. 
NOTE

Authority cited: Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4681.1, 4695, 4695.2, 4791, 4833 and 4843, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (b)(1) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. New subsection (b)(1) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of subsections (b), (c), (d)(3) and repealer of subsection (b)(1) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Amendment of subsection (a)(1)(F) and Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
9. Amendment of subsection (a)(1)(F) and Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
11. Amendment of subsection (d)(2), new subsections (e)-(g) and amendment of Note filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
12. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
13. Amendment of subsection (d)(2), new subsections (e)-(g) and amendment of Note filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
14. Refiling of 7-26-2000 order, including further amendment of subsection (b) and Note, 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
16. Change without regulatory effect amending subsections (a)(1)(F)-(G) and amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56040. Consultant Qualifications.
Note     •     History

(a) Consultant services provided by Service Level 4 facilities shall be appropriate to meet individual consumer service needs.
(b) Consultants shall be individuals or groups eligible for vendorization in accordance with Title 17, California Code of Regulations, Chapter 3, Subchapter 2:
(1) Section 54319, Group Practices; and/or
(2) Section 54342, Types of Services;
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4681.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (b) (Register 95, No. 18).
6. Change without regulatory effect amending Note filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
7. Change without regulatory effect amending subsections (b)(1)-(2) and repealing subsections (b)(3)-(4) filed 11-10-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 45).
Article 8. Monitoring and Evaluation
§56046. Quality Assurance Plans.
Note     •     History

(a) The regional center shall develop, implement, and maintain a Quality Assurance (QA) Plan to ensure Service Level 2, 3 and 4 facility compliance with these regulations. 
(b) The QA Plan shall include, but not be limited to, the following:
(1) A schedule of evaluations which ensures that each facility is evaluated a minimum of once every three years;
(2) The composition of the QA evaluation teams;
(3) The methods to be utilized by the service coordinator for monitoring the facility's implementation of consumer IPP objectives for which the facility is responsible;
(4) The methods to be utilized by the facility liaison for QA monitoring of the facility's compliance with these regulations and provision of technical assistance to the facility;
(5) The methods, forms, and instruments, to be utilized by the regional center for QA evaluations; and
(6) A description of training to be offered to persons who will participate in QA evaluations which includes familiarization with these regulations and the individual life quality outcomes identified in the “Looking at Service Quality Provider's Handbook”, and an overview of the QA evaluation process.
NOTE

Authority cited: Sections 4681.1 and 4791(i),  Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections  4501, 4648, 4648.1, 4681.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (a)(1)(A) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. New subsection (a)(1)(A) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including repealer of subsection (a)(1)(A) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Relocation of article heading and amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Amendment of subsection (b) filed 6-6-96 as an emergency; operative 6-6-96. Submitted to OAL for printing only (Register 96, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-4-96 or emergency language will be repealed by operation of law on the following day.
9. Editorial correction of History 8 (Register 96, No. 38).
10. Certificate of Compliance as to 6-6-96 order, including amendment of Note, transmitted to OAL 9-11-96 and filed 9-18-96. This filing was submitted to OAL for printing only and is not subject to OAL review pursuant to Chapter 722, Statutes of 1992, section 147 (Register 96, No. 38).
11. Amendment of subsections (a)(4)-(a)(6) and repealer of subsection (b) filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (a)(4)-(6) and repealer of subsection (b) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 10-20-98 order, including further amendment of section and Note, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
§56047. Regional Center Monitoring of the IPP Objectives.
Note     •     History

(a) The regional center representative shall meet with the consumer at least quarterly to review the consumer's progress towards achieving IPP objectives.
(1) At least two of the quarterly meetings required by subsection (a) shall take place at the consumer's residence and a representative of the facility shall be present at these meetings.
(2) Other quarterly meetings may take place at a site other than the consumer's residence that is acceptable to the consumer.
(3) Quarterly meetings pursuant to subsection (a) may be conducted during an unannounced visit pursuant to Welfare and Institutions Code Section 4648.1, provided the requirements specified in subsection (a) are met.
(4) When the consumer has a consumer's authorized representative, the regional center representative shall notify the consumer's authorized representative of the date and time of the meeting required by subsection (a) if the meeting is announced.
(5) When the consumer's authorized representative is unable to attend the meeting, the regional center representative shall confer with the consumer's authorized representative regarding the consumer's progress toward achieving IPP objectives.
(b) When the consumer is a child with special heath care needs, the regional center representative shall meet with the representative of the facility and the consumer at the facility at least quarterly to review the consumer's progress toward achieving IPP objectives pursuant to the requirements specified in subsection (a)(1) through (5).
(c) The regional center representative shall:
(1) Review implementation of the consumer's IPP objectives, including any related consumer notes and quarterly or semi-annual reports; and
(2) Meet privately with the consumer, when requested by the consumer or the consumer's authorized representative.
(d) The regional center representative may review the facility's records and accounts of the consumer's cash resources, personal property and valuables for compliance with Title 22, California Code of Regulations, Section 80026(e) through (l).
(e) Upon completing the review specified in subsection (a) or (b) above, the regional center representative shall compile a progress report which shall include:
(1) The date of the visit specified in subsection (a) or (b) above;
(2) Documentation of the meeting required by subsection (a) or (b);
(3) Changes in consumer service needs, and actions taken in response to these changes;
(4) An assessment of the provision of services in relation to the IPP; and,
(5) The signature of the regional center representative.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4405, 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4502, 4646, 4646.5, 4647, 4648, 4648.1, 4681.1 and 4742, Welfare and Institutions Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of first paragraph, new subsections (a)(1), (a)(2), (b)(1)(A) and (b)(1)(B) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of first paragraph, new subsections (a)(1), (a)(2), (b)(1)(A) and (b)(1)(B) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a) and (b)(1) and repealer of subsections (a)(1)-(2) and (b)(1)(A)-(B) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section heading and text filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Change without regulatory effect amending subsection (b) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
9. Amendment of subsection (a) and Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (a) and Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 10-20-98 order, including additional amendment of section heading and section, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
§56048. Facility Liaison Quality Assurance (QA) Monitoring of the Facility.
Note     •     History

(a) The regional center shall designate a facility liaison for each Service Level 2, 3 and 4 facility in the regional center's service catchment area, in which consumers of the regional center reside.
(b) The regional center shall assign a facility liaison to each facility in such a way as to minimize the number of staff responsible for monitoring consumer services and providing technical assistance to the facility.
(c) The administrator shall:
(1) Establish, with the facility liaison, an agreeable date and time for the monitoring visit;
(2) Provide access to all records pertaining to the provision of consumer services. 
(d) The facility liaison shall:
(1) Complete a minimum of one monitoring visit, which may be unannounced pursuant to Welfare and Institutions Code Section 4648.1, to each facility each year;
(2) Review staff schedules for compliance with the approved service level requirements;
(3) Review personnel training files to assure compliance with Sections 56033, 56034, 56034.1, and 56036 through 56038;
(4) Select and review a randomly chosen sample of 20 percent, rounded up to the nearest whole number, of the consumer records, to ensure that:
(A) Services are provided in accordance with the program design and IPP;
(B) All documents pursuant to Section 56059(a) and (b) are complete and current.
(5) Provide a copy of “Looking at Service Quality Provider's Handbook” bearing no publication or revision date, to and review the individual life quality outcomes and self-assessment process with, the administrator.
(6) Review the Service Level 4 program design with the administrator to determine program effectiveness in achieving the IPP objectives for which the facility is responsible.
(e) In conducting facility liaison monitoring visits, the facility liaison may inspect the residential service provider's grounds, buildings, and services.
NOTE

Authority cited: Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4422, 4646.5, 4648, 4648.1, 4681.1, 4695.2, 4740, 4742, 4743, 4745, 4746, 4748 and 4750, Welfare and Institution Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of subsection (c)(1), new subsection (c)(2) and subsection (c) renumbering, repealer of subsection (e), and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (c)(1), new subsection (c)(2) and subsection (c) renumbering, repealer of subsection (e), and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of subsection (d)(3) (Register 92, No. 15)
5. Certificate of Compliance as to 3-4-92 order including repealer of subsections (c)(1) and (e) and amendment of newly designated subsection (c)(1) and renumbering of following subsections and amendment of subsection (d)(3) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
6. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
7. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
8. Editorial correction of History 6 (Register 94, No. 47).
9. Amendment of subsection (b), new subsection (d)(6) and subsection renumbering filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (b), new subsection (d)(6) and subsection renumbering refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsection (d)(4) and Note filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 10-20-98 order, including further amendment of section and Note, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
13. Amendment of subsection (d)(4) and Note refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsection (d)(4) and Note refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
15. Reinstatement of section as it existed prior to 9-9-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 2). 
16. Amendment of subsection (d)(3) and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
17. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
18. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
19. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
20. Refiling of 7-26-2000 order, including amendment of subsection (d)(5) and further amendment of Note, 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
22. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56049. Quality Assurance Evaluation Team.
Note     •     History

(a) The Quality Assurance (QA) Evaluation Team shall complete the QA Evaluations of facilities.
(b) Each regional center shall designate a QA Coordinator who shall implement a QA Plan for the regional center. The QA Coordinator shall:
(1) Assure that each facility is evaluated in accordance with section 56046(a)(1)-(6); 
(2) Select the QA Evaluation Team chairperson and members utilizing the following criteria:
(A) The team shall consist of at least 2 members;
(B) The chairperson shall be a regional center employee.
(C) Whenever possible, the team should include consumers and family members.
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4681.1, 4740 and 4791, Welfare and Institutions Code. 
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. New subsection (b)(2)(C) filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
5. New subsection (b)(2)(C) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
§56050. Preparation for the Quality Assurance Evaluation.
Note     •     History

(a) All Service Level 2, 3 and 4 facilities providing residential services shall participate in a Quality Assurance (QA) Evaluation conducted by the regional center.
(b) The chairperson of the QA Evaluation Team shall:
(1) Confirm the date and time of the on-site evaluation with the administrator;
(2) Assign duties to the Evaluation Team members;
(3) Obtain consumer consent for QA Evaluation Team members who are not regional center employees to review consumer records.
(c) Members of the QA Evaluation Team who are not regional center employees shall be instructed in the confidentiality of consumer information in accordance with Welfare and Institutions Code Sections 4514 and 4515, and sign a statement of confidentiality. Consumer consent shall also be obtained for review of consumer records by any team member who is not a regional center employee.
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4681.1, 4740 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (b)(3) (Register 95, No. 18).
6. Amendment of subsection (b)(3) and new subsection (c) filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (b)(3) and new subsection (c) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-20-98 order, including further amendment of subsections (b)(3) and (c), transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
§56051. Quality Assurance Evaluation.
Note     •     History

(a) During the evaluation, the QA Evaluation Team members shall:
(1) Review facility records both at the facility and at the regional center for compliance with documentation requirements specified in sections 56059 and 56060 respectively; 
(2) Review randomly selected consumers' records, both at the facility and at the regional center for compliance with documentation requirements specified in sections 56059 and 56060 respectively, and management of personal and incidental allowance;
(3) Observe consumer activities during regularly scheduled daily activities for compliance with the program design, and the IPP objectives;
(4) Talk to consumers living in the facility and authorized representatives, when appropriate, to determine their satisfaction with facility services;
(5) Assess the effectiveness of the facility in assisting consumers in achieving the individual life quality outcomes.
NOTE

Authority cited: Sections 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4501, 4648, 4648.1, 4681.1, 4740, 4742 and 4746, Welfare and Institutions Code. 
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
3. New subsections (a)(4)-(a)(5)(C) filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(3) and new subsections (a)(4)-(a)(5)(C) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-20-98 order, including further amendment of subsection (a)(5), repealer of subsections (a)(5)(A)-(C) and amendment of Note, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
§56052. Post-Evaluation Activities.
Note     •     History

(a) After completion of the on-site QA Evaluation in accordance with Section 56051(a)(1) through (5), the QA Evaluation Team chairperson shall: 
(1) Within five days, conduct an exit interview with the administrator, which includes:
(A) Presentation of preliminary findings of compliance and/or noncompliance with the provisions of these regulations including the effectiveness of and consumer(s') satisfaction with, the assistance provided by the facility to help consumers achieve the individual life quality outcomes;
(B) An opportunity for the administrator to discuss and respond to the findings and provide additional information, if any; and
(C) Appropriate technical assistance to the facility.
(2) Within 30 days, provide the administrator with written results of the evaluation which shall include, but not be limited to:
(A) Findings of compliance and/or noncompliance, with the provisions of these regulations including the effectiveness of and consumer's satisfaction with the assistance provided by the facility to help consumers achieve the individual life quality outcomes, and any requirement(s) for action(s) or follow-up; and
(B) The process for securing needed technical assistance and/or training.
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i),  Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4648.1, 4681.1, 4742, 4745, 4746 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of subsection (b) and NOTE filed  11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of subsection (b) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Editorial correction of History 5 (Register 94, No. 47).
7. Amendment of subsections (a), (a)(1)(A) and (a)(2)(A)-(B) and repealer of subsections (b)-(b)(1) filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a), (a)(1)(A) and (a)(2)(A)-(B) and repealer of subsections (b)-(b)(1) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-20-98 order, including further amendment of subsections (a)(1)(A) and (a)(2)(A) and amendment of Note, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
Article 9. Corrective Action Plans and Sanctions
§56053. Immediate Danger.
Note     •     History

(a) Situations which come to the attention of, or are reported to, the regional center and which appear to constitute an immediate danger shall be investigated immediately following the notification. Situations which shall be investigated include but are not limited to:
(1) Life threatening structural conditions;
(2) Suspicion or allegations of abuse of a consumer;
(3) A consumer(s) in the facility with no direct supervision unless there is an IPP objective and waiver or exception, approved pursuant to Title 22, California Code of Regulations, Section 80024;
(4) Failure to provide a consumer(s) with a medically prescribed special diet(s); or
(5) The presence of an individual exhibiting aggressive or assaultive behavior which is life threatening to self or others.
(b) When the regional center determines that the purpose of the visit would be thwarted if advance notice were given, the regional center shall have the authority to make an unannounced visit to the facility to verify the existence of the immediate danger.
(c) In cases of alleged consumer abuse, the regional center shall:
(1) Immediately forward any allegations regarding consumer abuse to the applicable protective services agency; and 
(2) Cooperate with the investigating agency as requested.
(d) Immediately after verifying that a situation exists which constitutes an immediate danger, the regional center shall take the following actions:
(1) Meet with the administrator to describe the situation(s) which constitutes the immediate danger; and
(2) Notify the Department of Social Services' Community Care Licensing Division district office of the conditions which constitute the immediate danger.
(e) The regional center shall determine whether the immediate danger can be corrected within 24 hours of verification.
(1) When the immediate danger cannot be corrected within 24 hours of verification, the regional center shall initiate the emergency relocation of the consumer(s) subject to the immediate danger.
(2) When the immediate danger can be corrected within 24 hours of verification, and the safety of the consumer(s) can be assured, the regional center shall verify that the correction of the immediate danger has occurred.
(A) The regional center shall verify the correction of the immediate danger within 24 hours of notification by the facility that the immediate danger has been corrected.
(f) The regional center shall document all actions taken pursuant to subsections (a) through (e) above.
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4502, 4648, 4648.1, 4681.1, 4741, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (a)(3) (Register 95, No. 18).
6. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
§56054. Substantial Inadequacies.
Note     •     History

(a) Substantial inadequacies are the following:
(1) Conditions posing a threat to the health and safety of any consumer, that are not considered an immediate danger as specified in Section 56053;
(2) Provision of fewer direct care staff hours than are required by the facility's approved service level;
(3) Violations of consumers' rights as defined in Section 56002(a)(8);
(4) Failure to provide consumer services as specified in the consumer's IPP;
(5) Failure to comply with the terms of the consumer's Admission Agreement;
(6) Deficiencies or irregularities in the handling of the consumer's cash resources, personal property, and valuables;
(7) Failure to comply with the requirements for administrator and staff qualifications and/or administrator and staff training;
(8) Failure of a Service Level 4 facility to utilize the instructional methods and techniques which are specified in the facility's program design;
(9) Failure of a Service Level 4 facility to utilize the methodology for measurement of consumer progress toward achievement of IPP objectives which is specified in the facility's program design;
(10) Failure to take a required action pursuant to Section 56052 within the specified timeframe;
(11) Failure to:
(A) File an accurate and complete report verifying the use of rate increase funds authorized by Welfare and Institutions Code Section 4681.4(a) or (b) as required by Title 17, California Code of Regulations, Section 56934(a);
(B) Utilize Welfare and Institutions Code Section 4681.4 (a) or (b) rate increase funds for the purposes specified in Title 17, California Code of Regulations, Section 56932(a)(1) through (3);
(C) Utilize Welfare and Institutions Code Section 4681.4 (a) or (b) rate increase funds for a purpose which has been approved by the Department pursuant to Title 17, California Code of Regulations, Section 56932(a)(4); or
(12) Failure to ensure that a direct care staff:
(A) Completes the competency-based training and testing required by Section 56033(a)(1) or (2); or
(B) Completes any additional training required by Section 56033(d)(2); or
(C) Complies with Section 56033(f)(1) or (2) when the direct care staff has failed to satisfactorily complete the competency-based training and competency testing.
(13) Failure to report special incidents pursuant to Section 54327.
(b) When the regional center receives a report that there are substantial inadequacies in the services of a facility, or when the regional center discovers that there are substantial inadequacies in the services of a facility, the regional center shall have the authority to make an unannounced visit(s) to the facility.
NOTE

Authority cited: Section 11152, Government Code; Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4646.5, 4647, 4648, 4648.1, 4681.1, 4681.4, 4695.2, 4742, 4743, 4745, 4746, 4747 and 4748, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (a)(1) (Register 95, No. 18).
6. Amendment of subsections (a)(8) and (a)(9) and new subsection (a)(10) filed 6-30-98 as an emergency; operative 6-30-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-28-98 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a)(8) and (a)(9) and new subsection (a)(10) refiled 10-20-98 as an emergency; operative 10-20-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-17-99 or emergency language will be repealed by operation of law on the following day.
8. New subsections (a)(11)-(a)(12)(C) and amendment of Note filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-20-98 order, including further amendment of subsection (a)(10), new subsection (a)(13) and amendment of Note, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
10. New subsections (a)(11)-(a)(12)(C) and amendment of Note refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
11. New subsections (a)(11)-(a)(12)(C) and amendment of Note refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
12. Reinstatement of section as it existed prior to 9-9-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 2). 
13. New subsections (a)(11)-(a)(12)(C) and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
14. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
15. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
16. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
17. Refiling of 7-26-2000 order, including amendment of subsections (a)(3) and (a)(10), new subsection (a)(13) and amendment of subsection (b), 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
19. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56055. Insufficiencies.
Note     •     History

NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4681.1, 4742, 4745 and 4746, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Repealer filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
§56056. Corrective Action Plan (CAP).
Note     •     History

(a) The regional center and the administrator shall meet to develop a written corrective action plan (CAP) within 10 working days of the identification and verification of a substantial inadequacy.
(b) The CAP shall describe:
(1) The substantial inadequacy and cite the statute, regulation, IPP, or Admission Agreement requirement for which noncompliance is identified and shall inform the administrator of the right to appeal the findings; and
(2) The method(s) by which the administrator is to correct the substantial inadequacy.
(c) Correction of the substantial inadequacy shall occur within a period not to exceed 30 days of the development of the CAP unless the regional center determines that correction cannot be accomplished within the specified time frame.
(1) When correction will take longer than 30 days from the development of the CAP, the CAP shall specify interim dates by which specific steps toward correction of the substantial inadequacy will take place, with the total time period not to exceed six months.
(d) Within two working days of  meeting with the administrator,  the regional center shall provide a copy of the CAP to the administrator.
(e) The regional center is authorized to send a copy of the CAP to the appropriate Department of Social Services' Community Care Licensing Division district office.
(f) The regional center shall send a copy of the CAP to any other regional center which has consumers residing in the facility who are affected by the substantial inadequacy.
(g) The administrator shall return the signed and dated CAP to the regional center within seven days of its receipt, with any areas of disagreement noted in writing.
(h) The facility liaison shall:
(1) Visit the facility to review and document actions taken by the administrator to implement the CAP; and
(2) Document any substantial inadequacy(ies) which is not corrected within the specified time frame.
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4647, 4648.1, 4742, 4745, 4746 and 4791, Welfare and Institutions Code. 
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
§56057. Sanctions.
Note     •     History

(a) The regional center shall apply sanction(s) to the facility when: 
(1) A substantial inadequacy is not corrected within the time frame specified in the CAP developed pursuant to Section 56056; or
(2) There are two findings of substantial inadequacy in the same facility within any twelve-month period.
(b) If the regional center determines that the substantial inadequacy(ies) is related to the basic staffing level or the additional weekly direct care staff hours being provided by a facility, the regional center may reduce the approved service level to the level associated with the total number of staff hours actually being provided by the facility.
(c) In determining the number of staff hours being provided by a facility, the regional center shall determine the basic staffing level and the average number of direct care staff hours provided by the facility during a minimum of four one-week periods during the previous 12 months.
(d) In all findings of substantial inadequacy, the regional center may:
(1) Meet with the consumer, or the consumer's authorized representative, to discuss the situation, recommend relocation, and discuss the consequences of refusing to relocate; or
(2) Not place consumers into the facility until the facility complies with the CAP.
(e) In addition to the actions specified in subsection (d), the regional center may, upon discovering that a finding of substantial inadequacy pursuant to Section 56054(a)(11)(A) through (C) has not been corrected within the time frame specified in the CAP developed pursuant to Section 56056, take one of the following actions:
(1) Recover any misused, undocumented or unreported portion of the Welfare and Institutions Code Section 4681.4(a) or (b) rate increase funds; or
(2) Offset an amount equal to the misused, undocumented or unreported portion of the Welfare and Institutions Code Section 4681.4(a) or (b) rate increase funds from future reimbursements to the licensee.
(f) When the regional center determines the appropriate sanction, the regional center shall provide written notification to the administrator, by certified mail, return receipt requested, of the following:
(1) The action(s) to be taken;
(2) The reason(s) for such action(s); and
(3) The administrator's appeal rights pursuant to Sections 56061 through 56067. 
NOTE

Authority cited: Section 11152, Government Code; Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4648.2, 4695.2, 4745, 4746 and 4747, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsection (e)(3) (Register 95, No. 18).
6. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
7. Repealer of subsections (d)(1) and (d)(1)(A), redesignation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
8. Repealer of subsections (d)(1) and (d)(1)(A), designation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
9. Repealer of subsections (d)(1) and (d)(1)(A), redesignation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
10. Reinstatement of section as it existed prior to 9-9-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 2). 
11. Repealer of subsections (d)(1) and (d)(1)(A), redesignation of former subsection (d)(1)(B) as new subsection (d)(1), new subsections (e)-(e)(2), subsection relettering, and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
12. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
13. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
14. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
15. Refiling of 7-26-2000 order, including amendment of subsections (d)-(d)(1) and (e)(1)-(2), 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
17. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
Article 10. Records Maintenance
§56058. Confidentiality.
Note     •     History

NOTE

Authority cited: Sections 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4514, 4515, 4516 and 4744, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Repealer filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
§56059. Residential Services Records.
Note     •     History

(a) Each Service Level 2, 3 and 4 facility shall maintain individual consumer files, and a facility file.
(b) Individual consumer files shall contain the following:
(1) Current emergency information, including names, addresses and telephone numbers of the consumer's authorized representative and pharmacy;
(2) Recent consumer photograph and physical description;
(3) Consumer inoculation records and TB clearance;
(4) Consumer allergy record;
(5) Signed consent for release of information form(s), if any;
(6) Current IPP in accordance with Section 56022;
(7) Consumer notes pursuant to Section 56026;
(8) Quarterly or semi-annual reports pursuant to Section 56026; 
(9) Copies of SIRs prepared as required by Title 17, California Code of Regulations, Section 54327(b); and
(10) Current information provided by the regional center pursuant to Section 56017(b).
(c) The facility file shall contain the following:
(1) All items specified in Section 56013;
(2) QA Evaluation reports pursuant to Section 56052;
(3) CAPs, pursuant to Section 56056;
(4) A weekly staff schedule which specifies the number of staff in the facility during each hour of each day;
(5) A weekly schedule which specifies the number of consumers in the facility during each hour of each day; 
(6) Personnel and training records that verify compliance with Sections 56033, 56034 and, if applicable, 56034.1 which shall include, but not be limited to: 
(A) The date on which the direct care staff was hired; 
(B) The date on which the direct care staff's employment was terminated. 
(7) A copy of any direct care staff's written notification regarding challenge or competency testing pursuant to Section 56033(b) or (d). 
(8) Each written approval issued by the Department authorizing the use of Welfare and Institutions Code Section 4681.4(a) or (b) rate increase funds for a purpose other than those specified in Section 56932(a)(1) through (3); and 
(9) For a Foster Family Agency (FFA): 
(A) A copy of any approved FFA request for a waiver required by Section 56034.1; 
(B) A copy of the regional center's written approval of the FFA's request for a waiver; and 
(C) A copy of any decision by the Department regarding any FFA appeal pursuant to Section 56034.1(f). 
NOTE

Authority cited: Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4648.1, 4681.1, 4695.2, 4742 and 4745, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (b)(11)(A) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. New subsection (b)(11)(A) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of subsection (b)(11) and repealer of subsection (b)(11)(A) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Change without regulatory effect amending subsections (a), (b)(7) and (c)(3) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
9. Amendment of subsection (b)(9) and Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
10. Amendment of subsection (b)(9) and Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (c)(5) and (c)(6), new subsections (c)(6)(A)-(c)(9), and amendment of Note filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
12. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
13. Amendment of subsections (c)(5) and (c)(6), new subsections (c)(6)(A)-(c)(9), and amendment of Note refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsections (c)(5) and (c)(6), new subsections (c)(6)(A)-(c)(9), and amendment of Note refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
15. Reinstatement of section as it existed prior to 9-9-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 2). 
16. Amendment of subsections (c)(5) and (c)(6), new subsections (c)(6)(A)-(c)(9), and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
17. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
18. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
19. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
20. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
21. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
22. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
§56060. Regional Center Records.
Note     •     History

(a) The regional center shall maintain records which document:
(1) Facility service level approval;
(2) Quality assurance evaluations;
(3) Regional center monitoring of consumer IPP objectives;
(4) Facility liaison (QA) monitoring;
(5) Special Incident Reports (SIRs);
(6) Finding of Immediate Danger;
(7) Substantial Inadequacies;
(8) Corrective Action Plans;
(9) Sanctions;
(10) Facility appeals;
(11) Quarterly reports from Service Level 4 facilities; and
(12) The Department's approval of the use of Welfare and Institutions Code Section 4681.4(a) or (b) rate increase funds for a purpose other than those specified in Section 56932(a)(1) through (3). 
NOTE

Authority cited: Sections 4681.1, 4695.2(e) and 4748, Welfare and Institutions Code. Reference: Sections 4502-4504, 4646.5, 4648, 4648.1, 4681.1, 4695.2, 4742, 4743, 4745 and 4746, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of subsections (b)(1)(C) and (c)(5) and repealer of subsection (b)(6) and subsection renumbering filed 8-4-92; operative 8-4-92 (Register 92, No. 32).
3. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
4. Change without regulatory effect amending subsection (a)(4) filed 11-17-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 47).
5. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
6. Editorial correction of History 3 (Register 94, No. 47).
7. Editorial correction of subsection (a)(3) (Register 95, No. 18).
8. Change without regulatory effect amending subsections (a)(10)-(11) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
9. New subsections (a)(12) and (a)(13) and amendment of Note filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
10. New subsections (a)(12)-(a)(13) and amendment of Note refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
11. New subsections (a)(12)-(a)(13) and amendment of Note refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
12. Reinstatement of section as it existed prior to 9-9-99 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 2). 
13. New subsections (a)(12)-(a)(13) and amendment of Note filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
14. Editorial correction of History 13 (Register 2000, No. 11). 
15. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
16. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
17. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
18. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
19. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
20. Change without regulatory effect amending Note filed 2-28-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 9).
Article 11. Facility Appeals Process
§56061. Appeal Process.
Note     •     History

(a) The administrator may appeal to the director of the regional center the following specific actions taken by the regional center:
(1) Findings of substantial inadequacy pursuant to Section 56054;
(2) Findings of immediate danger pursuant to Section 56053;
(3) Sanctions pursuant to Section 56057; 
(4) Service level disapproval pursuant to Section 56005; and
(5) Enforcement of any requirement by the regional center which is not contained in Title 17, California Code of Regulations, Division 2, Chapter 3, Subchapters 4 and 6.
NOTE

Authority cited: Sections 4405, 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4648.1, 4681.1, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. Editorial correction capitalizing “S” of “Section” throughout  (Register 95, No. 18).
§56062. Contents of Appeal and Hearing.
Note     •     History

(a) The administrator's written appeal request shall be submitted to the regional center director within 30 days after the receipt of written notification from the regional center of the action specified in Section 56061 and shall:
(1) Indicate the name and address of the facility;
(2) Identify the specific action being appealed;
(3) Describe the potential adverse impact on the facility;
(4) Describe the specific basis of the appeal;
(5) Include information necessary to substantiate the legal and factual basis of the appeal;
(6) Be signed by the administrator; and
(7) Be deemed filed on the date submitted to the regional center.
(b) Within 15 days of receipt of the appeal, the regional center director shall review the appeal to determine whether it includes the information required by subsection (a) above.
(1) If all the required information has not been included and/or additional information is needed, the regional center director shall request, in writing, the additional information from the appellant. 
The request shall be made no later than 20 days from receipt of the appeal.
(A) The appellant shall submit the required information no later than 15 days from the receipt of the request in subsection (b)(1) above.
(B) If the information requested is not submitted within the time specified, the appeal shall be deemed withdrawn and no further action will be taken unless the appellant establishes good cause for the late submission. Good cause shall be determined by the regional center director in accordance with Section 56067.
(2) If all the required information has been received, notice of a hearing date shall be sent to the administrator by certified mail, return receipt requested, within 15 days of receipt of the information, specifying the date, time, and place of the hearing and the matter(s) to be heard.
(A) The hearing date shall be set no later than 25 days from receipt of all required information. 
(B) All parties to the appeal must agree to any extension of the hearing date. 
(c) The appeal process does not preclude the administrator from terminating the proceeding at any time prior to the hearing date if the matter is settled.
(d) With regard to the hearing, the administrator shall have the right to:
(1) Examine, prior to the hearing, all documents on file pertaining to the subject of the appeal, which are not confidential or otherwise not discoverable under existing statutes and regulations;
(2) Be represented by counsel;
(3) Attend the hearing and present written and/or oral evidence;
(4) Cross-examine witnesses; and
(5) Access documents at the hearing not previously accessed under subsection (1) above.
NOTE

Authority cited: Sections 4405, 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4648.1, 4648.2, 4681.1, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Repealer of subsection (e) filed 8-4-92; operative 8-4-92 (Register 92, No. 32).
3. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
4. Editorial correction of History 3 (Register 94, No. 47).
5. Editorial correction of subsections (a) and (b)(1)(A) and (B) (Register 95, No. 18).
§56063. Decision.
Note     •     History

(a) Within 60 days after the date of the hearing, the regional center director shall:
(1) Render a decision; and
(2) Submit a written notification of the decision to the administrator by certified mail, return receipt requested.
(b) The written notification shall:
(1) Identify the specific issue(s) in dispute;
(2) Rule on each issue(s);
(3) State the facts supporting each ruling;
(4) Specify the statute(s) and regulation(s) upon which each ruling is based; and
(5) Specify the procedure for appealing the regional center director's decision to the Director.
(c) If the appellant does not appeal the decision to the Director pursuant to Section 56064, it shall be deemed final.
NOTE

Authority cited: Sections 4405, 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4681.1 and 4748, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of Note filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
3. Editorial correction of subsection (c) (Register 95, No. 18).
§56064. Appeal of the Regional Center's Decision.
Note     •     History

(a) The administrator, if dissatisfied with the decision rendered by the regional center director, may appeal the decision to the Director. The written appeal to the Director shall:
(1) Be submitted within 15 days from receipt of the written decision in Section 56063(a)(2); and
(2) Be in writing and include the following information:
(A) A copy of the regional center director's written decision;
(B) A copy of all information submitted to the regional center pursuant to Section 56062(a)(1)-(7) and (b)(2); and
(C) A statement of the issue(s), facts and any supporting statute(s) and regulation(s) identifying why the appellant believes the decision of the regional center director should be reversed by the Director.
(b) Within five days of receipt of the appeal, the Director shall request, in writing, from the regional center a copy of the appeal file.
(c) The regional center director shall submit a copy of the complete appeal file to the Director no later than 15 days from the submission of the request for the copy of the appeal file.
(d) Within 30 days of submission of the record forwarded pursuant to subsection (c) above, the Director shall review the record to determine if additional information on which to base a decision is needed from the appellant or the regional center.
(1) If no additional information is needed, the Director shall render a decision pursuant to Section 56065(a).
(2) If additional information is required, the Director shall request in writing, within 35 days of submission of the record pursuant to subsection (c) above, the material from the appellant and/or the regional center.
(3) The appellant and/or the regional center shall submit the additional information to the Director no later than 15 days from the submission of the request in subsection (2) above.
(A) If the appellant does not submit the information requested within the time specified, the appeal shall be deemed withdrawn and no further action taken unless the appellant establishes good cause for late submission pursuant to Section 56067. Good cause shall be determined by the Director.
(B) If the regional center does not submit the requested information within the time specified, the Director shall proceed with the appeal and render a decision based upon the available record pursuant to Section 56065(a).
NOTE

Authority cited: Sections 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4648.1, 4745, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. Editorial correction capitalizing “S” of “Section” throughout  (Register 95, No. 18).
5. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
§56065. Decision by the Director.
Note     •     History

(a) The Director shall, within 60 days of the final submission of all required and/or requested information:
(1) Render a decision; and
(2) Submit a written copy of the decision to the appellant, with a copy to the regional center.
(b) The written notification shall:
(1) Identify the specific issue(s) in dispute;
(2) Rule on each issue(s);
(3) State the facts supporting each ruling; and
(4) Specify the statutes and regulations upon which each ruling is based.
(c) The written copy of the decision shall be sent to the appellant with a copy to the regional center.
(d) The decision of the Director is the final level of appeal in the administrative process.
(1) This does not preclude any other judicial remedies.
NOTE

Authority cited: Sections 4405, 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4648.2, 4681.1 and 4748, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Change without regulatory effect amending subsection (b) and renumbering second subsection (b) to subsection (c) and subsection (c) to subsection (d) filed 3-21-91 pursuant to section 100 Title 1, California Code of Regulations (Register 91, No. 14).
§56066. Implementation of Regional Center Actions During Appeal.
Note     •     History

(a) Implementation of regional center actions during the appeal process shall occur as follows:
(1) In the case of immediate danger, the action of the regional center shall remain in effect throughout the appeal process;
(2) In the case of substantial inadequacies, corrective action shall be suspended until the appeal process is complete, except in situations specified in Section 56054(a)(1);
(A) Nothing in the foregoing shall preclude the regional center from taking immediate action if conditions in the facility deteriorate into an immediate danger because the substantial inadequacy has not been corrected.
(3) In the case of a disputed service level the rate paid during the appeal shall be for the service level approved by the regional center and appealed by the administrator.
NOTE

Authority cited: Sections 4405, 4681.1, 4748 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4648.1, 4648.2, 4681.1, 4748 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. Editorial correction of subsection (a)(2) (Register 95, No. 18).
§56067. Good Cause.
Note     •     History

(a) For the purposes of Section 56061 through 56066 of these regulations, good cause for failure to act is limited to:
(1) A violent act of nature, including but not limited to, flood, earthquake, blizzard or fire; and/or
(2) Arson, vandalism and/or theft of records and/or property by individuals other than the appellant which precludes the appellant from filing a timely appeal.
(b) The appellant shall, within a reasonable time, not to exceed 60 days after the incident giving rise to its claim of good cause, submit to the regional center director or the Director, whichever is appropriate, the documents or other evidence substantiating its claim. The regional center director or the Director, whichever is appropriate, shall, within 30 days of receipt of the claim and supporting documentation, review the information and render a decision regarding whether good cause has been established.
(c) The director of the regional center or the Director, whichever is appropriate, shall notify the appellant in writing of the decision and shall specify what action will be taken, if any, pursuant to Sections 56061 through 56066 of these regulations.
NOTE

Authority cited: Sections 4681.1 and 4748, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4745 and 4748, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of Note filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
3. Editorial correction of subsections (a) and (c) (Register 95, No. 18).
4. Change without regulatory effect amending Note filed 12-2-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 49).
Subchapter 4.1. Family Home Agency (FHA) Regulations
Article 1. Definitions
§56075. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense. Words in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct. “May” denotes permissive conduct.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New subchapter 4.1, article 1 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 4.1, article 1 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56076. Definitions.
Note     •     History

(a) As used in this Subchapter, the following phrase shall have the meaning specified in Title 17, Section 54000:
(1) Developmental Disability
(b) As used in this Subchapter, the following words and phrases shall have the meanings specified in Title 17, Section 54302:
(1) Applicant;
(2) Vendor;
(3) Vendorization.
(c) As used in this Subchapter, the following words and phrases shall have the meanings specified in Title 17, Section 56002:
(1) Authorized Consumer Representative;
(2) Consumers' Rights;
(3) Department;
(4) Director;
(5) Individual Program Plan (IPP);
(6) Interdisciplinary Team (ID Team);
(7) Regional Center;
(8) Service Coordinator.
(d) As used in this Subchapter, the following words and phrases shall have the meaning specified in Title 17, Section 58501:
(1) Cost Effective;
(2) Submit.
(e) The following definitions shall apply to the regulations used in this Subchapter:
(1) “Certificate of Approval” means the certificate issued to a family home upon approval by an FHA.
(2) “Consumer” means a person with a developmental disability who is at least 18 years of age and who does not require continuous skilled nursing care.
(3) “Continuous Skilled Nursing Care” means nursing care which is provided to a consumer whose condition cannot be classified as chronic or stable; or for whom performance of nursing care cannot be termed routine; or for whom the performance of nursing tasks by unlicensed persons would pose potential harm.
(4) “Conviction” means a plea or verdict of guilty or a conviction following a plea of nolo contendere.
(5) “Family Home” means a home that has been approved by an FHA and is owned, leased, or rented by, and is the family residence of, the family home provider and in which services and supports are provided to a maximum of two consumers regardless of their degree of disability, except for those consumers who require continuous skilled nursing care as defined in subsection (e)(3). As used in this subchapter, this term shall be understood to include the term “family teaching home.”
(6) “Family Home Agency (FHA)” means a private, not-for-profit agency that is vendored to do all of the following: 1) recruit, approve, train, and monitor family home providers; 2) provide services and supports to family home providers; and 3) assist consumers in moving into or relocating from family homes.
(7) “Family Home Provider” means a person who has been recruited, approved, and trained by an FHA to provide services and supports to a consumer residing in a family home.
(8) “Family Teaching Home” means a home that has been approved by an FHA and is owned, leased, or rented by the family home agency, wherein the family home provider and the consumer(s) have independent residences, either contiguous or attached, and in which services and supports are provided to a maximum of three consumers regardless of their degree of disability, except for those consumers who require continuous skilled nursing care as defined in subsection (e)(3). All requirements in this subchapter applicable to family homes shall apply equally to family teaching homes.
(9) “Person-Centered Planning” means the planning process for consumers as specified in Welfare and Institutions Code Sections 4646 and 4646.5.
(10) “Positive Behavioral Supports” means the systematic application of proactive and preventative behavioral interventions, excluding interventions which utilize pharmaceuticals or medications to achieve behavioral change, and which result in lasting positive changes in the consumer's behavior, are based upon the positive reinforcement of appropriate consumer behavior, and are designed to support consumers with challenging behaviors and ensure the consumer's right to reside in the least restrictive environment.
(11) “Relative” means spouse, parent, stepparent, son, daughter, brother, sister, stepbrother, stepsister, half-brother, half-sister, uncle, aunt, niece, nephew, first cousin, or any such person denoted by the prefix “grand” or “great” or the spouse of any of the persons specified in this definition.
(12) “Seclusion” means the physical isolation of the consumer.
(13) “Service Catchment Area” means the geographical area in which a regional center provides services.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code. Reference: Sections 4502 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
4. New subsections (e)(11) and (e)(13), subsection renumbering, and amendment of Note filed 6-24-98 as an emergency; operative 6-24-98 (Register 98, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-98 or emergency language will be repealed by operation of law on the following day.
5. New subsections (e)(11) and (e)(13), subsection renumbering, and amendment of Note refiled 10-22-98 as an emergency; operative 10-22-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-19-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-22-98 order, including repealer of subsection (a)(13), transmitted to OAL 12-31-98 and filed 2-16-99 (Register 99, No. 8).
7. Amendment of subsection (e)(5), new subsection (e)(8) and subsection relettering filed 11-7-2006; operative 12-7-2006 (Register 2006, No. 45).
Article 2. Competitive Procurement
§56077. Determination of Need.
Note     •     History

(a) The regional center shall determine the need for FHA services based upon the following criteria:
(1) Whether there is a sufficient number of FHA's currently providing services;
(2) Whether the FHA will meet an unmet need which has been identified in a consumer's IPP; and
(3) Whether there is an anticipated future need for FHA services within the regional center's service catchment area.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4648 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 2 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 2 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsection (a)(1), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56078. Public Notice.
Note     •     History

(a) When the regional center has determined the need for FHA services pursuant to Section 56077, the regional center shall give public notice of the intent to contract for FHA services.
(1) More than one contract may be announced in a public notice.
(b) The public notice shall be published in at least one newspaper of general circulation in the regional center's service catchment area.
(c) The public notice shall include, but not be limited to, the following information:
(1) The name, title, address and telephone number of the regional center employee responsible for the public notice and for providing the information required by Section 56079;
(2) A summary of the services and supports for which the regional center intends to contract; and
(3) The deadline for submission of written applications and the address to which applications should be mailed.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4648 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (c)(1)-(2), repealer of subsections (c)(3)-(8) and subsection renumbering, transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56079. Application.
Note     •     History

(a) An application for intent to contract submitted in response to the public notice required by Section 56078 shall include, but not be limited to:
(1) The name, address and telephone number of the prospective FHA administrator;
(2) The prospective FHA's program design as specified in Section 56084;
(3) The signature of the prospective FHA administrator and the date on which the application was signed; and
(4) Any additional format or procedural requirements deemed necessary by the regional center.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4648 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a) and (a)(4), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56080. Selection of FHA.
Note     •     History

(a) The regional center shall utilize the following criteria to select the prospective FHA:
(1) The prospective FHA's potential for providing cost-effective quality services and supports as referenced in the program design pursuant to Section 56084;
(2) The degree to which consumer choice regarding the provision of services and supports is identified as a factor in the program design;
(3) The experience of the prospective FHA or key agency personnel in providing the same or comparable services;
(4) The reasonableness of the prospective FHA's overhead; and
(5) The capability of the regional center to monitor and evaluate the prospective FHA.
(b) The regional center shall not discriminate in the selection of an FHA on the basis of race, color, creed, national origin, ancestry, sex, marital status, disability, religious or political affiliation, age or sexual orientation.
(c) The regional center may require the revision of an application prior to, and as a condition of, further consideration by the regional center.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4646, 4648 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsection (a)(5) and new subsections (b)-(c), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56081. Notice of Intent.
Note     •     History

(a) Within 30 days following the regional center's selection of an FHA pursuant to Section 56080, the regional center shall give public notice of its intent to contract with the selected FHA by posting a notice of its selection in an area of the regional center which is accessible to the general public.
(b) The regional center shall notify, in writing, those not selected under Section 56080.
(1) Notification shall include, but not be limited to, the right to appeal the contract decision pursuant to subsection (c).
(c) The regional center shall develop a written appeal procedure for those not selected under Section 56080 which includes, but is not limited to, the following:
(1) The format and content of the appeal;
(2) The grounds for the appeal;
(3) The process for submission of the appeal;
(A) The appeal shall be filed with the regional center within a reasonable period of time not to exceed 15 days following receipt of the notification pursuant to subsection (b).
(4) The process for resolution of the appeal;
(A) The regional center shall resolve the appeal within a reasonable period of time not to exceed 15 days following the regional center's receipt of the appeal submitted pursuant to subsection (c)(3).
(d) If the appeal is upheld, the prospective FHA which submitted the appeal shall be eligible to enter into contract negotiations with the regional center pursuant to Section 56082(a).
(e) Nothing shall prevent the regional center from contracting with, and vendoring, the selected FHA during the pendency of the appeal.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4648 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a) and (b)(1),  transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 3. Contract and Vendorization
§56082. Contract and Vendorization.
Note     •     History

(a) The regional center shall negotiate a contract with the FHA selected pursuant to Section 56080 which includes, but is not limited to:
(1) A rate(s) of reimbursement for the FHA; and
(2) A requirement that the vendor maintain service records to support all billing/invoicing as specified in Section 50604(d)(1) through (3)(F), as applicable; and
(3) A requirement that the vendor submit to the regional center with their billings/invoices the information specified in (2) above for the billing period.
(b) Regional center reimbursement to FHAs shall not exceed rates for similar individuals when residing in other types of out-of-home care established pursuant to Welfare and Institutions Code Section 4681.1.
(1) The FHA shall ensure that family homes receive a sufficient portion of the rate of reimbursement to provide the services and supports specified in a consumer's IPP.
(c) Each contracted FHA shall be vendored pursuant to Title 17, Sections 54310 and 54322.
NOTE

Authority cited: Chapter 157, Statutes of 2003; Section 4689.1, Welfare and Institutions Code; and Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4648 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 3 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 3 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a) and (c),  transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
4. Redesignation and amendment of portion of subsection (a) as new subsection (a)(1), new subsections (a)(2)-(3) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
5. Redesignation and amendment of portion of subsection (a) as new subsection (a)(1), new subsections (a)(2)-(3) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
6. Redesignation and amendment of portion of subsection (a) as new subsection (a)(1), new subsections (a)(2)-(3) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (a)(2), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
§56083. Residential Services Orientation and Training.
Note     •     History

(a) Prior to a consumer residing in a family home, the following FHA staff shall attend the residential services orientation provided by the vendoring regional center pursuant to the requirements of Title 17, Section 56003(a)(1)(A), (C), (D) and (E):
(1) The FHA administrator;
(2) All FHA staff responsible for the direct supervision of other FHA staff; and
(3) All FHA staff who have frequent and routine contact with the consumer.
(b) When there is a change in the FHA's administrator or staff as specified in subsection (a)(1) through (3), the new administrator or staff shall attend the next scheduled residential services orientation provided by the regional center.
(c) The vendoring regional center may require further training in addition to that specified in Section 56084(b)(6) and (7).
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certification of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 4. Program Design
§56084. Program Design Requirements.
Note     •     History

(a) The program design shall detail how the FHA will achieve and monitor the following outcomes:
(1) That the consumer will live in a family home where he/she will receive respect and support and involvement in the normal routines of family life;
(2) That the FHA and the family home will provide services and supports which will be consistent with the consumer's needs and preferences for services and supports as specified in the consumer's IPP;
(3) That the FHA and the family home will provide services and supports which are designed to encourage and support the consumer in the formation of relationships with peers without disabilities and in participation in the community;
(4) That the FHA and the family home will provide services and supports which will respect the consumer's personal and cultural preferences and values;
(5) That the FHA will ensure an appropriate match between the needs and preferences of the consumer and the family home;
(6) That the FHA will assist the consumer in building and maintaining relationships with others, including, but not limited to, marital and interpersonal relationships; family relationships; and friendships and social networks;
(7) That the FHA will ensure that services and supports which are chosen by the consumer and provided by the FHA will be satisfactory to the consumer, or the consumer's authorized representative, if applicable; and
(8) That FHA staff will be suited by experience, sensitivity, education and training to achieve the outcomes specified in subsections (a)(1) through (7) and to perform the duties specified in subsection (b)(4)(A) through (O) and Section 56086(a)(1) through (7).
(b) In addition to subsection (a), the program design shall include, but not be limited to:
(1) Complete job descriptions of all FHA positions, including number of employees, classification, qualifications and duties;
(2) Information specifying lines of authority, reporting relationships and staff responsibilities and an organizational chart for the FHA; and
(3) The FHA's proposed staffing ratio which pertains to the number of specified staff to be maintained relative to:
(A) The number of homes which will serve consumers; and
(B) The number of, and specific needs of, consumers who will be placed in family homes approved by the FHA.
(4) Written statements specifying the FHA's policies and procedures for:
(A) Recruiting family homes;
(B) Assessing the qualifications of prospective family home providers;
(C) Approving, and renewing the approval of, family homes;
(D) Assuring that the match between the consumer and the family home takes into account the consumer's individual health and safety needs as specified in the consumer's IPP;
(E) Utilizing and coordinating with community resources;
(F) Providing assistance to consumers in moving into, or out of, family homes;
(G) Reporting and investigation of complaints concerning the FHA or the family home(s);
(H) FHA monitoring of the family home(s);
(I) Providing or arranging for emergency or unanticipated termination of services to, and relocation of, the consumer, including coordination with the family home provider when the consumer terminates residence pursuant to Section 56094(a);
(J) Assuring that each family home has a contingency plan in the event of a disaster or emergency;
(K) Assuring that ancillary services and supports, including, but not limited to, respite care, will be provided or arranged for by the FHA;
(L) Determining the portion of the FHA's rate of reimbursement to be paid to the family home pursuant to Section 56082(b)(1);
(M) Providing technical assistance to the family home;
(N) Obtaining liability insurance; and
(O) Providing evidence that, when the family home provider has been appointed as the consumer's representative payee for the consumer's Supplemental Security Income (SSI) and State Supplemental Program (SSP) payment, or the consumer has entrusted funds and/or property to the care of the family home provider, the family home provider has filed with the FHA a bond, issued by a surety company to the State of California as principal, in an amount sufficient to cover the amount of funds and/or property entrusted to the family home provider.
(5) Written descriptions of the following:
(A) The range of services and supports to be provided to consumers and family homes by the FHA to support and maintain the consumer in a family home; and
(B) The 24-hour emergency response services to be provided, or arranged for, by the FHA including weekends, holidays and situations in which the consumer requires immediate temporary or permanent living alternative.
(6) A proposed training plan which addresses the initial and ongoing training needs for FHA staff and the family home. The training plan shall include, but not be limited to, the following topics:
(A) Health and safety in the FHA and the family home, including first aid, CPR and nutrition;
(B) Positive behavioral supports and crisis intervention techniques;
(C) Consumers' rights;
(D) Fostering consumer participation in, and integration into, the community;
(E) Adjustment issues for consumers and families, including cultural diversity and sensitivity to the needs of persons with developmental disabilities;
(F) Building a new or extended family and fostering personal relationships;
(G) Values and philosophy of the developmental disabilities service system pursuant to Welfare and Institutions Code Section 4501;
(H) Person-centered planning, consumer choice and the IPP process, including implementation of consumer IPP objectives for which the FHA or family home is responsible;
(I) Identification and reporting of adult abuse; and
(J) Record-keeping.
(7) The proposed training plan shall specify:
(A) The frequency of the training to be provided, which shall occur with sufficient frequency and regularity to enable FHA staff and family home providers to keep abreast of changes and developments in the field of developmental disabilities and to meet the needs of individual consumers;
(B) The FHA's procedures for assessing the training needs of FHA staff and the family home;
(C) The FHA's procedures for assessing the training plan's effectiveness and making necessary revisions to the training plan; and
(D) That new FHA staff will be trained prior to providing services and supports to consumers.
(c) The FHA's program design shall include any other information required by the vendoring regional center.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 4 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 4 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a)(6), (b), (b)(4)(K), (b)(4)(O), (b)(6)(G), (b)(7)(A)-(C), and (c), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 5. Criminal Record Clearance
§56085. Fingerprints and Criminal History.
Note     •     History

(a) The Department shall conduct a criminal record review of all persons specified in Welfare and Institutions Code Section 4689.2(c) and shall have the authority to approve or deny an application for vendorization as an FHA, or employment, residence, or presence in the family home based upon the results of such a review.
(1) All completed, signed and dated Department of Justice fingerprint cards (BID-7) shall be submitted directly to the Department.
(2) Fingerprint cards shall be provided by the Department.
(b) When the person who is subject to the criminal record review specified in subsection (a) has not resided continuously in California for the past two years, the criminal record review required by subsection (a) shall include criminal history record information (CHRI) maintained by the Federal Bureau of Investigation (FBI).
(c) No consumer shall move into a family home prior to compliance with Welfare and Institutions Code Section 4689.2(b).
(d) Subsequent to vendorization of the FHA, all persons subject to criminal record review pursuant to Welfare and Institutions Code Section 4689.2(c) shall, prior to employment by the FHA, or residence or initial presence in the family home, be fingerprinted and sign, under penalty of perjury, a DS 5407 (New 5/95) regarding any prior criminal convictions.
(1) The FHA shall submit fingerprint cards to the Department within four calendar days following employment, residence or initial presence in the family home.
(2) The original signed and dated DS 5407 (New 5/95) shall be retained by the FHA.
(A) A copy of the signed and dated DS 5407 (New 5/95) shall be submitted to the Department within four calendar days following the employment, residence or initial presence of the declarant in the family home.
(B) A copy of the signed and dated DS 5407 (New 5/95) shall be retained by the regional center.
(C) A copy of the signed and dated DS 5407 (New 5/95) shall be retained by the declarant.
(e) If the criminal record transcript discloses that any person specified in Welfare and Institutions Code Section 4689.2(c) has been convicted at any time of a crime, except a minor traffic violation, the Department is authorized to:
(1) For an applicant for vendorization as an FHA, deny the application for vendorization pursuant to Welfare and Institutions Code Section 4689.4.
(2) For an FHA, terminate the vendorization of the FHA.
(3) For a family home, terminate the approval of the family home.
(f) If the criminal record transcript of a current or prospective employee of the FHA discloses that a current or prospective employee of an FHA has been convicted at any time of a crime, except a minor traffic violation, the FHA, upon notification by the Department, shall act immediately to do the following:
(1) For current or prospective employees, terminate the current employee's employment or bar the prospective employee from entering the family home; or
(2) Seek an exemption pursuant to Welfare and Institutions Code Section 4689.2(f).
(g) If the criminal record transcript of any adult person, other than the consumer, residing in the family home discloses that the person has been convicted at any time of a crime, except a minor traffic violation, the FHA, upon notification by the Department, shall:
(1) Remove the consumer from the family home; or
(2) Remove the adult person from the family home; or
(3) Bar the adult person from entering the family home; or
(4) Seek an exemption for the adult person pursuant to Welfare and Institutions Code Section 4689.2(f).
(h) After a review of the criminal record transcript, the Director shall have the authority to grant an exemption from subsections (e), (f) and (g) when:
(1) The Director has substantial and convincing evidence to support a reasonable belief that the applicant for vendorization, or other person specified in Welfare and Institutions Code Section 4689.2(c), is of such good character as to justify approval of vendorization or an exemption.
(A) The Director shall have the authority to consider factors, including the following, as evidence of good character and rehabilitation:
1. The nature of the crime;
2. The period of time since the crime was committed and the number of offenses;
3. The circumstances surrounding the commission of the crime that would demonstrate the unlikelihood of repetition;
4. Activities since conviction, including employment or participation in therapy or education, that would indicate changed behavior;
5. The granting of a full and unconditional pardon by the Governor;
6. Character references; or
7. A certificate of rehabilitation from a superior court.
(2) Any person specified in Welfare and Institutions Code Section 4689.2(c) who has been rehabilitated as provided in Penal Code Section 4852.03 has maintained the conduct required in Penal Code Section 4852.05 for at least 10 years and has the recommendation of the district attorney representing the employee's county of residence.
(3) The applicant for vendorization or, other person specified in Welfare and Institutions Code Section 4689.2(c), has received a certificate of rehabilitation pursuant to Chapter 3.5 (commencing with Section 4852.01) of Title 6 of Part 3 of the Penal Code.
(i) Following the receipt of all information which will enable the Director to grant or deny an exemption from subsections (e), (f) and (g), the Director shall either grant or deny the exemption within a period of time which shall not exceed 30 days.
(j) The Director shall specify, in writing, the reasons for any exemption granted.
(k) Any person specified in Welfare and Institutions Code Section 4689.2(c) shall be permitted to transfer a current criminal record clearance pursuant to subsection (b), from one FHA or family home to another as long as the criminal record clearance has been processed through the Department.
(l) Except as otherwise provided in Welfare and Institutions Code Section 4689.2(f), no exemption shall be granted if the conviction was for an offense specified in Penal Code Sections 220, 243.4, 264.1, paragraph (1) of subdivision (a) of 273a, 273d, 288, 289 or 368(a) or (b), or for another crime against an individual specified in Penal Code Section 667.5(c).
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4689.1, 4689.2, 4689.3, 4689.4, 4689.5, 4689.6 and 4741, Welfare and Institutions Code.
HISTORY

1. New article 5 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 5 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsection (h)(1)(A)5., new subsection (i) and subsection relettering, transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 6. The FHA
§56086. The FHA.
Note     •     History

(a) The FHA shall employ sufficient staff with the combined experience, training and education to perform the following duties:
(1) Administration of the FHA;
(2) Recruitment of family homes;
(3) Training of FHA staff and family homes;
(4) Ensuring an appropriate match between the needs and preferences of the consumer and the family home;
(5) Monitoring of family homes;
(6) Provision of services and supports to consumers and family homes which are consistent with the consumer's preferences and needs and the consumer's IPP; and
(7) Coordination with the regional center and members of the consumer's family and/or the consumer's authorized representative, if applicable, as necessary to ensure consumer satisfaction and the stability of the family home.
(b) In order to accomplish the duties specified in subsection (a)(1) through (7) and Section 56084(b)(4)(A) through (O), the FHA shall consider selection criteria for hiring purposes, which shall include, but not be limited to:
(1) Education in the fields of social work, psychology, education, or related areas;
(2) Experience, either personal or professional, working or living with persons with developmental disabilities;
(3) Experience and training in program management, fiscal management, and organizational development;
(4) Training in any related areas that augment the individual's education and experience; or
(5) Any combination of the above.
(c) A new FHA administrator shall meet with the regional center director or his/her designee within 14 days of assuming the duties of administrator.
(d) No FHA administrator, staff member, Board of Directors member or officer shall be a family home provider of the FHA with which he/she is affiliated.
(e) No person employed by the FHA shall enter into any independent financial relationship or transaction with a family home provider, including but not limited to, rental agreements, personal cash loans, or sale, trade or transfer of property.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Section 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 6 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 6 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 7. The Family Home
§56087. Home Visit.
Note     •     History

(a) Prior to approval, the FHA shall visit each prospective family home to:
(1) Interview all adults who reside in the home;
(2) Interview or see all family members who reside in the home;
(3) Provide the prospective family home with copies of these regulations and the Lanterman Developmental Disabilities Services Act;
(4) Discuss the content of Section 56088(b)(8)(A) through (C) with the prospective family home provider; and
(5) Discuss the training specified in Sections 56083(c) and 56084(b)(6) and (7); and
(6) Determine that the family home provides:
(A) A safe, clean, and pleasant living environment;
(B) Age-appropriate living space; and
(C) Accommodations for ensuring safe and reasonable accessibility for entrance to, movement within and exit from the family home.
(7) Determine, pursuant to subsections (a)(1) through (6), that the prospective family home providers have the experience, knowledge, cooperation, history and interest to become an approved family home.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 7 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 7 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsection (a)(5), new subsection (a)(6), repealer of subsection (b) and redesignation of former (b)(1)-(3) as new (a)(6)(A)-(C), and new subsection (a)(7), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56088. Certificate of Approval.
Note     •     History

(a) The FHA shall issue a Certificate of Approval to each family home which has:
(1) Completed the criminal record review required by Section 56085(a);
(2) Been visited by the FHA as required by Section 56087(a); and
(3) Met the criteria specified in Section 56087(a)(6) and (7).
(b) The Certificate of Approval shall include, but not be limited to:
(1) The name, address and telephone number of the FHA;
(2) The name, address, location and telephone number of the family home provider;
(3) The number of consumers for which the family home has been approved;
(4) Any limitations of the home, including ambulatory status of consumers to be served;
(5) The date of issuance of the certificate;
(6) The date of expiration of the certificate which shall not exceed one year from the date of issuance;
(7) A statement that the family home shall be used exclusively as a residence by the FHA which issued the Certificate of Approval;
(8) A statement which shall include, but not be limited to, the following information:
(A) The relationship between the consumer and the family home is voluntary and may be terminated by any party to the agreement at any time subject to the requirements of Section 56094.
(B) The Department and the regional center shall enforce applicable provisions of law and regulation, investigate allegations of abuse or neglect, and impose sanctions on FHAs, including the following:
1. Requiring movement of a consumer from a family home; and/or
2. Requiring termination of the approval of a family home; and/or
3. Requiring termination of the FHA's vendorization.
(C) The Department and the regional center shall monitor services and supports provided by the family home in accordance with Welfare and Institutions Code Section 4648.1(a) and (b) as necessary to implement the consumer's IPP.
(9) The date and signature of the FHA's administrator.
(c) The Certificate of Approval shall be maintained as follows:
(1) The original shall be maintained on the premises of the family home; and
(2) A copy of the original shall be maintained by the FHA.
(d) Within 10 working days of the issuance of a Certificate of Approval pursuant to subsection (a), the FHA shall send written notice to the regional center of the family home provider's name, address, telephone number and location.
(e) A Certificate of Approval shall not be transferable and shall be void upon a change of location of the family home.
(f) The family home provider shall immediately notify the regional center and the FHA of a change in the location of a family home.
(1) Verbal notification shall be put in writing within 5 working days.
(g) The family home provider shall notify the regional center and the FHA in writing at least 30 days prior to a non-emergency change in the location of a family home.
(h) The FHA shall conduct a site visit to the new location of the family home within 5 working days of notification as required by subsections (f) and (g) for the purpose of:
(1) Approving the new location; and
(2) Issuing a new Certificate of Approval.
(i) When the FHA does not approve the new location pursuant to subsection (h)(1), the FHA shall notify the family home and the regional center in writing of the FHA's decision not to approve the family home.
(1) The notification required by subsection (i) shall occur within a reasonable period of time not to exceed 5 working days following the site visit required by subsection (h).
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a)(3), (b), (b)(8) and (b)(8)(B)1.-2., new subsection (g) and subsection relettering, and amendment of newly designated subsections (h), (i) and (i)(1), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56089. Prohibited Interventions and Treatment.
Note     •     History

(a) All behavior modification interventions that cause pain or trauma, as specified in Title 17, Division 2, Chapter 1, Subchapter 8, are prohibited.
(b) Electroconvulsive therapy (ECT) as defined in Title 17, Division 2, Chapter 1, Subchapter 8, Section 50801(j) is a prohibited treatment procedure.
(c) A consumer who resides in a family home shall be free from corporal or unusual punishment, infliction of pain, humiliation, intimidation, ridicule, coercion, threat, mental abuse, restraint or other actions of a punitive nature, including, but not limited to: interference with the daily living functions, including eating, sleeping, or toileting; or withholding of shelter, clothing, medication or aids to physical functioning.
(d) A consumer who resides in a family home shall not be placed in seclusion.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code. Reference: Sections 4502 and 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a) and (b), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
4. New subsections (c)-(e)  and amendment of Note filed 6-24-98 as an emergency; operative 6-24-98 (Register 98, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-22-98 or emergency language will be repealed by operation of law on the following day.
5. New subsections (c)-(e) and amendment of Note refiled 10-22-98 as an emergency; operative 10-22-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-19-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-22-98 order, including repealer of subsection (e), transmitted to OAL 12-31-98 and filed 2-16-99 (Register 99, No. 8).
Article 8. Referral for Service
§56090. Referral for Service.
Note     •     History

(a) When the consumer and the consumer's authorized representative, if applicable, has expressed an interest in the services and supports provided by an FHA, the regional center shall coordinate with the FHA for a meeting between the FHA, the consumer and/or the consumer's authorized representative, if applicable.
(b) Prior to the meeting required in subsection (a), the regional center shall obtain the consent of the consumer, or the consumer's authorized representative, if applicable, to release information to the FHA which includes, but is not limited to:
(1) The consumer current Individual Program Plan (IPP);
(2) A statement of the consumer's ambulatory or nonambulatory status as determined by the consumer's ID Team;
(3) A statement that the consumer does not require continuous skilled nursing care;
(4) Known information regarding the consumer's likes and dislikes, strengths and needs, interests and activities;
(5) A medical history which includes any identified medical and/or special care needs, including special dietary requirements;
(6) Any health and safety requirements which are specific to the needs of the consumer;
(7) When the consumer has an authorized representative, the authorized representative's name, address and telephone number;
(8) When a conservator has been appointed for the consumer, a statement that the regional center has obtained the consent of the consumer's conservator, if the conservator has been granted the legal authority to fix residence, for the consumer to reside in a family home; and
(9) The name and telephone number of the regional center service coordinator who is responsible for the implementation of the consumer's IPP.
(c) No consumer shall reside in a family home in which the family home provider is a relative of the consumer as defined in Section 56076(e)(10).
(1) The regional center may make an exception to the requirement of subsection (c) when:
(A) The residence is consistent with the services and supports referenced in the consumer's IPP; and
(B) The relative has no legal obligation to support the consumer.
(d) When the FHA has identified an appropriate family home, the FHA shall coordinate at least one visit to the family home by the consumer and the consumer's authorized representative, if applicable.
(e) When the consumer has made a decision to reside in the family home, the FHA shall execute a residence agreement which specifies the following:
(1) The portion of the FHA's rate of reimbursement to be paid to the family home provider by the FHA pursuant to Section 56082(b)(1); and
(2) The services and supports which the FHA and the family home will provide to the consumer.
(f) The residence agreement shall be signed by the:
(1) Consumer;
(2) Consumer's authorized representative, if applicable;
(3) FHA;
(4) Regional center; and
(5) Family home provider.
(g) The original residence agreement shall be maintained by the family home provider.
(h) Copies of the signed residence agreement shall be maintained by the entities specified in subsection (f)(1) through (4).
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Sections 4689.1 and 4648, Welfare and Institutions Code.
HISTORY

1. New article 8 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 8 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsection (b)(8), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 9. Consumer Funds and Property
§56091. Consumer Funds and Property.
Note     •     History

(a) When the family home provider has been appointed as the consumer's representative payee for the consumer's Supplemental Security Income (SSI) and State Supplemental Program (SSP) payment or the consumer has entrusted funds and/or property to the care of the family home provider, the following shall apply:
(1) A consumer's funds and property shall be used only for the consumer's benefit;
(2) A consumer's funds and property shall be free of any liability incurred by the FHA or the family home provider;
(3) Consumer funds and/or property shall be maintained separate and intact and shall not be commingled with family home or FHA funds and/or property, or the funds and/or property of other consumers; and
(4) Except for that portion of the consumer's SSI/SSP benefit which is designated for the consumer's room, board, care and supervision, the FHA or the family home provider shall not make expenditures from consumers' funds for any services or supports required by this Subchapter. Consumers' SSI/SSP benefits are also deemed to include any income used to determine the SSI/SSP payment.
(b) The family home provider shall maintain accurate records of accounts of funds and/or property entrusted to the family home provider's care which include, but not be limited to:
(1) Personal possessions and/or funds received by or entrusted to the family home provider;
(2) Disbursements made to, or for, the consumer; and
(3) All transactions on behalf of a consumer as specified in subsections (c) (d) and (e).
(c) All consumer funds which are entrusted to the family home provider and which are not kept on the premises of the family home shall be deposited in the consumer's name in an interest-bearing account in a local bank, savings and loan or credit union authorized to do business in California, the deposits of which are insured by a branch of the Federal Government.
(d) The family home provider shall provide access to the consumer's cash resources when requested by the consumer or the consumer's authorized representative, if applicable.
(e) All interest accruing to funds deposited by the family home provider in an account pursuant to subsection (c) shall be the property of the consumer.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 9 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 9 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsection (b), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 10. Health-Related Services
§56092. Health-Related Services.
Note     •     History

(a) The FHA and the family home shall provide, or arrange for, any health-related services which are:
(1) Referenced in the consumer's IPP and for which the FHA or the family home provider is responsible; or
(2) Prescribed for the consumer; or
(3) Needed by the consumer.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 10 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 10 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24 -95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 11. Abuse and Special Incident Reporting
§56093. Abuse and Special Incident Reporting.
Note     •     History

(a) The family home provider shall report any occurrence or allegation of consumer abuse to the FHA and either the adult protective services agency or the local law enforcement agency pursuant to Welfare and Institutions Code Section 15630.
(1) In addition to (a), the family home provider shall also report any occurrence or allegation of neglect or exploitation to the FHA.
(b) The report in subsection (a) shall be:
(1) By telephone, FAX or electronic mail immediately, but in no case more than 24 hours after the occurrence; and
(2) Submitted in writing within 48 hours after the occurrence.
(c) Upon receipt of the report in subsection (b)(1), or upon the FHA's independent suspicion or knowledge of abuse, the FHA shall notify:
(1) The regional center pursuant to Title 17, California Code of Regulations, Section 54327(b);
(2) The consumer's authorized representative, if applicable;
(3) The applicable protective services agency or local law enforcement agency; and
(4) Any person designated in the consumer's IPP to receive information regarding any occurrence of consumer abuse or allegations of consumer abuse.
(d) The notification in subsection (c) shall be:
(1) By telephone, FAX or electronic mail immediately, but in no case later than the end of the FHA's business day; and
(2) Submitted in writing within 48 hours after the occurrence.
(e) The regional center, the FHA and the family home provider shall cooperate as requested by any agency which has the responsibility for investigating the occurrence.
(f) The Family home provider shall report to the FHA the following special incidents in which consumers are involved:
(1) Incidents as defined in Section 54327(b);
(2) Incidents which may result in criminal charges or legal action;
(3) Incidents which may result in the denial of a consumer's rights;
(4) Poisonings;
(5) Catastrophes;
(6) Emergency treatment;
(7) Fires or explosions; or
(8) Any other incident which appears to have a negative effect on the consumer's health, safety and well-being.
(g) The report in subsection (f) shall be:
(1) By telephone, FAX or electronic mail immediately, but in no case more than 24 hours after the incident; and
(2) Submitted in writing within 48 hours after the incident.
(h) Upon receipt of the report in subsection (g), or upon the FHA's independent suspicion or knowledge of a special incident, the FHA shall notify:
(1) The regional center pursuant to Title 17, California Code of Regulations, Section 54327(b);
(2) The consumer's authorized representative, if applicable;
(3) Any person designated in the consumer's IPP to receive such information.
(i) The report required by subsection (h) shall be:
(1) By telephone, FAX or electronic mail immediately, but in no case later than the end of the FHA's business day; and
(2) In writing within 48 hours after the incident.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 11 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 11 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsection (a), new subsection (a)(1), amendment of subsections (c)(3) and (f), repealer of subsection (g), new subsections (g)-(h) and subsection relettering, redesignation of former subsections (g)(1)-(3) as (h)(1)-(3), and amendment of newly designated subsection (i), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8)
4. Amendment of subsections (b)(1), (c)(1), (c)(4), (d)(1), (g)(1), (h)(1) and (i)(1) and amendment of Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b)(1), (c)(1), (d)(1), (g)(1), (h)(1) and (i)(1) and amendment of Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
7. Amendment filed 6-27-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Reinstatement of section as it existed prior to 6-27-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 43).  
9. Amendment filed 10-25-2001 as an emergency; operative 10-31-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-28-2002 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 10-25-2001 order, including amendment of subsections (c)(1), (f)(1) and (h)(1), transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
Article 12. Termination of Residency
§56094. Termination of Residency.
Note     •     History

(a) The consumer may terminate residency at any time with or without cause.
(1) The family home provider shall notify the FHA and the regional center when the consumer decides to terminate residency as specified in subsection (a).
(b) The notification required in subsection (a)(1) shall be:
(1) By telephone immediately; and
(2) In writing within 24 hours after the termination of residence.
(c) When the consumer's decision to terminate residency is unanticipated by the family home provider or the FHA or the consumer's decision to terminate residency is due to an emergency, the FHA shall provide or arrange for services pursuant to Section 56084(b)(4)(I).
(d) Upon notification as required by subsection (a)(1), the regional center shall convene the consumer's ID Team within a reasonable period of time not to exceed 5 working days following receipt of the notification required by subsection (b) to assess the consumer's residence in terms of subsection (h)(1) through (3).
(e) When a family home provider determines that the family home is unable to continue to meet the needs of the consumer as specified in the consumer's IPP, the family home provider shall notify the following, in writing, at least 30 days prior to the date of termination of residency:
(1) The consumer;
(2) The regional center;
(3) The FHA; and
(4) The consumer's authorized representative, if applicable.
(f) When an FHA determines that it is unable to continue to meet the needs of the consumer as specified in the consumer's IPP, the FHA shall notify the following, in writing, at least 30 days prior to the date of termination of residency:
(1) The consumer;
(2) The regional center;
(3) The family home provider; and
(4) The consumer's authorized representative, when applicable.
(g) When the regional center determines that the FHA or the family home provider is unable to continue to meet the needs of the consumer as specified in the consumer's IPP, the regional center shall notify the following, in writing, at least 30 days prior to the date of termination of residency:
(1) The consumer;
(2) The FHA;
(3) The family home provider; and
(4) The consumer's authorized representative, if applicable.
(h) Upon the determination in subsections (e), (f), or (g), the regional center shall convene the consumer's ID Team to assess:
(1) The need for additional or different services and supports in order for the consumer to remain in the family home; or
(2) If a move becomes necessary, the consumer's choices and needs for services and supports before, during and after the move to a new residence; and
(3) Any additional measures necessary to meet the consumer's health and safety needs until the move has been accomplished.
(i) A place of residence shall be selected by the regional center and the FHA within a reasonable period of time based upon concerns for the health and safety of the consumer.
(j) The FHA shall provide the services and supports necessary to enable the consumer to continue to reside in the family home until a new residence is selected pursuant to subsection (i).
(k) If a new residence is not available by the designated termination date, the regional center shall coordinate with the FHA to ensure that the services and supports necessary to enable the consumer to continue to reside in the family home are provided until a new residence is available.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 12 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 12 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (d) and (h)-(h)(2), new subsection (h)(3), amendment of subsection (i), repealer of subsections (i)(1)-(2) and new subsection (k), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
Article 13. Monitoring and Sanctions
§56095. Monitoring and Sanctions.
Note     •     History

(a) The FHA's social service staff shall monitor family homes on at least a monthly basis to ensure:
(1) Consistency between the services and supports being provided by the family home and the services and supports specified in the consumer's IPP;
(2) Consistency between the services and supports being provided by the family home and the FHA's program design;
(3) Consumer satisfaction;
(4) Appropriateness of the match between the needs of the consumer and the family home;
(5) Consumer health and safety; and
(6) Accountability of consumer funds and property.
(b) The FHA's social service staff shall report deficiencies identified pursuant to subsection (a) to the regional center.
(c) The regional center representative shall meet with the consumer at least quarterly to ensure the following:
(1) That the services and supports referenced in the consumer's IPP are being provided as specified;
(2) That the consumer is achieving the outcomes specified in the consumer's IPP;
(3) That the consumer's health and safety are not endangered;
(4) That the consumer is satisfied as a resident in the family home, as determined by the consumer, the consumer's authorized representative, if any, the consumer's family, or significant others, or all of these; and 
(5) That the consumer's funds and property are accounted for.
(d) When the meeting pursuant to subsection (c) is announced, the regional center representative shall provide advance notice to the consumer's authorized representative, if any, of the date and time of the meeting.
(1) A maximum of two of the quarterly meetings per year may be conducted during an unannounced visit pursuant to Welfare and Institutions Code Section 4648.1 provided that the regional center representative also satisfies the requirements of (c).
(e) At least two of the quarterly meetings required by subsection (c) shall take place at the family home and a representative of the FHA shall be present.
(1) Other quarterly meetings may take place at a place other than the consumer's residence at a site acceptable to the consumer.
(f) When the consumer's authorized representative, if any, is unable to attend the meeting, or the meeting is unannounced pursuant to Welfare and Institutions Code Section 4648.1(a), the regional center representative shall confer with the consumer's authorized representative regarding the consumer's progress toward achieving his/her Lanterman Act IPP objectives.
(g) A regional center representative shall monitor the FHA on at least an annual basis to ensure:
(1) That services and supports provided by the FHA and the family home conform to applicable laws and regulations;
(2) That the administration of the FHA is consistent with the contract negotiated between the FHA and the regional center pursuant to Section 56082(a); and
(3) That the services and supports provided by the FHA and the family home are consistent with the FHA's program design as required by Section 56084.
(h) In the event that the regional center learns of or identifies a deficiency pursuant to subsections (a) through (c) and (g), the regional center shall require the FHA to implement a written plan of corrective action which specifies:
(1) A description of the condition(s) or complaint(s) which led to the need for corrective action;
(2) The method(s) by which the administrator is required to correct the condition(s) or complaint(s);
(3) The technical assistance to be provided by the regional center or the Department; and
(4) The time frame for the correction of the condition(s) or complaint(s).
(i) When the FHA fails to make the required corrections specified in subsection (h), the regional center shall impose any or all of the following sanctions on the FHA by requiring:
(1) Movement of a consumer from a family home;
(2) Termination of approval of a family home and revocation of the family home's Certificate of Approval; and
(3) Termination of the FHA's vendorization.
(j) When the regional center imposes a sanction pursuant to subsection (i), the regional center shall inform the FHA in writing of the following:
(1) The sanction to be imposed;
(2) The deficiency which led to the sanction; and
(3) The effective date of the sanction.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4405 and 4689.1, Welfare and Institutions Code. Reference: Sections 4501, 4646.5, 4648.1(a), 4689.1 and 4742, Welfare and Institutions Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. New article 13 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New article 13 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a)(3) and (c)(4), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
4. Amendment of subsection (c) and Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (c) and Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98, disapproved by OAL and order of repeal of 10-20-98 order filed on 2-17-99 (Register 99, No. 8).
7. Amendment of subsections (c)-(c)(1) and (c)(4), new subsections (d)-(f), subsection relettering, amendment of newly designated subsections (h), (i) and (j) and amendment of Note filed 9-20-99; operative 10-20-99 (Register 99, No. 39).
Article 14. Appeals
§56096. Appeals.
Note     •     History

(a) The FHA may appeal the denial of an application for vendorization pursuant to Title 17, Section 54380.
(b) The FHA may appeal sanctions imposed pursuant to Section 56095(f)(1) through (3) to the Director.
(c) The FHA shall file a written appeal with the Director within 30 days after notification of the imposition of a sanction.
(d) If the appeal is not filed within the time specified in subsection (c), it shall be denied unless good cause pursuant to Section 56098 is established for the late submission.
(1) Good cause shall be determined by the Director.
(2) If good cause for late submission is established, the Director shall proceed to decide the appeal in accordance with Section 56097(c).
(e) Appeals of the denial of an application for vendorization or the termination of vendorization pursuant to Welfare and Institutions Code Section 4689.4 shall be filed and conducted pursuant to Welfare and Institutions Code Section 4689.5.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New article 14 and section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
. 2. New article 14 and section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56097. Content of Appeal and Decision.
Note     •     History

(a) The appeal filed pursuant to Section 56096(c) shall be in writing and shall include, but not be limited to, the following:
(1) The appellant's:
(A) Name, business address, and telephone number; and
(B) Vendor identification number, service code and subcode, if applicable.
(2) Identification of the action being appealed;
(3) The specific basis for the appeal; and
(4) All supporting documentation and any other information necessary to substantiate and/or justify the appeal, including the specific regulation used as the basis for the appeal.
(b) Within 15 days after receipt of the appeal, the Director shall review the appeal to determine whether the appeal contains the information required by subsection (a)(1) through (4).
(1) If all the required information has been submitted, the Director shall render a decision pursuant to subsection (c).
(2) If all the required information has not been submitted and/or additional information is needed, the Director shall request the information in writing from the appellant.
(3) The appellant shall submit the required or additional information to the Director within 15 days after receipt of the request.
(A) If the information is not submitted within the time specified in subsection (b)(3), the appeal shall be deemed to be withdrawn and no further action will be taken unless the appellant establishes good cause pursuant to Section 56098.
1. If good cause for late submission is established, the Director shall proceed with the appeal and render a decision pursuant to subsection (c).
(B) If the information is submitted but does not comply with the request, the appeal shall be deemed withdrawn and no further action will be taken.
(c) The Director shall render a decision on the appeal within 60 days after receipt of all required and/or requested information. The decision shall include, but not be limited to:
(1) Date of the decision;
(2) Identify the specific issue(s) in dispute;
(3) Rule on each issue identified;
(4) State the facts supporting each ruling; and
(5) Specify the statutes and/or regulations upon which each ruling is based.
(d) A written copy of the decision shall be mailed to the appellant within 15 days after the decision is rendered.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order, including amendment of subsections (a) and (c), transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56098. Good Cause.
Note     •     History

(a) For the purposes of Sections 56096(d) and 56097(b)(3)(A), good cause for a failure to act includes but is not limited to:
(1) A violent act of nature, including, but not limited to, flood, earthquake, blizzard or fire; and/or
(2) Arson, vandalism and/or theft of records and/or property by individuals other than the appellant which preclude the appellant from filing a timely appeal.
(b) The appellant shall, within 60 days after the incident giving rise to its claim of good cause, submit to the Director the basis for the claim of good cause and all supporting documents or other evidence substantiating the claim.
(c) The Director shall, within 30 days of receipt of the claim and supporting documentation, review the information and render a decision regarding whether good cause has been established.
(d) The Director shall notify the appellant in writing of the decision.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New section filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).
§56099. Review of Documents Only.
Note     •     History

(a) An appeal made pursuant to this Article shall be decided only on the merits of the documents submitted.
(b) There shall not be oral testimony or argument.
(c) Nothing in Sections 56096 through 56099 shall preclude the regional center and the appellant from holding an informal conference at any time to discuss or resolve the issues in dispute.
NOTE

Authority cited: Section 4689.1, Welfare and Institutions Code; Chapter 1095, Statutes of 1994, Section 14. Reference: Section 4689.1, Welfare and Institutions Code.
HISTORY

1. New section and form DS5407 filed 7-24-95 as an emergency; operative 7-24-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-95 or emergency language will be repealed by operation of law on the following day.
2. New section and form DS5407 refiled 11-14-95 as an emergency; operative 11-14-95 (Register 95, No. 46). A Certificate of Compliance must be transmitted to OAL by 3-13-96 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-24-95 order transmitted to OAL 1-8-96 and filed 2-22-96 (Register 96, No. 8).

View Graphic
Subchapter 4.2. Intermediate Care Facility (ICF); Intermediate Care Facility/Developmentally Disabled (ICF/DD); Intermediate Care Facility/Developmentally Disabled-Habilitative (ICF/DD-H); Intermediate Care Facility/Developmentally Disabled-Nursing (ICF/DD-N); Skilled Nursing Facility (SNF) Monitoring Requirements
Article 1. Definitions
§56100. Meaning of Words.
Note     •     History

A word or a phrase shall have its usual meaning unless the context or a definition clearly indicates a different meaning. Words and phrases used in their present tense include the future tense. Words and phrases in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct. “May” denotes permissive conduct.
NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4648.1 and 4742, Welfare and Institutions Code.
HISTORY

1. New subchapter 4.2 (articles 1-2), article 1 (sections 56100-56101) and section filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day. For prior history of article 1 (sections 56550-56609) see Register 91, No. 14.
2. New subchapter 4.2 (articles 1-2), article 1 (sections 56100-56101) and section refiled 10-26-98 as an emergency; operative 10-26-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-98 order, including amendment of subchapter heading, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
§56101. Definitions.
Note     •     History

(a) The following definitions shall apply to the regulations set forth in this subchapter:
(1) “Consumer” means a person who has a disability which meets the definition of “developmental disability” as specified in Welfare and Institutions Code, Section 4512(d).
(2) “Consumer's Authorized Representative” means a person who meets any of the qualifications for an “authorized representative” as set forth in Welfare and Institutions Code Section 4701.6.
(3) “Facility Representative” means a person who is employed or designated by the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF to represent that facility.
(4) “Immediate Danger” means an immediate and serious threat having a high probability that serious harm or injury to the consumer's health and safety could occur at any time, or already has occurred and may occur again if the consumer(s) is not protected effectively from the harm or injury or the threat to the consumer's health and safety is not removed.
(5) “Intermediate Care Facility (ICF)” means an Intermediate Care Facility as defined in Health and Safety Code Section 1250(d).
(6) “Intermediate Care Facility/Developmentally Disabled (ICF/DD)” means an Intermediate Care Facility/Developmentally Disabled as defined in Health and Safety Code Section 1250(g).
(7) “Intermediate Care Facility/Developmentally Disabled/Habilitative (ICF/DD-H)” means an Intermediate Care Facility/Developmentally Disabled-Habilitative as defined in Health and Safety Code Section 1250(e).
(8) “Intermediate Care Facility/Developmentally Disabled/Nursing (ICF/DD-N)” means an Intermediate Care Facility/Developmentally Disabled-Nursing as defined in Health and Safety Code Section 1250(h).
(9) “Lanterman Act Individual Program Plan (IPP)” means a written plan for consumer services developed by the consumer's planning team in accordance with the provisions of Welfare and Institutions Code Sections 4646 and 4646.5.
(10) “Regional Center” means a private nonprofit diagnostic, counseling and service coordination center for developmentally disabled persons and their families which is established and operated pursuant to Welfare and Institutions Code Sections 4620 through 4669.
(11) “Regional Center Representative” means a person who is employed or designated by the regional center to represent that agency.
(12) “Skilled Nursing Facility (SNF)” means a skilled facility as defined in Title 22, California Code of Regulations, Section 51121.
NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4502 and 4742, Welfare and Institutions Code; Section 1250, Health and Safety Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. New section filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-26-98 as an emergency; operative 10-26-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-98 order, including amendment of section, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
Article 2. Monitoring
§56102. State Developmental Centers.
Note     •     History

The requirements of Subchapter 4.2 shall not apply to State Developmental Centers.
NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4502 and 4742, Welfare and Institutions Code; Section 1250, Health and Safety Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. New article 2 (sections 56102-56104) and section filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 56102-56104) and section refiled 10-26-98 as an emergency; operative 10-26-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-98 order, including renumbering of former section 56102 to section 56103 and new section 56102, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
§56103. Service Delivery Monitoring.
Note     •     History

(a) The regional center representative shall meet with the consumer at least quarterly to review the consumer's progress toward achieving his/her Lanterman Act IPP objectives.
(1) At least two of the quarterly meetings per year required by subsection (a) shall take place in the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF and a facility representative shall be present at these meetings.
(2) Other quarterly meetings may take place at a location other than the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF at a site acceptable to the consumer.
(3) A maximum of two of the quarterly meetings per year pursuant to subsection (a) may be conducted during an unannounced visit pursuant to Welfare and Institutions Code Section 4648.1(a), provided the requirement specified in subsection (b) is met.
(4) The regional center representative shall provide advance notification to the facility, the consumer's authorized representative, if any, and the consumer of the date and time of the meeting required by subsection (a) if the meeting is to be announced.
(5) When the consumer's authorized representative is unable to attend the meeting required by subsection (a), or the meeting is unannounced pursuant to Welfare and Institutions Code 4648.1(a), the regional center representative shall confer with the consumer's authorized representative regarding the consumer's progress toward achieving his/her Lanterman Act IPP objectives.
(b) The regional center representative shall review the documentation of the implementation and progress toward achievement of the consumer's Lanterman Act IPP objectives.
(c) When the meeting is announced, and the notification requirements of (a)(4) have been met, the regional center representative shall meet privately with the consumer when requested by the consumer or the consumer's authorized representative, if any.
(d) The regional center representative may review the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF's records and accounts of the consumer's cash resources, personal property and valuables.
(e) Upon completing the reviews specified in subsections (a) and (b), the regional center representative shall complete a written progress report which includes, but is not limited to:
(1) The date of the meeting(s) required by subsection (a) and the review required by subsection (b);
(2) Documentation of the meeting(s) required by subsection (a);
(3) Any changes in the consumer's needs for services and supports and all actions taken in response to those changes;
(4) A summary of the provision of services and supports to the consumer pursuant to the consumer's Lanterman Act IPP; and
(5) The signature of the regional center representative.
(f) The written progress report shall be retained by the regional center in the consumer's file.
(g) If the regional center representative finds any evidence of suspected licensing violations during a review, he/she shall report such violations immediately to the appropriate California Department of Public Health's Licensing and Certification district office.
NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4502, 4648.1(a) and 4742, Welfare and Institutions Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. New section filed 5-10-2000; operative 6-9-2000 (Register 2000, No. 19). For prior history, see Register 99, No. 8.
2. Change without regulatory effect amending subsection (g) filed 9-24-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 39).
§56104. Suspension of Placements.
Note     •     History

(a) The regional center shall not place new consumers into an ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF when any of the following circumstances exist at the facility:
(1) The ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF's license has been suspended;
(2) A revocation action against the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF's license is pending or has been referred to the Attorney General;
(3) The court has been petitioned for a receiver, or a receiver has been appointed, for the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF; or
(4) The Department of Health Care Services has issued written notice to the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF that the facility's certification for Medi-Cal funding will not be renewed or is being suspended.
NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4501, 4502, 4502.1, 4646.5, 4648.1 and 4742, Welfare and Institutions Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. New section filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-26-98 as an emergency; operative 10-26-98 (Register 98, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-23-99 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-26-98 order, including renumbering and amendment of former section 56103 to section 56104, transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
4. Change without regulatory effect amending subsection (a)(4) filed 9-24-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 39).
§56105. Termination of Consumer(s) Residence.
Note     •     History

(a) The regional center shall have the authority to relocate a consumer residing in an ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF when:
(1) The consumer or the consumer's authorized representative asks for the consumer to be moved.
(2) No other agency has jurisdiction to act or an agency with jurisdiction is unable to do so in a timely manner, and the regional center has determined that:
(A) The consumer is in immediate danger; or
(B) The consumer's health or safety would be compromised by continued residence in the ICF, ICF/DD, ICF/DD-H, ICF/DD-N or SNF.
NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4501, 4502, 4502.1, 4646.5, 4648.1 and 4742, Welfare and Institutions Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. Renumbering and amendment of former section 56104 to section 56105 filed 2-17-99; operative 2-17-99 (Register 99, No. 8).
§56610. Compliance.
Note     •     History

NOTE

Authority cited: Section 4748, Welfare and Institutions Code. Reference: Sections 4746 and 4748, Welfare and Institutions Code.
HISTORY

1. Repealer filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
Subchapter 5. Standards for Nonresidential Services
Article 1. Definitions
§56702. Terms Defined in Other Subchapters.
Note     •     History

(a) As used in this subchapter, the following words and phrases have the meanings specified in section 54302 of these regulations;
(1) Activity Center
(2) Adult Day Programs
(3) Adult Development Center 
(4) Authorized Consumer Representative 
(5) Behavior Management Program
(6) Community-based Day Programs 
(7) Community Integration
(8) Consumer
(9) Days
(10) Department
(11) Direct Care Staff
(12) Direct Services
(13) Functional Skills
(14) Generic Agency
(15) Independent Living Program 
(16) Individual Program Plan (IPP) 
(17) In-home Respite Services 
(18) Infant Development Program 
(19) Interdisciplinary Team (ID Team)
(20) Natural Environment
(21) Program Preparation Functions
(22) Regional Center
(23) Self-Care
(24) Social Recreation Program 
(25) Special Incident Report
(26) Staffing Ratio
(27) Vendor
NOTE

Authority cited: Sections 4648, 4690, 4690.2 and 4691, Welfare and Institutions Code. Reference: Sections 4646, 4648, 4690, 4690.2 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a)(4), repealing subsection (a)(6), renumbering subsections, and adding new subsection (a)(8) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56704. Additional Terms Defined.
Note     •     History

(a) As used in this subchapter, the following words and phrases have the following meanings:
(1) “Care Giver” means an adult, other than a parent, who has primary responsibility for the care and custody of a child. A care giver may be a relative, such as an aunt, uncle, or grandparent, or an unrelated adult, such as a foster care parent;
(2) “Center-Based Environment” means within a day care facility or on the grounds of such a facility;
(3) “Consumer Program Coordinator” means the individual specified in Welfare and Institutions Code, section 4648 (a) who has the responsibility for, implementing, overseeing, and monitoring, the consumer's IPP and for maintaining the consumer's case management or service coordination file. Consumer program coordinator is synonymous with regional center case manager, counselor or service coordinator;
(4) “Employment Training” means individually planned activities and instruction which enable adults with developmental disabilities to obtain and maintain paid work and which can occur in group or individual situations. This term is synonymous with vocational training;
(5) “Non-mobile Persons” means persons who are confined to wheelchairs or gurneys, and who are unable to move from one place to another place independently;
(6) “Personal Needs”, means a condition or situation pertaining to one s own intimate and immediate care, such as eating, toileting, personal hygiene;
(7) “Program Curriculum” means the array of consumer training services offered by a vendor; and
(8) “Self-Help” means those skills and abilities which are considered as normal developmental milestones for non disabled children.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 2. Standards for All Community-Based Day Programs
§56710. General Requirements.
Note     •     History

(a) Community-based day program vendors shall adopt and review, annually, a written internal grievance procedure for consumers pursuant to Welfare and Institutions Code, Section 4705.
(b) A community-based day program vendor may subcontract for provision of a portion of the direct service if both of the following conditions are met:
(1) The unique needs of the consumer(s) require an intermittent service for a portion of the direct service day which can only be provided by a licensed professional not available within the program staff; and
(2) Written approval of the regional center is obtained.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4705 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (c)-(c)(2) and amendment of Note filed as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (c)-(c)(2) and amendment of Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsection (c) and amendment of Note transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Change without regulatory effect amending subsections (a) and (b)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56711. Waiver of Service Standards.
Note     •     History

(a) Regional centers, in negotiating service contracts pursuant to Section 57540 or a lower level of payment pursuant to 57300(d), may waive or modify any of the following program standards for the duration of the service contract or lower level of payment:
(1) Personnel functions and qualifications specified in Sections 56724(a), (b), (c) and (e), 56754, and/or 56770;
(2) Staff training requirements specified in Section 56726 and/or 56774; and/or
(3) Program evaluation requirements specified in Section 56732.
(b) Regional centers may waive or modify any of the program standards pursuant to (a) above only if waiver or modification of the program standard(s) will not adversely affect the health and safety of the consumers or place the consumers in a more restrictive environment.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147 and Section 4791(i), Welfare and Institutions Code. Reference: Section 4791, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. Amendment of subsection (a)(1) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Change without regulatory effect amending subsection (b) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56712. Program Design.
Note     •     History

(a) The program design shall include the following items: 
(1) A program description which includes:
(A) The purpose and goals of service;
(B) Anticipated consumer outcomes resulting from participation in the program stated in measurable terms;
(C) Program curriculum pursuant to Section 56742 or 56764 of these regulations;
(D) Description of the location(s) in which consumer training occurs, such as a center-based environment, the consumer's place of residence or a natural environment;
(E) Consumer attendance policy which includes the following:
1. The requirement for the vendor to notify the regional center on or before a consumer's fifth consecutive day of unplanned absence;
2. The attendance requirements for consumers to remain enrolled in the program; and
3. The efforts the program will make to assure attendance at the program as frequently as determined necessary by the ID Team.
(F) Statement of the staffing ratio required pursuant to Section 56756 or 56772 of these regulations;
(G) Schedule of the vendor's direct service operating hours including a sample of a current weekly schedule; and
(H) A staff training plan, if developed pursuant to Sections 56726 and 56774 of these regulations, if applicable.
(2) A description of the entrance/exit criteria pursuant to Sections 56714 and 56746 of these regulations, if applicable, including the intake procedure and any screening processes used by the vendor; 
(3) A description of the process used to determine how the vendor will assist each consumer served in achieving his/her IPP objectives for which the vendor is responsible including:
(A) Consumer assessment procedures, timelines, and instruments used, including an explanation of how each instrument is applicable in assessing the consumer's needs;
(B) Utilization of assessment data for determining the specific activity and program services that consumers receive; and
(C) Evaluation procedures used to determine the extent of a consumer's progress toward achieving the specific outcomes in each IPP objective for which the vendor is responsible.
(4) A description of the method of evaluating program effectiveness in accordance with Section 56732 of these regulations; and
(5) A description of the internal consumer grievance procedures required pursuant to Section 56710(a) of these regulations.
(b) When modifications are made to the program design which constitute a change in the type of services provided, the vendor must, at least 30 days prior to the change, notify the consumers or their authorized consumer representatives and submit to the vendoring regional center, a revised program design as described in (a) above. A revised program design is required when any of the following elements of the program design are changed:
(1) Locations in which consumer training occurs; 
(2) Curriculum training components; 
(3) Existing approved staffing ratio; 
(4) Approved service code; 
(5) Entrance and/or exit criteria;
(6) Hours of operation.
(c) A rate adjustment request which results from a program design change shall be submitted to the vendoring regional center prior to December 1 of the current calendar year in accordance with section 57922 of these regulations.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Section 4691, Welfare and Institutions Code. Reference: Chapter 1011, Statutes of 1992, Section 11, Sections 4646, 4646.5, 4648, 4691, 4690.2, 4705 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Amendment of subsections (a)(1)(A)-(a)(5) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56714. Vendor Entrance and Exit Criteria for Consumers.
Note     •     History

(a) The vendor shall have written entrance and exit criteria that shall be used by a consumer's ID Team to determine the appropriateness of the vendor's program for meeting the objective(s) of an individual consumer's IPP. The criteria shall include all of the following:
(1) Ages of consumers to be served;
(2) Any other prerequisites required for participation in the program; and
(3) The level of skills and ability development which would indicate that placement in the vendor's program may no longer meet the consumer's needs.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56716. Consumer Placement Procedures.
Note     •     History

(a) Interdisciplinary Teams shall identify community-based day programs which can meet the objectives of the consumer's IPP developed pursuant to Welfare and Institutions Code, section 4646.5 and which are located as close to the consumer's residence as possible as required by Welfare and Institutions Code, section 4501.
(b) Placement in a program shall occur providing all of the following conditions exist:
(1) The consumer or authorized consumer representative consents to the placement;
(2) The regional center concurs that the placement is appropriate;
(3) The consumer's needs can be met within the staffing ratio approved for the program pursuant to section 56756 or 56772 of these regulations;
(4) The consumer meets the vendor's entrance, criteria; and 
(5) The vendor agrees to the consumer's placement in the program.
(c) A consumer's continued placement in a community-based day program shall be based upon a determination by the ID Team during the IPP review that:
(1) There is documentation that all of the conditions in paragraph (b) above exist; and
(2) The consumer has been assisted by the program in making reasonable progress toward the IPP objective(s) for which the consumer was originally placed into the program.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691 and 4791(i), Welfare and Institutions Code. Reference: Chapter 1011, Statutes of 1992, Section 11; and Sections 4501, 4646, 4646.5, 4648, 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 35). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56718. Consumer Placement and Funding Termination Procedures.
Note     •     History

(a) Funding of a consumer's placement in a vendor's program shall be terminated when one or more of the following occur:
(1) The regional center issues a written determination stating that continued participation jeopardized the consumer's health and safety;
(2) The consumer or authorized consumer representative makes a written or oral request to the regional center to discontinue participation or the consumer can no longer attend the program due to an unanticipated change in residence;
(3) The ID Team has determined through a consumer evaluation that the vendor's program no longer meets the consumer's needs;
(4) The vendor determines that its program may no longer meet the consumer's needs; or
(5) The consumer, or authorized consumer representative acting on behalf of the consumer, consents to an alternate placement identified by the ID Team as being able to meet the consumer's needs and as being more cost effective. The alternate placement shall be considered more cost effective if the combined cost of the alternate placement and the cost of transporting the consumer to and from the alternate placement is less than the combined cost of the consumer's current placement and the cost of transporting the consumer to and from the current placement.
(b) When a determination is made pursuant to (a)(1), (3), (4) or (5) above, the basis for the determination shall be documented in writing in the consumer's case file by the regional center for (a)(1) and/or (3) and/or (5) and by the vendor for (a)(4). The regional center shall also include written documentation in the consumer's file that the consumer or authorized consumer representative has been informed of the fair hearing rights pursuant to Welfare and Institutions Code, Sections 4701, 4705 and 4710 when the determination is made pursuant to (a)(1), (3) or (5) above.
(c) When the regional center or the vendor proposes to terminate the consumer's placement in the vendor's program, other than in accordance with (a)(1) or (a)(2) above, the initiating party shall notify the other party and the consumer in writing at least 30 days prior to the proposed termination date. Such notice shall include a written statement of reasons for the termination. If the regional center terminates the placement prior to the end of the 30 day notice period, except as specified in (a)(1) and (a)(2) above, the vendor shall be paid for those days of program services during that 30 days period for which the consumer would have been authorized to receive services as identified in the IPP. Funding shall not continue under either of the following circumstances:
(1) There is agreement between the regional center, vendor, and the consumer or authorized consumer representative for an earlier termination date. In this instance, funding shall be provided through the date the consumer leaves the program.
(2) The consumer's vacated place in the program has been filled by another consumer. In this instance, funding for the consumer who is no longer in the program shall cease on the date the substitute consumer begins attending.
(d) When the conditions specified in (a)(1) above exist, termination shall be immediate and no further payment shall be made, except as specified in (e) below.
(e) When the conditions specified in (a)(1), (a)(3) or (a)(5) above exist, termination of funding shall not be made if the consumer files a fair hearing request pursuant to Welfare and Institutions Code, Sections 4700 through 4730.
(f) When the conditions specified in (a)(2) above exist, funding shall terminate immediately upon the consumer's nonparticipation. The regional center shall notify the vendor in writing of the reason that the consumer no longer wishes to participate in the program. Such notification shall be made within 10 days of the date the regional center is notified by the consumer or authorized consumer representative.
(g) A vendor may exclude a consumer from participation in the program during periods when the vendor determines that the consumer is a threat to the health and safety of other individuals in the program. Such exclusion shall be followed by a meeting scheduled by the vendor within three working days to include the consumer program coordinator, the consumer and authorized consumer representative to discuss the basis of the exclusion and any program changes that may be required. The provisions of this paragraph shall not apply to exclusions that are made in accordance with a prior written agreement with the regional center pertaining to the individual consumer.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4691, and 4700 through 4730, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(4) and Note and new subsection (a)(5) filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(4) and Note and new subsection (a)(5) refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a)(5), (b) and (e) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56720. Consumer IPP Documentation.
Note     •     History

(a) The vendor shall be responsible for establishing, maintaining, and modifying, as necessary, documentation regarding the manner in which it will assist each consumer served in achieving his/her IPP objective(s) for which the vendor is responsible.
(b) The following time lines shall be followed in establishing, maintaining, and modifying the documentation required in (a) above.
(1) The regional center shall provide the vendor a written copy of the consumer's IPP within 30 days following:
(A) The consumer's admission to the vendor's program; and
(B) Any modification made by the ID Team to the consumer's IPP.
(2) The vendor shall prepare the documentation required in (a) above within 30 days of receipt of the IPP pursuant to (b)(1)(A) or (B) above.
(c) Each fiscal year or at least semiannually, the vendor shall:
(1) Review the consumer's performance and progress in relation to each IPP objective for which the vendor is responsible; and
(2) Submit written documentation to the regional center which includes all of the following:
(A) An evaluation of the consumer's performance and progress based upon the review conducted pursuant to (c)(1) above;
(B) Identification of the barriers to the consumer's success in achieving the IPP objective(s) for which the vendor is responsible and how such barriers shall be overcome in the future; and
(C) Whether the vendor's program can continue to meet the consumer's needs as specified in the IPP.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4646, 4648, 4648.1 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (c) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c) and Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56722. Personnel Requirements.
Note     •     History

(a) Each vendor shall maintain current written job descriptions, or interagency agreements with the generic agency providing the staff, for all personnel, including staff whose wages are not paid by regional center purchase of service funds.
(b) Each job description shall include:
(1) Position title;
(2) Role and responsibility of the position within the organizational structure of the program;
(3) Duty statement;
(4) Work hours;
(5) Minimum qualifications
(6) Positions supervised, if applicable; and
(7) Reporting supervisor.
(c) The vendor shall not assign any staff person to more than one full-time position.
(d) Volunteers shall not be used to replace paid staff, but may be used to augment such staff, pursuant to Section 56724 of these regulations.
(e) Staff whose wages are not paid by regional center purchase of service funds shall demonstrate the minimum qualifications as identified in Section 56724 of these regulations necessary for each job function performed.
(f) The vendor is authorized to utilize consultants to develop the program design pursuant to Section 56712 of these regulations, and to develop and carry out staff development and training.
NOTE

Authority cited: Sections 4648 and 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a) and (d) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(4) and amendment of Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order  transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§56724. Personnel Functions and Qualifications.
Note     •     History

(a) Each vendor shall assign staff to carry out the duties described herein. The vendor is authorized to designate positions by different titles than those listed, but is responsible for assuring the functions described are carried out. Staff who are hired by the vendor to carry out the functions listed shall meet the minimum qualifications listed in this section.
(b) The vendor shall assign a director to carry out the administrative responsibilities for the program.
(1) The director shall have primary responsibility for the following functions:
(A) Organizing and supervising the program in accordance with the program's established policies;
(B) Overseeing the areas of budgeting, program design and implementation, project planning, staff development and training, evaluation and the direction of program services; and
(C) Organizing and monitoring the intake and continuing assessment process.
(2) The vendor is authorized to delegate to the director additional functions not identified in (b)(1) above and which are directly related to the overall administration of the program; and
(3) The director shall possess the minimum qualifications specified in section 56754 (a) or 56770 (a) of these regulations.
(c) The vendor shall assign staff to carry out supervisory responsibilities for the program.
(1) The supervisor shall have primary responsibility for one or more of the following functions:
(A) Selection, training, and supervision of assigned staff;
(B) Planning, managing, coordinating and evaluating, assigned staff efforts to achieve the program's objectives and consumer outcomes;
(C) Coordinating with the regional center the implementation of consumer IPP objectives for which the vendor is responsible;
(D) Assessing the program's effectiveness in achieving consumer IPP objectives; and
(E) Identifying barriers to consumer success in obtaining the IPP objective(s) and how those shall be overcome pursuant to section 56720(c)(2)(B) of these regulations.
(2) The vendor is authorized to delegate to the supervisor additional functions not identified in (c)(1) above and which are directly related to the supervision of the program.
(3) The supervisor shall possess the minimum qualifications specified in section 56754 (b) or 56770 (b) of these regulations.
(d) The vendor shall assign staff to carry out direct service and program preparation functions for the program.
(1) Each direct care staff person shall be responsible for the following functions:
(A) Implementing program curricula;
(B) Directly delivering individual and group learning experiences to assist each consumer served in obtaining his/her IPP objective(s) for which the vendor is responsible;
(C) Maintaining data regarding consumer progress; and 
(D) Participating in consumer assessment, planning and evaluation processes.
(2) The vendor shall not assign other duties to the direct care staff from the above noted functions during hours when direct service is provided.
(3) The direct care staff shall possess the following minimum qualifications:
(A) Education and experience required in the job description; and
(B) The ability to perform the functions required in the program design.
(e) The vendor shall assign staff to carry out administrative support functions, including clerical, janitorial, and bookkeeping or accounting.
(1) The vendor is authorized to hire staff directly to carry out such functions or to secure the performance of such functions from other entities.
(2) The administrative support staff shall demonstrate experience and the ability to perform the functions described in the job description.
(f) The vendor is authorized to use volunteers to augment paid staff providing the conditions in sections 56722 (a) through (d) of these regulations are met.
(g) The vendor is authorized to assign staff to operate a motor vehicle for the purpose of carrying out assigned functions. The vendor shall assure that such staff possess a current valid driver's license which is appropriate for the type of vehicle to be driven.
(h) The vendor shall assure that any consultant it utilizes shall comply with all California licensing, certification, registration and vendorization requirements applicable to the functions to be carried out.
NOTE

Authority cited: Sections 4648 and 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (c)(1)(B)-(c)(1)(E) and (d)(1)(B)-(d)(1)(D) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56726. Staff Training.
Note     •     History

(a) A vendor may develop and implement a written staff training plan for new employee orientation and ongoing employee staff training.
(b) If a training plan is developed pursuant to (a) above, it shall at a minimum:
(1) Describe the amount, type, subject, and frequency of training for different categories of staff, including staff who are not paid by regional center purchase of service funds or who are volunteers;
(2) Describe training curricula and techniques, including training in consumer safety procedures to be used in the event of an emergency; and
(3) Indicate time frames for accomplishing the training.
(c) If new employee orientation is developed pursuant to (a) above, it shall at a minimum:
(1) Be provided within the first two weeks of employment; 
(2) Be based on the prior experience and qualifications of the employee and the needs of the vendor; and
(3) Use a curriculum that includes, but is not limited to: 
(A) Welfare and Institutions Code, sections 4502, 4504, 4518, 4646.5, 4648, 4655, 4705, 4710 and 4710.5;
(B) Consumer's rights as defined in title 17, section 50510;
(C) The developmental disabilities service system;
(D) The policies, procedures and practices of the vendor's program; and
(E) Specific job requirements for that employee.
(d) If ongoing staff training is developed pursuant to (a) above, it shall at a minimum:
(1) Be provided for all direct care staff and supervisors on an annual basis; and
(2) Use a curriculum that addresses the particular instructional methodology and techniques used by the vendor in training consumers to meet their IPP objectives for which the vendor is responsible.
(e) The vendor shall document all training provided to employees.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691 and 4791(i), Welfare and Institutions Code. Reference: Chapter 1011, Statutes of 1992, Section 11; and Sections 4646.5, 4648.1, 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsection (a)(1) and amendment of Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending subsections (b)(2), (c)(3)(B) and (d)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56728. Program Records.
Note     •     History

(a) A vendor shall develop the following records and maintain them at its business office:
(1) The program design as required in Section 56712(a) of these regulations and changes made to the program design;
(2) Employee time sheets specifying each employee's shift hours;
(3) Employee payroll records;
(4) Consumer attendance, maintained daily, indicating the date of service;
(5) Documentation of all training attended by each employee;
(6) All records used by the vendor in completing the DS 1897 (12/92) submitted to the Department for a rate determination pursuant to Sections 57430 through 57534 of these regulations;
(7) All written approvals from regional centers or the Department required by these regulations;
(8) The program evaluation required by Section 56732 of these regulations; and
(9) The written description of the vendor's organizational structure as specified in Section 54326(b) of these regulations.
(b) Records required pursuant to (a)(2) through (a)(7) above shall be retained for five years from the date of origination or until audit adjustments have been resolved, whichever is longer.
(c) Current copies of the records required pursuant to (a)(1), (8), and (9) above shall be maintained.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4648, 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(6) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(6) and Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a)(6) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsection (a)(4) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56730. Consumer Records.
Note     •     History

(a) Vendors shall maintain consumer information and records as confidential documents pursuant to Welfare and Institutions Code, sections 4514 through 4518, and shall also maintain consumer confidentiality as required in Health and Safety Code, sections 199.20 through 199.27.
(b) Vendors shall maintain an individual consumer case file for each consumer admitted to the program.
(c) The consumer case file shall include:
(1) The most current copies of:
(A) Emergency and personal identification information, including the consumer's address, telephone number, names and telephone numbers of residential care provider, relatives, and/or guardian or conservator, physician's name(s) and telephone number(s), pharmacy name, address and telephone number, and health plan if appropriate;
(B) A medical history which includes:
1. Current medications;
2. Known allergies;
3. Medical disabilities;
4. Infectious, contagious or communicable conditions;
5. Special nutritional needs; and
6. Immunization records.
(C) Any consumer medical, psychological, and social evaluations identifying the consumer's ability and functioning level, which shall be supplied by the regional center;
(D) Authorization for emergency medical treatment; 
(E) Documentation that the consumer and/or the authorized consumer representative has been informed of his/her personal rights;
(F) The IPP as prepared and forwarded by the regional center; and
(G) Consumer IPP documentation as required by section 56720 of these regulations.
(2) All copies of:
(A) Special incident reports, if any; 
(B) Case notes reflecting important events or information not documented elsewhere;
(C) Data collected that measures consumer progress in relation to his/her IPP objectives; and
(D) Documentation of reviews conducted pursuant to section 56732 (c) of these regulations, including summaries of the data collection that indicate consumer performance and progress toward consumer outcomes for which the vendor is responsible.
(3) Documentation of attempts to obtain required information not contained in the consumer record.
(d) Records pertaining to the consumer shall be stored at the program site in a secure and locked place which shall be readily accessible. The vendor is authorized to keep pertinent consumer data, including, but not limited to, emergency telephone numbers, important medical data, current IPP objectives, and data collection sheets with the consumer when the consumer is participating in an activity or training at a location which is away from the program's central filing area.
(e) The individual consumer, case file shall be retained for five years following the consumer's termination from the program.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4514, 4646, 4646.5, 4648, 4648.1 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56732. Program Evaluation.
Note     •     History

(a) Each fiscal year the vendor shall conduct an annual review of its program's effectiveness in relation to the program design. This shall include a documented review of:
(1) The program's objectives as required in Section 56712(a)(1)(B) of these regulations; and
(2) Aggregate data on progress in relation to the IPP objectives for which the vendor is responsible.
(b) The vendor shall have a written evaluation design specifying:
(1) The purpose of the evaluation;
(2) The type of data to be collected and used;
(3) The frequency of data collection;
(4) Data collection and analysis methods;
(5) A description of the distribution, communication of, and actions taken upon the results of the evaluation;
(6) The frequency of evaluations; and
(7) The reason this particular evaluation design was selected and how it relates to program objectives.
(c) The vendor shall submit to the vendoring regional center, user regional centers and the Department a written summary of the annual program evaluation which shall be maintained in the vendor file at the vendoring regional center and at the Department. The vendor shall maintain on file pursuant to Section 56728 of these regulations the full program evaluation for review by the regional center and the Department.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4648, 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648, 4648.1, 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (a)(1) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56734. Effective Date of Compliance.
Note     •     History

(a) The effective date of compliance of community-based day programs with the provisions of sections 56710 through 56734, 56740 through 56756, and 56760 through 56774 of these regulations shall be as follows:
(1) Programs vendored after the effective date of these regulations shall be in compliance with these provisions upon the date of vendorization.
(2) Programs vendored prior to the effective date of these regulations which:
(A) Do not meet one or more provision(s) specified in sections 56710 through 56734, 56740 through 56756, and 56760 through 56774 of these regulations, except for the licensing provisions in sections 56740 and 56760 of these regulations, shall have a maximum of one year from the effective date of these regulations to come into compliance with the applicable provision(s).
(B) Equal or exceed any provision(s) specified in sections 56710 through 56734, 56740 through 56756, and 56760 through 56774 of these regulations, shall be deemed in compliance with the applicable provision(s) upon the effective date.
NOTE

Authority cited: Sections 4648 and 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 3. Additional Standards for Adult Day Programs
§56740. General Requirements.
Note     •     History

In addition to the general requirements specified in section 56710 of these regulations, adult day program vendors shall comply with applicable licensing requirements pursuant to the Health and Safety Code, sections 1500 through 1569.87.
NOTE

Authority cited: Sections 4648 and 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§56742. Program Curriculum and Components.
Note     •     History

(a) The program curriculum shall:
(1) Be developed by the vendor based upon:
(A) The program's philosophy and goals as stated in the program design; and
(B) The needs of the consumer population to be served.
(2) Reflect a pattern of activities similar to those of non-disabled adults; and
(3) Be designed to develop and maintain the consumer's functional skills.
(b) The program curriculum shall be developed as follows:
(1) Activity centers, adult development centers, and behavior management programs shall have at least one of the training components specified in (b)(1)(A) through (D) below and shall be conducted in center-based and/or natural environments:
(A) Self-advocacy;
(B) Employment training;
(C) Community integration;
(D) Self-care.
(2) Social recreation programs shall provide community integration and self-advocacy training as they relate to recreation and leisure pursuits. Social recreation programs shall be conducted in center-based and/or natural environments.
(3) Independent living programs shall have all of the functional skills training components specified in (b)(3)(A) through (M) below, and shall not be conducted in a center-based environment:
(A) Cooking;
(B) Cleaning;
(C) Shopping in natural environments;
(D) Menu planning;
(E) Meal preparation;
(F) Money management, including check cashing and purchasing activities;
(G) Use of public transportation in natural environments;
(H) Personal health and hygiene;
(I) Self-advocacy training;
(J) Independent recreation and participation in natural environments;
(K) Use of medical and dental services, as well as other community resources;
(L) Community resource awareness such as police, fire, or emergency help; and
(M) Home and community safety.
(4) Independent living programs may also, or in lieu of (b)(3) above, provide the supports necessary for a consumer to maintain a self-sustaining, independent living situation in the community.
(c) The curriculum for all programs shall describe the location(s) pursuant to Section 56712(a)(1)(D) of these regulations in which consumers will receive instruction and perform those skills taught.
(d) The curriculum for all programs shall describe:
(1) The schedule of consumer training activities which is designed to ensure that the entire direct services time is focused toward the achievement of the individual objectives contained in the IPP;
(2) Consumer training activities;
(3) Age appropriate materials and activities which shall be used; and
(4) Specific consumer outcomes which are anticipated from participation in each training component.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Section 11346.1, Government Code; and Sections 4648, 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4501, 4646, 4646.5, 4648, 4651, 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsection (b)(4) and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsection (b)(4) and amendment of Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (c) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56744. Consumer Eligibility for Services.
Note     •     History

(a) A consumer shall be eligible for an Adult Day Program pursuant to a determination of the ID Team that the consumer meets all of the following criteria:
(1) The consumer is at least 18 years of age; 
(2) The consumer is not eligible for the same or similar services from a generic agency that is funded to provide the service to the general public with the exception of programs jointly funded by generic agencies and the regional center; and
(3) The consumer's IPP includes an objective(s) which can be met by an adult day program.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4646, 4646.5, 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56746. Vendor Entrance and Exit Criteria for Consumers.
Note     •     History

(a) In addition to the criteria specified in section 56714 of these regulations, adult day program vendor entrance and exit criteria shall also include a description of the level of all of the following attributes required for participation in the vendor's program:
(1) Self-care skills;
(2) Physical and medical conditions; and 
(3) Behavioral characteristics.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section heading filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56748. Consumer Placement Procedures.
Note     •     History

(a) Notwithstanding sections 56716 (b)(3) and/or (4) of these regulations, a consumer shall be eligible for placement in an adult day program pursuant to a determination of the ID Team that, while the consumer's needs exceed the level of service provided by the program, the IPP objective(s) can be addressed in such program. The ID Team shall include all of the following as documentation for the determination:(1) The factual basis and rationale leading to the decision for the alternate placement including a statement that a more appropriate program is not available;
(2) The duration of the alternate placement; and 
(3) A statement that:
(A) The program provides the least restrictive environment;
(B) The health and safety of the consumer and others will not be jeopardized by the alternate placement;
(C) The consumer and/or authorized consumer representative agree to the alternate placement; and
(D) The conditions specified in (b) below are met.
(b) When a placement pursuant to paragraph (a) above occurs: 
(1) A copy of the documentation shall be:
(A) Placed in the consumer's regional center record; and 
(B) Provided to the vendor who shall maintain the copy in accordance with section 56728 of these regulations.
(2) The consumer's IPP shall be reviewed by the ID Team no less than once every six months to determine the continued appropriateness of the alternate placement.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4646, 4646.5, 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56750. Consumer Placement and Funding Termination Procedures.
Note     •     History

In addition to the reasons specified in section 56718 (a), of these regulations, funding of a consumer's placement in a vendor's program shall also be terminated when a more appropriate program becomes available for consumers placed pursuant to section 56748 of these regulations. When such a termination occurs, the procedures specified in section 56718 (c) of these regulations shall apply.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4646, 4646.5, 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56752. Personnel Requirements.
Note     •     History

(a) In addition to the requirements specified in section 56722 of these regulations, if consumers perform chores or work for the vendor beyond the secondary tasks resulting from a planned activity during the vendor's direct service hours, both of the following conditions shall be met:
(1) Such chores or work are identified in the consumer's IPP documentation as activities relevant to his/her achievement of specific IPP objectives; and
(2) The consumer is compensated pursuant to the requirements of the California Labor Code, sections 1191 through 1193 and 29 United States Code, sections 211 and 214.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4646.5 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56754. Personnel Functions and Qualifications.
Note     •     History

(a) The director of an adult day program shall possess the following minimum qualifications:
(1) A bachelor's degree and a minimum of 18 months of experience in the management of a human services delivery system; or
(2) Five years of experience in a human services delivery system, including at least two years in a management or supervisory system.
(b) The supervisor of an adult day program shall possess the following minimum qualifications:
(1) Three years of experience in a human services delivery system, including at least one year in a comparable program or a bachelor's degree in a human services related field; and
(2) The demonstrated ability to provide staff training, supervision and planning.
NOTE

Authority cited: Sections 4648 and 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (a)(1)-(2) and (b)(1)-(2) and relettering and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (a)(1)-(2) and (b)(1)-(2) and relettering and amendment of Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a)(1)(B) and (b)(1)(A) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56756. Staffing Ratio.
Note     •     History

(a) A staffing ratio shall be approved for each adult day program by the Department pursuant to this section. This ratio shall be based on the program design, the curriculum as vendored, the characteristics and needs of the consumers to be served, and the number of consumers enrolled.
(b) For activity centers, adult development centers, behavior management programs, and social recreation programs, the vendor may supplement direct care staff by one staff person, six hours per day, for every ten non-mobile consumers attending. Programs serving more or less than ten non-mobile consumers shall have their supplemental staff calculated on a proportionate basis. For the purpose of this section, non-mobile means persons who are confined to wheelchairs or gurneys and who are unable to independently move from one place to another place.
(1) Vendors shall submit requests for supplemental staff in writing to the regional center.
(2) Regional centers shall notify vendors in writing that they are authorized to receive payment to maintain the staffing ratio specified in (b) above for non-mobile consumers.
(c) The vendoring regional center shall provide the Department with its recommendations for those vendors requesting a staffing ratio pursuant to (d)(1) or (e)(1) below.
(d) Activity centers shall provide a direct care staff-to-consumer ratio of 1:8.
(1) The vendor is authorized to request Department approval for modification of the staffing for an Activity Center to an overall direct care staff-to-consumer ratio of 1:7 or 1:6. A written request and justification shall be submitted to the Department by the regional center which documents the findings pursuant to the criteria listed below. The overall direct care staffing ratio shall be determined by averaging the specific staff-to-consumer ratio needed for each individual consumer. The regional center shall consider whether the activity center meets at least one of the following criteria for modification of the direct care staffing ratio of 1:8:
(A) The activity center is providing community integration or employment training in natural environments to groups of three or fewer consumers for at least two hours in duration on a daily basis.
1. If each group of consumers receives at least one two-hour session per week, then the staffing ratio shall be 1:7.
2. If each group of consumers receives at least two-hour sessions per week, then the staffing ratio shall be 1:6.
(B) The activity center is providing services to consumers whose IPPs include an objective to modify behaviors that may represent a threat to the individual, others, and/or property.
1. If consumers require intermittent spontaneous/unplanned behavior intervention to prevent or minimize disruption of activities or injury to persons or property, the staffing ratio shall be 1:7. For purposes of this paragraph and (d)(1)(C)1. below, “intermittent” means more often than once a week, but less than once per day.
2. If consumers require frequent spontaneous/unplanned behavior intervention to prevent or minimize disruption of activities or injury to persons or property, the staffing ratio shall be 1:6. For purposes of this paragraph and (d)(1)(C)2. below, “frequent” means at least once per day.
3. Such behaviors may include:
a. Physical aggression resulting in physical injury to others;
b. Displays of self-injurious behavior that could result in serious injury;
c. Causing severe damage to property;
d. Running or wandering away;
e. Smearing of feces;
f. Displays of inappropriate sexual behavior.
(C) Additional staffing assistance is required in meeting consumer personal needs, specifically:
1. If consumers require intermittent, as defined in (d)(1)(B)1. above, assistance or supervision in eating, toileting or caring for their personal hygiene needs, then the staffing ratio shall be 1:7.
2. If consumers require frequent, as defined in (d)(1)(B)2.above, assistance or constant supervision in eating, toileting or caring for their personal hygiene needs, then the staffing ratio shall be 1:6.
(2) If a given consumer meets more than one criterion as specified in (d)(1)(A) through (d)(1)(C) above, the staffing ratio which provides the most direct care staff for the vendor shall prevail.
(3) Modifications approved under (d)(1) above shall be reviewed at least annually by the regional center to assure that the condition on which the modification was approved continues.
(e) Adult development centers shall provide a direct care staff to-consumer ratio of 1:4.
(1) The vendor is authorized to request Department approval for modification of the staffing for an Adult Development Center to an overall direct care staff-to-consumer ratio of 1:3. A written request and justification shall be submitted to the Department by the regional center which documents the findings pursuant to the criteria listed below. The overall direct care staffing ratio shall be determined by averaging the specific staff-to-consumer ratio needed for each individual consumer. The regional center shall consider whether the Adult Development Center meets the following criteria for modification of the direct care staffing ratio of 1:4.
(A) The Adult development center is providing community integration or employment training in natural environments to groups of three or fewer consumers for at least two hours duration on a daily basis with each group of consumers receiving at least two two-hour sessions per week; and
(B) The consumers receiving community integration or employment training require constant assistance and constant supervision. For purposes of this section, “constant assistance” means providing direct physical aid and help with self-care needs at all times during service hours. For purposes of this section “constant supervision” means maintaining visual or physical proximity to an individual consumer during all service hours.
(2) Modifications approved under (e)(1) above, shall be reviewed at least annually by the regional center to assure that the conditions on which modifications were approved continue.
(f) Behavior management programs shall provide a direct care staff-to-consumer ratio of 1:3.
(g) Social recreation programs shall provide a direct care staff-to-consumer ratio of 1:10.
(h) Independent living programs shall provide a direct care staff-to-consumer ratio of:
(1) 1:1 when the service is conducted on an individual basis; 
(2) 1:2 when the service is provided to two consumers; or
(3) 1:3 when the service is conducted on a group basis.
(i) The vendor shall maintain the approved staffing ratio during its direct service hours. The vendor shall not be required to schedule the ratio with each subgroup of consumers at all times, but shall maintain both:
(1) The ratio of staff on duty to consumers in attendance during all service hours which shall be determined by a numerical comparison of the number of individuals on duty as direct care staff with the number of consumers in attendance. If the numerical comparison results in a fraction, more than one-half of a staff person shall be rounded up to the next whole number. Less than one-half of a staff person shall be rounded up to the next one-half of a whole number. One-half of a staff person shall not be rounded.
(2) Sufficient supervision for each subgroup to protect the health and safety of the consumers.
(j) The vendor shall not count consumers, or subcontractors authorized pursuant to section 56710 (b) of these regulations, as staff for the purpose of computing the direct care staff-to-consumer ratio or for rate-setting purposes.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsection (h)(2), subsection redesignation and amendment of Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
4. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
5. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Additional Standards for Infant Development Programs
§56760. General Requirements.
Note     •     History

(a) In addition to the general requirements specified in section 56710 of these regulations, infant development program vendors shall:
(1) Comply with applicable licensing requirements pursuant to Health and Safety Code, sections 1596.70 through 1596.894; and
(2) Make the grievance procedure specified in section 56710(a) of these regulations available to the consumer's parent, care giver or authorized consumer representative.
NOTE

Authority cited: Sections 4648 and 4691, Welfare and Institutions Code. Reference: Sections 4648, 4691 and 4705, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56762. Program Design.
Note     •     History

(a) In addition to the items specified in section 56712 (a) of these regulations, the program design for infant development programs shall also include the written procedures used by the vendor for review of consumer assessment information. Such information shall include the following areas if applicable to the consumer's IPP:
(1) Audiology services;
(2) Medical services;
(3) Nursing services;
(4) Nutritional evaluation; 
(5) Occupational and/or physical therapy; 
(6) Psychological services; 
(7) Social work services; 
(8) Speech pathology; and
(9) Visual screening.
(b) In addition to the items specified in Section 56712(a) of these regulations, the program design for infant development programs shall also include the expected level of participation and attendance by parents, care givers or authorized consumer representatives in the infant development program.
(c) When modifications are made to the program design which constitute a change in the type of services provided, the vendor must, at least 30 days prior to the change, notify the consumer's parents, care givers or authorized consumer representatives and submit to the vendoring regional center a revised program design as described in (a) above. A revised program design is required when any of the following elements of the program design are changed:
(1) Locations in which consumer training occurs; 
(2) Curriculum training components; 
(3) Existing approved staffing ratio; 
(4) Approved service code; 
(5) Entrance and/or exit criteria;
(6) Hours of operation.
(d) A rate adjustment request which results from a program design change shall be submitted to the vendoring regional center prior to December 1 of the current calendar year in accordance with section 57922 of these regulations.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4648, 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4514 through 4518, 4646.5, 4648, 4685, 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsections (a), (b), (c) and (c)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56764. Program Curriculum and Components.
Note     •     History

(a) The program curriculum for infant development programs shall be developed by the vendor based upon the program's philosophy and goals and the needs of the population to be served.
(b) The program curriculum for infant development programs shall include the following items:
(1) Intervention activities which promote development in all of the following areas according to basic principles of child growth and development:
(A) Physical development; 
(B) Cognitive development; 
(C) Language and speech development; 
(D) Psychosocial development; and 
(E) Self-help and feeding.
(2) Activities which:
(A) Increase parent, care giver or authorized consumer representative and child interaction by training parents, care givers or authorized consumer representatives to recognize and respond to the child's unique characteristics, temperament, and non-verbal communication signaling distress or the need for interaction;
(B) Increase and develop parents, care givers or authorized consumer representatives and child interpersonal relationships through the day-to-day activities, such as bathing, dressing, feeding and comforting.
(3) Parenting skills relating to the parents' givers' care or authorized consumer representatives' ability to care for the special needs of the child including:
(A) Demonstrations of developmentally appropriate activities for the child;
(B) Training and consultation; and 
(C) Access to various developmentally appropriate equipment and material, and the use of play as a vehicle for intervention.
(c) The curriculum for all programs shall describe the location(s) pursuant to Section 56712 (a)(1)(D) of these regulations in which consumers will receive instruction and perform those skills taught.
(d) The curriculum for all programs shall describe:
(1) The schedule of training activities which is designed to ensure that the entire direct services time is focused toward the achievement of the individual objective(s) contained in the IPP;
(2) Training activities; 
(3) Age appropriate materials and activities which shall be used; and
(4) Specific consumer outcome(s) which are anticipated from participation in each training component.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147, and Sections 4648, 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648, 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Amendment of subsection (c) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending subsections (b)(2)(A)-(b)(3), (c) and (d)(4) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56766. Consumer Eligibility for Services.
Note     •     History

(a) A consumer shall be eligible for an infant development program pursuant to a determination of the ID Team that the consumer meets all of the following criteria:
(1) The consumer is under age five; 
(2) The consumer either does not qualify for services from a publicly supported local school program or, if qualified, is awaiting service because the local school program is inactive or there are no current vacancies. Services jointly funded by Special Education and the regional center are exempted from this provision; and 
(3) The consumer's IPP includes an objective(s) which can be met by an infant development program.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4646.5, 4648, 4685 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56768. Consumer Placement Termination Procedures.
Note     •     History

(a) When a vendor makes a determination to exclude a consumer from participation in the infant development program pursuant to section 56718 (g) of these regulations, a meeting need not be scheduled if the exclusion is for routine health problems associated with infancy and early childhood.
(b) A meeting or consultation shall be held between the vendor, parent, care giver, or authorized consumer representative and the consumer program coordinator when a consumer is between the ages of two years and six months and two years and nine months and prior to discharge of the consumer from the infant development program. The purpose of the meeting or consultation shall be to discuss the consumer's entrance into local public special education programs in order to provide for continuity of services. The consumer program coordinator shall initiate the meeting or consultation.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56770. Personnel Functions and Qualifications.
Note     •     History

(a) The director of an infant development program shall possess the following minimum qualifications:
(1) A bachelor's degree and a minimum of 18 months of experience in the management of a human services delivery system; or
(2) Five years of experience in a human services delivery system, including at least two years in a management or supervisory position.
(b) The supervisor of an infant development program shall possess the following minimum qualifications:
(1) Three years of experience in a human services delivery system, including at least one year in a comparable program or a bachelor's degree in child development, early childhood education, developmental disability education, or a closely related child-focused specialty; and
(2) The demonstrated ability to provide staff training, supervision and planning.
NOTE

Authority cited: Sections 4648 and 4691, Welfare and Institutions Code. Reference: Sections 4648 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§56772. Staffing Ratio.
Note     •     History

(a) A staffing ratio shall be approved for each infant development program by the Department pursuant to this section. This ratio shall be based on the program's design, the curriculum as vendored, the characteristics and needs of the consumers to be served and the number of consumers enrolled.
(b) Infant development programs shall provide a direct care staff-to-consumer ratio of:
(1) 1:1 when the service is conducted on an individual basis;
(2) 1:2 when the service is conducted on both an individual and group basis and the proportion of consumers receiving direct services on an individual basis when averaged with the consumers receiving direct services on a group basis yields a staffing ratio of 1:2; or
(3) 1:3 when the service is conducted on a group basis.
(c) The vendor shall maintain the approved staffing ratio during its direct service hours, which shall be determined by a numerical comparison of the number of individuals on duty as direct care staff with the number of consumers in attendance. If the numerical comparison results in a fraction, more than one-half of a staff person shall be rounded up to the next whole number. Less than one-half of a staff person shall be rounded up to the next one-half of a whole number. One-half of a staff person shall not be rounded. The vendor shall not count subcontractors authorized pursuant to section 56710 (b) of these regulations as staff for the purpose of computing the direct care staff-to-consumer ratio for rate-setting purposes.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56774. Staff Training.
Note     •     History

(a) In addition to the requirements of section 56726 of these regulations:
(1) Training plans shall also describe child development intervention curricula and techniques; and
(2) The curriculum for new employee orientation shall include:
(A) The early intervention service system for at-risk and/or handicapped children; and
(B) Philosophy and models of early intervention.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 5. Standards for In-Home Respite Services Agencies
§56776. Definitions.
Note     •     History

(a) As used in this article, the following words and phrases have the meanings specified in section 54302 of these regulations:
(1) Authorized Consumer Representative
(2) Consumer
(3) Days
(4) Department
(5) Family Member
(6) Generic Agency
(7) Individual Program Plan (IPP) 
(8) In-home Respite Services 
(9) Interdisciplinary Team (ID Team)
(10) Regional Center
(11) Self-Care
(12) Service Contract
(13) Special Incident Report
(14) Vendor
(b) As used in this article, the following words and phrases have the meanings specified in section 56704 of these regulations:
(1) Consumer Program Coordinator
(2) Personal Needs
(3) Self Help
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4648, 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4646, 4646.5, 4648, 4690.2 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsections (a)(1), (a)(2) and (b)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
6. Amendment of article heading filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§56778. Waiver of Service Standards.
Note     •     History

(a) Regional centers, in negotiating service contracts pursuant to Section 57540 or a lower level of payment pursuant to Section 57300(d), may waive or modify any of the following program standards for the duration of the service contract or lower level of payment:
(1) Personnel requirements specified in Section 56790;
(2) Personnel functions and qualifications specified in Section 56792(a), (b), (c), (d) and (f);
(3) Staff training requirements specified in Section 56794;
(4) In-home respite service evaluation requirements specified in Section 56800;
(b) Regional centers may waive or modify any of the program standards pursuant to (a) above only if waiver or modification of the program standard(s) will not adversely affect the health and safety of the consumers or place the consumers in a more restrictive environment.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Section 4791(i), Welfare and Institutions Code. Reference: Section 4791, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. Amendment of subsection (a)(2) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Change without regulatory effect amending subsection (b) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56780. Service Design.
Note     •     History

(a) The service design of an in-home respite services agency shall include the following items in the order listed below:
(1) An in-home respite service description which includes:
(A) The purpose and goals of the service;
(B) Anticipated consumer outcomes from participation in the service stated in measurable terms;
(C) A statement of the geographic area served by the agency;
(D) Schedule of the vendor's service operating hours including days and times when the service is available;
(E) A staff training plan, if developed, pursuant to Section 56794 of these regulations;
(2) A description of the consumers served pursuant to Section 56784 of these regulations;
(3) A description of the process used by the vendor to organize and carry out the requested services from the point of first contact by the person requesting services through the provision of the service; 
(4) A description of the method of evaluating the in-home respite service's effectiveness in accordance with Section 56800 of these regulations; and
(5) A written internal grievance procedure for consumers pursuant to Welfare and Institutions Code, Section 4705.
(b) When modifications are made to the service design which constitute a change in the type of consumer served or the times when the service is available, the vendor shall, at least 30 days prior to the change, notify the consumers scheduled to receive in-home respite services or their authorized consumer representatives and submit to the vendoring regional center a revised service design as described in (a) above.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4646, 4646.5, 4648, 4690.2 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(4) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(4) and Note  refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. New subsection (a)(4) and subsection redesignation and amendment of subsection (a)(3) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56782. Consumer Eligibility for Services.
Note     •     History

(a) A consumer shall be eligible for services from an in-home respite services agency pursuant to a determination by the ID Team that:
(1) The consumer resides with a family member(s) as described in 54302(a)(22) and the need for the service is agreed by the family member(s) and the ID Team.
(2) The consumer's IPP includes an objective which can be met by an in-home respite services agency.
NOTE

Authority cited: Section 11346.1, Government Code; and Section 4690.2, Welfare and Institutions Code. Reference: Sections 4646.5, 4648, 4685 and 4690.2, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of  Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a)(1) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56784. Identification of Consumers Served.
Note     •     History

(a) The vendor shall have a written description of the population served that shall be used by a consumer's ID Team to determine the appropriateness of the vendor's agency for meeting the consumer's need for in-home respite services and shall include all of the following:
(1) Ages of consumers to be served;
(2) A description of the range of consumer needs in the following areas that the vendor is able to meet:
(A) Self-care skills;
(B) Physical and medical condition; 
(C) Behavioral characteristics; and 
(D) Any other prerequisites.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4646.5 and 4690.2, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56786. Procedures for Service Authorization.
Note     •     History

(a) Interdisciplinary Teams shall identify in-home respite, services agencies which can meet the objectives of the consumer's IPP developed pursuant to Welfare and Institutions Code, section 4646 and 4646.5.
(b) Authorization for services from an in-home respite services agency shall occur providing all of the following conditions exist:
(1) The consumer or authorized consumer representative consents to receive the service from the agency;
(2) The regional center concurs that the agency's services are appropriate;
(3) The consumer meets the vendor's service criteria pursuant to section 56784 of these regulations; and
(4) The vendor agrees to provide the service.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Chapter 1011, Statutes of 1992, Section 11; and Sections 4646, 4646.5, 4648, 4685, 4690.2 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56788. Service Termination Procedures.
Note     •     History

(a) Funding for a consumer's services from an in-home respite services agency shall be terminated when one or more of the following occur:
(1) The regional center issues a determination that continued receipt of services from the agency jeopardizes the consumer's health or safety;
(2) The consumer or authorized consumer representative makes a written or oral request to the regional center to discontinue receipt of the agency's service;
(3) The consumer moves to an area outside the vendor's service area;
(4) The ID Team determines that in-home respite services are no longer required to meet consumer needs;
(5) The vendor, determines that its agency no longer meets the consumer's need.
(b) When a determination is made pursuant to (a)(1), (4) or (5) above, the basis for, the determination shall be documented in writing in the consumer's case file by the regional center for (a)(1) and/or (4) and by the vendor for (a)(5). The regional, center shall also include written documentation in the consumer's case file that the consumer or authorized consumer representative has been informed of the fair hearing rights pursuant to Welfare and Institutions Code, sections 4700 through 4730, when the determination is made pursuant to (a)(1) or (a)(4) above.
(c) When the conditions specified in (a)(1) or (a)(4) above exist, termination of funding shall not be made if the consumer files a fair hearing request pursuant to Welfare and Institutions Code, sections 4700 through 4730.
(d) A vendor may terminate in-home respite services during periods when the vendor determines that serving the consumer presents a threat to the health and welfare of the consumer, other individuals in the home, or the vendor agency's staff. The basis of such termination shall be documented within three working days by the vendor in the consumer case file maintained pursuant to section 56798 of these regulations.
(e) A vendor shall take action to assure consumer safety when the circumstances specified in (d) above, or any other circumstances, prevent the carrying out or completion of in-home respite services during the time of authorized service delivery. Such actions shall include instructing the agency's respite worker to immediately contact:
(1) The consumer's family member or authorized consumer representative;
(2) The director or supervisor of the in-home respite services agency; and
(3) The consumer program coordinator.
(f) In addition to the persons specified in (e)(1) through (e)(3) above, actions to assure consumer safety may also include immediately contacting the local law enforcement, fire or public health authorities.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4648, 4690.2 and 4700 through 4730, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56790. Personnel Requirements.
Note     •     History

(a) Each vendor shall maintain current written job descriptions for all personnel, including staff whose wages are not paid by the regional center purchase of service funds.
(b) Each job description shall include:
(1) Position title;
(2) Role and responsibility of the position;
(3) Duty statement;
(4) Work hours;
(5) Minimum qualifications;
(6) Positions supervised; and
(7) Reporting supervisor.
(c) Staff whose wages are not paid by regional center purchase of service funds shall demonstrate the minimum qualifications, as identified in Section 56792 of these regulations, necessary for each job function performed.
(d) The vendor is authorized to utilize consultants to develop the in-home respite service description required in Section 56780(a)(1) of these regulations, and to develop and carry out staff development and training.
NOTE

Authority cited: Sections 4648 and 4690.2, Welfare and Institutions Code. Reference: Sections 4648 and 4690.2, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33). 
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§56792. Personnel Functions and Qualifications.
Note     •     History

(a) Each vendor shall assign staff to carry out the duties described. The vendor is authorized to designate positions be different titles than those listed but is responsible for assuring the functions described are carried out. Staff who are hired by the vendor to carry out the functions listed shall meet the minimum qualifications listed in this section.
(b) The vendor shall assign a director to carry out the administrative responsibilities for the in-home respite services agency.
(1) The director shall have primary responsibility for the following functions:
(A) Organizing and supervising the agency in accordance with the agency's established policies;
(B) Overseeing the areas of budgeting, service design and implementation, project planning, staff development and training, evaluation and the direction of the in-home respite services;
(C) Selection and supervision of assigned staff; and
(D) Assuring that individual respite service workers are matched with consumers based on respite worker skill and experience and consumer supervision needs.
(2) The vendor is authorized to delegate to the director additional functions to those listed in (b)(1) above, related to the overall administration of the in-home respite service.
(3) The director shall possess the following minimum qualifications:
(A) A bachelor's degree and a minimum of 18 months of experience in the management of a human services delivery system; or
(B) Five years of experience in a human services delivery system, including at least two years in a management or supervisory position.
(c) The vendor may assign staff to carry out supervisory responsibilities for the in-home respite services agency.
(1) The vendor is authorized to delegate to the supervisor the following functions:
(A) Selection and supervision of assigned staff; and
(B) Matching individual respite service workers with consumers based on respite worker experience and consumer supervision needs.
(2) The vendor is authorized to delegate to the supervisor additional functions to those listed in (c)(1) above directly related to supervision of the in-home respite services.
(3) The supervisor shall possess the following minimum qualifications:
(A) Three years of experience in a human services related field; and
(B) The demonstrated ability to provide staff training, supervision and planning.
(d) A vendor may assign staff to carry out scheduling responsibilities for the in-home respite services agency.
(1) The vendor is authorized to delegate to the scheduler the function of arranging the times and dates for service delivery.
(2) The vendor is authorized to delegate to the scheduler additional functions to those listed in (d)(1) above.
(3) The scheduler shall possess the following minimum qualifications:
(A) Education and experience required in the job description; and
(B) The ability to perform the functions required in the service design.
(e) The vendor shall assign staff to carry out in-home respite services.
(1) Each respite worker shall be responsible for the following functions:
(A) Performing the in-home respite services;
(B) Maintaining information as required in Sections 56796(a)(4) and 56798(c)(2)(B) of these regulations;
(C) Obtaining information concerning any specific care needs unique to the individual consumer at the time, or prior to the time, when services are delivered.
(D) Obtaining phone numbers and locations where family members can be contacted during the provision of in-home respite services.
(2) The vendor shall not assign other duties to the respite worker from the above noted functions during hours the that worker is providing in-home respite services.
(3) The respite worker shall possess the following minimum qualifications:
(A) Has received Cardiopulmonary Resuscitation (CPR) and First Aid training from agencies offering such training, including, but not limited to, the American Red Cross;
(B) Education and experience required in the job description; and
(C) The ability to perform the functions required in the service design.
(f) The vendor may assign staff to carry out administrative support functions, including clerical, janitorial, and bookkeeping or accounting.
(1) The vendor is authorized to hire staff directly to carry out or to secure the performance of such functions from other entities.
(2) The administrative support staff shall demonstrate experience and the ability to perform the functions described in the job description.
(g) The vendor is authorized to assign staff to operate a motor vehicle for the purpose of carrying out assigned functions. The vendor shall assure that such staff possess a current valid driver's license which is appropriate for the type of vehicle to be driven.
(h) The vendor shall assure that any consultants it utilizes shall comply with all California licensing, certification, registration and vendorization requirements applicable to the functions to be carried out.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4648, 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648, 4690.2 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (b)(3)(A)-(B) and (c)(3)(A)-(B) with renumbering of following subsections (A)-(B) to 1.-2., repealer of subsection (g) and relettering and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (b)(3)(A)-(B) and (c)(3)(A)-(B) with renumbering of following subsections (A)-(B) to 1.-2., repealer of subsection (g) and relettering and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (b)(3)(A)2. and (c)(3)(A)1. transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (e)(3)(A) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16). 
8. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
9. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56793. Staffing Ratio.
Note     •     History

(a) The vendor shall maintain a staff-to-consumer ratio of 1:1 during its direct service hours.
(b) When a respite service is provided to more than one consumer at the same time and location, regional centers may allow a staff-to-consumer ratio other than 1:1 only if the modification of the staffing ratio is agreed to by each consumer and, where appropriate, each consumer's family and if the modification will not adversely affect the health and safety of the consumers or result in placing the consumers in a more restrictive environment.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2 and 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§56794. Staff Training.
Note     •     History

(a) A vendor may develop and implement a written staff training plan for new employee orientation and ongoing employee staff training.
(b) If a training plan is developed pursuant to (a) above, it shall at a minimum:
(1) Describe the amount, type, subject, and frequency of training for different categories of staff, including staff who are not paid by regional center purchase of service funds or who are volunteers; and
(2) Describe contents of training, including training in consumer safety procedures to be used in event of an emergency.
(c) If new employee orientation is developed pursuant to (a) above, it shall at a minimum:
(1) Be provided within the first two weeks of employment; 
(2) Be based on the prior experience and qualifications of the employee and needs of the vendor;
(3) Use a curriculum that includes but is not limited to: 
(A) Welfare and Institutions Code, sections 4502, 4504, 4518, 4646.5, 4648, 4655, 4710 and 4710.5;
(B) Consumer's rights as defined in title 17, section 50510; 
(C) The developmental disabilities service system;
(D) The policies, procedures and practices of the vendor's in-home respite services agency; and
(E) Specific job requirements for that employee.
(d) If ongoing staff training is developed pursuant to (a) above, it shall at a minimum:
(1) Be provided for all respite workers and supervisors on an annual basis; and
(2) Use curriculum that addresses the particular activities used by the vendor in assisting consumer to meet the consumer's in-home respite service needs.
(e) The vendor shall document all training provided to employees.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Chapter 1011, Statutes of 1992, Section 11; and Sections 4646.5, 4690.2 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Editorial correction of subsection (d)(2) (Register 95, No. 49).
6. Change without regulatory effect amending subsections (a)(2), (c)(3)(B) and (d)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56796. Required Agency Records.
Note     •     History

(a) A vendor shall develop the following records and maintain them at its business office:
(1) Service design as required in Section 56780(a) of these regulations and changes made to the service design;
(2) Employee time sheets specifying each employee's work hours;
(3) Employee payroll records;
(4) Consumer(s) served, indicating the dates and hours of service;
(5) Documentation of all training attended by each employee;
(6) All records used by the vendor in developing the DS 1897B (12/92) submitted to the Department for a rate determination;
(7) All written approvals from regional centers or the Department required by these regulations; and
(8) The In-home Respite Service evaluation required by Section 56800 of these regulations; and
(9) The written descriptions of the vendor's organizational structure as specified in Section 54326(b) of these regulations.
(b) Records required pursuant to (a)(2) through (7) above, shall be retained for five years from the date of origination or until audit adjustments have been resolved, whichever is longer.
(c) Current copies of the records required pursuant to (a)(1),(8) and (9) above, shall be maintained.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4648, 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648, 4690.2 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(7)  and (a)(8) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(7) and (a)(8) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a)(1) and (a)(6) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsections (a)(4) and (a)(8) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56798. Consumer Records.
Note     •     History

(a) Vendors shall maintain consumer information and records as confidential documents pursuant to Welfare and Institutions Code, sections 4514 through 4518, and shall also maintain consumer confidentiality as required in Health and Safety Code, sections 199.20 through 199.27. 
(b) Vendors shall maintain an individual consumer case file for each consumer served by the in-home respite services agency.
(c) The consumer case file shall include:
(1) The most current copies of:
(A) Any emergency and personal identification information, which may effect the delivery of services, including the consumer's address, telephone number, names and telephone numbers of relative's, and/or guardian or conservator, physician's name(s) and telephone number, and health plan, if appropriate;
(B) Pertinent information related to consumer respite needs including:
1. Known medications;
2. Known allergies;
3. Medical disabilities;
4. Infectious, contagious or communicable conditions;
5. Special nutritional needs; and
6. Specific care needs unique to the individual consumer.
(C) Any other available medical, psychological, and social information which may effect the delivery of In-home Respite Services, including the consumer's ability and functioning level; and
(D) Authorization for emergency medical treatment.
(2) All copies of:
(A) Special incident reports; and
(B) Case notes reflecting important events or information not documented elsewhere.
(3) Documentation of attempts to obtain required information not contained in the consumer record.
(d) Records pertaining to the consumer shall be stored in a secure and locked place which shall be readily accessible when needed. The vendor is authorized to keep pertinent consumer data, including, but not limited to, emergency telephone numbers, and important medical data with the consumer when services are rendered.
(e) The individual consumer case file shall be retained for five years from the time a consumer no longer receives services from the agency.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4646.5, 4648, 4648.1 and 4690.2, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56800. In-Home Respite Services Evaluation.
Note     •     History

(a) The vendor shall conduct an annual review of its effectiveness in relation to the service design. This shall include a review of:
(1) The ability of the vendor to meet the in-home respite needs of consumers served;
(2) The aggregate data on:
(A) The number of consumers served;
(B) The different type of consumer needs encountered during service delivery; and
(C) Outcomes in relation to the expectations identified in the service design as required in Section 56780(a)(1)(B) of these regulations; and
(3) The degree to which family members were satisfied with the service as provided by the in-home respite services agency.
(b) The vendor shall have a written evaluation design specifying:
(1) The purpose of the evaluation;
(2) The type of data to be collected and used;
(3) The frequency of data collection;
(4) The role of consumers, families or authorized consumer representatives in the evaluation process;
(5) Data collection and analysis methods;
(6) A description of the distribution, communication of, and actions taken upon the results of the evaluation;
(7) The frequency of evaluations; and
(8) A description of how the particular evaluation design chosen by the vendor relates to the service design.
(c) The vendor shall submit to the vendoring regional center, user regional centers and the Department a written summary of the annual in-home respite service evaluation which shall be maintained in the vendor file at the regional center and at the Department. The vendor shall maintain on file, pursuant to Section 56796 of these regulations, the full in-home respite service evaluation for review by the vendoring regional center and the Department.
NOTE

Authority cited: Sections 4648 and 4690.2, Welfare and Institutions Code. Reference: Sections 4501, 4648, 4648.1 and 4690.2, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and NOTE  refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsections (a), (a)(1), (a)(2)(A), (a)(2)(B) and (b)(4) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§56802. Effective Date of Compliance.
Note     •     History

(a) The effective date of compliance by in-home respite services agencies with the provisions of this article shall be as follows:
(1) Agencies vendored after the effective date of these regulations shall be in compliance with these provisions upon the date of vendorization.
(2) Agencies vendored prior to the effective date of these regulations which:
(A) Do not meet one or more provision(s) specified in sections 56780 through 56802 shall have a maximum of one year from the effective date of these regulations to come into compliance with the applicable provision(s).
(B) Equal or exceed any provision(s) specified in sections 56780 through 56802 shall be deemed in compliance with the applicable provision(s) upon the effective date of these regulations.
NOTE

Authority cited: Sections 4648 and 4690.2, Welfare and Institutions Code. Reference: Sections 4648 and 4690.2, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Subchapter 6. Ratesetting Procedures for Residential Services
HISTORY

1. Change without regulatory effect renumbering subchapter 6 (filed 1-14-91 but not printed) sections 56100 through 56119 to sections 56900 through 56919. (Register 91, No. 14).
Article 1. Definitions
§56900. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense; words in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct; “may” denotes permissive conduct.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
§56901. Definitions.
Note     •     History

(a) As used in this Subchapter, the following words and phrases have the meanings specified in Section 56002.
(1) Administrator;
(2) Consumer;
(3) Days;
(4) Department;
(5) Direct Care (DC) Staff;
(6) Facility;
(7) Individual Program Plan (IPP);
(8) Personal and Incidental Allowance;
(9) Residential Service Provider; and
(10) Regional Center.
(b) When used in this subchapter, the following words and phrases have the following meanings:
(1) “Administrative Duties” means those tasks performed by facility staff which pertain to the management of the facility and are not considered direct care. 
(2) “California Consumer Price Index (California CPI)” means the historical index of the cost of living in California published by the Department of Industrial Relations, Division of Labor Statistics and Research, under the authority of California Labor Code Section 150, and the projected California CPI published by the Department of Finance.
(3) “Conserve” means an action taken by a regional center which has been appointed as a consumer's representative payee, to save or invest consumer funds pursuant to Title 20, Code of Federal Regulations, Section 416.645(a).
(4) “Cost Components” means the sublisting under cost items listed in Section 56908(b). 
(5) “Cost Elements” means Basic Living Needs, Indirect Costs, Direct Supervision and Special Services and Proprietary Fee.
(6) “Cost Items” means the major headings (Items 1 through 14) listed under Section 56908(b).
(7) “Cost Study Facility” means a facility which participates in the triennial survey to determine facility costs.
(8) “Customary Fee” means a fee that is within the range of usual fees charged and received by providers of similar training for the same service within the geographic location.
(9) “Direct Program Costs” means facility costs related to the provision of residential services.
(10) “Enrolled” means the days in which a resident is in placement in a facility during the cost study reporting period.
(11) “Established Rate” means the proposed rate after any adjustment pursuant to Section 56902(b) and (c).
(12) “Facility Cost Study” means the triennial collection and analysis of facility cost data.
(13) “Facility Size” means the licensed capacity of a facility.
(14) “Fixed Asset” means an item of tangible property which is used for a period of more than one year and must be depreciated, rather than expensed, pursuant to generally accepted accounting principles.
(15) “Geographic Location” means a county or group of counties which share a common cost of living.
(16) “Housekeeping Duties” means tasks which pertain to cooking, housecleaning, and laundry services.
(17) “Live-in Staff” means wage-earning facility employees who reside in the facility, such as house parents who meet the definition of an “employee residing on the employer's premises” pursuant to Section 785.23 of “Interpretive Bulletin, Part 785: Hours Worked Under the Fair Labor Standards Act of 1938, As Amended,” published by the U.S. Department of Labor.
(18) “Maintenance and Repair Duties” means tasks which pertain to the upkeep of facility premises.
(19) “Management Organization” means a separate and distinct corporation or entity which operates two or more programs or services.
(20) “Mandated Minimum Wage” means the higher wage required by federal or state law.
(21) “Median” means the fiftieth percentile of a statistical distribution.
(22) “Occupant” means any individual living in the facility, including consumers and non-consumers, the owner/operator and his/her family members, and live-in staff.
(23) “Occupant Day” means a day that one occupant resides in a facility.
(24) “Operation Type” means owner operated or staff operated.
(25) “Operative Rate” means the rate being paid on June 30 of the current fiscal year.
(26) “Out-of-home Respite Services” means regional center approved intermittent or regularly scheduled temporary non-medical care and supervision, provided by a residential service provider.
(27) “Owner operated” means that the facility is the residence of the licensee or a member of the corporate board of directors.
(28) “Prevailing Rate” means the rate of payment which is being paid to a residential service provider by other governmental agencies to provide services to residents.
(29) “Proprietary Fee” means the amount which reflects a reasonable rate of return on the net value of a facility's fixed assets.
(30) “Proposed Rate” means the residential rate proposed by the Department pursuant to Section 56902.
(31) “Regional Center Supplement” means that portion of the established rate which the regional center uses to pay the portion of the residential rate that exceeds the amount of the consumer's SSI/SSP payment.
(32) “Reporting Period” means the period of time specified by the Department for the purpose of a facility cost study.
(33) “Resident” means a person placed in a licensed facility to receive care and supervision pursuant to Title 22, California Code of Regulations (CCR), Division 6. Resident includes both regional center and non-regional center consumers.
(34) “Resident Day” means any portion of a day in which a resident is placed in the facility.
(35) “Residential Respite Services” means intermittent or regularly scheduled temporary non-medical care and supervision provided to the consumer in an out-of-home setting.
(36) “Service Code” means a number which is assigned by the vendoring regional center to a residential service provider which indicates the type of authorized service to be provided.
(37) “Staffing Standards (SS)” means the average number of staff hours per consumer per month allowed for each service level and step which includes hours for direct care, and relief coverage for vacations, holidays, night coverage, and training.
(38) “Staff Operated” means that the facility is not the residence of the licensee or a member of the corporate board of directors, and the licensee employs personnel to provide direct care to consumers.
(39) “Subcode” means a series of a maximum of five numbers and/or letters which is assigned by the vendoring regional center to a residential service provider for billing purposes.
(40) “Target Fiscal Year” means the fiscal year in which the Department recommends that a proposed rate be implemented.
(41) “Usual Fee” means the fee which is regularly charged and received for a given service by an individual provider. If more than one fee is charged for a given service, the fee determined to be the usual fee shall not exceed the lowest fee which is regularly charged.
(42) “Vehicle Miles” means the miles a facility vehicle is used for administrative functions, to transport residents for direct services, or for other facility operations.
(43) “Vendoring Identification Number” means the unique number which is assigned to each residential service provider in order to establish a record-keeping and tracking system for regional centers' billing purposes.
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4681.1 and 4791(i), Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsections (a)(8), (b)(3) and (b)(31) and subsection renumbering filed 8-4-92; operative 8-4-92 (Register 92, No. 32).
3. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
4. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
5. Editorial correction of History 3 (Register 94, No. 47).
6. Editorial correction of subsections (b)(4), (6), (11) and (30) (Register 94, No. 50).
7. Editorial correction of subsections (a) and (b)(11) and (26) and capitalizing “S” of “Section” and “D” of “Division” throughout  (Register 95, No. 18).
Article 2. General Provisions
§56902. General Provisions.
Note     •     History

(a) Proposed residential rates shall be determined for a specific target fiscal year in accordance with generally accepted accounting principles pursuant to Article 5.
(b) Payment of proposed rates is subject to appropriation of sufficient funds for that purpose in the Budget Act.
(c) Absent specific direction from the Legislature, when sufficient funds are not appropriated in the Budget Act to fully provide for payment of the proposed rates, in lieu of the proposed rates, the Department shall increase operative rates on a pro rata basis if the amount appropriated is sufficient for an increase.
(d) Once the vendor has received notice of the maximum rate established by the Department for the facility's approved service level, each regional center, or its designee, which has placed consumers in the facility may negotiate with the vendor a level of payment for its consumer(s) that is lower than the rate established by the Department.
(1) A payment at the lower level may only occur after both the regional center and the vendor mutually agree in writing:
(A) To the negotiated level of payment; and
(B) To the effective date and termination date for the regional center to reimburse the vendor at the negotiated level of payment.
(2) Upon termination of the level of payment negotiated by the regional center and a vendor, the regional center shall resume reimbursements to the vendor for services at the maximum rate established by the Department for the facility's approved service level.
(3) The negotiated level of payment between each regional center and the vendor shall not modify any other requirement specified in Subchapters 4 and 6.
(4) The negotiated level of payment between each regional center and the vendor may be renegotiated or terminated at any time upon the request of either party.
(5) Each regional center shall provide the Department and the vendor with a copy of the agreement specified in subsection (d)(1).
NOTE

Authority cited: Sections 4680, 4681.1, 4786 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4680, 4681.1, 4786 and 4791(i), Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. New subsection (e) and amendment of NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. New subsection (e) and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including repealer of subsections (e)-(e)(6) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
Article 3. Cost Studies
§56903. Facility Cost Study.
Note     •     History

(a) The Department shall conduct a facility cost study every three years pursuant to Welfare and Institutions Code Section 4681.1(b).
(b) In conducting the facility cost study, the Department shall make every reasonable effort to:
(1) Design a facility sample to produce estimates which are statistically valid at the 95% confidence interval;
(2) Ensure the cost data utilized is reliable; and
(3) Analyze the cost data utilizing standard accepted statistical methods.
(c) When a facility is selected to participate in a cost study, the administrator shall provide data from the facility's financial records for the specified reporting period, as requested by the Department or its designee, pursuant to this subchapter.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. Change without regulatory effect amending article 3 heading filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56904. Cost Study Records Maintenance Requirements.
Note     •     History

(a) The administrator shall make available to the Department for the cost study, all financial and service records. Such records shall include the California Revenue and Taxation Code (R&TC) and Internal Revenue Codes (IRC) information statements or returns and all pertinent documentation for a reporting period specified by the Department.
(b) Facility financial records shall be maintained in a manner consistent with:
(1) A single method of accounting, clearly reflecting the nature and amounts of all cost (expenses) and all income;
(2) The Internal Revenue Code (IRC) and the California Revenue and Taxation Code (R&TC) information statements; and
(3) Title 17, CCR, Sections 50604 and 56908.
(c) The administrator shall maintain the following records:
(1) For all individuals living in the facility, the total number of occupant days, including the following:
(A) Resident days;
(B) Live-in staff days; and
(C) Other occupant days.
(2) The number of staff hours performing the following functions:
(A) Direct care pursuant to Section 56004;
(B) Housekeeping;
(C) Maintenance and repair;
(D) Supervision and management; and
(E) Administration.
(3) Allowable expenses pursuant to Section 56908;
(4) A description of all donated goods and services, including the fair market value at the time of donation, and the date of donation;
(5) For each fixed asset:
(A) A description including a serial number or other identifying information;
(B) A description of whether the item is to be used for administrative purposes or for basic living needs;
(C) All other information required by state and federal income tax depreciation guidelines.
(6) The program design requirements pursuant to Title 17, CCR, Section 56013(a);
(7) Vendoring identification number, service code and subcode;
(8) Name of the vendoring regional center and any other regional centers utilizing the facility;
(9) Name of the management organization, if any;
(10) A reasonable estimate of the square footage of the facility as follows:
(A) Living space used by residents;
(B) Administrative functions; and
(C) Total square footage, including space not related to the residential care function of the facility.
(11) Vehicle miles related to:
(A) Direct services to residents;
(B) Administrative functions; and
(C) All other uses.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Sections 4648.1 and 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Editorial correction of subsections (b)(3) and (c)(3) (Register 94, No. 50).
3. Editorial correction capitalizing “S” of “Section” throughout  (Register 95, No. 18).
§56905. Depreciation.
Note     •     History

(a) In conducting a cost study pursuant to Section 56903, the Department shall utilize depreciation costs of all assets which are:
(1) Directly related to the facility's operations as a facility; and
(2) Recognized as an allowable business expense in accordance with federal and state income tax guidelines and actually reported as such on the residential service provider's state and federal tax returns for the date year of the cost study. In the event of inconsistencies between state and federal income tax depreciation guidelines, the California State Franchise Tax Board requirements shall prevail for the purpose of data collection for the cost study.
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4681.1 and 4791(i), Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. Editorial correction of subsection (a) (Register 94, No. 50).
§56906. Cost Allocation Methods.
Note     •     History

(a) To allocate cost items in a facility cost study, the Department shall review the data presented to determine:
(1) That allowable costs are directly identified with the cost study facility (CSF) or specific cost element; or
(2) That allowable costs are combined with the allowable costs of other facilities, cost elements, or a management organization.
(b) When the nature of the allowable cost of the accounting records provided by the facility permits, allowable costs shall be directly allocated to each CSF or cost element.
(c) When any allowable cost cannot be directly identified with a CSF or a cost element, the Department shall allocate a percentage of the cost to the CSF or cost element using the following steps:
(1) Determine a percentage which reflects that portion of time, number of residents, hours of direct service, space, or vehicle miles which is attributable to the CSF.
(2) Multiply the total cost by the percentage determined in (1) above.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
§56908. Allowable Costs.
Note     •     History

(a) In order to propose rates of reimbursement, the Department shall include in the facility cost study only those costs which are:
(1) Directly related to the  operation of the facility;
(2) Recognized as an allowable business expense in accordance with federal and state income tax guidelines and reported as such on the residential service provider's state and federal tax returns for the data year of the cost study; and
(3) As otherwise specified in subsection (b) below. In the event of inconsistencies between state and federal tax reporting guidelines, the California State Franchise Tax Board requirements shall prevail for the purpose of data collection for the cost study.
(b) In order for the Department to conduct the cost study in accordance with state law, it is necessary for the Department to organize the data collected for the cost study in a manner not entirely consistent with state and federal tax reporting formats. The Department shall organize its cost study and include the following cost items if they are allowable business expenses consistent with subsections (a)(1) and (2) above and are incurred by the residential service provider and necessary for the operation of the facility. The cost components presented under each cost item are presented only as examples of allowable costs and are not intended to be exclusive.
(1) Staff wages and fringe benefits which include the following cost components:
(A) Expenditures for wages and salaries paid to all facility employees performing housekeeping, direct care, administration and management, staff supervision, clerical, accounting/bookkeeping, maintenance and repair functions;
(B) Expenditures for fringe benefits including the residential service provider's share of Old Age Security Disability Insurance (OASDI), Workers' Compensation, Unemployment Insurance, Employment Training Tax, health insurance, dental insurance, vision insurance, life insurance, disability insurance, and retirement.
(2) Housing expenses which include the following cost components:
(A) Rent or lease for the facility building;
(B) Depreciation and interest for the facility building, additions and mandated or other capital and leasehold improvements; and
(C) Property taxes.
(3) Furniture and equipment expenses which include the following cost components:
(A) Rent or lease payments; and
(B) Depreciation and interest.
(4) Insurance expenses which include the following cost components:
(A) Property insurance, including fire, theft and earthquake;
(B) Flood insurance;
(C) General liability insurance, including malpractice and professional liability;
(D) Director's and officer's liability insurance; and
(E) Surety bonds.
(5) Utilities expenses which include the following cost components:
(A) Energy including gas, electricity, wood, coal, and oil;
(B) Water;
(C) Sewer; and
(D) Garbage and refuse disposal.
(6) Food expenses which include the following cost components:
(A) Groceries for food prepared at home for occupants; and
(B) Restaurant meals for residents and the facility staff who accompany them.
(7) Expenses for housekeeping supplies and services including the following cost components:
(A) Housekeeping, cleaning, paper products, and maintenance supplies; and 
(B) Payments to external housekeeping or laundry services.
(8) Clothing and personal care expenses, which are not purchased with a resident's personal and incidental allowance funds, and which include the following cost components:
(A) Resident clothing, toiletries, and other personal items; and
(B) Over-the-counter medications and prescriptions.
(9) Transportation expenses which include the following cost components:
(A) Costs of the facility vehicle, including:
1. Rental and lease payments;
2. Depreciation and interest;
3. Insurance;
4. Gasoline and oil;
5. Maintenance and repair; and
6. License fees.
(B) Public transportation fares including bus, light rail, and taxi; and
(C) Staff travel expenses while on facility business.
(10) Program supply expenses for resident use or for the care or training of residents.
(11) Consultant expense for activities pursuant to Section 56040(a).
(12) Other professional consultant expenses including:
(A) The costs of legal, accounting, clerical, or managerial services not provided by facility staff; and
(B) Consultants other than those required by Section 56040(a).
(13) Facility repair and maintenance expenses including the following cost components:
(A) Materials and supplies; and
(B) Contract labor for maintenance or repair of the facility, furniture, and equipment.
(14) General and administrative expenses including the following cost components:
(A) Dues/Subscriptions which shall include:
1. Dues for professional organizations related to residential care;
2. Subscriptions for publications which are used in the operation of the facility, for residents, or for the purpose of staff development.
(B) Business taxes that must be paid as a condition of operating a facility, excluding property taxes, business income taxes and personal income taxes;
(C) Fees for licenses, certifications, registrations, or permits required in order to operate a community care facility providing residential care;
(D) Staff recruitment and other personnel costs including advertising, charges and fees for screening prospective employees, such as fingerprinting, driving record checks performed by the Department of Motor Vehicles, and physical examinations or other health and safety checks required prior to employment; costs for inoculations or clinical tests of employees for the health and safety of staff or consumers;
(E) Staff training expenses related to the requirements of Sections 56036 through 56038;
(F) Communications expenses including telephone charges and long distance charges related to facility business, postage, telegraph, teletype, centrex, telepak, message services, facsimiles, and TDD; and
(G) Office supplies including paper products, pens, typewriter, computer, printer and other equipment and supplies.
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4681.1 and 4791(i), Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of subsection (b)(14)(D) filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction of subsections (b)(11) and (b)(14)(E) (Register 95, No. 18).
6. Change without regulatory effect amending subsections (a)(3) and (b) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56909. Costs Not to Be Reported.
Note     •     History

(a) The Department shall exclude from the facility cost study those costs which are not:
(1) Directly related to the operation of the facility;
(2) Recognized as an allowable business expense in accordance with federal and state income tax guidelines.
(b) In order to comply with state laws, the following costs shall not be included in the facility cost study, in addition to those cost items excluded in accordance with the provisions of subsection (a) above:
(1) Personal expenses of the owner-operator and his/her family which include those items, activities, or services that are used strictly by occupants who are not residents and are unrelated to facility business, including but not be limited to:
(A) Personal clothing;
(B) Use of facility vehicles for personal business; and
(C) Furniture or equipment which residents are not allowed to use.
(2) Expenses of an activity other than residential care, such as any other business or non-residential program which uses space, equipment, or supplies on the facility grounds;
(3) Camperships or other expense of sending a resident to summer camp;
(4) Resident relocation expense;
(5) Donations to public or private agencies or organizations;
(6) Fund raising expenses;
(7) Gifts to employees;
(8) Legal fees directly related to a resident or employee, or expenses for the prosecution of claims against a regional center or state agency;
(9) Public relations expenses;
(10) Refundable deposits;
(11) The following management organization expenses:
(A) Services which duplicate those provided by the facility;
(B) Those applicable to, associated with, or claimed by other facilities operated by the management organization; and
(C) Costs which do not support facility operations and which cannot be allocated to any of the direct program cost items in Section 56908.
(12) The value of capital improvements, except as allowed pursuant to Section 56905.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. Editorial correction of subsections (b)(11)(C) and  (b)(12) (Register 94, No. 50).
5. Editorial correction of subsection (b)(11)(C) (Register 95, No. 18).
6. Change without regulatory effect amending subsection (b) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
Article 4. Rates Development Methodology
§56910. General Provisions for Rate Proposals.
Note     •     History

(a) The Department shall utilize a rate development methodology to determine the amounts for the cost elements for the proposed rates.
(b) The Department shall develop proposed rates pursuant to Section 56902 which shall:
(1) Be based upon median cost per consumer per month;
(2) Vary by Service Levels 2, 3 and 4(A-I); and
(3) Vary by geographic location.
(c) The proposed rates shall be the sum of the cost elements pursuant to Sections 56911 through 56914, updated pursuant to Section 56915.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
3. Editorial correction of subsections (b) and (c) (Register 94, No. 50).
4. Editorial correction of subsection (c) (Register 95, No. 18).
5. Change without regulatory effect amending subsection (b)(2) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56911. Basic Living Needs.
Note     •     History

(a) The basic living needs (BLN) cost element represents the cost of meeting consumers' basic living needs, allocated pursuant to Section 56906, and shall include the following:
(1) Wages and fringe benefits of staff performing housekeeping duties;
(2) Housing;
(3) Furniture and equipment;
(4) Insurance;
(5) Utilities;
(6) Food;
(7) Housekeeping supplies and services;
(8) Clothing and personal care items which are not purchased with a resident's personal and incidental allowance; and
(9) Transportation.
(b) The following steps shall be completed by the Department to determine the proposed amount for BLN:
(1) For each CSF, calculate the total BLN costs as follows:
(A) To derive the BLN cost per occupant day, calculate the costs per day for subsections (a)(1) through (7) above using the following formula:

COST PER OCCUPANT DAY	=		Dollar amount per cost item
			total number of occupant days
(B) To derive the BLN cost per resident day, calculate the costs per day for subsections (a)(8) and (9) above using the following formula:

COST PER RESIDENT DAY	=		Dollar amount per cost item
			total number of resident days
			enrolled
(C) Add subsections (A) and (B) above to arrive at total BLN costs.
(2) Using generally accepted statistical techniques:
(A) Analyze the total BLN cost for all CSFs to determine if there are any significant differences by:
1. Service Levels 2, 3 and 4;
2. Operation type;
3. Facility size; and
4. Geographic location.
(B) Group together those with a significant similarity, except geographic locations;
(C) Group together those that are similar by geographic location, regardless of whether or not the differences between locations are significant;
(D) Where the distinct groups have been identified in subsections (B) and (C) above, determine the median total BLN cost for each group.
(3) Convert each median cost identified in subsection (2)(D) above to the cost per resident per month using the following formula:
MEDIAN COST PER RESIDENT MONTH = Median cost per day for each item X 30.44 days
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of subsection (a) filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
3. Editorial correction of subsection (a) (Register 94, No. 50).
4. Editorial correction of subsections (a), (b)(1)(B), and (b)(3) (Register 95, No. 18).
5. Change without regulatory effect amending subsections (b)(1)(A)-(C), (b)(2)(A)1., (b)(2)(D) and (b)(3) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56912. Indirect Costs.
Note     •     History

(a) The indirect costs cost element represents that portion of indirect, overhead, and administrative costs allocated pursuant to Section 56906, and includes the following:
(1) Wages and fringe benefits to staff performing facility administration and management, clerical, bookkeeping/accounting, staff supervision, maintenance and repair duties;
(2) Housing;
(3) Furniture and equipment;
(4) Insurance;
(5) Utilities;
(6) Housekeeping supplies and services;
(7) Transportation;
(8) Program supplies;
(9) Other professional consultant services;
(10) Repair and maintenance; and
(11) General and administrative costs.
(b) The following steps shall be completed by the Department to determine the proposed amount for indirect costs:
(1) Calculate total costs per resident day using the following formula:

	Dollar amount per cost item
	Total number of resident days enrolled
(2) Using generally accepted statistical techniques:
(A) Analyze the total indirect cost per resident day for all CSFs to determine if there are any significant differences by:
1. Service Levels 2, 3 and 4;
2. Operation type;
3. Facility size; and
4. Geographic location.
(B) Group together those with a significant similarity, except geographic locations;
(C) Group together those that are similar by geographic location, whether or not the differences between locations are significant;
(D) Where distinct groups have been identified in subsections (B) and (C) above, determine the median total indirect costs per resident day for each group.
(3) Convert each median cost per resident day identified in subsection (1) or (2)(D) above to the cost per resident month using the formula for median cost per resident month in Section 56911(b)(3).
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Editorial correction of subsections (a) and (b)(3) (Register 94, No. 50).
3. Change without regulatory effect amending subsections (b)(2)(A)1., (b)(2)(D) and (b)(3) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56913. Direct Supervision and Special Services.
Note     •     History

(a) The direct supervision and special services cost element represents the expenditures for personnel who provide direct services to residents, allocated pursuant to Section 56906, and includes the following:
(1) Wages and fringe benefits for direct care staff; and
(2) Consultant expense.
(b) The following steps shall be completed by the Department to determine the proposed amount for direct supervision for all CSFs:
(1) For each staff-operated CSF, identify the following DC staff costs:
(A) Wages for DC staff;
(B) Fringe benefits for DC staff.
(2) Calculate DC staff hourly wages for each CSF using the following formula:

DC STAFF HOURLY WAGE	=	Total DC staff wages
		Total DC staff hours
(A) If the DC staff hourly wage in subsection (b)(1)(A) above for any CSF is below the state minimum wage, the Department shall substitute the state minimum wage in lieu of the actual wage.
(3) Using generally accepted statistical techniques, analyze the DC staff wages for all CSFs, determined in subsection (b)(1)(A) above, to:
(A) Group together, by service level, those with a significant similarity;
(B) Group together those that are similar by geographic location, whether or not the differences between the locations are significant;
(C) For each group of facilities determined in subsections (A) and (B) above, determine the median hourly wage.
(4) Calculate the DC staff fringe benefit ratio for all CSFs by completing the following steps:
(A) For each staff-operated facility participating in the study, calculate the fringe benefit ratio for DC staff, stated as percentage of wages, using the following formula with the data for the wages and fringe benefits costs in subsections (b)(1)(A) and (B) above:

DC STAFF FRINGE BENEFIT RATIO	=	Fringe benefits for DC staff
		   DC staff  wages
(B) Determine the median fringe benefit ratio from the data developed in step (A) above;
(C) Determine a mandated fringe benefit ratio for the reporting period that includes all required staff fringe benefits including OASDI, Unemployment Insurance, Employment Training Tax, and Worker's Compensation; and
(D) Compare the median fringe benefit ratio determined in subsection (B) above with the mandated fringe benefit ratio determined in subsection (C) above, and select the higher ratio.
(5) Calculate the total median hourly compensation for DC staff using the following formula:
TOTAL MEDIAN HOURLY COMPENSATION = median hourly wage for each group in subsection (3)(C) above + median hourly wage x fringe benefit ratio in subsection (4)(D) above.
(6) Determine the DC staff cost per consumer per month for Service Levels 2, 3 and 4 as follows:
DC STAFF COST PER CONSUMER PER MONTH = [Total hourly compensation produced in step (5)] x the residential services staffing standard (SS) per consumer per month.
(A) The chart below shows the staffing standard in terms of level of service and facility operation type:

	Facility level	Owner/operated	Staff operated
		hours/cl/mo.	hours/cl/mo.

	Level 2	55.1	71.2
	Level 3	87.7	103.8
	Level 4

	A	--	140.0

	B	--	153.7
	C	--	167.7
	D	--	181.7
	E	--	200.0
	F	--	218.6
	G	--	236.8
	H	--	260.0
	I	--	292.2
(c) The following steps shall be completed by the Department to determine the proposed amount for consultant expenses for all Service Level 4 CSFs: 
(1) Calculate the consultant cost per hour for each Service Level 4 CSF utilizing the following formula:

		Total expenditures for
COST PER CONSULTANT HOUR	=	 consultant services 
		  total hours of
		consultant service delivered
(2) Determine the median hourly cost for consultant services for all Service Level 4 CSFs.
(3) Determine the consultant cost per consumer per month by multiplying the hourly cost produced in subsection (1) above by the consultant hours required below:

	Step	Consultant
		Hrs/Consumer/Month

	4A	2
	4B	2
	4C	2
	4D	3
	4E	3
	4F	3
	4G	4
	4H	4
	4I	4
(d) The amount for direct supervision and special services for Service Levels 2 and 3 is the amount determined in subsection (6) above.
(e) The amount for direct supervision and special services for Service Level 4 (A-I) is the sum of subsections (b)(6)and (c)(2) above.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
3. Editorial correction of subsection (a) (Register 94, No. 50).
4. Editorial correction of subsections (b)(6)(A) amd (c)(3) (Register 95, No. 18).
5. Change without regulatory effect amending section filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56914. Proprietary Fee.
Note     •     History

(a) The proprietary fee cost element shall be calculated for each CSF as follows:
(1) Identify the amount of the allowable, unrecovered basis for depreciation of all fixed assets to determine the total net fixed asset value;
(2) Divide the total net fixed asset value by the average number of residents residing at the facility during the reporting period to get total net fixed asset value per resident.
(b) Using generally accepted statistical techniques:
(1) Analyze total net fixed asset value per resident to determine if there are any significant differences by:
(A) Service level;
(B) Operation type;
(C) Facility size; and
(D) Geographic location.
(2) Group together those with a significant similarity, except geographic locations;
(3) Group together those that are similar by geographic location, whether or not the differences between locations are significant;
(4) Where distinct groups have been identified in subsections (2) and (3) above, determine the median total net fixed asset value per resident for each group.
(c) Determine the pre-tax rate of return on assets for residential care facilities (Standard Industrial Code 8361) using Dun and Bradstreet data reports; and
(d) For each median identified in subsection (b)(4) above, calculate the monthly amount for the proprietary fee cost element utilizing the following formula:

	Median total net fixed asset value per
PROPRIETARY FEE = 	consumer x [rate of return identified in (c) above]
	the number of months in the reporting period
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of subsection (d) filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
3. Change without regulatory effect amending subsections (b)(4) and (d) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56915. Cost Data Update Methodology.
Note     •     History

(a) The Department shall update the amounts of the cost elements by the California Consumer Price Index (CPI) as follows:
(1) Identify the amount for the reporting period (ARP);
(2) Determine the mid-point of the reporting period used for the cost study;
(3) Determine the mid-point of the target fiscal year;
(4) Obtain the historical and projected California CPI for subsections (2) and (3) above;
(5) Update each amount using the following formula:

UPDATED COST =	 CPI for mid-point of target fiscal year x ARP in (1) above
		CPI for mid-point of reporting period
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Change without regulatory effect amending subsection (a)(4) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
Article 5. Rate Proposals
§56916. Proposed Rates.
Note     •     History

(a) The Department shall update the cost elements resulting from its most recent cost study as follows:
(1) The BLN amount determined in Section 56911(b)(3) shall be updated by the California CPI pursuant to Section 56915;
(2) The Indirect Costs amount determined in Section 56912(b)(3) shall be updated by the California CPI pursuant to Section 56915;
(3) The Direct Supervision and Special Services shall be updated by:
(A) Updating the median hourly wage amount determined in Section 56913(b)(3)(C) by:
1. Any federal or state minimum wage changes with an effective date between the cost study reporting period and the target fiscal year; and
2. By the California CPI pursuant to Section 56915.
(B) Updating the ratio determined in Section 56913(c)(4)(D) for any mandated changes in employer's contributions for fringe benefits between the cost study reporting period and the target fiscal year;
(C) Updating the amount determined in Section 56913(c)(3) by the California CPI pursuant to section 56915.
(4) The Proprietary Fee amount determined in Section 56914(d) shall be updated to reflect the most recent Dun and Bradstreet data.
(b) Each cost element shall be adjusted to reflect any additional costs identified by the Department since the time of the reporting period which were not captured by the cost study data.
(c) The rates to be proposed pursuant to Section 56910 shall be the sum of the cost elements determined in subsection (a) above after adjusting according to subsection (b) above.
NOTE

Authority cited: Sections 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4681.1 and 4791(i), Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Editorial correction of History 2 (Register 94, No. 47).
4. Editorial correction of subsections (a)(1)-(4) and (c) (Register 94, No. 50).
5. Editorial correction capitalizing “S” of “Section” throughout  (Register 95, No. 18).
6. Change without regulatory effect amending subsection (c) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
Article 6. Reimbursement Policies
§56917. Payment of Established Rates.
Note     •     History

(a) Regional centers shall pay residential service providers monthly at the rate established by the Department pursuant to Section 56902(b) and (c).
(b) The source of funds for the monthly payment of residential service providers shall consist of the Regional Center Supplement and, where appropriate, any Supplemental Security Income (SSI) and State Supplemental Program (SSP) funds for which the consumer is eligible minus the consumer's Personal and Incidental Allowance as defined in Title 17, California Code of Regulations, Section 56002(a)(26).
(c) When the regional center has been appointed as the consumer's representative payee for the consumer's SSI/SSP payment, the regional center shall:
(1) Forward that portion of the consumer's Personal and Incidental Allowance which is not conserved by the regional center on the consumer's behalf to the consumer no later than the 10th day of the month in which the regional center receives the consumer's SSI/SSP payment; and
(2) Forward the consumer's SSI/SSP payment to the residential service provider no later than the 10th day of the month following the month in which the regional center receives the consumer's SSI/SSP payment.
(d) The regional center shall reimburse the residential service provider in arrears with funds from the Regional Center Supplement for that portion of the residential rate which exceeds the amount of the consumer's SSI/SSP payment.
(1) The regional center shall not increase the amount of the Regional Center Supplement when:
(A) The residential service provider has been appointed as the consumer's representative payee for the consumer's SSI/SSP payment; and
(B) The amount of the consumer's SSI/SSP payment is temporarily reduced or terminated due to:
1. The representative payee's failure to submit required documentation; and/or
2. The accumulation of consumer funds to the extent that the amount of the consumer's SSI/SSP payment is reduced or the consumer's eligibility for SSI/SSP is terminated.
(e) All consumer SSI/SSP funds which have been conserved by the regional center shall be deposited in an interest-bearing account in a local bank, savings and loan or credit union authorized to do business in California, the deposits of which are insured by a branch of the Federal Government. The account shall meet the following requirements:
(1) The account shall be maintained as a trust account separate from the accounts of the regional center; and
(2) The account title shall clearly note that the account contains consumer cash resources.
(f) The regional center shall provide access to the consumer's cash resources when requested by the consumer or his/her authorized representative.
(g) All interest accruing to funds conserved by the regional center on behalf of a consumer in an account pursuant to Section 56917(e) shall be the property of the consumer.
(h) The established rate shall be paid for the full month when the consumer is temporarily absent from the facility 14 days or less per month.
(1) When the consumer's temporary absence is due to the need for inpatient care in a health facility as defined in Health and Safety Code Section 1250(a), or (c) the regional center shall continue to pay the established rate as long as no other consumer occupies the vacancy created by the consumer's temporary absence, or until the ID Team has determined that the consumer will not return to the facility.
(i) The established rate shall be prorated for a partial month of service in all other cases by dividing the established rate by 30.44, then multiplying by the number of days the consumer resided in the facility.
NOTE

Authority cited: Sections 4648, 4681.1 and 4791(i), Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4648, 4659(a), 4681.1 and 4791(i), Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of subsections (a) and (b) and NOTE filed 11-4-91 as an emergency; operative 11-4-91 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 3-3-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (b) and NOTE  refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 15). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a), designation of former text of subsection (a) to subsection (b), new subsections (c)-(g), renumbering and amendment of former subsection (b) to (h), new subsection (h)(1) and renumbering of former subsection (c) to (i) transmitted to OAL 6-25-92 and filed 8-4-92 (Register 92, No. 32).
5. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
6. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
7. Editorial correction of History 5 (Register 94, No. 47).
8. Editorial correction of subsection (a) (Register 94, No. 50).
9. Editorial correction of subsection (g) (Register 95, No. 18).
10. Change without regulatory effect amending subsection (b) filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
§56918. Reimbursement for Residential Respite Services.
Note     •     History

A provider of residential respite services shall be reimbursed pursuant to Title 17, California Code of Regulations, Section 57332(c)(6).
NOTE

Authority cited: Sections 4648 and 4681.1, Welfare and Institutions Code; Chapter 722, Statutes of 1992, Section 147. Reference: Sections 4418.6, 4648, 4681.1 and 4791(i), Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Amendment of section filed 9-20-93 as an emergency; operative 9-20-93. Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 93, No. 39). These regulations shall not be repealed by the Office of Administrative Law and shall remain in effect until revised or repealed, as appropriate.
3. Amendment of section filed 11-23-94; operative 11-23-94 (Register 94, No. 47).
4. Editorial correction of History 2 (Register 94, No. 47).
5. Editorial correction  (Register 95, No. 18).
6. Change without regulatory effect amending section filed 6-19-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 25).
7. Change without regulatory effect amending section filed 11-10-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 45).
§56919. Usual and Customary Fees and Prevailing Rates.
Note     •     History

(a) The regional center shall request approval by the Department for the payment of usual and customary fees or prevailing rates.
(b) At the Department's discretion, usual and customary fees or prevailing rates may be approved for facilities which meet the criteria in Section 56004(a) and have a rate established by another governmental agency.
NOTE

Authority cited: Section 4681.1, Welfare and Institutions Code. Reference: Section 4681.1, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-91; operative 2-13-91 (Register 91, No. 14).
2. Editorial correction of subsection (b) (Register 95, No. 18).
Article 7. Verification of Use of Rate Increase Funds
§56931. Definitions.
Note     •     History

(a) When used in this article, the following words and phrases shall have the following meanings: 
(1) “Benefits” means health insurance, dental insurance, vision insurance, life insurance, long-term disability insurance, retirement plans, sick leave, bonus, paid vacation, holidays, employee assistance programs, employment-related education and training, social security, workers' compensation, unemployment insurance, and any other mandatory state and federal employer taxes. 
(2) “Compensation” means the total of: 
(A) Benefits as defined in subsection (a)(1); 
(B) Salaries as defined in subsection (a)(7); 
(C) Wages as defined in subsection (a)(8); and 
(D) The fair market value of all payments in kind, including, but not limited to, lodging and meals. 
(3) “Competency-based Training and Testing” means competency-based training and testing as defined in Title 17, California Code of Regulations, Section 56031(a)(4). 
(4) “Coverage” means employing qualified substitute direct care staff to provide direct supervision and special services to consumers while direct care staff are attending competency-based training and competency testing or taking a challenge test. 
(5) “Direct Care Staff” means direct care facility staff in Service Level 2, 3 and 4 facilities who personally provide direct supervision and special services to consumers and is synonymous with “Direct Support Professionals”. The term includes the licensee, the administrator, management and supervisory staff during that time when they are providing direct supervision and special services to consumers. 
(6) “Licensee” means the adult, firm, partnership, association or corporation, having the authority and responsibility for the operation of a licensed community care facility. 
(7) “Salaries” means a fixed dollar amount of pay per pay period paid to direct care staff on a regular basis. 
(8) “Wages” means an hourly rate of pay which is paid to direct care staff. 
NOTE

Authority cited: Section 4681.4(e), Welfare and Institutions Code. Reference: Section 4681.4, Welfare and Institutions Code.
HISTORY

1. New article 7 (sections 56931-56937) and section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (sections 56931-56937) and section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New article 7 (sections 56931-56937) and section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New article 7 (sections 56931-56937) filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new article 7 (sections 56931-56937) and repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
8. Repealer and new article 7 (sections 56931-56937) and repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Refiling of 7-26-2000 order, including amendment of subsection (a)(5), 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
§56932. Purposes.
Note     •     History

(a) Rate increase funds received pursuant to Welfare and Institutions Code Section 4681.4 (a) or (b) shall be used only for the following purposes: 
(1) Increasing direct care staff salaries, wages and benefits. 
(2) Reducing turnover of direct care staff and improving the overall quality of consumer care by increasing direct care staff salaries, wages and benefits in a manner which fairly and equitably allocates the rate increase funds derived from Welfare and Institutions Code Section 4681.4(a) or (b) among direct care staff employees with consideration for job tenure, duties, and relative number of hours worked. 
(3) Providing coverage while direct care staff are attending competency-based training and testing or taking a challenge test. 
(4) Other purposes which have been approved by the Department. 
NOTE

Authority cited: Section 4681.4(e), Welfare and Institutions Code. Reference: Section 4681.4, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
8. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
§56933. Verification Requirement.
Note     •     History

Each licensee of a Service Level 2, 3, or 4 facility who receives rate increase funds authorized by Welfare and Institutions Code Section 4681.4 (a) or (b) for the purposes specified in Section 56932 shall provide to the regional center verification of the use of any rate increase funds received by the licensee. 
NOTE

Authority cited: Section 4681.4(e), Welfare and Institutions Code. Reference: Section 4681.4, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
8. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
§56934. Rate Increase Funds Verification Procedures.
Note     •     History

(a) Each licensee who receives rate increase funds authorized by Welfare and Institutions Code Section 4681.4(a) during the 1999 calendar year shall report in writing the use of those rate increase funds to the regional center. 
(b) Each licensee who receives rate increase funds authorized by Welfare and Institutions Code Section 4681.4(b) during the 2000 calendar year shall report in writing the use of those rate increase funds to the regional center. 
(1) Not less than 30 days prior to the date specified in subsection (c), the regional center shall notify the licensee in writing of the necessity to report the use of rate increase funds. 
(c) The licensee's written report, pursuant to subsection (a) or (b), shall be postmarked no later than March 1 of the calendar year following the year in which the rate increase funds were received by the licensee. 
(d) The licensee's written report, pursuant to subsection (a) or (b), shall contain, but not be limited to, the following information: 
(1) The name, address and telephone number of the facility submitting the report; 
(2) The licensee's vendor identification number; 
(3) The amount of rate increase funds the licensee received during the calendar year for which the written report is being submitted; 
(4) A signed statement that the licensee declares under penalty of perjury under the laws of the State of California that the licensee: 
(A) Has read and understands the requirements of Sections 56932 through 56935; 
(B) Has increased direct care staff salaries, wages and benefits in a manner which fairly and equitably allocates the increased funds derived from Welfare and Institutions Code Section 4681.4(a) or (b) among direct care staff with consideration for job tenure, duties, and relative number of hours worked, if applicable; and 
(C) Has spent the entire amount of rate increase funds received for the calendar year exclusively and entirely for the purposes authorized pursuant to Welfare and Institutions Code Section 4681.4(c)(1) through (3); 
(e) The licensee's written report, pursuant to subsection (a) or (b), for those facilities where the licensee has received the Department's approval to use the rate increase funds for a purpose other than those specified in Section 56932(a)(1) through (3) shall contain, but not be limited to, the following: 
(1) The information required by subsection (d)(1) through (3); and 
(2) A signed statement that the licensee declares under penalty of perjury under the laws of the State of California that the licensee has spent the entire amount of rate increase funds received for the prior calendar year exclusively and entirely for the purposes approved by the Department pursuant to Section 56937. 
(f) The regional center shall review a sample of the reports submitted by the licensees pursuant to subsection (a) and (b) to verify that the rate increase funds were spent in accordance with the requirements specified in Section 56932(a)(1) through (4). 
(g) Verification of the use of rate increase funds shall include, but is not limited to, reviewing any of the work records employers are required to maintain by the Employment Development Department's regulations at Title 22, California Code of Regulations, Section 1085-2. 
(h) The regional center shall retain one copy of each report filed pursuant to subsection (a) and (b) as well as documentation of findings of regional center reviews of verification reports pursuant to subsection (g) for a three year period. 
NOTE

Authority cited: Section 4681.4(e), Welfare and Institutions Code. Reference: Section 4681.4, Welfare and Institutions Code; and Section 1085-2, Title 22, California Code of Regulations.
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
8. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
§56935. Failure to File.
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Section 4405, Welfare and Institutions Code. Reference: Sections 4681.4 and 4681.5, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Repealer of 1-14-2000 and 3-13-2000 emergency orders by operation of Government Code section 11346.1, subsections (f) and (g) (Register 2000, No. 48).
§56936. Criteria for Approving Rate Increase Funds Use for Other Purposes.
Note     •     History

(a) A licensee who receives rate increase funds authorized by Welfare and Institutions Code Section 4681.4(b) may apply to the Department for approval to use the rate increase funds for purposes other than those specified in Section 56932(a)(1) through (3) when the licensee can document that, effective December 31, 1999, all direct care staff with a minimum of six (6) months of experience were receiving compensation at least equivalent to two-hundred and ten percent (210%) of California's minimum wage which was in effect on December 31, 1998 ($12.08 per hour). 
(b) When the licensee has complied with subsection (a), compensation of direct care staff with a minimum of six (6) months of experience shall be maintained at an amount equivalent to an hourly rate of no less than two-hundred and ten percent (210%) of California's minimum wage which was in effect on December 31, 1998 ($12.08 per hour). 
(c) The use of rate increase funds for purposes other than those specified in Section 56932(a)(1) through (3) shall be limited to expenditures which improve the quality of care provided to a consumer(s). 
NOTE

Authority cited: Section 4681.4(e), Welfare and Institutions Code. Reference: Section 4681.4, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
8. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
§56937. Procedures for Approving the Use of Rate Increase Funds for Other Purposes.
Note     •     History

(a) To request the Department's approval to use rate increase funds received during calendar year 2000 for purposes other than those specified in Section 56932(a)(1) through (3), the licensee shall submit to the Department all of the following: 
(1) Payroll records and other relevant documentation which establish the compensation paid to every direct care staff member for the pay period including December 31, 1999, and which clearly demonstrate that on an hourly basis, the compensation of each direct care staff member with a minimum of six months of experience, for every hour worked that pay period, equaled or exceeded two hundred and ten percent (210%) of California's minimum wage in effect on December 31, 1998 ($12.08 per hour). 
(2) Work records which employers are required to maintain by Title 22, California Code of Regulations, Section 1085-2 for all employees; and 
(3) A description of the proposed use of the rate increase funds and an explanation of how the proposed use of rate increase funds is consistent with the criteria specified in Section 56936. 
(b) The licensee's application shall be received by the Department no later than April 30, 2000. 
(c) The proposed use of rate increase funds for a purpose other than those specified in Section 56932(a)(1) through (3) shall not be implemented until the licensee is notified in writing of the Department's approval. 
(1) The Department's written approval for the use of rate increase funds for a purpose other than those specified in Section 56932(a)(1) through (3) shall be sent to the licensee and the regional center via certified mail within 60 days of the receipt of the information required by subsections (a)(1) through (3). 
(d) The Department's decision is final. 
NOTE

Authority cited: Section 4681.4(e), Welfare and Institutions Code. Reference: Section 4681.4, Welfare and Institutions Code; and Section 1085-2, Title 22, California Code of Regulations.
HISTORY

1. New section filed 12-31-98 as an emergency; operative 12-31-98 (Register 99, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-99 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-11-99 as an emergency; operative 5-11-99 (Register 99, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-8-99 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 9-9-99 as an emergency; operative 9-9-99 (Register 99, No. 37). A Certificate of Compliance must be transmitted to OAL by 1-7-2000 or emergency language will be repealed by operation of law on the following day. 
4. Repealed by operation of Government Code section 11346.1(g) (Register 2000, No. 2). 
5. New section filed 1-14-2000 as an emergency; operative 1-14-2000 (Register 2000, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-15-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer and new section filed 3-13-2000 as an emergency; operative 3-13-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2000 or emergency language will be repealed by operation of law on the following day.
7. Reinstatement of section as it existed prior to 3-13-2000 emergency amendment by operation of Government Code section 11346.1(f) (Register 2000, No. 30). 
8. Repealer and new section filed 7-26-2000 as an emergency; operative 7-26-2000 (Register 2000, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-27-2000 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new section refiled 11-27-2000 as an emergency; operative 11-27-2000 (Register 2000, No. 48). A Certificate of Compliance must be transmitted to OAL by 3-27-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 7-26-2000 order transmitted to OAL 3-22-2001 and filed 5-2-2001 (Register 2001, No. 18).
Subchapter 7. Nonresidential Service Vendor Rate-Setting Provisions
Article 1. Definitions
§57200. Terms Defined In Other Subchapters.
Note     •     History

(a) As used in Sections 57300 through 57948, the following words and phrases have the meanings specified in Sections 54302 and 56704:
(1) Activity Center
(2) Adult Development Center
(3) Authorized Consumer Representative
(4) Behavior Management Program
(5) Community-Based Day Programs
(6) Consumer
(7) Days
(8) Department
(9) Direct Care Staff
(10) Direct Services
(11) Director
(12) Family Member
(13) Generic Agency
(14) Independent Living Program
(15) Infant Development Program
(16) Management Organization
(17) Non-mobile Consumers
(18) Nonresidential Services
(19) Regional Center
(20) Service Code
(21) Service Contract
(22) Social Recreation Program
(23) Staffing Ratio
(24) Subcode
(25) Units of Service
(26) User Regional Center or Utilizing Regional Center
(27) Vendor
(28) Vendor Identification Number
(29) Vendoring Regional Center
(30) Voucher
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (a)(12) and (a)(24) and subsection renumbering and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (a)(12) and (a)(24) and subsection renumbering and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsection (a)(3), repealing subsection (a)(5), renumbering subsections, adding new subsection (6), and amending subsection (a)(16) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57210. Additional Terms Defined.
Note     •     History

(a) As used in Sections 57300 through 57948, the following words and phrases have the following meanings:
(1) “Allowable Range” means the distance from the lower limit to the upper limit in a distribution of amounts among like programs determined pursuant to Step four, Section 57513;
(2) “Cost-of-Living Adjustment” or “COLA” means an amount of funds appropriated in the Budget Act for increases in rates established by the Department which is representative of an overall increase in the cost of providing services to consumers;
(3) “Direct Service Hours” means the number of hours during which direct services are provided to consumers by direct care staff to meet the objectives of the program design pursuant to Section 56712 or 56762 and, for vendors reimbursed for absences pursuant to Section 54326(a)(11), the number of direct service hours for which reimbursement was received shall also be included;
(4) “Fiscal Year” means the 12-month period which begins July 1 of one calendar year and ends June 30 the following calendar year;
(5) “Gap” means the difference between the amount determined for each vendor in Step five, Section 57514(a)(1) and the amount determined for each vendor in Step two, Section 57511(a)(1) based upon allowable cost and consumer attendance reported to the Department;
(6) “Gap Funding” means an amount of funds appropriated in the Budget Act pursuant to Section 57820;
(7) “Like Programs” means programs that are assigned the same service code and have the same approved staffing ratios;
(8) “Level of Payment” means the total amount which a regional center reimburses a vendor for services provided to its consumers;
(9) “Lower Limit” means the lowest amount allowed in the distribution of amounts among like programs, without an increase in the amount pursuant to Step six, Section 57515;
(10) “Permanent Payment Rate” means a rate established by the Department subsequent to the effective date of Sections 57200 through 57948, which is based upon each vendor's program, allowable cost, consumer attendance, vendor income, and as applicable, regional center payment information;
(11) “Profit”, for profit organizations, or “Surplus”, for not-for-profit organizations, means the amount remaining after all allowable costs related to services for consumers are deducted from a vendor's reimbursement received for those consumers;
(12) “Public Agency” means federal, state, and local government, including school districts, colleges and/or universities supported by public funds;
(13) “Regional Center Payments” means the total amount of income which the vendor received from the vendoring regional center and/or utilizing regional center(s), if any, for services provided to consumers;
(14) “Schedule of Maximum Allowances (SMA)” means the schedule of the maximum allowable rate for the service provided as established by the Department of Health Services (DHS) for services reimbursable under the Medi-Cal program. If the vendor's usual and customary rate is less than the maximum rate allowed pursuant to the SMA, the regional center shall pay the vendor's usual and customary rate.
(15) “Staff Relief Time” means time worked by substitute staff for direct care staff who are absent because of vacation, illness, staff training, jury duty, military leave or administrative leave;
(16) “Straight-line Depreciation” means a depreciation method where the cost of property or equipment is deductible in equal annual amounts over the estimated useful life of the property or equipment;
(17) “Temporary Payment Rate” means a rate established by the Department subsequent to the effective date of Sections 57200 through 57948, for vendors who do not have an actual cost history which the Department can use to establish a permanent payment rate;
(18) “Upper Limit” means the highest amount allowed in the distribution of amounts among like programs, without a decrease in the amount pursuant to Step six, Section 57515;
(19) “Usual and Customary Rate” means the rate which is regularly charged by a vendor for a service that is used by both regional center consumers and/or their families and where at least 30% of the recipients of the given service are not regional center consumers or their families. If more than one rate is charged for a given service, the rate determined to be the usual and customary rate for a regional center consumer and/or family shall not exceed  whichever rate is regularly charged to members of the general public who are seeking the service for an individual with a developmental disability who is not a regional center consumer, and any difference between the two rates must be for extra services provided and not imposed as a surcharge to cover the cost of measures necessary for the vendor to achieve compliance with the Americans With Disabilities Act. New programs applying for vendorization shall provide a written declaration to the vendoring regional center that it is their intent to comply with this subsection, and will be allowed up to 12 months to achieve compliance. The vendoring regional center may audit a vendor's records to determine compliance with this subsection and, if the vendor is found not to be in compliance, shall revoke the vendor's usual and customary rate and negotiate a rate pursuant to Section 57300; and
(20) “Vendor Income” means all income received from any public agency, with the exception of the Department, regional centers, or the Department of Rehabilitation and/or the Department of Health Services if the vendor reported costs pursuant to Section 57422(c)(2), for services to consumers pursuant to Section 57438.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including new subsection (a)(21) and subsection renumbering transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Amendment of subsection (a)(21) filed 4-22-94; operative 4-22-94.  Submitted to OAL for printing only (Register 94, No. 16).
8. Amendment of subsection (a)(3) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
9. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
10. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
11. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
12. Amendment of subsection (a)(3) and (a)(19) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
13. Change without regulatory effect amending subsection (a)(3) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
Article 2. General Provisions
§57300. Rate-Setting Requirements Applicable to All Nonresidential Service Vendors.
Note     •     History

(a) In order for the Department to establish a rate of reimbursement for nonresidential service vendors, each vendor shall:
(1) Be approved as a vendor by a regional center pursuant to Section 54322(d)(1);
(2) Submit complete and accurate information and documentation; and
(3) Comply, if applicable, with the submission requirements specified in:
(A) Sections 57422 through 57439 for community-based day programs; or
(B) Sections 58020 through 58039 for in-home respite service agencies.
(b) Vendors shall not charge regional centers more for services to consumers than they charge for comparable services to any other person served by the vendor, solely because the consumer is a person with a developmental disability whose services are publicly rather than privately funded.
(c) Regional centers shall not reimburse vendors:
(1) Unless they have a rate established pursuant to these regulations which is currently in effect; nor
(2) For services in an amount greater than the rate established pursuant to these regulations.
(d) For those vendors for whom the Department establishes a rate, once the vendor has received notice of the rate established by the Department, any regional center, or its designee, purchasing or intending to purchase services from the vendor may negotiate with the vendor the level of payment for services provided to its consumers for a specified period of time. The level of payment may be less than but shall not exceed the maximum reimbursement possible during the period specified, using the rate established by the Department and the units of service used by the vendor to charge and invoice the regional center for services provided to consumers as the basis for determining the maximum reimbursement possible.
(1) Each regional center and vendor shall mutually agree in writing upon the level of payment and the effective date for commencing and terminating payment at the agreed upon amount.
(2) Upon termination of the level of payment negotiated by a regional center and vendor, the vendor shall be reimbursed for services at the rate established by the Department.
(3) Within the limitations specified in this section, the level of payment negotiated by a regional center and vendor may be renegotiated.
(4) Each regional center shall provide the Department and vendor with a copy of the written agreement specifying the terms of the level of payment.
(e) If a vendor does not have a rate established by the Department, and if the SMA is not applicable to the service provided by the vendor, and if the vendor does not have an established usual and customary rate as defined in Section 57210(a)(19), the vendoring regional center shall negotiate with the vendor the level of payment for services provided to consumers for a specified period of time.
(1) Once the vendor has received written notice of vendorization and rate approval from the vendoring regional center, any regional center purchasing or intending to purchase services from the vendor may utilize the approved rate or negotiate with the vendor for a level of payment for a specified period of time.
(f) Rates of reimbursement established pursuant to the Schedule of Maximum Allowances (SMA) or the vendor's usual and customary rate or rates set by negotiation with a regional center in accordance with this section do not require approval by the Department.
(g) For nonresidential rate-setting purposes, a change in ownership, pursuant to Section 54330, will not result in a change in the vendor's rate if the staffing ratio and program activities, as identified in the program design, remain unchanged.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690, 4690.1, 4690.2, 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648(a), 4690, 4690.1, 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (d)-(d)(5) and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (d)-(d)(5) and amendment of Note  refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of subsection (d)(5) and amendment of subsections (a)(1) and (a)(3)(B) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsections (a)(1), (b) and (d) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Amendment of subsections (c)(1)-(d), new subsection (e)-(e)(1), subsection relettering and amendment of subsection (f) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
Article 3. Vouchers
§57310. Method of Reimbursement for Voucher Services.
Note     •     History

(a) Each regional center may offer vouchers to family members or adult consumers to allow the families and consumers to procure the following services:
(1) Nursing Service - Family Member - Service Code 415; and/or
(2) Day Care - Family Member - Service Code - 405; and/or
(3) Respite Service - Family Member - Service Code 420; and/or
(4) Transportation - Family Member - Service Code 425; and/or
(5) Diapers and Nutritional Supplements - Family Member - Service Code 410.
(b) If a voucher is issued, the maximum reimbursement authorized by the regional center for the service provided shall be specified in the voucher and shall not exceed the maximum rate of reimbursement as specified below:
(1) Nursing Service - Family Member - Service Code 415 - the Schedule of Maximum Allowances for the Home and Community Based Services, In-Home Medical Care Waiver Program, as developed by the Department of Health Services;
(2)  Day Care - Family Member - Service Code 405 - the usual and customary rate, as defined in Section 57210(a)(19), which the direct provider of the service charges or, if the direct provider of the service does not have an established usual and customary rate, a negotiated rate pursuant to Section 57300(e);
(3) Respite Service - Family Member - Service Code 420 - $10.71 per consumer per hour, including fringe benefits, effective January 1, 2008;
(4) Transportation - Family Member - Service Code 425 - the standard rate schedule developed by the regional center pursuant to Title 17, California Code of Regulations, Section 58543; and
(5) Diaper and Nutritional Supplements - Family Member - Service Code 410 - the usual and customary rate charged by the supplier.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690, 4690.1 and 4690.2, Welfare and Institutions Code. Reference: Sections 4690, 4690.1, 4690.2 and 4690.5, Welfare and Institutions Code; Budget Act of 2000-01, Item 4300-101-0001.
HISTORY

1. New section filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-4-92 order including amendment of text and Note transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. New article 3 heading and amendment of section heading, text and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Certificate of Compliance as to 6-20-94 order, including amendment of subsections (a) and (a)(5), repealer of subsections (a)(6)-(13), amendment of subsection (b)(5) and repealer of subsections (b)(6)-(13), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
8. Change without regulatory effect amending subsections (a) and (b)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Change without regulatory effect amending subsection (b)(3) filed 3-6-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 10).
10. Change without regulatory effect amending subsection (b)(3) filed 1-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 3).
11. Amendment of subsection (b)(2) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
12. Amendment of subsection (b)(3) and amendment of Note filed 3-14-2001 as an emergency; operative 3-14-2001 (Register 2001, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-2001 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsection (b)(3) and amendment of Note refiled 7-12-2001 as an emergency, including further amendment of subsection (b)(3) and Note; operative 7-12-2001 (Register 2001, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-9-2001 or emergency language will be repealed by operation of law on the following day.
14. Reinstatement of section as it existed prior to 7-12-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 47).
15. Amendment of subsection (b)(3) and amendment of Note filed 11-19-2001 as an emergency; operative 11-19-2001 (Register 2001, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-2002 or emergency language will be repealed by operation of law on the following day.
16. Certificate of Compliance as to 11-19-2001 order transmitted to OAL 3-15-2002 and filed 3-27-2002 (Register 2002, No. 13).
17. Change without regulatory effect amending subsection (b)(3) and Note filed 10-4-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 40).
18. Amendment of subsection (b)(3) filed 11-16-2007; operative 11-16-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 46).
19. Amendment of subsection (b)(3) filed 7-14-2008; operative 7-14-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 29).
Article 5. Rates of Reimbursement  Based on the Schedule of Maximum Allowances or the Vendor's Usual and Customary Rate
§57330. Generic Agencies.
Note     •     History

(a) The maximum rate of reimbursement shall be the usual and customary rate charged by the generic agency to all participants in the program.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690, and 4791(i), Welfare and Institutions Code. Reference: Sections 4648(a), 4690 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§57331. Group Practices.
Note     •     History

(a) The rate of reimbursement for group practices shall be determined based on the method of reimbursement established, pursuant to Sections 57332 through 57335, for an individual providing the same service.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690, and 4791(i), Welfare and Institutions Code. Reference: Sections 4648(a), 4690 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§57332. Maximum Rates of Reimbursement for Non-Residential Services.
Note     •     History

(a) The maximum rate of reimbursement for the following services shall be the vendor's usual and customary rate as defined in Section 57210(a)(19) or, if the vendor does not have an established usual and customary rate, a negotiated rate pursuant to Section 57300(e):
(1) Adaptive Skills Trainer -- Service Code 605
(2) Adult Day Care -- Service Code 855
(3) Art Therapist -- Service Code 691
(4) Associate Behavior Analyst -- Service Code 613.
(5) Attorney -- Service Code 610
(6) Behavior Analyst -- Service Code 612
(7) Camping Services -- Service Code 850 (Day Camp, Residential Camp, and Traveling Camp)
(8) Child Day Care -- Service Code 851
(9) Counseling Services -- Service Code 625 (Family Counselors and Social Workers)
(10) Dance Therapist -- Service Code 692
(11) Developmental Specialist -- Service Code 670
(12) Diaper Service -- Service Code 627
(13) Dietary Services -- Service Code 720 (Dietician and Nutritionist)
(14) Driver Trainer -- Service Code 630
(15) Educational Psychologist -- Service Code 672
(16) Homemaker -- Service Code 858
(17) Homemaker Service -- Service Code 860
(18) Independent Living Specialist -- Service Code 635
(19) Interpreter -- Service Code 642
(20) Mobility Training Services Agency -- Service Code 645
(21) Mobility Training Services Specialist -- Service Code 650
(22) Music Therapist -- Service Code 693
(23) Psychiatric Technician -- Service Code 790
(24) Recreational Therapist -- Service Code 694
(25) Retail/Wholesale Stores -- Service Code 660
(26) Teacher -- Service Code 674
(27) Teacher of Special Education -- Service Code 678
(28) Teacher's Aide -- Service Code 676
(29) Translator -- Service Code 643
(30) Tutor -- Service Code 680
(b) The maximum rate of reimbursement for the following medical services shall be in accordance with the Schedule of Maximum Allowances (SMA):
(1) Acute Care Hospitals -- Service Code 700
(Acute Care Hospitals and Acute Psychiatric Hospital)
(2) Adult Day Health Center -- Service Code 702
(3) Audiology -- Service Code 706
(4) Clinical Psychologist -- Service Code 785
(5) Day Treatment Centers -- Service Code 710
(6) Dentistry -- Service Code 715
(7) Durable Medical Equipment Dealer -- Service Code 725
(8) Genetic Counselor -- Service Code 800
(9) Hearing and Audiology Facilities -- Service Code 730
(10) Home Health Agency -- Service Code 854
(11) Home Health Aide -- Service Code 856
(12) Infant Development Specialist -- Service Code 810
(13) Laboratory and Radiology Services -- Service Code 735
(14) Nurse Anesthetist -- Service Code 741
(15) Occupational Therapy -- Service Code 773
(16) Orthoptic Services -- Service Code 745
(Orthoptic Technician and Optometrist)
(17) Orthotic and Prosthetic Services -- Service Code 750
(Orthotist and Prosthetist)
(18) Other Medical Equipment or Supplies -- Service Code 755
(Dispensing Optician, Hearing Aid Dispenser, and Prosthetic and Orthoptic Appliance Factory)
(19) Other Medical Services -- Service Code 760
(20) Pharmaceutical Services -- Service Code 765
(Pharmacist and Pharmacy)
(21) Physical Therapy  -- Service Code 772
(22) Physicians or Surgeons -- Service Code 775
(23) Psychiatrist -- Service Code 780
(24) Respiratory Therapist -- Service Code 793
(25) Speech Pathology -- Service Code 707
(c) The maximum rate of reimbursement for the following medical services shall be as specified below:
(1) Behavior Management Assistant -- Service Code 615
(A) The usual and customary rate, as defined in Section 57210(a)(19), charged for the behavior management assistant services or, if the vendor does not have an established usual and customary rate, a negotiated rate pursuant to Section 57300(e), not to exceed the rate of reimbursement established for the licensed professional with whom the Behavior Management Assistant is registered.
(2) Behavior Management Consultant -- Service Code 620
(A) The maximum rate of reimbursement shall be based on the method of reimbursement established, pursuant to Section 57332, for an individual with the same licensed classification.
(3) In-Home Respite Worker -- Service Code 864
(A) Effective January 1, 2008, the maximum rate of reimbursement for in-home respite workers shall not exceed $10.71 per consumer per hour, including fringe benefits, except:
1. When the family member has more than one consumer residing with them who has been authorized by the regional center to receive in-home respite services, the maximum level of payment shall be determined pursuant to Section 58140 of these regulations.
(4) Licensed Vocational Nurse -- Service Code 742
(A) The rate of reimbursement shall be in accordance with the Schedule of Maximum Allowances (SMA) for the Home and Community- Based Services, In-Home Medical Care Waiver Program.
(5) Nurse's Aide or Assistant -- Service Code 743
(A) The rate of reimbursement shall be in accordance with the Schedule of Maximum Allowances (SMA) for the Home and Community-Based Services, In-Home Medical Care Waiver Program.
(6) Out-of-Home Respite Services -- Service Code 868
(A) Day care homes providing out-of-home respite services shall be reimbursed in accordance with the vendor's usual and customary rate, as defined in Section 57210(a)(19) or, if the vendor does not have an established usual and customary rate, a negotiated rate pursuant to Section 57300(e).
(B) Licensed residential facilities providing out-of-home respite services, for whom the Department of Social Services or the Department of Health Services has established a rate, shall be reimbursed in accordance with the rate of reimbursement as established by the appropriate Department.
(C) Licensed residential facilities providing out-of-home respite services, for whom the Department of Social Services has not established a rate, shall be reimbursed at 1/21 of the monthly rate established by the regional center for the facility's service level as approved pursuant to Title 17, California Code of Regulations, Section 56005.
(7) Out-of-State Manufacturer or Distributor -- Service Code 655
(A) Out-of-State Manufacturers or Distributors supplying products that are reimbursable under the Medi-Cal program shall be reimbursed in accordance with the Schedule of Maximum Allowances (SMA).
(B) Out-of-State Manufacturers or Distributors supplying products that are not reimbursable under the Medi-Cal program shall be reimbursed according to the vendor's usual and customary rate.
(8) Registered Nurse -- Service Code 744.
(A) The rate of reimbursement shall be in accordance with the Schedule of Maximum Allowances (SMA) for the Home and Community-Based Services, In-Home Medical Care Waiver Program.
(9) Respite Facility -- Service Code 869
(A) Vendors classified as a respite facility shall be reimbursed as follows:
1. Either 1/21 of the established monthly rate for the facility's service level as approved pursuant to Title 17, California Code of Regulations, Section 56005; or
2. The agreed-upon level of payment for a service contract negotiated pursuant to Section 57540(b) through (f).
a. Effective January 1, 2008, the level of payment shall not exceed $10.71 per consumer per hour, including fringe benefits, authorized by the Department for an In-Home Respite Worker, Service Code 864, for the same units of service.
(10) Genetic Counselor -- Service Code 800
Genetic counselors to whom the SMA does not apply shall be reimbursed in accordance with the vendor's usual and customary rate, as defined in Section 57210(a)(19) or, if the vendor does not have an established usual and customary rate, a negotiated rate pursuant to Section 57300(e).
(11) Infant Development Specialist -- Service Code 810
Infant development specialists to whom the SMA does not apply shall be reimbursed in accordance with the vendor's usual and customary rate, as defined in Section 57210(a)(19) or, if the vendor does not have an established usual and customary rate, a negotiated rate pursuant to Section 57300(e).
(12) Behavior Management Technician (Paraprofessional) -- Service Code 616 
Regional centers shall contract for Behavior Management Technician (Paraprofessional) services at no more than 75% of the regional center's median hourly rate for Behavior Management Assistant -- Service Code 615 or the statewide median rate for Behavior Management Assistant -- Service Code 615, whichever is lower. 
NOTE

Authority cited: Sections 4690 and 4686.3, Welfare and Institutions Code. Reference: Sections 4648(a), 4690 and 4691.6, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. New subsections (a)(4), (a)(11)(A)-(D) and (a)(12) and subsection redesignation filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
5. Change without regulatory effect amending section, including incorporation and amendment of former section 57333, filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
6. Change without regulatory effect amending subsections (c)(3)(A) and (c)(9)(A)2.a. filed 3-6-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 10).
7. Editorial correction of subsection (a)(3) (Register 97, No. 21).
8. Change without regulatory effect amending subsections (c)(3)(A) and (c)(9)(A)2.a. filed 1-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 3).
9. Amendment of subsections (a), (c)(1)(A), (c)(6)(A) and (c)(10)-(11) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
10. Amendment of subsections (c)(3)(A), (c)(6)(A) and (c)(9)(A)2.a. and amendment of Note filed 3-14-2001 as an emergency; operative 3-14-2001 (Register 2001, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-2001 or emergency language will be repealed by operation of law on the following day.
11. New subsection (a)(5) and subsection renumbering filed 5-3-2001; operative 6-2-2001 (Register 2001, No. 18).
12. Amendment of subsections (c)(3)(A), (c)(6)(A) and (c)(9)(A)2.a. and amendment of Note refiled 7-12-2001 as an emergency, including further amendment of Note; operative 7-12-2001 (Register 2001, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-9-2001 or emergency language will be repealed by operation of law on the following day.
13. Reinstatement of section as it existed prior to 7-12-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 47).
14. Amendment of subsections (c)(3)(A), (c)(6)(A) and (c)(9)(A)2.a. and amendment of Note filed 11-19-2001 as an emergency; operative 11-19-2001 (Register 2001, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-2002 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 11-19-2001 order transmitted to OAL 3-15-2002 and filed 3-27-2002 (Register 2002, No. 13).
16. Amendment of subsections (c)(3)(A) and (c)(9)(A)2.a. and amendment of Note filed 8-29-2002 as an emergency; operative 8-29-2002 (Register 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2002 or emergency language will be repealed by operation of law on the following day.
17. Amendment of subsections (c)(3)(A) and (c)(9)(A)2.a. and amendment of Note refiled 12-19-2002 as an emergency; operative 12-27-2002 (Register 2002, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-28-2003 or emergency language will be repealed by operation of law on the following day.
18. Certificate of Compliance as to 12-19-2002 order transmitted to OAL 4-25-2003 and filed 6-5-2003 (Register 2003, No. 23).
19. New subsection (a)(4) and subsection renumbering filed 4-29-2004; operative 5-29-2004 (Register 2004, No. 18).
20. Change without regulatory effect amending subsections (c)(3)(A) and (c)(9)(A)2.a. and amending Note filed 10-4-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 40).
21. Amendment of subsections (c)(3)(A) and (c)(9)(A)2. filed 11-16-2007; operative 11-16-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 46).
22. Amendment of subsections (c)(3)(A) and (c)(9)(A)2.a. filed 7-14-2008; operative 7-14-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 29).
23. New subsection (c)(12) and amendment of Note filed 9-19-2011 as an emergency; operative 9-19-2011 (Register 2011, No. 38). A Certificate of Compliance must be transmitted to OAL by 9-19-2013 pursuant to Welfare and Institutions Code section 4686.3 or emergency language will be repealed by operation of law on the following day.
§57334. Prevention Services/Infant Development Services. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648(a), 4690 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57335. Supportive Services. [Repealed]
Note     •     History

NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648(a), 4690 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. Amendment of subsection (b)(2) and new subsections (b)(2)(A)-(B) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Certificate of Compliance as to 6-20-94 order, including amendment of subsections (c)(3)(A)2. and (c)(3)(A)2.a., transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
5. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57336. Miscellaneous Services.
Note     •     History

(a) The maximum rates of reimbursement for Miscellaneous Services shall be established in accordance with the following:
(1) Schedule of Maximum Allowances (SMA); or 
(2) The vendor's usual and customary rate, as defined in Section 57210(a)(19), if the SMA does not apply to the services provided; or
(3) A negotiated rate pursuant to Section 57300(e) if the vendor does not have an established usual and customary rate, as defined in Section 57210(a)(19), and the SMA does not apply to the services provided.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690 and 4791(i), Welfare and Institutions Code. Reference: Sections 4648(a), 4690 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
2. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
3. Amendment filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
Subchapter 8. Rate-Setting Procedures for Community-Based Day Programs
Article 1. (Reserved)
Article 2. General Provisions
§57422. General Requirements.
Note     •     History

(a) If a vendor serves both consumers and persons other than consumers, the vendor shall:
(1) Report only the program, cost and vendor income information related to services to consumers; and
(2) Allocate its costs and vendor income to consumers and to other persons served by the vendor based upon:
(A) Actual days of attendance if the service is an activity center, adult development center or behavior management program; and
(B) Actual hours of attendance if the service is a social recreation program, independent living program, or infant development program.
(b) If a vendor operates more than one service and the services share costs and/or vendor income, the vendor shall allocate these costs and/or vendor income based upon each service's representative share of the cost and/or vendor income.
(c) If a vendor provides services to consumers for the Department of Rehabilitation and/or the Department of Health Services, the vendor shall:
(1) Report only the allowable program, cost and vendor income information related to the program activities vendored by the regional center; or
(2) Report the total allowable program, cost and vendor income information, including the costs associated with services provided for the Department of Rehabilitation and/or the Department of Health Services. Only those allowable costs which would otherwise be funded by the Department shall be included.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsections (a)-(a)(2) and (c) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 3. Submission of Required Information
§57430. Submission of Information.
Note     •     History

(a) Each community-based day program vendor shall submit the program, cost and vendor income information specified in Sections 57433 through 57438, and as applicable, the regional center payment information specified in Section 57439, on Form DS1897, dated 12/92, entitled Community-Based Day Program: Program, Cost and Vendor Income Statement, for each service for which the vendor is requesting that a rate be established. The vendor shall sign and date Form DS1897 which includes a certification that the information is true and correct and complies with Sections 57422 through 57439. The vendor shall submit the original document to the Department with a copy of this document submitted to the vendoring regional center at the same time the original document is submitted to the Department.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§57431. Reporting Periods for Submission of Information.
Note     •     History

(a) Information submitted pursuant to Sections 57433 through 57439 shall cover the following reporting periods:
(1) For vendors receiving a temporary payment rate and whose temporary payment rate will be converted to a permanent payment rate, the reporting period shall be 12 consecutive months of representative actual allowable cost information, incurred within 18 months from the date the temporary payment rate became effective. The Department may grant an extension of the temporary payment rate for a period of up to six months if the vendor is unable to submit the required cost information due to delayed consumer enrollment into the program; and
(2) For vendors receiving a permanent payment rate and whose permanent payment rate will be established in Fiscal Year 1997-98, and each alternate fiscal year thereafter, the reporting period shall be Fiscal Year 1995-96, and each alternate fiscal year thereafter.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791, Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Amendment of subsection (a)(1) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§57432. Required Due Dates for Submission of Information.
Note     •     History

(a) The required dates for submission are as follows:
(1) Within 18 months from the date the temporary payment rate became effective, for vendors whose temporary payment rate is being converted to a permanent payment rate, unless an extension of the temporary payment rate has been granted pursuant to Section 57431(a)(1);
(2) Prior to expiration of the temporary payment rate for those vendors who received an extension pursuant to Section 57431(a)(1);
(3) September 30, 1996, and each alternate September 30 thereafter, for vendors whose permanent payment rate is being established in Fiscal Year 1997-98, and each alternate fiscal year thereafter; and
(4) At the time the vendor requests establishment of a temporary payment rate, for vendors requesting a temporary payment rate.
(b) If the information is received by the dates specified in (a), the vendoring regional center and the Department shall review the information pursuant to Sections 57440 and 57442.
(c) If the information is not received by the dates specified in (a), the Department shall, within 15 days, notify in writing, the vendor, the vendoring regional center, and utilizing regional center(s), if any, as follows:
(1) For the following vendors, that payment of the vendor's rate was suspended, the effective date of the suspension and that payment shall remain suspended until the information is received:
(A) For vendors required to submit information pursuant to (a)(1), suspension is effective at the end of 18 months, unless an extension of the temporary payment rate has been granted pursuant to Section 57431(a)(1); and
(B) For vendors required to submit information pursuant to (a)(2), suspension is effective upon expiration of the extension; and
(C) For vendors required to submit information pursuant to (a)(3), suspension is effective on September 30, 1996, and each alternate September 30, thereafter.
(2) This provision does not apply to vendors requesting a temporary payment rate, since the Department cannot initiate any action until the vendor submits its request for establishment of a temporary payment rate.
(d) If the information is submitted after the dates specified in (a) when payment of the vendor's rate has been suspended, the vendoring regional center and the Department shall review the information pursuant to Sections 57440 and 57442, and the Department shall authorize the vendoring regional center and utilizing regional center(s), if any, to reinstate payment of the vendor's rate as of the date payment was suspended.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
4. Amendment filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§57433. Required Program Information.
Note     •     History

(a) In order for the Department to establish a temporary payment rate or permanent payment rate, the vendor shall submit the following program information:
(1) Vendor name, and name of the management organization, if any, vendor identification number, service code and subcode;
(2) Facility or office telephone number, business and mailing addresses;
(3) Name of the service director; 
(4) Name of the vendoring regional center and utilizing regional center(s), if any; and
(5) A copy of the program design which was submitted to the vendoring regional center pursuant to Section 54310(a)(10)(D).
(b) In addition to the information in (a), vendors requesting a permanent payment rate shall also submit for each month of the reporting period:
(1) The total number of direct service hours actually provided to consumers. For vendors reimbursed for absences pursuant to Section 54326(a)(11), the total number of direct service hours actually provided to consumers shall also include direct service hours for which the vendor received reimbursement;
(2) For activity centers, adult development centers or behavior management programs the:
(A) Maximum number of consumers enrolled; 
(B) Actual number of days of attendance for all consumers, which shall also include the actual number of consumer days for which the vendor was reimbursed for absences pursuant to Section 54326(a)(11);
(C) Number of days in which service was actually provided, which shall also include the actual number of days for which the vendor was reimbursed for absences pursuant to Section 54326(a)(11); and
(D) Number of direct service hours operated per-day.
(3) For social recreation programs, independent living programs or infant development programs the:
(A) Authorized number of direct service hours for all consumers;
(B) Number of consumers scheduled to receive services within the hours identified in (A);
(C) Number of consumers who actually received services within the hours identified in (A), which shall also include the number of consumers for whom the vendor was reimbursed for absences pursuant to Section 54326(a)(11); and
(D) Actual number of hours of attendance for all consumers identified in (C), which shall also include the actual number of hours for which the vendor was reimbursed for absences pursuant to Section 54326(a)(11).
(c) In addition to the information in (a), vendors requesting a temporary payment rate shall also include:
(1) The date that the vendor began, or intends to begin, providing services to consumers; and
(2) A copy of the vendorization approval letter specified in section 54322(d).
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147 and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(5) and (c)(2) filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Amendment of subsections (b)(1), (b)(2)(B)-(C) and (b)(3)(C)-(D) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Change without regulatory effect amending subsections (b)(1), (b)(2)(B)-(C) and (b)(3)(C)-(D) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
§57434. Required Cost Information.
Note     •     History

(a) In order for the Department to establish a permanent payment rate, the vendor shall submit information for the following allowable costs for the reporting period, if they are incurred by the vendor and are necessary for the vendored service.
(1) Salary and wage expense which shall include:
(A) The total gross salary and wages, including overtime and staff relief time, for the staff functions specified in Section 56724; and
(B) The average hourly salary and wage and fringe benefit cost for the direct service function specified in section 56724(d).
(2) Fringe benefit costs associated with the salary and wage costs for the staff functions identified in (1)(A) which shall be limited to the following:
(A) Old Age Security Disability Insurance (OASDI) or Federal Insurance Compensation Act (FICA);
(B) Workers' compensation;
(C) Unemployment insurance;
(D) Life insurance;
(E) Health insurance;
(F) Dental insurance;
(G) Retirement;
(H) Vision insurance;
(I) Employee Training Tax, as specified in the California State Unemployment Insurance Code Section 976.6; and
(J) Long-term disability insurance.
(3) Operating expenses which shall not duplicate other allowable costs and shall be limited to the following cost categories:
(A) Accounting fees of the vendor for the establishment and maintenance of accounting records and other information systems required for the fiscal management of the vendored service;
(B) Bank service fees of the vendor;
(C) Communication costs for services including telephone, telegraph, teletype, centrex, telepak, postage, message services, facsimiles and TDD;
(D) Contractual/consultant fees for program operation that do not have a specific cost category;
(E) Depreciation costs, except for vehicles which are covered under (P). The following items shall be depreciated using the straight-line depreciation method and the useful life of the item. The useful life of an item shall be that used for federal tax purposes.
1. Facilities which have been purchased by the vendor;
2. Furniture and equipment which has been purchased by the vendor and has a unit acquisition cost of at least $500 and a normal useful life of at least four years; and
3. Capital improvements that add to the value or useful life of the facility or equipment. Capital improvements shall be treated as a permanent investment to be added to the cost basis of the facility or equipment and charged to depreciation.
(F) General expense costs for the following items only:
1. Furniture and equipment which do not meet the criteria specified in (E)2.;
2. Interest on loans attributable to the vendored service;
3. Subscriptions for periodicals which are used in the operation of the vendored service or for the purpose of staff development;
4. Staff recruitment costs; staff screening costs, such as fingerprinting prospective employees; and staff hiring costs which shall include the costs for physical examinations or other health and safety costs that may be required prior to employment;
5. Fees for licenses, certifications, registrations or permits, if necessary for vendorization or the continued operation of the service subsequent to vendorization;
6. Accreditation fees;
7. Association dues or fees;
8. Costs for providing or preparing information related to the vendored service which is used as general information to the consumers or to the authorized consumer representatives;
9. Local business fees or taxes;
10. Costs related to inoculations or clinical tests of an employee, for the employee's or consumer's health and safety; and
11. Fuel and oil.
(G) Insurance costs;
(H) Janitorial fees;
(I) Legal fees;
(J) Maintenance costs for repair and upkeep of furniture and equipment, vehicles, facilities and grounds which neither adds to the permanent value nor prolongs its useful life, but maintains it in an efficient operating condition;
(K) Office and program supply costs for items which are expendable or consumable and are used by or on behalf of the consumers in the vendored service. Food supply items shall only be included for consumers when used to reinforce positive behaviors, as a necessary item for instruction only when supported by the program design pursuant to Section 56712 or 56762, or as required by the appropriate licensing agency;
(L) Rental and lease costs. On a lease-purchase, while the item is being leased, the cost shall be reported under this category. When the option-to-purchase has been exercised, the residual value of the item shall be depreciated and shall be reported, as applicable, under category (E) or (P). Rental and lease costs shall apply to the following items:
1. Furniture and equipment;
2. Vehicles; and
3. Facilities, including rental costs for vacant apartments which are used for independent living programs.
(M) Staff training costs for in-service training and employee development which meet the requirements specified in Section 56726 or 56744. Staff training costs which were incurred shall be allowable to the extent the vendor implemented the staff training plan specified in Section 56726(a)(1);
(N) Travel costs for consumer or staff travel that is a part of the program curriculum. 
1. When the program curriculum is conducted solely in natural environments, only consumer travel which occurs between the first and last training site shall be included, unless the regional center, pursuant to Section 54342(a)(78)(A), also approves inclusion of travel associated with transporting consumers to the first and from the last training site as part of the operating expenses of the vendored service;
2. Consumer travel shall also include travel costs for travel to and from the vendored service site on an emergency basis when the consumer's health or safety is at risk.
(O) Utility costs such as gas, electricity, water, garbage, sewer fees or other utility expenses which occur at the vendored service site;
(P) Vehicle depreciation costs for owned vehicles shall be calculated by using the straight-line depreciation method and the minimum normal service life specified below. Vehicles which have been purchased using a combination of funds obtained through Section 16(b)(2) of the Urban Mass Transportation Act of 1964, 49 United States Code, Section 1612(b), and funds from the vendor, shall only be depreciated for the portion of the costs incurred by the vendor. The minimum normal service life for:
1. Standard size heavy duty (approximately 35'-40') transit busses is at least twelve years of service or an accumulation of at least 500,000 total miles on the vehicle;
2. Medium size heavy duty (approximately 30') transit busses is at least ten years of service or an accumulation of at least 350,000 total miles on the vehicle;
3. Small medium duty (under 30') transit busses is at least seven years of service or an accumulation of at least 200,000 total miles on the vehicle. A 16-passenger bus shall be considered a small medium duty transit bus and not a van; and
4. Other vehicles such as regular and specialized vans and cars is at least four years of service or an accumulation of at least 100,000 total miles on the vehicle.
(4) Management organization costs which:
(A) Shall include for staff functions of the management organization, the allowable costs specified in (a)(1) through (3) of this section.
(B) Shall not include:
1. More than 100 percent of the allocated costs of the management organization;
2. Costs applicable to or claimed by other services operated by the vendor;
3. Any non-allowable costs pursuant to Section 57436; and
4. Costs for staff relief time and direct care staff.
(C) Shall be allocated on a basis consistent with the administrative support provided to each separate service, and each vendor shall:
1. Indicate whether the methodology used to allocate the costs of the management organization is based upon:
a. Actual days of attendance if the service is an activity center, adult development center, or behavior management program; or actual hours of attendance if the service is a social recreation program, independent living program, or infant development program; or
b. The total costs of each service.
2. Include the total allowed costs of the management organization for the reporting period.
(b) Cost information submitted pursuant to (a) shall not include salaries and wages and fringe benefits for staff hired to supplement staffing ratios for non-mobile consumers, pursuant to Section 56756(b). These costs shall be reimbursed pursuant to Sections 57530 through 57534.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(3)(N) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(3)(N) and Note refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a)(3)(M) and (a)(3)(N)1. and 2. transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Amendment of subsection (a)(3)(F)2. and redesignation of subsection (a)(4)(C)(1) to (a)(4)(C)1. filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§57436. Costs Not to Be Reported.
Note     •     History

(a) Non-allowable costs shall not be reported and are limited to the following:
(1) Camperships, student aid funds and scholarships;
(2) Consumer entertainment and admission fees;
(3) Consumer moving expenses,
(4) Contractual/consultant fees for individual services which can be obtained through a generic agency and which the generic agency is legally responsible to provide;
(5) Depreciation costs for furniture, equipment, facilities or vehicles that are donated, secured or purchased through government grants;
(6) Depreciation costs for owned land;
(7) Donated services, facilities, furniture, equipment, or vehicles;
(8) Donations to other agencies;
(9) Employee bonuses and commissions;
(10) Facility, furniture, equipment, or vehicle rental or lease costs associated with items which are owned by a management organization, its affiliates or a commonly owned entity; and are leased or rented back to the management organization, its affiliates or a commonly owned entity, or the services it operates, when submission of such costs would result in the vendor being reimbursed twice for the same costs;
(11) Federal/state income tax and penalties or fees associated with payment of federal or state income taxes;
(12) Fund raising costs;
(13) Gifts for consumers or employees;
(14) Legal fees directly related to a consumer, or expenses for the prosecution of claims against the regional center or state agencies;
(15) Management organization costs pursuant to Section 57434(a)(4)(B);
(16) Payroll tax penalties
(17) Profit;
(18) Public relations costs;
(19) Refundable deposits;
(20) Supplements to consumers for their daily living needs;
(21) Surplus as defined in Section 57210(a)(11); and
(22) Travel costs associated with transporting consumers to or from the vendored service site, or to the first and from the last training site for programs which conduct their curriculum solely in natural environments, except as specified in Section 57434(a)(3)(N).
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(21) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(21) and Note  refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a)(20) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. New subsection (a)(16) and subsection renumbering filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§57438. Required Vendor Income Information.
Note     •     History

(a) In order for the Department to establish a permanent payment rate, the vendor shall submit the following vendor income information:
(1) The name of each vendor income source; 
(2) The total amount of vendor income received from each source; and
(3) The duration of funding provided by each vendor income source.
(b) Vendor income shall not include income:
(1) Received from private sources; 
(2) Used for non-allowable costs or for persons other than consumers;
(3) Received from the Department or regional centers; and
(4) Received from the Department of Rehabilitation and/or the Department of Health Services for services to consumers.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsections (b)(2) and (b)(4) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57439. Required Regional Center Payment and Vendor Cost Reduction Information.
Note     •     History

(a) In order for the Department to establish a permanent payment rate for vendors whose temporary payment rate is being converted to a permanent payment rate, or for vendors whose permanent payment rate is being established, each vendor who agreed, pursuant to Section 57300(d), to a negotiated level of payment shall submit regional center payment information for each regional center with whom the vendor agreed to a negotiated level of payment as follows:
(1) The total amount of the actual regional center payments which the vendor received for services provided to consumers during the reporting period; and
(2) The maximum amount of the regional center payment which the vendor would have received during the reporting period, had the vendor not agreed to a negotiated level of payment. The maximum amount of the regional center payment shall be computed by multiplying the vendor's established temporary payment rate or permanent payment rate for the reporting period, by the actual number of consumers days or hours of attendance which the vendor charged and invoiced the regional center for services provided to consumers.
(b) In addition to the information specified in (a) above, each vendor who agreed, pursuant to Section 57300(d), to a negotiated level of payment shall submit the total amount of cost reductions implemented as a result of the agreed upon lower level of payment.
(c) Each vendor who agreed, pursuant to Section 57540, to enter into a service contract may report regional center payment information and cost reduction information pursuant to (a) and (b) above if the method of payment agreed to in the service contract results in a reduced level of payment to the vendor.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. New subsection (c) filed 6-28-96; operative 6-28-96 (Register 96, No. 26).
7. Change without regulatory effect amending subsections (a)(1) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Review Requirements
§57440. Vendoring Regional Center Review Procedures.
Note     •     History

(a) Vendoring regional center review procedures shall apply only to the establishment of permanent payment rates, including conversion of  temporary payment rates to a permanent payment rate.
(b) Within 30 days from the date of the Department's written notification pursuant to Section 57442(a)(1)(A), the vendoring regional center shall:
(1) Review the information submitted by the vendor to determine the following:
(A) That services being provided are consistent with the program design, pursuant to Section 56712 or 56762;
(B) That the staffing ratio is consistent with that specified in Section 56756 or 56772;
(C) That the information submitted by the vendor is complete and complies with Sections 57422, and 57433 through 57439; and
(D) Any known inconsistencies in the vendor's reporting of cost and/or vendor income and/or, as applicable, regional center payment information.
(2) Forward a written copy of the review results to the Department and the vendor.
(c) If the vendoring regional center does not notify the Department of the results of its review pursuant to (b), the Department shall proceed with its review procedures pursuant to Section 57442.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (b)(1)(C)-(D) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(1)(C)-(D) and Note  refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57442. Department Review Procedures.
Note     •     History

(a) Department review procedures are as follows:
(1) For vendors whose temporary payment rates are being converted to permanent payment rates, and for vendors whose permanent payment rate is being established, the Department shall:
(A) Within five days from receipt of the information required from the vendor, send a written notification to the vendoring regional center which shall indicate that the Department has received the information; and
(B) Upon receipt of the information required from the vendoring regional center pursuant to Section 57440, or within 50 days of receipt of the information required from the vendor:
1. Review the information to determine if it is complete and complies with the requirements of Sections 57422, and 57433 through 57439; and
2. Determine the annual number of direct service hours allowed or required in order to maintain the approved staffing ratio pursuant to Section 57444.
(2) For vendors who are requesting a temporary payment rate, the Department shall, within 30 days of receipt of the information required from the vendor, review the information to determine if it is complete and complies with the requirements of Section 57433.
(b) If the information is complete and complies with the requirements of:
(1) Sections 57422, and 57433 through 57439, the Department shall, for those vendors identified in (a)(1), establish a permanent payment rate pursuant to Sections 57500 through 57519; or
(2) Section 57433, the Department shall, for those vendors identified in (a)(2), establish a temporary payment rate pursuant to Sections 57520 and 57522.
(c) If the information is not complete or does not comply with the requirements of Sections 57422, and 57433 through 57439, for establishment of a permanent payment rate, or Section 57433, for establishment of a temporary payment rate:
(1) The Department shall, within the time specified in (a)(1)(B) or (a)(2):
(A) Make a written request to the vendor for any additional or clarifying information; and
(B) Send a copy of the request to the vendoring regional center and utilizing regional center(s), if any.
(2) The vendor shall submit the required information to the Department with a copy to the vendoring and utilizing regional center(s), if any, within 15 days from receipt of the Department's written request:
(A) If the vendor submits the required information within the time specified, and it is complete and complies with the requirements of:
1. Sections 57422, and 57433 through 57439, the Department shall, for those vendors identified in (a)(1), establish a permanent payment rate pursuant to Sections 57500 through 57519; or
2. Section 57433, the Department shall, for those vendors identified in (a)(2), establish a temporary payment rate pursuant to Sections 57520 and 57522.
(B) If the vendor fails to submit the required information within the time specified, the Department shall notify, in writing, the vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
1. For those vendors identified in (a)(1):
a. That unless their rate has expired, payment of their rate shall be suspended within 15 days from the date of the Department's written notification; and
b. That payment shall remain suspended until the required information is received.
2. For those vendors identified in (a)(2), that the Department shall take no further action on their rate request until all required information has been received.
(C) If the required information is received after the vendoring regional center and utilizing regional center(s), if any, have suspended payment of the vendor's rate pursuant to (B)1. or 2. and the information is complete and it complies with the requirements of:
1. Sections 57422, and 57433 through 57439, the Department shall, for those vendors identified in (a)(1) :
a. Establish a permanent payment rate pursuant to Sections 57500 through 57519; and
b. Authorize the vendoring regional center and utilizing regional center(s), if any, to reinstate payment of the vendor's rate as of the date payment was suspended. The reinstated rate shall be effective until the new permanent payment rate is effective.
2. Section 57433, the Department shall, for those vendors identified in (a)(2), establish a temporary payment rate pursuant to Sections 57520 and 57522.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(1)(B)1, (b)(1), (c), (c)(2)(A)1, (c)(2)(c)1 and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1)(B)1, (b)(1), (c), (c)(2)(A)1, (c)(2)(C)1 and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsection (a)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57444. Determination of the Direct Service Hours Allowed or Required to Maintain the Approved Staffing Ratio.
Note     •     History

(a) For determining the mean and allowable range of rates, the Department shall review the program information reported pursuant to section 57433 to determine if the vendor's annual number of direct service hours actually provided to consumers is greater or less than the direct service hours allowed or required in order to maintain the staffing ratio approved by the Department, pursuant to section 56756 or 56772.
(b) The Department shall determine the annual number of direct service hours allowed using the program information reported pursuant to section 57433, the approved staffing ratio and the total number of consumers enrolled:
(1) For activity centers, adult development centers, and behavior management programs:
(A) For each month in the reporting period determine the total monthly direct service hours by:
1. Multiplying the reported number of direct service hours operated per-day, by the reported number of days in which service was actually provided; and 
2. Multiplying the amount computed in 1. by the reported consumer enrollment.
(B) Add together the total computed for each month pursuant to (A); and
(C) Divide the total computed in (B) by the approved staffing ratio to compute the annual number of direct service hours allowed, based on the approved staffing ratio.
(2) For social recreation programs, independent living programs, and infant development programs:
(A) Determine the total number of direct service hours authorized by adding together the authorized direct service hours reported for each month of the reporting period; and
(B) Divide the total computed in (A) by the approved staffing ratio to compute the annual number of direct service hours allowed, based on the approved staffing ratio.
(c) The Department shall determine the annual number of direct service hours required using the program information reported pursuant to section 57433, the approved staffing ratio and the number of consumers in attendance:
(1) For activity centers, adult development centers, and behavior management programs:
(A) For each month of the reporting period determine the total monthly direct services hours by multiplying the reported number of actual days of attendance by the reported number of direct service hours operated per-day;
(B) Add together the total computed for each month pursuant to (A); and
(C) Divide the total computed in (B) by the approved staffing ratio to compute the annual number of direct service hours required to maintain the approved staffing ratio.
(2) For social recreation programs, independent living programs, and infant development programs:
(A) Determine the total number of direct service hours actually provided by adding together the total reported hours of attendance for each month of the reporting period; and
(B) Divide the total computed in (A) by the approved staffing ratio to compute the annual number of direct service hours required to maintain the approved staffing ratio.
(d) Determine the annual number of direct service hours actually provided by direct care staff by adding together the reported number of direct service hours for each month of the reporting period.
(e) The annual number of direct service hours actually provided by direct care staff, as computed in (d), shall be compared with the annual number of direct service hours allowed, based on the approved staffing ratio, as computed in (b)(1) or (2), and with the annual number of direct service hours required, based on the approved staffing ratio, as computed in (c)(1) or (2).
(1) If the amount computed in (d) exceeds the amount computed in (b)(1) or (2), then the number of direct service hours provided exceeds the number of direct service hours allowed, and the Department shall decrease the total salary and wage and fringe benefit costs, reported pursuant to sections 57434 (e)(1)(A) and (a)(2), by the cost of the excess direct service hours, as follows:
(A) Determine the excess direct service hours by subtracting the amount computed in (b)(1) or (2) from the amount computed in (d);
(B) Multiply the amount computed in (A) by the average hourly salary and wage and fringe benefit costs reported pursuant to section 57434 (a)(1)(B); and
(C) Subtract the amount computed in (B) from the total salary and wage and fringe benefit costs reported pursuant to sections 57434 (a)(1)(A) and (a)(2). This amount shall then be used in step two, section 57511 (a)(2).
(2) If the amount computed in (d) is less than the amount computed in (c)(1) or (2), then the number of direct service hours provided is less than the number of direct service hours, required, and the Department shall exclude the vendor's costs in determining the mean and allowable range of rates pursuant to step three, section 57512 (a)(1)(B).
(3) If the amount computed in (d) is equal to or exceeds the amount computed in (c)(1) or (2), but does not exceed the amount computed in (b)(1) or (2), then the number of direct service hours provided is within the number of direct service hours allowed and required to maintain the approved staffing ratio, and the Department shall make no adjustment to the total salary and wage and fringe benefit costs reported pursuant to sections 57434 (a)(1)(A) and (a)(2), except for non-allowable costs identified in section 57436.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a), (b), (b)(1)(A), (c) and (e)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Subchapter 9. Rate-Setting Methodology for Community-Based Day Programs
Article 1. Permanent Payment Rates
§57500. General Provisions.
Note     •     History

(a) The methodology for computing permanent payment rates is based on program, cost, vendor income, and as applicable, regional center payment information submitted by all vendors receiving permanent payment rates. The Department shall use each vendor's program, cost, vendor income, and as applicable, regional center payment information to establish that vendor's permanent payment rate pursuant to this methodology.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57510. Step One: Grouping of Like Program Vendors.
Note     •     History

(a) Step one in the process of determining a permanent payment rate is the grouping of like program vendors. Each vendor shall be grouped with like program vendors, according to their service code and staffing ratio approved by the Department pursuant to Section 56756 or 56772.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Editorial correction inserting inadvertently omitted section 57510 (Register 2000, No. 18). 
§57511. Step Two: Computing an Amount Using Allowable Costs and Consumer Attendance.
Note     •     History

(a) Step two in the process of determining a permanent payment rate is to compute an amount or amounts, as applicable, for each vendor within the group of like programs, based on allowable costs and consumer attendance as follows;
(1) For each vendor, the Department shall compute an amount by:
(A) Determining the total allowable costs as follows:
1. Add together the total costs reported by the vendor identified in Section 57434;
2. Subtract from the amount computed in 1. the amount of any non-allowable costs specified in Section 57436, which were identified by the Department or vendoring regional center during their review of the information submitted by the vendor; and
3. For vendors who agreed to a negotiated level of payment, as specified in Section 57300(d), and whose temporary payment rate is being converted to a permanent payment rate, or whose permanent payment rate is being established, the Department shall increase the amount computed in 2. by:
a. Subtract the total amount of the actual regional center payments which the vendor received for services provided, as reported pursuant to Section 57439(a)(1), from the maximum amount of the regional center payment which the vendor would have received, as reported pursuant to Section 57439(a)(2); and
b. Adding the amount computed in a. or the total amount of cost reductions reported pursuant to Section 57439(b), whichever is less, to the amount computed in 2.
(B) Dividing the total allowable costs computed in (A) by the vendor's actual hours or days of consumer attendance, identified in Section 57433(b)(2)(B) or (3)(D); and
(C) Increasing or decreasing, if applicable, the amount computed in (B) for any of the following that has occurred from July 1 through September 30 following the reported period, and which have not been included in the total allowable costs reported by the vendor:
1. Increase the amount computed in (B) by the amount of any COLA authorized in the Budget Act for the fiscal year following the reporting period;
2. Increase the amount computed in (B) by the amount of any rate increase granted by the Department, as a result of a rate adjustment pursuant to Sections 57920 through 57924, and/or audit adjustment pursuant to Section 57930, and/or rate appeal pursuant to Sections 57940 through 57948; and/or
3. Decrease the amount computed in (B) by the amount of any rate decrease issued by the Department, as a result of a rate adjustment pursuant to Sections 57920 through 57924, and/or audit adjustment pursuant to Section 57930, and/or rate appeal pursuant to Sections 57940 through 57948.
(2) For each vendor included in (a)(1), whose annual number of direct service hours results in excess direct service hours, as determined pursuant to Section 57444(e)(1), the Department shall compute an additional amount using that vendor's allowable costs and consumer attendance and the steps specified in (a)(1), except the Department shall reduce the total allowable costs determined in (a)(1)(A) by the costs of the excess direct service hours computed in Section 57444(e)(1). This additional amount shall only be used in the computation of the mean and allowable range of rates, for those vendors with excess direct service hours.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(1)(A)1-2 and new subsection (a)(1)(A)3-b  and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1)(A)1-2 and new subsection (a)(1)(A)3-b and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a)(1)(A)3 and (a)(1)(A)3b transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section heading and subsections (a), (a)(1)(B) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57512. Step Three: Computing the Mean for Each Like Program.
Note     •     History

(a) Step three in the process of determining a permanent payment rate is the computation of the mean for all like programs. In making this computation, the Department shall:
(1) Use the amount computed for each vendor in step two, section 57511 (a)(1), except that:
(A) For each vendor with excess direct service hours, the Department shall substitute the amount computed in section 57511 (a)(1) with the amount computed in section 57511 (a)(2); and
(B) For each vendor whose direct service hours are less than required, as identified in section 57444 (e)(2), the Department shall exclude that vendor's allowable costs, as determined in step two, in the computation of the mean.
(2) Add together the amount specified in (1) for each vendor within each like program; and
(3) Divide the sum computed in (2) by the number of vendors included in calculating the sum.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§57513. Step Four: Determination of the Allowable Range of Rates for Each Like Program.
Note     •     History

(a) Step four in the process of determining a permanent payment rate is the computation of an allowable range of rates for each like program. The Department shall determine the upper and lower limits of the allowable range of rates as follows:
(1) For Fiscal Year 1997-98, and each alternate fiscal year thereafter:
(A) Multiply the mean computed in section 57512 for Fiscal Year 1993-94, by 50 percent to determine the range;
(B) Subtract the lower limit from the upper limit of the allowable range of rates established for Fiscal Year 1991-92, and adjusted for any COLA for Fiscal Year 1992-93, to determine the existing range;
(C) Compare the range computed in (B) to the range computed in (A);
(D) The lesser of the two ranges compared in (C) shall be divided by two;
(E) The upper limit shall be determined by adding the amount computed in (D) to the mean computed pursuant to section 57512 for Fiscal Year 1997-98, and each alternate fiscal year thereafter; and
(F) The lower limit shall be determined by subtracting the amount computed in (D) from the mean computed pursuant to section 57512 for Fiscal Year 1997-98, and each alternate fiscal year thereafter.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (b)-(b)(3) and amendment of Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
4. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (b), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
5. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57514. Step Five: Adjusting the Amount Computed in Step Two for Gap Funding.
Note     •     History

(a) Step five in the process of determining a permanent payment rate is to adjust the amount computed in step two, section 57511 (a)(1), for any money appropriated pursuant to the Budget Act, to fund the gap computed in Section 57820. The Department shall:
(1) Convert the vendor's current permanent payment rate into an amount as follows:
(A) Add back any vendor income subtracted out when the Department computed the vendor's current permanent payment rate. The increased rate shall become the amount for use in this step;
(B) If no vendor income was used in computing the vendor's current permanent payment rate, that rate shall become the amount for use in this step.
(2) If the amount computed in (1):
(A) Is below, or within the allowable range of rates, the gap adjustment combined with the amount computed in (1) shall not exceed the upper limit of the allowable range of rates; or
(B) Exceeds the upper limit of the allowable range of rates, the vendor shall not be eligible for a gap adjustment.
(3) For those vendors eligible for a gap adjustment pursuant to (2)(A), the Department shall:
(A) Increase to the upper limit, the difference between the amount computed in (1) and the amount computed in step two, Section 57511 (a)(1), if the appropriation in the Budget Act is sufficient to fully cover the statewide fiscal impact of the gap computed in Section 57820; or
(B) Increase the amount computed in (1) up to the upper limit, based upon the percentage of available funds, if the appropriation in the Budget Act is insufficient to fully cover the statewide fiscal impact of the gap computed in Section 57820. The Department shall, for those eligible vendors:
1. Determine the percentage of available funds by dividing the statewide fiscal impact of the gap computed in Section 57820, by the amount appropriated in the Budget Act;
2. Determine the difference between each vendor's amount as computed in Step two, section 57511 (a)(1), and their amount as computed in (1);
3. Multiply the difference computed in 2. by the percentage of available funds computed in 1.; and
4. Increase the amount computed in (1) by the amount computed in 3.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57515. Step Six: Adjusting the Amount Computed in Step Five by the Upper and Lower Limit of the Allowable Range of Rates.
Note     •     History

(a) Step six in the process of determining a permanent payment rate is to adjust the amount computed in step five, section 57514, by the upper and lower limit of the allowable range of rates:
(1) For Fiscal Year 1997-98, and each alternate fiscal year thereafter, the upper and lower limit adjustment shall be computed as follows:
(A) For vendors whose amount, as determined in step five, is within the allowable range of rates, the Department shall make no change to that amount;
(B) For vendors whose amount, as determined in step five, is above the upper limit of the allowable range of rates, the Department shall reduce that amount to the upper limit;
(C) For vendors whose amount, as determined in step five, is below the lower limit of the allowable range of rates, the Department shall increase the amount to the lower limit, based upon available funds pursuant to (a)(1)(C)1. through 3.
1. The amount of available funds to increase amounts computed in step five shall be determined as follows:
a. Multiply each vendor's reduction computed pursuant to (1)(B) by their consumer attendance identified in section 57433 (b)(2)(B) or (3)(D);
b. Add the amount computed in a. for each vendor to determine the total available funds from the upper limit reduction pursuant to (1)(B); and
c. Add to the amount determined in b. any gap funding appropriated pursuant to the Budget Act, for those vendors specified in section 57810 (a)(1)(A) and (B).
2. The amount of funds needed to increase amounts computed in step five to the lower limit, shall be determined as follows:
a. Determine the difference between, the lower limit and each vendor's amount as computed in step five;
b. Multiply the difference computed in a. by consumer attendance identified in section 57433 (b)(2)(B) or (3)(D); and 
c. Add the amounts computed in b. to determine the total amount of needed funds.
3. The total amount of available funds, as determined in (C)1., shall be compared to the total amount of funds needed, as determined in (C)2.
a. If there are sufficient funds to fully fund the lower limit increase, the Department shall increase amounts computed in step five to the lower limit.
b. If there are insufficient funds to fully fund the lower limit increase, the Department shall adjust the difference computed in (C)2.a. by the percentage of available funds. The Department shall:
(1.) Calculate the percentage of available funds, by dividing the total amount of available funds computed in (C)1.c. by the total amount of funds needed computed in (C)2.c.;
(2.) Multiply the percentage of available funds, by the difference computed in (C)2.a. for each vendor; and
(3.) Increase amounts computed in step five by the amount computed in (C)3.b.(2.).
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57517. Step Seven: Adjusting the Amount Computed in Step Six by Vendor Income.
Note     •     History

(a) Step seven in the process of determining a permanent payment rate is to adjust the amount computed in step six, section 57515, if applicable, by the amount of any vendor income reported by the vendor pursuant to section 57438 as follows. The Department shall: 
(1) Divide vendor income by the vendor's actual consumer attendance identified in section 57433 (b)(2)(B) or (3)(D); and
(2) Subtract the amount computed in (1) from the amount computed in step six.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57518. Step Eight: Adjusting the Amount Computed in Step Seven for Budget Act Adjustment.
Note     •     History

(a) Step eight in the process of determining a permanent payment rate is to adjust the amount computed in step seven, section 57517, if applicable, for the following that will occur in the fiscal year for which the permanent payment rate is established:
(1) COLA authorized in the Budget Act; and/or 
(2) Legislative adjustment, for any item of cost(s), specified in the Budget Act.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§57519. Adjusting the Rate Methodology for COLAs.
Note     •     History

(a) For each fiscal year in which a COLA is granted in the Budget Act, the Department shall increase the mean, computed in step three, section 57512, and upper and lower limits of the existing allowable range of rates, computed in step four, section 57513, by the percentage of the COLA.
(b) If the COLA is granted in a fiscal year in which the Department does not calculate a mean and an allowable range of rates, the COLA shall be applied to the mean and allowable range of rates calculated in the previous fiscal year.
(c) The effective date of the adjustment to the mean and allowable range of rates for a COLA pursuant to (a) or (b), shall be the effective date of the COLA as specified in the Budget Act.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 2. Temporary Payment Rate
§57520. General Provisions.
Note     •     History

(a) The methodology for computing temporary payment rates is based on program, cost, vendor income, and as applicable, regional center payment information submitted by all vendors receiving permanent payment rates. The Department shall use each vendor's program information to establish that vendor's temporary payment rate pursuant to this methodology.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed  6-17-93 as an emergency; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57522. Establishment of the Temporary Payment Rate.
Note     •     History

(a) The temporary payment rate is determined using the same information and steps specified in sections 57510, 57511, 57512 and 57519 for establishing a permanent payment rate.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691, 4691.5 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (b)-(b)(3) and amendment of Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
4. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (b), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
5. Change without regulatory effect repealing subsections (b)-(b)(3)  filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 3. Non-Mobile Supplemental Rate
§57530. Supplemental Rate for Community-Based Day Programs Serving Non-Mobile Consumers.
Note     •     History

(a) Vendors of activity centers, adult development centers, behavior management programs and social recreation programs, may supplement their direct care staffing ratios for non-mobile consumers as specified in section 56756 (b).
(b) For vendors specified in (a), effective July 1, 2000, the maximum rate of reimbursement shall not exceed $.76 per consumer per hour, or one-tenth of the prevailing minimum wage, as mandated by State and Federal laws, plus fringe benefits at 20% of the prevailing minimum wage, whichever is greater. This rate shall be in addition to the vendor's permanent or temporary payment rate.
(1) The per-consumer, per-hour rate, as specified in (b), is based on a 1:10 staff-to-consumer ratio for a maximum of six hours per day.
(2) The Department shall authorize regional centers to pay up to six hours per-day, per-consumer in the amount established in (b).
(3) The amount in (b) shall be increased by any COLA included in the Budget Act for that purpose.
(4) If there is an increase in the prevailing minimum wage, the Department shall only, if applicable, increase the existing hourly supplemental rate up to the amount of the new prevailing minimum wage.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code; Budget Act of 2000-01, Item 4300-101-0001.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section heading and subsections (a), (b)(1) and (b)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
4. Amendment of subsections (b)-(b)(3) and amendment of Note filed 3-14-2001 as an emergency; operative 3-14-2001 (Register 2001, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-12-2001 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b)-(b)(3) and amendment of Note refiled 7-12-2001 as an emergency; operative 7-12-2001 (Register 2001, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-9-2001 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement of section as it existed prior to 7-12-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 47).
7. Amendment of subsections (b)-(b)(3) and amendment of Note filed 11-19-2001 as an emergency; operative 11-19-2001 (Register 2001, No. 47). A Certificate of Compliance must be transmitted to OAL by 3-19-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 11-19-2001 order transmitted to OAL 3-15-2002 and filed 3-27-2002 (Register 2002, No. 13).
§57532. Effective Date.
Note     •     History

(a) The effective date for funding of staff who provide a 1:10 staff-to-consumer ratio for non-mobile consumers shall be the date the community-based day program began incurring the additional cost.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57534. Written Notification of the Supplemental Rate Established for Community-Based Day Programs Serving Non-Mobile Consumers.
Note     •     History

(a) For vendors receiving a supplemental rate established in section 57530 (b), the Department shall notify the regional center in writing of the supplemental rate. The regional center shall notify each vendor eligible for this supplemental rate.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section heading filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Service Contracts
§57540. Service Contracts Between the Regional Center and Community-Based Day Program Vendors.
Note     •     History

(a) Once the Department has established a rate of reimbursement for community-based day program vendors pursuant to Sections 57500 through 57519 for vendors whose temporary payment rate is being converted to a permanent payment rate and vendors whose permanent payment rate is being established or reestablished, or pursuant to Sections 57520 through 57522, for vendors who are requesting a temporary payment rate, a regional center and a vendor may negotiate a service contract for provisions of the vendored service.
(b) The service contract shall commence on the date agreed to by the regional center and vendor, and shall terminate on the expiration date specified by the Department in its written notification to the vendor of the established rate, or earlier, if an earlier termination date has been mutually agreed to by the regional center and vendor.
(1) If the service contract terminates on the expiration date specified in the Department's written notification to the vendor of the established rate, the Department shall:
(A) For those vendors whose established rate is a temporary payment rate, establish a permanent payment rate, as applicable, pursuant to Section 57642 or 57652; or
(B) For those vendors whose established rate is a permanent payment rate:
1. Reestablish the permanent payment rate during Fiscal Year 1996-97, and each alternate fiscal year thereafter, as specified in Section 57640; or
2. Establish a permanent payment rate during Fiscal Year 1997-98, and each alternate fiscal year thereafter, as specified in Section 57650.
(2) If the service contract terminates prior to the expiration date specified in the Department's written notification to the vendor of the established rate, the vendor shall be reimbursed at the rate established by the Department until the expiration of the established rate.
(c) Each regional center and vendor shall mutually agree, in writing, to the:
(1) Level of payment;
(2) Effective date for commencing and terminating payment as determined by the regional center and vendor pursuant to (b) above;
(3) Units of service which the vendor shall use to charge and invoice the regional center for services provided to consumers. The units of service shall include the minimum and maximum number of units of service to be provided during the period specified. Units of service for contracts reimbursed other than a daily or hourly rate shall also be maintained pursuant to Section 50604(d)(3)(A) through (F), as applicable.
(d) The level of payment agreed to under the service contract may be less than but shall not exceed the maximum reimbursement possible during the contract period, using the rate established by the Department and the units of service actually provided by the vendor as the basis for determining the maximum reimbursement possible.
(e) In addition to the items specified in (a) through (d) above, service contracts negotiated pursuant to the provisions of this section shall include:
(1) The provisions specified in Sections 50607 through 50611; and
(2) A statement that the vendor shall agree to maintain service and program information in accordance with the provisions of Section 50604(d)(1) through (3)(F), as applicable, and Section 57433(b)(1), (2), and (3).
(3) A provision requiring the vendor to submit to the regional center with their billings/invoices the information specified in Section 50604(d)(3)(A) through (F), as applicable, for the billing period.
NOTE

Authority cited: Chapter 157, Statutes of 2003; Sections 4648(a), 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4648(a), 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-4-92 order including amendment of subsections (c)(3)(A) and (B) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
4. Editorial correction of printing error inserting article heading (Register 92, No. 34).
5. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Amendment of section heading, section and Note filed 8-28-95 as an emergency; operative 8-28-95 (Register 95, No. 35). This amendment is deemed an emergency, is not subject to OAL review, and shall remain in effect until revised or repealed by the Department pursuant to Stats. 1992, ch. 722, sec. 147.
8. Certificate of Compliance as to 8-28-95 order transmitted to OAL 5-16-96 and filed 6-28-96 (Register 96, No. 26).
9. Change without regulatory effect amending subsections (b)(1)(A)-(b)(1)(B)2. and (c)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
10. Amendment of subsections (c)(3) and (e)(2), new subsection (e)(3) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
11. Amendment of subsections (c)(3) and (e)(2), new subsection (e)(3) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
12. Amendment of subsections (c)(3) and (e)(2), new subsection (e)(3) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 6-1-2004 order, including amendment of subsections (c)(3), (e)(2) and (e)(3), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
Subchapter 10. Schedule of Payment Rates for Community-Based Day Programs
Article 1. General Provisions
§57600. General Provisions for Schedule of Payment Rates for All Fiscal Years.
Note     •     History

(a) Each fiscal year, the Department shall establish a payment rate for each vendor.
(b) The appropriate like program for each vendor shall be determined based upon their service code and the staffing ratio approved by the Department pursuant to Section 56756 or 56772.
(c) Each vendor shall submit information, as applicable, pursuant to Sections 57433 through 57439. The vendoring regional center and the Department shall review the information pursuant to Sections 57440 and 57442.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (c) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
Article 2. Schedule of Payment Rates for Fiscal Year 1990-91
§57620. Vendors Receiving Permanent Rates.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing article 2 (sections 57620-57624) and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57622. Vendors Receiving Provisional Rates.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57624. New Vendors.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 3. Schedule of Payment Rates for Fiscal Year 1991-92
§57630. Vendors Receiving Permanent Rates.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing article 3 (sections 57630-57636) and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57632. Vendors Receiving Temporary Payment Rates.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (b) and (d)(1) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b) and (d)(1) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57634. Vendors Receiving Provisional Rates.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57636. New Vendors.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Schedule of Payment Rates for Fiscal Year 1996-97 and Each Alternate Fiscal Year Thereafter
§57640. Vendors Receiving Permanent Payment Rates.
Note     •     History

(a) For Fiscal Year 1996-97, and each alternate fiscal year thereafter, the Department shall reestablish permanent payment rates that were established the previous fiscal year by adjusting those rates pursuant to sections 57515 and 57518.
(b) The effective date of the reestablished permanent payment rate shall be September 1, 1996, for Fiscal Year 1996-97, and September 1 for each alternate fiscal year thereafter.
(c) The expiration date of the reestablished permanent payment rate shall be August 31, 1997, for Fiscal Year 1996-97, and August 31 for each alternate fiscal year thereafter.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending article heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57642. Vendors Receiving Temporary Payment Rates.
Note     •     History

(a) For Fiscal Year 1996-97, and each alternate fiscal year thereafter, the temporary payment rate established the previous fiscal year shall continue until the Department converts it to a permanent payment rate pursuant to Section 57652(b) through (e).
(b) If the mean is adjusted for a COLA pursuant to section 57519 (b), the Department shall adjust the temporary payment rate established the previous fiscal year, by the amount of the COLA.
(c) The effective date of the adjustment of the temporary payment rate, as specified in (b), shall be the effective date of the COLA as specified in section 57519 (c).
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57644. New Vendors.
Note     •     History

(a) For Fiscal Year 1996-97, and each alternate fiscal year thereafter, new vendors requesting a rate shall receive the temporary payment rate established the previous fiscal year, adjusted for a COLA, if applicable, pursuant to section 57519. The Department shall use the program information specified in section 57433, submitted by each new vendor by the date specified in section 57432(a)(3), to establish the vendor's temporary payment rate.
(b) The temporary payment rate shall be effective on the date the vendor begins providing services to consumers.
(c) Once the temporary payment rate is established, the vendor shall continue to receive that rate until:
(1) The Department converts the temporary payment rate to a permanent payment rate pursuant to Section 57652; or
(2) It expires, which shall be twenty-one months from the date it became effective.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 5. Schedule of Payment Rates for Fiscal Year 1997-98 and Each Alternate Fiscal Year Thereafter
§57650. Vendors Receiving Permanent Payment Rates.
Note     •     History

(a) For Fiscal Year 1997-98, and each alternate fiscal year thereafter, the Department shall establish permanent payment rates pursuant to Sections 57500 through 57519, based upon the program, cost and vendor income information specified in Sections 57433 through 57438, and as applicable, the regional center payment information specified in Section 57439, submitted by vendors receiving permanent payment rates, by the date specified in Section 57432(a)(2) for the reporting period specified in Section 57431(a)(2).
(b) The effective date of the established permanent payment rate shall be September 1, 1997, for Fiscal Year 1997-98, and September 1 for each alternate fiscal year thereafter.
(c) The expiration date of the established permanent payment rate shall be August 31, 1998, for Fiscal Year 1997-98, and August 31 for each alternate fiscal year thereafter.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending article heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57652. Vendors Receiving Temporary Payment Rates.
Note     •     History

(a) The temporary payment rate shall continue until the Department converts it to a permanent payment rate pursuant to (b) through (e).
(b) All vendors converting from a temporary payment rate to a permanent payment rate shall submit the program, cost and vendor income information specified in Sections 57433 through 57438, and as applicable, the regional center payment information specified in Section 57439 by the dates specified in Section 57432(a)(1) for the reporting period specified in Section 57431(a)(1).
(c) The Department shall convert the temporary payment rate to a permanent payment rate pursuant to Sections 57500 through 57519, with the following exceptions:
(1) The amount computed in Step five, Section 57514, shall not be adjusted for gap funding;
(2) The permanent payment rate shall not exceed the upper limit; and
(3) If the amount computed in Step five is below the lower limit of the allowable range of rates, the Department shall increase that amount to the lower limit based upon available funds from the upper limit reduction process for vendors with a permanent payment rate pursuant to Section 57515.
(d) The effective date of the conversion of the temporary payment rate to a permanent payment rate shall be:
(1) Thirty days from the date the Department receives the program, cost and vendor income information that complies with Sections 57422, and 57433 through 57438, and as applicable, the regional center payment information specified in Section 57439; or
(2) No later than 21 months from the date the temporary payment rate was initially established, if the vendor did not receive an extension of the temporary payment rate pursuant to Section 57431(a)(1).
(e) Temporary payment rates which are converted to a permanent payment rate shall expire August 31, following the effective date.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing and adding new section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
4. Amendment of subsection (d)(2) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§57654. New Vendors.
Note     •     History

(a) For Fiscal Year 1997-98, and each alternate fiscal year thereafter, new vendors requesting a rate shall receive a temporary payment rate established pursuant to sections 57520 and 57522, using the program information specified in section 57433 submitted by each new vendor by the date specified in section 57432(a)(3). The temporary payment rate shall be based upon the program, cost and vendor income information submitted by vendors receiving permanent payment rates pursuant to section 57650(a).
(b) The temporary payment rate shall be effective on the date specified in Section 57644(b).
(c) Once the temporary payment rate is established, the vendor shall continue to receive that rate until it is converted or it expires as specified in Section 57644(c).
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 6. Timelines for Rate Establishment and Written Notification
§57660. Timelines for Continuation of the Permanent Rate and Written Notification.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57662. Timelines for Extension of the Provisional Rate and Written Notification.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57664. Timelines for Establishment of the Permanent Payment Rate and Written Notification.
Note     •     History

(a) For vendors receiving a permanent payment rate, the Department shall, upon receipt of the information which complies with Sections 57422, and 57433 through 57439, and by September 1, of each year, establish or reestablish the permanent payment rate and notify, in writing, each vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
(1) The permanent payment rate;
(2) The effective date and expiration date of the permanent payment rate;
(3) The service code and staffing ratio used to determine the permanent payment rate;
(4) Any Budget Act adjustments;
(5) The next required reporting period, and submission date pursuant to Sections 57431(a)(2) and 57432(a)(2) for the program, cost, vendor income, and as applicable, regional center payment information;
(6) That payment of the permanent payment rate shall be suspended pursuant to Section 57432(c)(1)(B) if the required information specified in (a)(5) is not submitted; and
(7) The vendor's right to appeal the permanent payment rate pursuant to Sections 57940 through 57948.
(b) For vendors converting their temporary payment rates to a permanent payment rate, the Department shall establish the permanent payment rate and provide the notification specified in (a) within 30 days of receipt of program, cost and vendor income information that complies with Sections 57422, and 57433 through 57438, and as applicable, the regional center payment information specified in Section 57439 for vendors with a temporary payment rate that is converted to a permanent payment rate.
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a), (a)(5), and (b)(3) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a), (a)(5), and (b)(3) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57666. Timelines for Establishment of the Temporary Payment Rate and Written Notification.
Note     •     History

(a) For vendors requesting a temporary payment rate, the Department shall within 30 days from receipt of program information that complies with section 57433, establish a temporary payment rate and notify, in writing, each vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
(1) The temporary payment rate; 
(2) The effective date and expiration date of the temporary payment rate;
(3) The service code and staffing ratio used to determine the temporary payment rate;
(4) Any cost-of-living adjustment; 
(5) The next required reporting period, and submission date pursuant to sections 57431(a)(1) and 57432(a)(1) for the program, cost and vendor income information;
(6) That payment of the temporary payment rate shall be suspended pursuant to section 57432(c)(1)(A) if the required information specified in (a)(5) is not submitted;,and
(7) The vendor's right to appeal the temporary payment rate pursuant to sections 57940 through 57948. 
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a)(5) and (a)(6) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Subchapter 11. Reporting Requirements for Community-Based Day Programs
Article 1. Annual Report to the Legislature
§57810. The Department's Annual Report to the Legislature.
Note     •     History

(a) By April 15, 1997, for Fiscal Year 1997-98, and by April 15 for each alternate fiscal year thereafter, the Department shall report the following to the Legislature:
(1) The amount needed to fund the statewide fiscal impact of the gap including identification of the amount attributed to vendors who are:
(A) Not eligible for a gap adjustment pursuant to section 57514 (a)(2)(B); or
(B) Eligible only for a partial gap adjustment pursuant to section 57514 (a)(2)(A).
(2) Any other known pertinent costs or rate information which the Department deems necessary, in order to show cost-of-living increases to an allowable cost item that affects all vendors, and which has not been:
(A) Funded in the current fiscal year's Budget Act; nor
(B) Included in the next fiscal year's Governor's Budget.
(b) By April 15, 1998, for Fiscal Year 1998-99, and by April 15 for each alternate fiscal year thereafter, the Department shall report:
(1) The amount determined in (a)(1) that was unfunded in the previous year; and
(2) The information specified in (a)(2). 
NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a) and (b) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57812. The Joint Report to the Legislature for Fiscal Year 1996-97.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 2. Calculation of the Statewide Fiscal Impact of the Gap
§57820. Determination of the Statewide Fiscal Impact of the Gap for Fiscal Year 1997-98, and Each Alternate Fiscal Year Thereafter.
Note     •     History

(a) For vendors with a permanent payment rate whose amount computed in step two, section 57511(a)(1), is below the upper limit of the allowable range of rates computed in section 57513 the Department shall:
(1) For each vendor, calculate the difference between step two, section 57511(a)(1) and step five, section 57514(a)(1);
(2) Multiply the amount computed in (1) for each vendor by each vendor's actual consumer attendance identified in section 57433(b)(2)(B) or (3)(D); and
(3) Add the amounts computed in (2) to determine the statewide gap.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section heading and subsections (a) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57822. Determination of the Statewide Fiscal Impact of the Gap for Fiscal Year 1993-94, and Each Alternate Fiscal Year Thereafter.
Note     •     History

NOTE

Authority cited: Sections 4691 and 4691.5, Welfare and Institutions Code. Reference: Sections 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Subchapter 12. Rate Adjustments, Audit Adjustments and Rate Appeals for Community-Based Day Programs
Article 1. General Provisions
§57910. General Provisions.
Note     •     History

(a) A permanent payment rate may be adjusted pursuant to this article, by the Department, only for the following:
(1) A rate adjustment pursuant to section 57920(b) and (c); and/or
(2) An audit adjustment pursuant to section 57930(a)(1)(A); and/or
(3) A rate appeal pursuant to sections 57940 through 57948.
(b) A temporary payment rate may be adjusted pursuant to this article, by the Department, only for the following:
(1) A rate adjustment pursuant to section 57920(b)(1); and/or
(2) An audit adjustment pursuant to section 57930(a)(1)(B); and/or
(3) A rate appeal pursuant to sections 57940 through 57948.
(c) The Department shall not adjust any rate to exceed the upper limit of the allowable range of rates.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a), repealing subsections (c)-(c)(3) and relettering remaining subsection filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 2. Rate Adjustments
§57920. General Provisions.
Note     •     History

(a) Once a payment rate for each community-based day program has been established by the Department, adjustments to that rate shall be considered by the Department, for either anticipated or unanticipated program changes, in accordance with (b) and (c).
(b) Anticipated program changes are service modifications which the vendor and/or the vendoring regional center can plan for and expect to occur in the next fiscal year. Anticipated program changes shall be submitted to the Department and the vendoring regional center prior to December 1 of the year previous to the fiscal year in which the changes are expected to occur. Any requests submitted after December 1 shall not be considered by the Department. Anticipated program changes shall be limited to the following:
(1) A modification in the program design pursuant to section 56712 or 56762 which results in a change in the approved existing staffing ratio or approved service code. Changes in the approved existing staffing ratio or approved service code shall be based upon the characteristics and needs of the consumers served and/or the program curriculum as specified in section 56756 or 56772;
(2) Relocation of the service due to expiration of the vendor's facility lease or tenancy arrangement; and/or
(3) A loss or gain of any vendor income used to compute the vendor's rate.
(c) Unanticipated program changes shall be submitted by the vendor to the Department and the vendoring regional center no later than 60 days from the date the change has occurred. Unanticipated program changes received after the 60 days shall not be considered by the Department. Unanticipated program changes shall be limited to the following:
(1) Mandated service adjustments due to changes in, or additions to, existing statutes, laws, regulations or court decisions; and/or
(2) Emergency relocations as required to protect the health and safety of the consumers.
(d) Anticipated program changes shall be funded by the Department only if there are funds made available in the Budget Act appropriation to the Department for that purpose.
(e) Unanticipated program changes shall be funded effective the date the Department approves them pursuant to section 57924.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (b)(1), repealing subsections (b)(2)-(b)(2)(B), renumbering subsections, and amending subsection (c)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§57922. Submission Requirements for Rate Adjustments.
Note     •     History

(a) Any community-based day program vendor requesting a rate adjustment due to anticipated or unanticipated program changes pursuant to the requirements of section 57920 shall submit the following information in writing to the Department with a copy to the vendoring regional center:
(1) Vendor program information specified in section 57433(a)(1) through (4);
(2) The specific reason for the adjustment request; 
(3) All supporting documentation and any other information necessary to substantiate and/or justify the request; 
(4) Program, cost and vendor income information for only those items relatingto the rate adjustment request; and
(5) The date the additional cost was incurred or is expected to be incurred.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§57924. Review Procedures for Rate Adjustments.
Note     •     History

(a) Within five days of receipt of the rate adjustment request from the vendor, the Department shall send a written notification to the vendoring regional center which shall indicate that the Department has received the rate adjustment request from the vendor.
(b) Within 30 days from the date of the Department's written notification pursuant to (a), the vendoring regional center shall:
(1) Review all information submitted by the vendor to determine if it complete and complies with the requirements of sections 57920 and 57922; and
(2) Notify the Department in writing, with a copy to the vendor, of the vendoring regional center's recommendation, including supporting rationale for their recommendation. The vendoring regional center's supporting rationale shall include:
(A) The specific regulatory basis for the request; 
(B) A statement that the circumstances necessitating the request have been verified by the regional center; and
(C) Other documents which support the regional center's recommendation.
(c) If the vendoring regional center does not notify the Department of the results of its review and recommendation pursuant to (b), the Department shall proceed with its review procedures pursuant to (d) through (g).
(d) Within 50 days of receipt of the rate adjustment request from the vendor, the Department shall review the request to determine if it is complete and complies with the requirements of sections 57920 and 57922.
(1) If the vendor's rate adjustment request is complete and complies with the requirements of sections 57920 and 57922, the Department shall approve the vendor's rate adjustment request within 60 days of receipt of the request. However, requests for anticipated program changes shall only be approved contingent upon funds being available pursuant to section 57920(d).
(2) If the vendor's rate adjustment request is not complete or does not comply with the requirements of sections 57920 and 57922, the Department shall make a written request to the vendor for additional information, as required, and send a copy of the request to the vendoring regional center. The vendor shall submit the required additional information to the Department within 15 days from receipt of the written request.
(A) If the vendor fails to submit the required additional information within 15 days, the Department shall deny the vendor's rate adjustment request.
(B) If the vendor submits the required additional information within the 15 days and it is complete and complies with the requirements of sections 57920 and 57922, the Department shall approve the vendor's rate adjustment request within 60 days of receipt of the required additional information. However, requests for anticipated program changes shall only be approved contingent upon funds being available pursuant to section 57920(d).
(C) If the vendor submits the required additional information within 15 days and it is not complete and does not comply with the requirements of sections 57920 and, 57922, the Department shall deny the vendor's rate adjustment request.
(e) The Department shall notify, in writing, the vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
(1) The decision to approve or deny the vendor's rate adjustment request pursuant to (d). Notification shall be as follows:
(A) Within,the time specified in (d)(1) if the vendor's rate adjustment request, when initially received by the Department, is complete and complies with sections 57920 and 57922;
(B) Within 15 days from the date any required additional information from the vendor is due, if the vendor fails to submit the required additional information within the time specified in (d)(2)(A);
(C) Within the time specified in (d)(2)(B) if the vendor submits the required additional information within 15 days and it is complete and complies with sections 57920 and 57922; or
(D) Within 60 days of receipt of any required additional information which is not complete and does not comply with sections 57920 and 57922, as specified in (d)(2)(C).
(2) The availability of funds in the Budget Act, to fund previously approved anticipated program changes pursuant to section 57920(d). The notification shall be by September 1.
(f) The effective date for all approved rate adjustments due to anticipated program changes, pursuant to section 57920(b), shall be September 1 of the subsequent fiscal year, or later, depending upon when the cost relating to the change actually occurs.
(g) The effective date for all approved rate adjustments due to unanticipated program changes pursuant to section 57920(c) shall be the date the community-based day program began incurring the additional cost.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 3. Audit Adjustments
§57930. Rate Adjustments Resulting From Audit Findings.
Note     •     History

(a) If the Department or regional center conducts an audit of the vendor, and an adjustment to the rate is required as a result of the audit, the Department shall adjust the vendor's rate as follows:
(1) The audit report shall be utilized by the Department in determining whether an adjustment to the vendor's rate is required. This determination shall be made prior to issuance of the audit report.
(A) For vendors reimbursed at a permanent payment rate, the vendor's rate shall be adjusted if the program, cost, vendor income, and as applicable, regional center payment information, used as a basis for determining the rate, does not substantiate or support the rate established by the Department.
(B) For vendors reimbursed at a temporary payment rate, the vendor's rate shall be adjusted if any of the program information used as a basis for determining the rate, does not substantiate or support the rate established by the Department.
(2) The revised rate and the effective date of the revised rate shall be determined as follows:
(A) For vendors reimbursed at a permanent payment rate, the vendor's program, cost, vendor income, and as applicable, regional center payment information used as a basis for determining the vendor's rate, adjusted for any findings in the final audit report, shall be used to determine the revised rate and its effective date.
(B) For vendors reimbursed at a temporary payment rate, the vendor's program information used as a basis for determining the vendor's rate, adjusted for any findings in the final audit report, shall be used to determine the revised rate and its effective date.
(b) If an adjustment to the vendor's rate was made pursuant to (a), the Department shall include, with the final audit report released to the vendor, written notification of the following:
(1) The revised rate and its effective date;
(2) The vendor's right to defer implementation of the revised rate and/or its effective date, pending the results of an audit appeal, if the vendor appeals the audit pursuant to Title 17, Sections 50700 through 50767;
(3) That if the vendor appeals the audit, the results of the audit appeal shall be used by the Department in accordance with (a) to determine the revised rate and its effective date; and
(4) The vendor's right to appeal errors by the Department in calculating its revised rate and/or the effective date of the revised rate pursuant to Sections 57940 through 57948.
(c) Vendors shall not appeal issues pertaining to the audit through the rate appeal process specified in Sections 57940 through 57948.
(d) A copy of the written notification and final audit report specified in (b) shall be sent to the vendoring regional center, and utilizing regional center(s), if any, at the same time the original notice and audit report are sent to the vendor. The Department shall provide the vendor, the vendoring regional center, and the utilizing regional center(s), if any, with written notification of the results of any audit appeal and revisions, if any, in the vendor's rate and its effective date.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(1)(A) and (a)(2)(A) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1)(A) and (a)(2)(A) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Rate Appeals
§57940. General Provisions.
Note     •     History

(a) A vendor may appeal the following to the Department's Deputy Director who has the responsibility for setting rates:
(1) Errors in program and/or cost and/or vendor income and/or, as applicable, regional center payment information submitted by the vendor which was utilized by the Department to establish the vendor's rate;
(2) Errors by the Department in calculating the vendor's rate, including revised rates based on a final audit report or the results of an appeal of a final audit report;
(3) The effective date of the rate, including revised rates based on a final audit report or the results of an appeal of a final audit report; and/or
(4) A rate adjustment request denied by the Department pursuant to Sections 57920 through 57924, except anticipated program changes that were not approved because funding was not appropriated for that purpose.
(b) The vendor shall file the appeal with the Deputy Director within 12 months after the receipt of written notification from the Department of the vendor's rate.
(c) If an appeal is not filed within the time specified, it shall be denied unless good cause pursuant to Section 57946 is established for the late submission. Good cause shall be determined by the Deputy Director in accordance with Section 57946. If good cause for late submission is established, the Deputy Director shall proceed to decide the appeal in accordance with Section 57941.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(1) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(1) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including repealer of forms transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§57941. Contents of Appeal and Decision.
Note     •     History

(a) The appeal filed pursuant to section 57940 shall be in writing and shall include the following:
(1) Vendor program information specified in section 57433(a)(1) through (4);
(2) Identification of the rate error or effective date being appealed;
(3) The specific basis of the appeal; and
(4) All supporting documentation and any other information necessary to substantiate and/or justify the appeal including the specific regulation used as the basis for the appeal.
(b) At the time the vendor files the appeal with the Deputy Director, a copy shall be mailed to the vendoring regional center, and utilizing regional center(s), if any.
(c) Within 15 days after receipt of the appeal, the Deputy Director shall review the appeal to determine whether it complies with sections 57940 and 57941(a).
(1) If all required information has been submitted, the Deputy Director shall render a decision pursuant to (d);
(2) If all required information has not been submitted and/or additional information is needed, the Deputy Director shall request the additional information, in writing, from the appellant within 15 days after receipt of the appeal. The appellant shall submit the additional information within 15 days after receipt of the request.
(A) If the information is not submitted within the time specified, the appeal shall be deemed withdrawn and no further action shall be taken unless the appellant establishes good cause pursuant to section 57946, for the late submission. Good cause shall be determined by the Deputy Director, in accordance with section 57946. If good cause for late submission is established and the information is submitted, the Deputy Director shall proceed with the appeal and render a decision pursuant to (d);
(B) If the information is submitted but does not comply with the request, the appeal shall be deemed withdrawn and no further action shall be taken.
(d) The Deputy Director shall render a decision on the appeal within 60 days after receipt of all required and/or requested information. The decision shall:
(1) Identify the specific issue(s) in dispute; 
(2) Rule on each issue identified; 
(3) State the facts supporting each ruling; and 
(4) Identify the statutes and regulations upon which each ruling is based.
(e) A written copy of the decision shall be mailed to the appellant, the vendoring regional center, and utilizing regional center(s), if any, within 15 days after the decision is rendered.
(f) If the appellant does not appeal the decision to the Director, pursuant to section 57942, it shall be deemed final.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§57942. Appeal of Deputy Director's Decision.
Note     •     History

(a) The appellant may appeal the Deputy Director's decision to the Director within 15 days after receipt of the written decision. The appeal shall be in writing and shall include the following:
(1) All information submitted to the Deputy Director pursuant to section 57941(a);
(2) A copy of the Deputy Director's decision; and 
(3) A statement of the issue(s), facts, documentation, and supporting authority identifying why the appellant believes the decision of the Deputy Director should be reversed by the Director.
(b) Within 30 days after receipt of the appeal, the Director or the Chief Deputy Director shall review the appeal and determine whether additional information upon which to base a decision is needed from the appellant utilizing the process specified in section 57941(c).
(c) Within 60 days of receipt of all required and/or requested information, the Director or the Chief Deputy Director shall render a decision utilizing to the process specified in section 57941(d).
(d) A written copy of the decision shall be sent to the appellant, the vendoring regional center, and utilizing regional center(s), if any, within 15 days after the decision is rendered.
(e) An appeal filed with the Director is the final level of appeal. The decision rendered by the Director or the Chief Deputy Director shall be deemed final.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147 and Sections 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§57944. Effective Date of Decision.
Note     •     History

The effective date of the decision rendered pursuant to Sections 57941 and 57942 shall be stated in the decision. The effective date shall be the date the Department received the appeal pursuant to Section 57940 or the date the costs are incurred, whichever is later.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§57946. Good Cause.
Note     •     History

(a) For the purposes of sections 57940 through 57944, good cause for a failure to act is limited to:
(1) A violent act of nature, including, but not limited to, flood, earthquake, blizzard or fire; and/or
(2) Arson, vandalism and/or theft of records and/or property, by individuals other than the appellant, which preclude the appellant from filing a timely appeal.
(b) The appellant shall, within a reasonable time, not to exceed 60 days after the vendor has notice of the incident giving rise to its claim of good cause, submit to the Deputy Director or the Director, as appropriate, the basis for its claim of good cause and all supporting documents or other evidence to substantiate its claim. The Deputy Director, Director or Chief Deputy Director, whichever is appropriate, shall, within 30 days of receipt of, the claim and supporting documentation, review the information and render a decision regarding whether good cause has been established.
(c) The Deputy Director, Director or Chief Deputy Director, as appropriate, shall notify the appellant in writing of the good cause determination, and shall specify what action shall be taken, if any, pursuant to sections 57941 through 57944.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4691 and 4791(i), Welfare and Institutions Code. Reference: Sections 4691 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§57948. Review of Documents Only.
Note     •     History

An appeal made pursuant to sections 57940 through 57946 shall be decided only on the documents submitted. There shall be no oral testimony or argument.
NOTE

Authority cited: Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of forms filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of forms  filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Amendment of form DS1897 Instructions filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Editorial correction of form (Register 96, No. 13).
8. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic
Subchapter 13. Rate-Setting  Procedures for In-Home Respite  Services Agency Vendors
Article 1. Definitions
§58000. Terms Defined In Other Subchapters.
Note     •     History

(a) As used in Sections 58020 through , the following words and phrases have the meanings specified in Sections 54302 and 57210:
(1) Authorized Consumer Representative
(2) Consumer
(3) Cost-of-Living Adjustment or COLA
(4) Days
(5) Department
(6) Director
(7) Family Member
(8) Fiscal Year
(9) Generic Agency
(10) In-Home Respite Services
(11) Level of Payment
(12) Like Programs
(13) Management Organizations
(14) Profit or Surplus
(15) Public Agency
(16) Regional Center
(17) Regional Center Payments
(18) Service Code
(19) Straight-line Depreciation
(20) Subcode
(21) User Regional Center or Utilizing Regional Center
(22) Vendor
(23) Vendor Identification Number
(24) Vendoring Regional Center
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Section 4690.2, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (a)(7) and (a)(11) and subsection renumbering and amendment of Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
4. New subsections (a)(7) and (a)(11) and subsection renumbering and amendment of NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-4-92 order including adoption of subsection (a)(17) and subsection renumbering transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
6. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Change without regulatory effect amending subsections (a)(1) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58010. Additional Terms Defined.
Note     •     History

(a) As used in sections 58020 through 58448, the following words and phrases have the following meanings:
(1) “Allowable Range” means the distance from the lower limit to the upper limit in a distribution of amounts among like programs determined pursuant to step four, section 58113;
(2) “Direct Service Hours” means the number of hours during which a respite worker provides care to a consumer in the consumer's place of residence and, for vendors reimbursed for absences pursuant to Section 54326(a)(12), the number of direct service hours for which reimbursement was received shall also be included;
(3) “Gap” means the difference between the amount determined for each vendor in step five, section 58114 (a)(1) and the amount determined for each vendor in step two, section 58111 based upon allowable cost and direct consumer service hours reported to the Department;
(4) “Gap Funding” means an amount of funds appropriated in the Budget Act pursuant to Section 58320;
(5) “Lower Limit” means the lowest amount allowed in the distribution of amounts among like programs, without an increase in the amount pursuant to step six, section 58115;
(6) “Permanent Payment Rate” means a rate established by the Department subsequent to the effective date of sections 58000 through 58448, which is based upon each vendor's service, allowable cost, direct service hours, vendor income, and as applicable, regional center payment information;
(7) “Temporary Payment Rate” means a rate established by the Department subsequent to the effective date of sections 58000 through 58448, for vendors who do not have an actual cost history which the Department can use to establish a permanent payment rate;
(8) “Upper limit” means the highest amount allowed in the distribution of amounts among like programs, without a decrease in the amount pursuant to step six, section 58115; and
(9) “Vendor Income” means all income received from any public agency, with the exception of the Department or regional centers, for services to consumers pursuant to section 58038.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(6) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Amendment of subsection (a)(2) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
8. Change without regulatory effect amending subsections (a)(2)-(a)(4), repealing subsections (a)(7) and (a)(8), renumbering subsections, and amending newly designated subsection (a)(11) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 2. General Provisions
§58020. General Requirements.
Note     •     History

(a) If a vendor serves both consumers and persons other than consumers, the vendor shall:
(1) Report only the service, cost and vendor income information related to services to consumers; and
(2) Allocate its costs and vendor income to consumers and to other persons served by the vendor based upon the total actual number of direct service hours.
(b) If a vendor operates more than one service and the services share costs and/or vendor income, the vendor shall allocate these costs and/or vendor income based upon each service's representative share of the cost and/or vendor income.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Section 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a)-(a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 3. Submission of Required Information
§58030. Submission of Information.
Note     •     History

(a) Each in-home respite services agency vendor shall submit the service, cost and vendor income information specified in Sections 58033 through 58038, and as applicable, the regional center payment information specified in Section 58039, on Form DS1897B, dated 12/92, entitled In-Home Respite Services Agency: Service, Cost and Vendor Income Statement, for each service for which the vendor is requesting that a rate be established. The vendor shall sign and date Form DS1897B which includes a certification that the information is true, correct and complies with Sections 58020 through 58039. The vendor shall submit the original document to the Department with a copy of this document submitted to the vendoring regional center at the same time the original document is submitted to the Department.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58031. Reporting Periods for Submission of Information.
Note     •     History

(a) Information submitted pursuant to sections 58033 through 58039 shall cover the following reporting periods:
(1) For vendors receiving a temporary payment rate and whose temporary payment rate will be converted to a permanent payment rate, the reporting period shall be 12 consecutive months of representative actual allowable cost information, incurred within 18 months from the date the temporary payment rate became effective. The Department may grant an extension of the temporary payment rate for a period of up to six months if the vendor is unable to submit the required cost information due to delayed consumer enrollment into the program; and
(2) For vendors receiving a permanent payment rate and whose permanent payment rate will be established in Fiscal Year 1997-98, and each alternate fiscal year thereafter, the reporting period shall be Fiscal Year 1995-96, and each alternate fiscal year thereafter.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791, Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
7. Amendment of subsection (a)(1) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58032. Required Due Dates for Submission of Information.
Note     •     History

(a) The required dates for submission are as follows:
(1) Within 18 months from the date the temporary payment rate became effective, for vendors whose temporary payment rate is being converted to a permanent payment rate, unless an extension of the temporary payment rate has been granted pursuant to Section 58031(a)(1);
(2) Prior to expiration of the temporary payment rate for those vendors who received an extension pursuant to Section 58031(a)(1);
(3) September 30, 1996, and each alternate September 30 thereafter, for vendors whose permanent payment rate is being established in Fiscal Year 1997-98, and each alternate fiscal year thereafter; and
(4) At the time the vendor requests establishment of a temporary payment rate, for vendors requesting a temporary payment rate.
(b) If the information is received by the dates specified in (a), the vendoring regional center and the Department shall review the information pursuant to Sections 58040 and 58042.
(c) If the information is not received by the dates specified in (a), the Department shall within 15 days, notify in writing, the vendor, the vendoring regional center, and utilizing regional center(s), if any, as follows:
(1) For the following vendors that payment of the vendor's rate was suspended, the effective date of the suspension and that payment shall remain suspended until the information is received:
(A) For vendors required to submit information pursuant to (a)(1), suspension is effective at the end of 18 months, unless an extension has been granted pursuant to Section 58031(a)(1); and
(B) For vendors who have received an extension of their temporary payment rate pursuant to Section 58031(a)(1), suspension is effective upon termination of the extension;
(C) For vendors required to submit information pursuant to (a)(3), suspension is effective on September 30, 1996, and each alternate September 30 thereafter.
(2) This provision does not apply to vendors requesting a temporary payment rate since the Department cannot initiate any action until the vendor submits its request for establishment of a temporary payment rate.
(d) If the information is submitted after the dates specified in (a) when payment of the vendor's rate has been suspended, the vendoring regional center and the Department shall review the information pursuant to Sections 58040 and58042 and the Department shall authorize the vendoring regional center and utilizing regional center(s), if any, to reinstate payment of the vendor's rate as of the date payment was suspended.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
4. Amendment filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58033. Required Service Information.
Note     •     History

(a) In order for the Department to establish a temporary payment rate or permanent payment rate, the vendor shall submit the following service information:
(1) Vendor name, and name of the management organization, if any, vendor identification number, service code and subcode;
(2) Office telephone number, business and mailing addresses;
(3) Name of the service director; 
(4) Name of the vendoring regional center and utilizing regional center(s), if any; and
(5) A copy of the service design which was submitted to the vendoring regional center pursuant to section 54310(a)(10)(F).
(b) In addition to the information in (a), vendors requesting a permanent payment rate shall also submit the total actual number of direct service hours for all consumers and, for vendors reimbursed for absences pursuant to Section 54326(a)(11), the number of direct service hours for which reimbursement was received shall also be included.
(c) In addition to the information in (a), vendors requesting a temporary payment rate shall also include:
(1) The date that the vendor began, or intends to begin, providing services to consumers; and
(2) A copy of the vendorization approval letter specified in section 54322(d).
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(5) and (c)(2) filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Amendment of subsection (b) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
8. Change without regulatory effect amending subsections (b), (c)(1) and (c)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Change without regulatory effect amending subsection (b) filed 1-14-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 3).
§58034. Required Cost Information.
Note     •     History

(a) In order for the Department to establish a permanent payment rate, the vendor shall submit information for the following allowable costs if they are incurred by the vendor and are necessary for the vendored service.
(1) Total gross salary and wages including overtime for the staff functions specified in Section 56792.
(2) Fringe benefit costs associated with the salary and wage costs for the staff functions identified in (1) which shall be limited to the following:
(A) Old Age Security Disability Insurance (OASDI) or Federal Insurance Compensation Act (FICA);
(B) Workers' compensation;
(C) Unemployment insurance;
(D) Life insurance;
(E) Health insurance;
(F) Dental insurance;
(G) Retirement;
(H) Vision insurance;
(I) Employee Training Tax as specified in the California State Unemployment Insurance Code Section 976.6; and
(J) Long-term disability insurance.
(3) Operating expenses which shall not duplicate other allowable costs and shall be limited to the following cost categories:
(A) Accounting fees of the vendor for the establishment and maintenance of accounting records and other information systems required for the fiscal management of the vendored service;
(B) Bank service fees of the vendor; 
(C) Communication costs for services including telephone, telegraph, teletype, centrex, telepak, postage, message services, facsimiles and TDD;
(D) Contractual/consultant fees for service operation that do not have a specific cost category;
(E) Depreciation costs, except for vehicles which are covered under (P). The following items shall be depreciated using the straight-line depreciation method and the useful life of the item. The useful life of an item shall be that used for federal tax purposes.
1. Buildings which have been purchased by the vendor;
2. Furniture and equipment which has been purchased by the vendor and has a unit acquisition cost of at least $500 and a normal useful life of at least four years; and
3. Capital improvements that add to the value or useful life of the building or equipment. Capital improvements shall be treated as a permanent investment to be added to the cost basis of the building or equipment and charged to depreciation.
(F) General expense costs for the following items only:
1. Furniture and equipment which do not meet the criteria specified in (E) 2; 
2. Interest on loans attributable to the vendored service;
3. Subscriptions for periodicals which are used in the operation of the vendored service or for the purpose of staff development;
4. Staff recruitment costs; staff screening costs, such as fingerprinting prospective employees; and staff hiring costs which shall include the costs for physical examinations or other health and safety costs that may be required prior to employment;
5. Fees for licenses, certifications, registrations or permits, if necessary for vendorization or the continued operation of the service subsequent to vendorization;
6. Accreditation fees;
7. Association dues or fees;
8. Costs for providing or preparing information related to the vendored service which is used as general information to the consumers or to the authorized consumer representatives;
9. Local business fees or taxes;
10. Costs related to inoculations or clinical tests of an employee, for the employee's or consumer's health and safety; and
11. Fuel and oil.
(G) Insurance costs;
(H) Janitorial fees;
(I) Legal fees;
(J) Maintenance costs for repair and upkeep of furniture and equipment, vehicles, buildings and grounds which neither adds to the permanent value nor prolongs its useful life, but maintains it in an efficient operating condition;
(K) Office supply costs; 
(L) Rental and lease costs. On a lease-purchase, while the item is being leased, the cost shall be reported under this category. When the option-to-purchase has been exercised, the residual value of the item shall be depreciated and shall be reported, as applicable, under category (E) or (P). Rental and lease costs shall apply to the following items:
1. Furniture and equipment;
2. Vehicles; and
3. Buildings.
(M) Staff training costs for in-service training and employee development which meet the requirements specified in Section 56794;
(N) Staff travel costs which are specifically related to the administration of the vendored service.
(O) Utility costs such as gas, electricity, water, garbage, sewer fees or other utility expenses which occur at the vendored service site;
(P) Vehicle depreciation cost for owned vehicles shall be calculated by using the straight-ling depreciation method and the minimum normal service life which is allowed by the Urban Mass Transportation Administration. The minimum normal service life for vehicles such as regular and specialized vans and cars is at least four years for service or an accumulation of at least 100,000 total miles on the vehicle.
(4) Management organization costs which:
(A) Shall include for staff functions of the management organization, the allowable costs specified in (a)(1) through (3) of this section.
(B) Shall not include:
1. More than 100 percent of the allocated costs of the management organization;
2. Costs applicable to or claimed by other services operated by the vendor.
3. Any non-allowable costs pursuant to Section 58036; and
4. Costs for respite worker staff.
(C) Shall be allocated on a basis consistent with the administrative support provided to each separate service, and each vendor shall:
1. Indicate whether the methodolgy used to allocate the costs of the management organization is based upon.
a. Direct service hours; or
b. The total costs of each service.
2. Include the total allowed costs of the management organization for the reporting period.
(b) Cost information submitted pursuant to (a) shall not include respite worker travel costs. These costs shall be reimbursed pursuant to Sections 58130 and 58132.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a)(3)(F)8. and (a)(3)(F)10. filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
4. Amendment of subsections (a)(1), (a)(2)(I), (a)(3)(F)2., (a)(3)(F)9.,  (a)(4)(B)3. and (b) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58036. Costs Not to Be Reported.
Note     •     History

(a) Non-allowable costs shall not be reported, and are limited to the following:
(1) Camperships, student aid funds and scholarships; 
(2) Consumer entertainment and admission fees; 
(3) Consumer moving expenses; 
(4) Contractual/consultant fees for individual services which can be obtained through a generic agency and which the generic agency is legally responsible to provide;
(5) Depreciation costs for furniture, equipment, buildings or vehicles that are donated, secured or purchased through government grants;
(6) Depreciation costs for owned land; 
(7) Donated services, buildings, furniture, equipment or vehicles;
(8) Donations to other agencies;
(9) Employee bonuses and commissions; 
(10) Office furniture, equipment, or vehicle rental or lease costs associated with items which are owned by a management organization, its affiliates or a commonly owned entity; and are leased or rented back to the management organization, its affiliates or a commonly owned entity, or the services it operates, when submission of such costs would result in the vendor being reimbursed twice for the same costs;
(11) Federal/state income tax and penalties or fees associated with payment of federal or state income taxes;
(12) Fund raising costs;
(13) Gifts for consumers or employees;
(14) Legal fees directly related to a consumer, or expenses for the prosecution of claims against the regional center or state agencies;
(15) Management organization costs pursuant to Section 58034 (a)(4)(B);
(16) Payroll tax penalties;
(17) Profit;
(18) Public relations costs;
(19) Refundable deposits;
(20) Supplements to consumers for their daily living needs;
(21) Surplus as defined in Section 57210(a)(11); and
(22) Travel costs associated with transporting consumers to or from the vendored service site except for emergencies when the consumer's health and safety is at risk.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(20) filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
5. Amendment of subsection (a)(15), new subsection (a)(16), subsection renumbering and amendment of newly designated subsection (a)(21) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58038. Required Vendor Income Information.
Note     •     History

(a) In order for the Department to establish a permanent payment rate, the vendor shall submit the following vendor income information:
(1) The name of each vendor income source;
(2) The total amount of vendor income received from each source; and
(3) The duration of funding provided by each vendor income source.
(b) Vendor income shall not include income:
(1) Received from private sources;
(2) Used for non-allowable costs or for persons other than consumers; and
(3) Received from the Department or regional centers.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (b)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58039. Required Regional Center Payment and Vendor Cost Reduction Information.
Note     •     History

(a) In order for the Department to establish a permanent payment rate for vendors whose temporary payment rate is being converted to a permanent payment rate, or for vendors whose permanent payment rate is being established, each vendor who agreed, pursuant to Section 57300(d) or Section 58140, to a negotiated level of payment shall submit regional center payment information for each regional center with whom the vendor agreed to a negotiated level of payment as follows:
(1) The total amount of the actual regional center payments which the vendor received for services provided to consumers during the reporting period; and
(2) The maximum amount of the regional center payment which the vendor would have received during the reporting period, had the vendor not agreed to a negotiated level of payment. The maximum amount of the regional center payment shall be computed by multiplying the vendor's established temporary payment rate or permanent payment rate for the reporting period, by the actual number of direct service hours which the vendor charged and invoiced the regional center for services provided to consumers.
(b) In addition to the information specified in (a) above, each vendor who agreed, pursuant to Section 57300(d) or Section 58140, to a negotiated level of payment shall submit the total amount of cost reductions implemented as a result of the agreed upon lower level of payment.
(c) The provisions of this section shall not apply to respite services provided to family members as a result of a voucher as specified in Section 57310(a)(3), (a)(12), (b)(3) and (b)(12).
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Amendment of subsection (c)(1) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
6. Change without regulatory effect amending subsections (a)(1), (a)(2) and (b)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
7. Amendment filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
Article 4. Review Requirements
§58040. Vendoring Regional Center Review Procedures.
Note     •     History

(a) Vendoring regional center review procedures shall apply only to the establishment of permanent payment rates, including conversion of temporary payment rates to a permanent payment rate.
(b) Within 30 days from the date of the Department's written notification pursuant to section 58042 (a)(1)(A), the vendoring regional center shall:
(1) Review the information submitted by the vendor to determine the following:
(A) That services being provided are consistent with the service design, pursuant to section 56780;
(B) That the information submitted by the vendor is complete and complies with sections 58020, and 58033 though 58038; and
(C) Any known inconsistencies in the vendor's reporting of cost and/or vendor income and/or, as applicable, regional center payment information.
(2) Forward a written copy of the review results to the Department and the vendor.
(c) If the regional center does not notify the Department of the results of its review pursuant to (b), the Department shall proceed with its review procedures pursuant to section 58042.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (b)(1)(C) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58042. Department Review Procedures.
Note     •     History

(a) Department review procedures are as follows:
(1) For vendors whose temporary payment rates are being converted to permanent payment rates, and for vendors whose permanent payment rate is being established, the Department shall:
(A) Within five days from receipt of the information required from the vendor, send a written notification to the vendoring regional center which shall indicate that the Department has received the information; and 
(B) Upon receipt of the information required from the vendoring regional center pursuant to section 58040, or within 50 days of receipt of the information required from the vendor, review the information to determine if it is complete and complies with the requirements of sections 58020, and 58033 through 58039.
(2) For vendors who are requesting a temporary payment rate, the Department shall, within 30 days of receipt of the information required from the vendor, review the information to determine if it is complete and complies with the requirements of section 58033.
(b) If the information is complete and complies with the requirements of:
(1) Sections 58020, and 58033 through 58039, the Department shall, for those vendors identified in (a)(1), establish a permanent payment rate pursuant to sections 58100 through 58119; or
(2) Section 58033, the Department shall, for those vendors identified in (a)(2), establish a temporary payment rate pursuant to sections 58120 and 58122.
(c) If the information is not complete or does not comply with the requirements of sections 58020, and 58033 through 58039, for establishment of a permanent payment rate, or section 58033, for establishment of a temporary payment rate, 
(1) The Department shall, within the time specified in (a)(1)(B) or (a)(2):
(A) Make a written request to the vendor for any additional or clarifying information; and 
(B) Send a copy of the request to the vendoring regional center and utilizing regional center(s), if any.
(2) The vendor shall submit the required information to the Department with a copy to the vendoring and utilizing regional centers, if any, within 15 days from receipt of the Department's written request:
(A) If the vendor submits the required information within the time specified, and it is complete and complies with the requirements of:
1. Sections 58020, and 58033 through 58039, the Department shall, for those vendors identified in (a)(1), establish a permanent payment rate pursuant to sections 58100 through 58119; or
2. Section 58033, the Department shall, for vendors identified in (a)(2), establish a temporary payment rate pursuant to sections 58120 and 58122.
(B) If the vendor fails to submit the required information within the time specified, the Department shall notify, in writing, the vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
1. For those vendors identified in (a)(1):
a. That unless their rate has expired, payment of their rate shall be suspended within 15 days from the date of the Department's written notification; and
b. That payment shall remain suspended until the required information is received.
2. For those vendors identified in (a)(2), that the Department shall take no further action on their rate request until all required information has been received.
(C) If the required information is received after the vendoring regional center and utilizing regional center(s), if any, have suspended payment of the vendor's rate pursuant to (B)l. or 2. and the information is complete and it complies with the requirements of:
1. Sections 58020, and 58033 through 58039, the Department shall, for those vendors identified in (a)(1):
a. Establish a permanent payment rate pursuant to sections 58100 through 58119; and
b. Authorize the vendoring regional center and utilizing regional center(s), if any, to reinstate payment of the vendor's rate as of the date payment was suspended. The reinstated rate shall be effective until the new permanent payment rate is effective.
2. Section 58033, the Department shall, for those vendors identified in (a)(2), establish a temporary payment rate pursuant to sections 58120 and 58122.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of text and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending subsection (a)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Subchapter 14. Rate-Setting Methodology for In-Home Respite Services  Agency Vendors
Article 1. Permanent Payment Rates
§58100. General Provisions.
Note     •     History

(a) The methodology for computing permanent payment rates is based on service, cost, vendor income, and as applicable, regional center payment information submitted by all vendors receiving permanent payment rates. The Department shall use each vendor's service, cost, vendor income, and as applicable, regional center payment information to establish that vendor's permanent payment rate pursuant to this methodology.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note  filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58111. Step Two: Computing an Amount Using Allowable Costs and Direct Service Hours.
Note     •     History

(a) Step two in the process of determining a permanent payment rate is to compute an amount for each vendor within the group of like programs, based on allowable costs and direct service hours. For each vendor, the Department shall compute an amount by:
(1) Determining the total allowable costs as follows:
(A) Add together the total costs reported by the vendor pursuant to section 58034; 
(B) Subtract from the amount computed in (A) the amount of any non-allowable costs specified in section 58036, which were identified by the Department or vendoring regional center during their review of the information submitted by the vendor; and
(C) For vendors who agreed to a negotiated level of payment , as specified in Section 57300(d), and whose temporary payment rate is being converted to a permanent payment rate, or whose permanent payment rate is being established, the Department shall increase the amount computed in (B) by:
1. Subtracting the total amount of the actual regional center payments which the vendor received for services provided during the reporting period, as reported pursuant to Section 58039(a)(1), from the maximum amount of the regional center payment which the vendor would have received during the reporting period, as reported pursuant to Section 58039(a)(2); and
2. Adding the amount computed in 1. or the total amount of cost reductions reported pursuant to Section 58039(b), whichever is less, to the amount computed in (B).
(2) Dividing the total allowable costs computed in (1) by the vendor's actual direct service hours pursuant to section 58033 (b) .
(3) Increasing or decreasing, if applicable, the amount computed in (2) for any of the following that has occurred from July 1 through September 30 following the reporting period, and which have not been included in the total allowable costs reported by the vendor:
(A) Increase the amount computed in (2) by the amount of any COLA authorized in the Budget Act for the fiscal year following the reporting period;
(B) Increase the amount computed in (2) by the amount of any rate increase granted by the Department, as a result of a rate adjustment pursuant to sections 58420 through 58424, and/or audit adjustment pursuant to section 58430, and/or rate appeal pursuant to sections 58440 through 58448; and/or
(C) Decrease the amount computed in (2) by the amount of any rate decrease issued by the Department, as a result of a rate adjustment pursuant to sections 58420 through 58424, and/or audit adjustment pursuant to section 58430, and/or rate appeal pursuant to sections 58440 through 58448.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. New subsections (a)(1)(C)-(C)2. and amendment of subsections (a)(1)(A)-(B) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58112. Step Three: Computing the Mean.
Note     •     History

(a) Step three in the process of determining a permanent payment rate is the computation of the mean using the amount determined in step two, section 58111:
(1) Add together the amount computed in step two for each vendor; and
(2) Divide the sum computed in (1) by the number of vendors included in calculating the sum.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§58113. Step Four: Determination of the Allowable Range of Rates.
Note     •     History

(a) Step four in the process of determining a permanent payment rate is the computation of an allowable range of rates. The Department shall determine the upper and lower limits of the allowable range of rates as follows:
(1) For Fiscal Year 1997-98 and each alternate fiscal year thereafter:
(A) Multiply the mean computed in section 58112 for Fiscal Year 1993-94, by 50 percent to determine the range;
(B) Subtract the lower limit from the upper limit of the allowable range of rates established for Fiscal Year 1991-92, and adjusted for any COLA for Fiscal Year 1992-93, to determine the existing range;
(C) Compare the range computed in (B) to the range computed in (A);
(D) The lesser of the two ranges compared in (C) shall be divided by two;
(E) The upper limit shall be determined by adding the amount computed in (D) to the mean computed pursuant to section 58112 for Fiscal Year 1997-98, and each alternate fiscal year thereafter; and
(F) The lower limit shall be determined by subtracting the amount computed in (D) from the mean computed pursuant to section 58112 for Fiscal Year 1997-98, and each alternate fiscal year thereafter.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58114. Step Five: Adjusting the Amount Computed in Step Two for Gap Funding.
Note     •     History

(a) Step five in the process of determining a permanent payment rate is to adjust the amount computed in step two, section 58111, for any money appropriated pursuant to the Budget Act, to fund the gap computed in Section 58320. The Department shall:
(1) Convert the vendor's current permanent payment rate into an amount as follows:
(A) Add back any vendor income subtracted out when the Department computed the vendor's current permanent payment rate. The increased rate shall become the amount for use in this step; 
(B) If no vendor income was used in computing the vendor's current permanent payment rate, that rate shall become the amount for use in this step.
(2) If the amount computed in (1):
(A) Is below, or within the allowable range of rates, the gap adjustment combined with the amount computed in (1) shall not exceed the upper limit of the allowable range of rates; or 
(B) Exceeds the upper limit of the allowable range of rates, the vendor shall not be eligible for a gap adjustment.
(3) For those vendors eligible for a gap adjustment pursuant to (2)(A), the Department shall:
(A) Increase to the upper limit, the difference between the amount computed in (1) and the amount computed in step two, section 58111 if the appropriation in the Budget Act is sufficient to fully cover the statewide fiscal impact of the gap computed in Section 58320; or 
(B) Increase the amount computed in (1) up to the upper limit, based upon the percentage of available funds, if the appropriation in the Budget Act is insufficient to fully cover the statewide fiscal impact of the gap computed in Section 58320. The Department shall, for those eligible vendors:
1. Determine the percentage of available funds by dividing the statewide fiscal impact of the gap computed in Section 58320, by the amount appropriated in the Budget Act;
2. Determine the difference between each vendor's amount as computed in step two, section 58111, and their amount as computed in (1);
3. Multiply the difference computed in 2. by the percentage of available funds computed in 1.; and
4. Increase the amount computed in (1) by the amount computed in 3.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a)-(a)(1)(B) and (a)(3)(A)-(a)(3)(B)1. filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58115. Step Six: Adjusting the Amount Computed in Step Five by the Upper and Lower Limit of the Allowable Range of Rates.
Note     •     History

(a) Step six in the process of determining a permanent payment rate is to adjust the amount computed in step five, section 58114, by the upper and lower limit of the allowable range of rates:
(1) For Fiscal Year 1997-98, and each alternate fiscal year thereafter, the upper and lower limit adjustment shall be computed as follows:
(A) For vendors whose amount, as determined in step five, is within the allowable range of rates, the Department shall make no change to that amount; 
(B) For vendors whose amount, as determined in step five, is above the upper limit of the allowable range of rates, the Department shall reduce that amount to the upper limit;
(C) For vendors whose amount, as determined in step five, is below the lower limit of the allowable range of rates, the Department shall increase the amountto the lower limit, based upon available funds pursuant to (a)(1)(C)1. through 3.
1. The amount of available funds to increase the amounts computed in step five shall be determined as follows:
a. Multiply each vendor's reduction computed pursuant to (1)(B) by their direct service hours identified in section 58033 (b);
b. Add the amount computed in a. for each vendor to determine the total available funds from the upper limit reduction pursuant to (1) (B); and
c. Add to the amount determined in b. any gap funding appropriated pursuant to the Budget Act, for those vendors specified in section 58310 (a)(1)(A) and (B).
2. The amount of funds needed to increase amounts computed in step five to the lower limit, shall be determined as follows:
a. Determine the difference between the lower limit and each vendor's amount as computed in step five;
b. Multiply the difference computed in a. by each vendor's direct service hours identified in section 58033 (b); and
c. Add the amounts computed in b. to determine the total amount of needed funds.
3. The total amount of available funds, as determined in (C) 1., shall be compared to the total amount of funds needed, as determined in (C)2.
a. If there are sufficient funds to fully fund the lower limit increase, the Department shall, increase amounts as determined in step five to the lower limit.
b. If there are insufficient funds to fully fund the lower limit increase, the Department shall adjust the difference computed in (C)2.a. by the percentage of available funds. The Department shall:
(1.) Calculate the percentage of available funds by dividing the total amount of available funds, computed in (C)1.c. by the total amount of funds needed computed in (C)2.c.;
(2.) Multiply the percentage of available funds, by the difference computed in (C)2.a. for each vendor; and 
(3.) Increase amounts computed in step five by the amount computed in (C)3.b.(2).
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a)(1) and (a)(1)(B) and repealing subsections (a)(1)(C)4.-(a)(2)(B) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58117. Step Seven: Adjusting the Amount Computed in Step Six by Vendor Income.
Note     •     History

(a) Step seven in the process of determining a permanent payment rate is to adjust the amount computed in step six, section 58115, if applicable, by the amount of any vendor income reported by the vendor pursuant to section 58038 as follows. The Department shall:
(1) Divide vendor income by the vendor's actual direct service hours identified in section 58033 (b); and 
(2) Subtract the amount computed in (1) from the amount computed in step six.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§58118. Step Eight: Adjusting the Amount Computed in Step Seven for Budget Act Adjustment.
Note     •     History

(a) Step eight in the process of determining a permanent payment rate is to adjust the amount computed in step seven, section 58117, if applicable, for the following that will occur in the fiscal year for which the permanent payment rate is established:
(1) COLA authorized in the Budget Act; and/or 
(2) Legislative adjustment, for any item of cost(s), specified in the Budget Act.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§58119. Adjusting the Rate Methodology for COLAs.
Note     •     History

(a) For each fiscal year in which a COLA is granted in the Budget Act, the Department shall increase the mean, computed in step three, section 58112, and upper and lower limits of the existing allowable range of rates, computed in step four, section 58113, by the percentage of the COLA.
(b) If the COLA is granted in a fiscal year in which the Department does not calculate a mean and an allowable range of rates, the COLA shall be applied to the mean and allowable range of rates calculated in the previous fiscal year.
(c) The effective date of the adjustment to the mean and allowable range of rates for a COLA pursuant to (a) or (b), shall be the effective date of the COLA specified in the Budget Act.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 2. Temporary Payment Rate
§58120. General Provisions.
Note     •     History

(a) The methodology for computing temporary payment rates is based on service, cost, vendor income, and as applicable, regional center payment information submitted by all vendors receiving permanent payment rates. The Department shall use each vendor's service information to establish that vendor's temporary payment rate pursuant to this methodology.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58122. Establishment of the Temporary Payment Rate.
Note     •     History

(a) The temporary payment rate is determined using the same information and steps specified in sections 58110, 58111, 58112, and 58119 for establishing a permanent payment rate.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 3. Supplemental Rate for Respite Worker Travel Costs
§58130. Supplemental Rate for Respite Worker Travel Costs.
Note     •     History

(a) Regional centers shall reimburse the in-home respite service agency for respite worker travel costs for private vehicle travel or public transportation which is required in order for the respite worker to travel to and from and between respite sites. Travel costs shall also include costs for consumer travel which is necessary in order for the respite worker to carry out assigned functions.
(b) Respite worker travel costs shall be authorized pursuant to minimum state of California travel reimbursement rates for state employees pursuant to Welfare and Institutions Code, section 4690.2 (b)(5).
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
5. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58132. Written Notification of the Supplemental Rate for Respite Worker Travel Costs.
Note     •     History

(a) For vendors receiving a supplemental rate for respite worker travel cost pursuant to section 58130, the Department shall notify the regional center in writing of the reimbursement rate. The regional center shall notify each vendor eligible for this supplemental rate.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 4. Negotiating the Level of Payment When Serving More than One Consumer
§58140. Negotiating the Level of Payment When Serving More Than One Consumer.
Note     •     History

(a) Once the Department has established a rate of reimbursement pursuant to Sections 58100 through 58119, for vendors whose temporary payment rate is being converted to a permanent payment rate and vendors whose permanent payment rate is being established or reestablished, or Sections 58120 through 58122 for vendors who are requesting a temporary payment rate, a regional center, or its designee, and a vendor may negotiate the level of payment when a family member has more than one consumer residing with them who has been authorized by the regional center to receive in-home respite services. The amount of the level of payment may be less than but shall not exceed the per-consumer per-hour rate established by the Department and shall only apply to the additional consumer(s) receiving services.
(b) Each regional center and vendor shall mutually agree in writing upon the level of payment and the effective date for commencing and terminating payment at the agreed upon amount.
(c) The level of payment negotiated by a regional center and vendor shall commence on the date agreed to by the regional center and vendor, and shall terminate on the expiration date specified by the Department in its written notification to the vendor of the established rate, or earlier, if an earlier termination date has been mutually agreed to by the regional center and vendor.
(1) If the level of payment agreed to by the regional center and vendor terminates on the expiration date specified in the Department's written notification to the vendor of the established rate, the Department shall:
(A) For those vendors whose established rate is a temporary payment rate, establish a permanent payment rate, as applicable, pursuant to Section 58242 or 58252; or
(B) For those vendors whose established rate is a permanent payment rate:
1. Reestablish the permanent payment rate during Fiscal Year 1996-97, and each alternate fiscal year thereafter, as specified in Section 58240; or
2. Establish the permanent payment rate during Fiscal Year 1997-98, and each alternate fiscal year thereafter, as specified in Section 58250.
(2) If the level of payment agreed to by the regional center and vendor terminates prior to the expiration date specified in the Department's written notification to the vendor of the established rate, the vendor shall be reimbursed at the rate established by the Department until the expiration of the established rate.
(d) Within the limitations specified in this section, the level of payment negotiated by a regional center and a vendor may be renegotiated.
(e) Each regional center shall provide the Department and vendor with a copy of the written agreement specifying the terms of the level of payment.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-4-92 order including amendment of subsection (a) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending article heading, section heading, and subsections (a), (c)(1)(A) and (c)(1)(B)1. and 2. filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 5. Payment Rates for  Existing In-Home Respite Services  Agency Vendors
§58150. Payment Rates for Existing In-Home Respite Services Agency Vendors.
Note     •     History

(a) Existing in-home respite services agency vendors requesting a payment rate to provide new in-home respite services at an additional business address shall receive:
(1) A temporary payment rate as specified in Section 58236, 58244 or 58254 if separate vendorization of the additional business address was not waived pursuant to Section 54342(a)(37); or
(2) The permanent payment rate established for the existing in-home respite services agency if separate vendorization of the additional business address was waived pursuant to Section 54342(a)(37).
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-4-92 order including amendment of subsections (a)(1)-(2) transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Amendment of subsections (a)(1)-(2) and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
8. Change without regulatory effect amending subsections (a)(1) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Subchapter 15. Schedule of Payment Rates for In-Home Respite Services  Agency Vendors
Article 1. General Provisions
§58210. General Provisions for Schedule of Payment Rates for All Fiscal Years.
Note     •     History

(a) Each fiscal year, the Department shall establish a payment rate for each vendor.
(b) The appropriate like program for each vendor shall be determined based upon their service code.
(c) Each vendor shall submit information, as applicable, pursuant to sections 58033 through 58039. The vendoring regional center and the Department shall review the information pursuant to sections 58040 and 58042.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (c) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
Article 2. Schedule of Payment Rates for Fiscal Year 1990-91
§58220. Vendors Receiving Permanent Rates.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing article 2 (sections 58220-58224) and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58222. Vendors Receiving Provisional Rates.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58224. New Vendors.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 3. Schedule of Payment Rates for Fiscal Year 1991-92
§58230. Vendors Receiving Permanent Rates.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing article 3 (sections 58230-58236) and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58232. Vendors Receiving Temporary Payment Rates.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (b) and (d)(1) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58234. Vendors Receiving Provisional Rates.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58236. New Vendors.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Schedule of Payment Rates for Fiscal Year 1996-97 and Each Alternate Fiscal Year Thereafter
§58240. Vendors Receiving Permanent Payment Rates.
Note     •     History

(a) For Fiscal Year 1996-97, and each alternate fiscal year thereafter, the Department shall reestablish permanent payment rates that were established the previous fiscal year by adjusting those rates pursuant to sections 58115 and 58118.
(b) The effective date of the reestablished permanent payment rate shall be September 1, 1996, for Fiscal Year 1996-97, and September 1 for each alternate fiscal year thereafter.
(c) The expiration date of the reestablished permanent payment rate shall be August 31, 1997, for Fiscal Year 1996-97, and August 31 for each alternate fiscal year thereafter.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending article heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58242. Vendors Receiving Temporary Payment Rates.
Note     •     History

(a) For Fiscal Year 1996-97, and each alternate fiscal year thereafter, the temporary payment rate established the previous fiscal year shall continue until the Department converts it to a permanent payment rate pursuant to Section 58252(b) through (e).
(b) If the mean is adjusted for a COLA pursuant to section 58119 (b), the Department shall adjust the temporary payment rate established the previous fiscal year, by the amount of the COLA.
(c) The effective date of the adjustment to the temporary payment rate, as specified in (b), shall be the effective date of the COLA as specified in section 58119 (c).
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58244. New Vendors.
Note     •     History

(a) For Fiscal Year 1996-97, and each alternate fiscal year thereafter, new vendors requesting a rate shall receive the temporary payment rate established the previous fiscal year, adjusted for a COLA, if applicable, pursuant to section 58119. The Department shall use the service information specified in section 58033, submitted by each new vendor by the date specified in Section 58032(a)(3), to establish the vendor's temporary payment rate.
(b) The temporary payment rate shall be effective on the date the vendor begins providing services to consumers.
(c) Once the temporary payment rate is established, the vendor shall continue to receive that rate until:
(1) The Department converts the temporary payment rate to a permanent payment rate pursuant to Section 58252; or
(2) It expires, which shall be twenty-one months from the date it became effective.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 5. Schedule of Payment Rates for Fiscal Year 1997-98 and Each Alternate Fiscal Year Thereafter
§58250. Vendors Receiving Permanent Payment Rates.
Note     •     History

(a) For Fiscal Year 1997-98, and each alternate fiscal year thereafter, the Department shall establish permanent payment rates pursuant to sections 58100 through 58119, based upon the service, cost and vendor income information specified in sections 58033 through 58038, and as applicable, the regional center payment information specified in Section 58039, submitted by vendors receiving permanent payment rates by the date specified in Section 58032(a)(2) for the reporting period specified in Section 58031(a)(2).
(b) The effective date of the established permanent payment rate shall be September 1, 1997, for Fiscal Year 1997-98, and September 1 for each alternate fiscal year thereafter.
(c) The expiration date of the established permanent payment rate shall be August 31, 1998, for Fiscal Year 1997-98, and August 31 for each alternate fiscal year thereafter.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending article heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58252. Vendors Receiving Temporary Payment Rates.
Note     •     History

(a) The temporary payment rate shall continue until the Department converts it to a permanent payment rate pursuant to (b) through (e).
(b) All vendors converting from a temporary payment rate to a permanent payment rate shall submit the service, cost and vendor income information specified in Sections 58033 through 58038, and as applicable, the regional center payment information specified in Section 58039 by the dates specified in Section 58032(a)(1) for the reporting period specified in Section 58031(a)(1).
(c) The Department shall convert the temporary payment rate to a permanent payment rate pursuant to Sections 58100 through 58119, with the following exceptions:
(1) The amount computed in Step five, Section 58114 shall not be adjusted for gap funding;
(2) The permanent payment rate shall not exceed the upper limit; and
(3) If the amount computed in Step five is below the lower limit of the allowable range of rates, the Department shall increase that amount to the lower limit based upon available funds from the upper limit reduction process for vendors with a permanent payment rate pursuant to Section 58115.
(d) The effective date of the conversion of the temporary payment rate to a permanent payment rate shall be:
(1) Thirty days from the date the Department receives the service, cost and vendor income information that complies with Sections 58020 and 58033 through 58038, and as applicable, the regional center payment information specified in Section 58039; or
(2) No later than 21 months from the date the temporary payment rate was initially established.
(e) Temporary payment rates which are converted to a permanent payment rate shall expire August 31, following the effective date.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing and adding new section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58254. New Vendors.
Note     •     History

(a) For Fiscal Year 1997-98, and each alternate fiscal year thereafter, new vendors requesting a rate shall receive a temporary payment rate established pursuant to sections 58120 through 58122, using the service information specified in section 58033 submitted by each new vendor by the date specified in Section 58032(a)(3). The temporary payment rate shall be based upon the service, cost and vendor income information submitted by vendors receiving permanent payment rates-pursuant to section 58250 (a).
(b) The temporary payment rate shall be effective on the date specified in Section 58244(b).
(c) Once the temporary payment rate is established, the vendor shall continue to receive that rate until it is converted, or it expires, as specified in Section 58244(c).
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 6. Timelines for Rate Establishment and Written Notification
§58260. Timelines for Continuation of the Permanent Rate and Written Notification.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58262. Timelines for Extension of the Provisional Rate and Written Notification.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58264. Timelines for Establishment of the Permanent Payment Rate and Written Notification.
Note     •     History

(a) For vendors receiving a permanent payment rate, the Department shall, upon receipt of the information which complies with sections 58020, and 58033 through 58039, and by September 1, of each year, establish or reestablish a permanent payment rate and notify, in writing, each vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
(1) The permanent payment rate;
(2) The effective date and expiration date of the permanent payment rate;
(3) The service code used to determine the permanent payment rate;
(4) Any Budget Act adjustments;
(5) The next required reporting period, and submission date pursuant to Section 58031(a)(2) and 58032(a)(2) for the service, cost, vendor income, and as applicable, regional center payment information;
(6) That payment of the permanent payment rate shall be suspended pursuant to section 58032 (c)(1)(B) if the required information specified in (a)(5) is not submitted; and
(7) The vendor's right to appeal the permanent payment rate pursuant to sections 58440 through 58448.
(b) For vendors converting their temporary payment rates to a permanent payment rate, the Department shall establish the permanent payment rate and provide the notification specified in (a) within 30 days of receipt of the service, cost and vendor income information that complies with sections 58022, and 58033 through 58038, and as applicable, the regional center payment information specified in Section 58039 for vendors with a temporary payment rate that is converted to a permanent payment rate.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a), (a)(5) and (b)(3) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58266. Timelines for Establishment of the Temporary Payment Rate and Written Notification.
Note     •     History

(a) For vendors requesting a temporary payment rate, the Department shall, within 30 days from receipt of the service information, that complies with section 58033, establish a temporary payment rate and notify, in writing, each vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
(1) The temporary payment rate;
(2) The effective date and expiration date of the temporary payment rate;
(3) The service code used to determine the temporary payment rate;
(4) Any cost-of-living adjustment;
(5) The next required reporting period, and submission date, pursuant to Sections 58031(a)(1) and 58032(a)(1) for the service, cost and vendor income information;
(6) That payment of the temporary payment rate shall be suspended pursuant to Section 58032(c)(1)(A) if the required information specified in (a)(5) is not submitted; and
(7) The vendor's right to appeal the temporary payment rate pursuant to sections 58440 through 58448.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a)(5) and (a)(6) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Subchapter 16. Reporting Requirements for In-Home Respite Services Agency Vendors
Article 1. Annual Report to the Legislature
§58310. The Department's Annual Report to the Legislature.
Note     •     History

(a) By April 15, 1997, for Fiscal Year 1997-98, and by April 15 for each alternate fiscal year thereafter, the Department shall report the following to the Legislature:
(1) The amount needed to fund the statewide fiscal impact of the gap including identification of the amount attributed to the vendors who are:
(A) Not eligible for a gap adjustment pursuant to section 58114 (a)(2)(B); or 
(B) Eligible only for a partial gap adjustment pursuant to section 58114 (a)(2)(A).
(2) Any other known pertinent costs or rate information which the Department deems necessary, in order to show cost-of-living increases to an allowable cost item that affects all vendors, and which has not been:
(A) Funded in the current fiscal year's Budget Act; nor
(B) Included in the next fiscal year's Governor's Budget.
(b) By April 15, 1998, for Fiscal Year 1998-99, and by April 15 for each alternate fiscal year thereafter, the Department shall report:
(1) The amount determined in (a)(1) that was unfunded in the previous year; and
(2) The information specified in (a)(2).
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsections (a) and (b) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58312. The Joint Report to the Legislature for Fiscal Year 1996-97.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 2. Calculation of the Statewide Fiscal Impact of the Gap
§58320. Determination of the Statewide Fiscal Impact of the Gap for Fiscal Year 1997-98, and Each Alternate Fiscal Year Thereafter.
Note     •     History

(a) For vendors with a permanent payment rate whose amount computed in step two, section 58111, is below the upper limit of the allowable range of rates computed in section 58113, the Department shall:
(1) For each vendor, calculate the difference between step two, section 58111 and step five, section 58114 (a)(1);
(2) Multiply the amount computed in (1) for each vendor by each vendor's actual direct consumer service hours identified in section 58033 (b); and
(3) Add the amounts computed in (2) to determine the statewide gap.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending section heading and subsections (a) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58322. Determination of the Statewide Fiscal Impact of the Gap for Fiscal Year 1993-94, and Each Alternate Fiscal Year Thereafter.
Note     •     History

NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect repealing section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Subchapter 17. Rate Adjustments, Audit Adjustments and Rate Appeals for In-Home Respite Services Agency Vendors
Article 1. General Provisions
§58410. General Provisions.
Note     •     History

(a) A permanent payment rate may be adjusted pursuant, to this article, by the Department, only for the following:
(1) A rate adjustment pursuant to section 58420 (b) and (c); and/or
(2) An audit adjustment pursuant to section 58430 (a)(1)(A); and/or
(3) A rate appeal pursuant to sections 58440 through 58448.
(b) A temporary payment rate may be adjusted pursuant to this article, by the Department, only for the following:
(1) An audit adjustment pursuant to section 58430 (a)(1)(B); and/or
(2) A rate appeal pursuant to sections 58440 through 58448.
(c) The Department shall not adjust any rate above the upper limit of the allowable range of rates.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Change without regulatory effect amending subsection (a), repealing subsections (c)-(c)(3) and relettering remaining subsection filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 2. Rate Adjustments
§58420. General Provisions.
Note     •     History

(a) Once a payment rate for each in-home respite services agency vendor has been established by the Department, adjustments to that rate shall be considered by the Department, for either anticipated or unanticipated changes, in accordance with (b) and (c).
(b) Anticipated changes are service modifications which the vendor and/or the vendoring regional center can plan for and expect to occur in the next fiscal year. Anticipated changes shall be submitted to the Department and the vendoring regional center prior to December 1 of the year previous to the fiscal year in which the changes are expected to occur. Any requests submitted after December 1 shall not be considered by the Department. Anticipated changes shall be limited to the following:
(1) Relocation of the vendor's office due to expiration of the vendor's office lease or tenancy arrangement; and/or
(2) A loss or gain of any vendor income used to compute the vendor's rate;
(3) An increase or decrease in the units of service purchased by regional centers, where such change equals 25% or more annually from the units of service used in the cost statement upon which their rate was based.
(c) Unanticipated changes shall be submitted by the vendor to the Department and the vendoring regional center no later than 60 days from the date the change has occurred. Unanticipated changes received after the 60 days shall not be considered by the Department. Unanticipated changes shall include mandated service adjustments due to changes in, or additions to, existing statutes, laws or regulations or court decisions.
(d) Anticipated changes shall be funded by the Department only if there are funds made available in the Budget Act appropriation to the Department for that purpose.
(e) Unanticipated changes shall be funded effective the date the Department approves them pursuant to section 58424.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment filed 8-30-2001 as an emergency; operative 8-30-2001 (Register 2001, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-28-2001 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to 8-30-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2002, No. 15). 
5. Amendment filed 4-11-2002 as an emergency; operative 4-11-2002 (Register 2002, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-9-2002 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 8-8-2002 as an emergency; operative 8-8-2002 (Register 2002, No. 32). A Certificate of Compliance must be transmitted to OAL by 12-6-2002 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 12-5-2002 as an emergency; operative 12-5-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-4-2003 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 12-5-2002 order transmitted to OAL 4-4-2003, and withdrawn from OAL review on 5-15-2003. 
9. Amendment filed 5-15-2003 as an emergency; operative 5-15-2003 (Register 2003, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-12-2003 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 5-15-2003 order transmitted to OAL 6-23-2003 and filed 7-28-2003 (Register 2003, No. 31).
§58422. Submission Requirements for Rate Adjustments.
Note     •     History

(a) Any in-home respite services agency vendor requesting a rate adjustment due to anticipated or unanticipated program changes pursuant to the requirements of section 58420 shall submit the following information in writing to the Department with a copy to the vendoring regional center:
(1) Vendor service information specified in section 58033 (a)(1) through (4);
(2) The specific reason for the adjustment request;
(3) All supporting documentation and any other information necessary to substantiate and/or justify the request;
(4) Service, cost and vendor income information for only those items relating to the rate adjustment request; and
(5) The date the additional cost was incurred or is expected to be incurred.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§58424. Review Procedures for Rate Adjustments.
Note     •     History

(a) Within five days of receipt of the rate adjustment request from the vendor, the Department shall send a written notification to the vendoring regional center which shall indicate that the Department has received the rate adjustment request from the vendor.
(b) Within 30 days from the date of the Department's written notification pursuant to (a), the vendoring regional center shall:
(1) Review all information submitted by the vendor to determine if it complies with the requirements of sections 58420 and 58422; and
(2) Notify the Department, in writing, with a copy to the vendor, of the regional center's recommendation, including supporting rationale for their recommendation. The regional center's supporting rationale shall include:
(A) The specific regulatory basis for the request;
(B) A statement that the circumstances necessitating the request have been verified by the regional center; and
(C) Other documents which support the regional center's recommendation.
(c) If the regional center does not notify the Department of the results of its review and recommendation pursuant to (b), the Department shall proceed with its review procedures pursuant to (d) through (g).
(d) Within 50 days of the receipt of the rate adjustment request from the vendor, the Department shall review the request to determine if it is complete and complies with the requirements of sections 58420 and 58422.
(1) If the vendor's rate adjustment request is complete and complies with the requirements of sections 58420 and 58422, the Department shall approve the vendor's rate adjustment request within 60 days of receipt of the request. However, requests for anticipated program changes shall only be approved contingent upon funds being available pursuant to section 58420 (d).
(2) If the vendor's rate adjustment request is not complete or does not comply with the requirements of sections 58420 and 58422, the Department shall make a written request to the vendor for additional information, as required, and send a copy of the request to the vendoring regional center. The vendor shall submit the required additional information to the Department within 15 days from receipt of the written request.
(A) If the vendor fails to submit the required additional information within 15 days, the Department shall deny the vendor's rate adjustment request.
(B) If the vendor submits the required additional information within the 15 days and it is complete and complies with the requirements of sections 58420 and 58422, the Department shall approve the vendor's rate adjustment request within 60 days of receipt of the required additional information. However, requests for anticipated program changes shall only be approved contingent upon funds being available pursuant to section 58420 (d).
(C) If the vendor submits the required additional information within 15 days and it is not complete and does not comply with the requirements of sections 58420 and 58422, the Department shall deny the vendor's rate adjustment request.
(e) The Department shall notify, in writing, the vendor, the vendoring regional center, and utilizing regional center(s), if any, of the following:
(1) The decision to approve or deny the vendor's rate adjustment request pursuant to (d). Notification shall be as follows:
(A) Within the time specified in (d)(1) if the vendor's rate adjustment request, when initially received by the Department, is complete and complies with sections 58420 and 58422; 
(B) Within 15 days from the date any required additional information from the vendor is due, if the vendor fails to submit the required additional information within the time specified in (d)(2)(A);
(C) Within the time specified in (d)(2)(B) if the vendor submits the required additional information within 15 days and it is complete and complies with sections 58420 and 58422; or 
(D) Within 60 days of receipt of any required additional information which is not complete and does not comply with sections 58420 and 58422, as specified in (d)(2)(C).
(2) The availability of funds in the Budget Act, to fund previously approved anticipated program changes pursuant to section 58420 (d). The notification shall be by September 1.
(f) The effective date for all approved rate adjustments due to anticipated program changes pursuant to section 58420 (b) shall be September 1 of the subsequent fiscal year, or later, depending upon when the cost relating to the change actually occurs.
(g) The effective date for all approved rate adjustments due to unanticipated program changes pursuant to section 58420 (c) shall be the date the service began incurring the additional cost.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
Article 3. Audit Adjustments
§58430. Rate Adjustments Resulting from Audit Findings.
Note     •     History

(a) If the Department or regional center conducts an audit of the vendor, and an adjustment to the rate is required as a result of the audit, the Department shall adjust the vendor's rate as follows:
(1) The audit report shall be utilized by the Department in determining whether an adjustment to the vendor's rate is required. This determination shall be made prior to issuance of the audit report.
(A) For vendors reimbursed at a permanent payment rate, the vendor's rate shall be adjusted if the service, cost, vendor income, and as applicable, regional center payment information, used as a basis for determining the rate, does not substantiate or support the rate established by the Department.
(B) For vendors reimbursed at a temporary payment rate, the vendor's rate shall be adjusted if any of the service information used as a basis for determining the rate, does not substantiate or support the rate established by the Department.
(2) The revised rate and the effective date of the revised rate shall be determined as follows:
(A) For vendors reimbursed at a permanent payment rate, the vendor's service, cost, vendor income, and as applicable, regional center payment information used as a basis for determining the vendor's rate, adjusted for any findings in the final audit report, shall be used to determine the revised rate and its effective date.
(B) For vendors reimbursed at a temporary payment rate, the vendor's service information used as a basis for determining the vendor's rate, adjusted for any findings in the final audit report, shall be used to determine the revised rate and its effective date.
(b) If an adjustment to the vendor's rate was made pursuant to (a), the Department shall include, with the final audit report released to the vendor, written notification of the following:
(1) The revised rate and its effective date;
(2) The vendor's right to defer implementation of the revised rate and/or its effective date, pending the results of an audit appeal, if the vendor appeals the audit pursuant to title 17, section 50700 through 50767;
(3) That if the vendor appeals the audit, the results of the audit appeal shall be used by the Department in accordance with (a) to determine the revised rate and its effective date; and
(4) The vendor's right to appeal errors by the Department in calculating its revised rate and/or the effective date of the revised rate pursuant to sections 58440 through 58448.
(c) Vendors shall not appeal issues pertaining to the audit through the rate appeal process specified in sections 58440 through 58448.
(d) A copy of the written notification and final audit report specified in (b) shall be sent to the vendoring regional center, and utilizing regional center(s), if any, at the same time the original notice and audit report are sent to the vendor. The Department shall provide the vendor, the vendoring regional center, and utilizing regional center(s), if any, with written notification of the results of any audit appeal and revisions, if any, in the vendor's rate and its effective date.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsections (a)(1)(A) and (a)(2)(A) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
6. Change without regulatory effect amending subsections (a)(1)(A)-(B) and (a)(2)(A)-(B) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 4. Rate Appeals
§58440. General Provisions.
Note     •     History

(a) A vendor may appeal the following to the Department's Deputy Director who has the responsibility for setting rates:
(1) Errors in service and/or cost and/or vendor income and/or, as applicable, regional center payment information submitted by the vendor which was utilized by the Department to establish the vendor's rate; 
(2) Errors by the Department in calculating the vendor's rate, including revised rates based on a final audit report or the results of an appeal of a final audit report;
(3) The effective date of the rate, including revised rates based on a final audit report or the results of an appeal of a final audit report; and/or
(4) A rate adjustment request denied by the Department pursuant to sections 58420 through 58424, except anticipated program changes that were not approved because funding was not appropriated for that purpose.
(b) The vendor shall file the appeal with the Deputy Director within 12 months after the receipt of written notification from the Department of the vendor's rate.
(c) If an appeal is not filed within the time specified, it shall be denied unless good cause pursuant to section 58446 is established for the late submission. Good cause shall be determined by the Deputy Director in accordance with section 58446. If good cause for late submission is established, the Deputy Director shall proceed to decide the appeal in accordance with section 58441.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of subsection (a)(1) and Note filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58441. Contents of Appeal and Decision.
Note     •     History

(a) The appeal filed pursuant to section 58440 shall be in writing and shall include the following:
(1) Vendor service information specified in section 58033 (a)(1) through (4);
(2) Identification of the rate error or effective date being appealed;
(3) The specific basis of the appeal; and
(4) All supporting documentation and any other information necessary to substantiate and/or justify the appeal, including the specific regulation used as the basis for the appeal.
(b) At the time the vendor files the appeal with the Deputy Director, a copy shall be mailed to the vendoring regional center, and utilizing regional center(s), if any.
(c) Within 15 days after receipt of the appeal, the Deputy Director shall review the appeal to determine whether it complies with sections 58440 and 58441 (a).
(1) If all required information has been submitted, the Deputy Director shall render a decision pursuant to (d);
(2) If all required information has not been submitted, and/or additional information is needed, the Deputy Director shall request the additional information, in writing, from the appellant within 15 days after receipt of the appeal. The appellant shall submit the additional information within 15 days after receipt of the request.
(A) If the information is not submitted within the time specified, the appeal shall be deemed withdrawn, and no further action shall be taken unless the appellant establishes good cause, pursuant to section 58446, for the late submission. Good cause shall be determined by the Deputy Director, in accordance with section 58446. If good cause for late submission is established, and the information is submitted, the Deputy Director shall proceed with the appeal and render a decision pursuant to (d); 
(B) If the information, is submitted but does not comply with the request, the appeal shall be deemed withdrawn and no further action shall be taken.
(d) The Deputy Director shall render a decision on the appeal within 60 days after receipt of all required and/or requested information. The decision shall:
(1) Identify the specific issue(s) in dispute;
(2) Rule on each issue identified;
(3) State the facts supporting each ruling; and
(4) Identify the statutes and regulations upon which each ruling is based.
(e) A written copy of the decision shall be mailed to the appellant, the vendoring regional center, and utilizing regional center(s), if any, within 15 days after the decision is rendered.
(f) If the appellant does not appeal the decision to the Director, pursuant to section 58442, it shall be deemed final.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
§58442. Appeal of Deputy Director's Decision.
Note     •     History

(a) The appellant may appeal the Deputy Director's decision to the Director within 15 days after receipt of the written decision. The appeal shall be in writing and shall include the following:
(1) All information submitted to the Deputy Director pursuant to section 58441(a);
(2) A copy of the Deputy Director's decision; and 
(3) A statement of the issue(s), facts, documentation, and supporting authority identifying why the appellant believes the decision of the Deputy Director should be reversed by the Director.
(b) Within 30 days after receipt of the appeal, the Director or the Chief Deputy Director shall review the appeal and determine whether additional information upon which to base a decision is needed from the appellant utilizing the process specified in section 58441 (c).
(c) Within 60 days of receipt of all required and/or requested information, the Director or the Chief Deputy Director shall render a decision utilizing the process specified in section 58441 (d).
(d) A written copy of the decision shall be sent to the appellant, the vendoring regional center and utilizing regional center(s), if any, within 15 days after the decision is rendered. 
(c) An appeal filed with the Director is the final level of appeal. The decision rendered by the Director or the Chief Deputy Director shall be deemed final.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58444. Effective Date of Decision.
Note     •     History

The effective date of the decision rendered pursuant to Sections 58441 and 58442 shall be stated in the decision. The effective date shall be the date the Department received the appeal pursuant to Section 58440 or the date the costs are incurred, whichever is later.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58446. Good Cause.
Note     •     History

(a) For the purposes of sections 58440 through 58444, good cause for a failure to act is limited to:
(1) A violent act of nature, including, but not limited to, flood, earthquake, blizzard or fire; and/or
(2) Arson, vandalism, and/or theft of records and/or property, by individuals other than the appellant, which preclude the appellant from filing a timely appeal.
(b) The appellant shall, within a reasonable time, not to exceed 60 days after the vendor has notice of the incident giving rise to its claim of good cause, submit to the Deputy Director, or the Director, as appropriate, the basis for its claim of good cause and all supporting documents or other evidence to substantiate its claim. The Deputy Director, Director, Chief Deputy Director, as appropriate, shall, within 30 days of receipt of the claim and supporting documentation, review the information and render a decision regarding whether good cause has been established.
(c) The Deputy Director, Director or Chief Deputy Director, as appropriate, shall notify the appellant in writing of the good cause determination, and shall specify what action will be taken, if any, pursuant to sections 58441 through 58444.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Sections 4690.2 and 4791(i), Welfare and Institutions Code. Reference: Sections 4690.2, 4691, 4691.5 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
4. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58448. Review of Documents Only.
Note     •     History

An appeal made pursuant to sections 58440 through 58446 shall be decided only on the documents submitted. There shall be no oral testimony or argument.
NOTE

Authority cited: Section 4690.2, Welfare and Institutions Code. Reference: Sections 4690.2, 4691 and 4691.5, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-90 as an emergency; operative 7-1-90 (Register 90, No. 36). A Certificate of Compliance must be transmitted to OAL by 10-29-90 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-26-90 order transmitted to OAL 9-28-90 and filed 10-29-90 (Register 90, No. 46).
3. Amendment of forms filed 8-6-92; operative 8-6-92 (Register 92, No. 33).
4. Amendment of forms filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Amendment of form DS 1897B Instructions filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Editorial correction of form (Register 96, No. 13).
7. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic
Subchapter 18. Transportation Service
Article 1. Definitions
§58500. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense. Words used in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct and “may” denotes permissive conduct.
NOTE

Authority cited: Sections 4405 and 4631, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4690 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58501. Definitions.
Note     •     History

(a) The following definitions shall apply to the regulations contained in this subchapter:
(1) “Basis for Payment” means the method used to calculate and determine the rate of payment;
(2) “Bid” means all the documents submitted by the bidder to the regional center in response to a Request for Proposal (RFP);
(3) “Bidder” means an individual or entity who submits a bid to the regional center in response to an RFP;
(4) “Bidders' Conference” means a meeting held by the regional center after an RFP is issued to respond to questions from potential bidders;
(5) “Bid Form” means that part of the bid which contains the bid price and all supporting cost information;
(6) “Cost Effective” means obtaining the optimum results for the expenditure;
(7) “Rate of Payment” means the price charged to a regional center by a vendor for each unit of service;
(8) “Route Miles” means the number of miles driven, while consumers are in the vehicle, during the provision of transportation service;
(9) “Submit” means the postmarking or hand delivery of the item required;
(10) “Transportation Aide” means a person who assists and monitors regional center consumers while the consumers are receiving transportation service;
(11) “Transportation Service” means the conveyance of a consumer including boarding and exiting the vehicle.
NOTE

Authority cited: Sections 4405, 4631, 4690 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsections (a)(8), (a)(10) and (a)(11) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58502. Terms Defined in Other Subchapters.
Note     •     History

(a) As used in this subchapter, the following words and phrases have the meanings specified in Subchapter 2, Section 54302.
(1) Authorized Consumer Representative
(2) Community-based Day Programs
(3) Consumer
(4) Department
(5) Individual Program Plan (IPP)
(6) Interdisciplinary (ID) Team
(7) Management Organization
(8) Regional Center
(9) Service Code
(10) Special Incident Report
(11) Subcode
(12) Unit of Service
(13) Vendor
(14) Vendor Identification Number
(15) Vendoring Regional Center
(b) As used in this subchapter, the following words and phrases have the meanings specified in Subchapter 7, Section 57210:
(1) Straight-line Depreciation
(2) Vendor Income
NOTE

Authority cited: Sections 4405, 4631, 4690 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsection (a)(1), repealing subsection (a)(2), renumbering subsections, and adding new subsection (a)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 2. General Provisions
§58510. General Requirements Applicable to Regional Centers.
Note     •     History

(a) The regional center shall purchase transportation service only when:
(1) The transportation service is included in the consumer's IPP;
(2) The vendor has a rate approved by the Department or the regional center;
(3) Provision of the transportation service is not the responsibility of any public agency which receives public funds for providing the transportation service;
(4) Provision of the transportation service is not part of the consumer's community-based day program; and
(b) The regional center shall purchase transportation service by using, at its discretion, any of the following processes:
(1) Competitive procurement utilizing a Request for Proposal (RFP) pursuant to Sections 58530 through 58535;
(2) Noncompetitive procurement, which is limited to:
(A) Negotiated rate, pursuant to Section 58540;
(B) Cost statement, pursuant to Sections 58550 through 58555;
(C) Temporary transportation service pursuant to Section 58541;
(D) Standardized rates pursuant to Section 58542; and
(E) Standard Rate Schedule pursuant to Section 58543.
(c) The regional center shall:
(1) Establish the level of liability insurance coverage to be obtained by each vendor, for damages for bodily injuries or death and for damages to or destruction of property;
(2) Provide monthly records of services provided to each consumer, including the date, city or county where service was provided, and the number of miles driven, or number of trips provided, by vendor. Units of service for contracts reimbursed other than a per mile, per day, or per trip rate shall also be maintained and reported as specified above. The above information must be submitted to the Department on a monthly basis, and no later than 30 days after the end of the previous month;
(3) At least annually inform the local transportation planning agency designated pursuant to Government Code Section 29532 of the transportation needs of its consumers; and
(4) Determine the necessity for transportation assistant and transportation aide services.
NOTE

Authority cited: Chapter 157, Statutes of 2003; Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4646 4646.5, 4648, 4648.3, 4690 and 4690.1, Welfare and Institutions Code; and 42 U.S.C. Section 1396m.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of subsections (b)(2)(C) and Note and new  subsections (b)(2)(E) and (b)(3) filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (b)(2)(C) and NOTE and new subsections (B)(2)(E) and (b)(3) refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
5. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Change without regulatory effect amending subsections (a)(1), (a)(4), (c)(2) and (c)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
8. Repealer of subsection (b)(3), amendment of subsection (c)(2) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
9. Repealer of subsection (b)(3), amendment of subsection (c)(2) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
10. Repealer of subsection (b)(3), amendment of subsection (c)(2) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (c)(2), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
§58511. Release of Consumer Information.
Note     •     History

(a) The regional center shall provide, in writing, the consumer information specified in Section 58521(b)(1) through (3) to the following transportation vendors:
(1) Transportation Companies--Service Code 875, pursuant to Title 17, California Code of Regulations, Section 54342(a)(82);
(2) Transportation--Additional Component--Service Code 880, pursuant to Title 17, California Code of Regulations, Section 54342(a)(78).
(b) If any information specified in Section 58521(b)(1) through (3) changes, the regional center shall;
(1) Notify the vendor of the change within one working day after it learns of the change; and
(2) Provide written confirmation to the vendor any such change within five working days after it learns of the change.
NOTE

Authority cited: Sections 4405, 4631, 4690 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending section heading and subsections (a)-(a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58512. Record Retention.
Note     •     History

(a) The regional center shall retain, for three years after the termination of each contract for transportation service, a copy of the following documentation, as applicable:
(1) The executed contract, if a written contract is  required;
(2) The RFP;
(3) Each opened bid;
(4) Documentation indicating the:
(A) Number of bids received;
(B) Number of bids that meet the format and bid submission requirements specified in the RFP; 
(C) Number of bids that meet the criteria specified in Section 58533(a)(4) and (5);
(D) Names of bidders, and vendor identification number, if any;
(5) Each completed evaluation form and supporting documentation used during the bid evaluation process;
(6) Name and vendor identification number of selected bidder;
(7) Selected bidder's rate of payment and basis for payment;
(8) A copy of any protest received, all documents relating to it, and the resolution of the protest;
(9) The evaluation committee's explanation and supporting documentation for the award of the contract;
(10) For negotiated rate contracts and contracts in which the rate of payment is based on a cost statement:
(A) A written explanation for the selection of the vendor; and
(B) A written analysis showing that transportation service will be provided in a cost-effective manner;
(11) The vendor's insurance policy pursuant to Title 17, California Code of Regulations, Section 54342(a)(78)(C) and (82)(A);
(12) A copy of any contract amendments;
(13) A written explanation of the necessity to amend the contract;
(14) Documentation indicating that the needs of the consumers will appropriately be met;
(15) Documentation showing that the transportation service will be provided in a cost-effective manner; and
(16) The Form DS2 (7/91), entitled Transportation Cost Statement.
NOTE

Authority cited: Sections 4405, 4631, 4648, 4690 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648, 4648.3 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsection (a)(6) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment of section and Note filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58513. General Requirements Applicable to Transportation Service Vendors.
Note     •     History

(a) The vendor shall comply with Title 17, California Code of Regulations, Sections 54310 through 54390, prior to the regional center purchase of transportation service from the vendor.
(b) The vendor shall not charge regional centers more for providing transportation service to consumers than the vendor charges any other person for the same service.
NOTE

Authority cited: Sections 4405, 4631, 4648, 4690 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690 and 4690.1 Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsection (b) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
Article 3. Standards for Transportation Service Vendors
§58520. Standards for Drivers and Transportation Aides.
Note     •     History

(a) The following vendors shall meet the applicable standards in subsectors (b), (c) and (d) below:
(1) Transportation Companies--Service Code 875, pursuant to Title 17, California Code of Regulations, Section 54342(a)(82);
(2) Transportation--Additional Component--Service Code 880, pursuant to Title 17, California Code of Regulations, Section 54342(a)(78).
(b)  The vendor shall require that each driver and transportation aide:
(1) Is at least 18 years of age; and
(2) Is competent in the use of wheelchairs, hydraulic lifts, ramps and other equipment used for transporting, boarding and exiting consumers from the vehicle, if applicable.
(c) The vendor shall require that each driver has a valid California driver's license pursuant to Vehicle Code Section 12500, and, if applicable, a valid special driver certificate pursuant to Vehicle Code Section 12523.6, and, if applicable, a medical certificate pursuant to Vehicle Code Section 12804.
(d) The vendor shall require that each driver has not been convicted of driving under the influence of alcoholic beverage or any drug or a combination of the two pursuant to Vehicle Code Sections 23152 and 23153 within five years immediately preceding and during employment, or reckless driving, pursuant to Vehicle Code Sections 23103 and 23104, or speed contest pursuant to Vehicle Code Section 23109 within three years immediately preceding and during employment.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631 and 4690, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
4. Change without regulatory effect amending subsections (a)(1), (a)(2) and (b)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
5. Change without regulatory effect amending subsections (c) and (d) and amending Note filed 5-4-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 19).
§58521. Consumer Information.
Note     •     History

(a) The vendor shall maintain, and keep confidential, the consumer information received from the regional center pursuant to Section 58511.
(b) The vendor shall release the following consumer information only to the driver and only when necessary to protect the health and/or safety of the consumer, driver, transportation aide or other passengers:
(1) The name, address, and telephone number of the consumer, authorized consumer representative and/or physician;
(2) The consumer's disabilities, medication needs, allergies, and/or other conditions which may affect the vendor's provision of transportation services; and
(3) Additional consumer information determined necessary by the regional center.
NOTE

Authority cited: Sections 4405, 4631 and 4690, Welfare and Institutions  Code; and Section 11152, Government Code. Reference: Sections 4514, 4631 and 4690, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending section heading and section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58522. Refusal to Transport.
Note     •     History

(a) A vendor may refuse to transport a consumer only if the transportation of the consumer poses a threat to the health and/or safety of the consumer, driver, transportation aide or other passengers.
(b) The vendor shall, within one working day following the refusal to transport the consumer, notify the regional center responsible for the consumer.
(c) The vendor shall, within five working days following the refusal to transport the consumer, submit a written explanation of the refusal to the regional center responsible for the consumer.
NOTE

Authority cited: Sections 4405, 4631 and 4690, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58523. Vendor Records.
Note     •     History

(a) The following vendors shall retain the records specified in (b) below:
(1) Transportation Companies--Service Code 875, pursuant to Title 17, California Code of Regulations, Section 54342(a)(82);
(2) Transportation--Additional Component--Service Code 880, pursuant to Title 17, California Code of Regulations, Section 54342(a)(78).
(b) The vendors specified in (a) above shall retain for three years copies of the following records:
(1) Those required for audits pursuant to Title 17, California Code of Regulations, Section 50604;
(2) The contract, if a written contract is required;
(3) Special incident reports pursuant to Title 17, California Code of Regulations, Section 54326(a)(2);
(4) The safety compliance rating issued by the California Highway Patrol pursuant to Title 13, California Code of Regulations, Section 1233;
(5) All maintenance records of vehicles used in providing transportation service to regional center consumers; and
(6) For each driver;
(A) A valid driver's license issued by the Department of Motor Vehicles pursuant to Vehicle Code Section 12500;
(B) A Traffic Point Count as produced by the Department of Motor Vehicles in accordance with Vehicle Code Section 12810; and 
(C) A medical certificate as required by the Department of Motor Vehicles pursuant to Vehicle Code Section 12804.
NOTE

Authority cited: Sections 4405, 4631 and 4690, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsections (a)(1), (a)(2) and (b)(5) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58524. Transportation Service Contracts.
Note     •     History

(a) A contract for transportation service between a regional center and a vendor shall be in writing, except as provided in subsection (b) below, and shall not exceed five years including all amendments.
(b) The following shall not require written contracts:
(1) Temporary transportation service purchased pursuant to Section 58541; or
(2) Transportation service purchased using standardized rates pursuant to Section 58542.
(c) All written contracts shall include:
(1) The provisions specified in Title 17, California Code of Regulations, Sections 50607 through 50611;
(2) A provision that the schedules and routes for regional center consumers shall be subject to the approval of the regional center;
(3) The amount of the vendor's liability insurance coverage;
(4) A stipulation that the vendor shall not subcontract any part of the service to be provided without prior written approval of the vendoring regional center;
(5) A stipulation that both parties shall be excused from performance during the time and to the extent that either party is prevented from performing by acts of God, strikes, commandeering of vehicles, materials, products, plants or facilities by the government when evidence thereof is presented to the other party;
(6) A stipulation that the vendor shall not deny services or employment to any person on the basis of religion, color, ethnic group identification, sex, sexual preference, age, physical or mental disability;
(7) A stipulation that the contract is subject to any additional restrictions, or conditions enacted by the Legislature and contained in the Budget Act or any other statute enacted by the Legislature which may affect the provisions, terms or funding of this contract in any manner; and
(8) A stipulation that the contract may be amended as specified in Section 58525.
NOTE

Authority cited: Sections 4405, 4631, 4690 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsection (c)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58525. Transportation Service Contract Amendments.
Note     •     History

NOTE

Authority cited: Sections 4405, 4631, 4648 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4646, 4648 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsection (c)(1) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Repealer filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
Article 4. Competitive Procurement
§58530. Eligibility Requirements.
Note     •     History

(a) Entities that are vendored, or meet the requirements for the following types of vendors, shall be eligible to submit a bid through  the competitive procurement process:
(1) Transportation Companies--Service Code 875, pursuant to Title 17, California Code of Regulations, Section 54342(a)(82);
(2) Transportation--Additional Component--Service Code 880, pursuant to Title 17, California Code of Regulations, Section 54342(a)(78).
NOTE

Authority cited: Sections 4405, 4631, 4648, 4690 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648, 4690 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsections (a)(1) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58531. Regional Center  Requirements.
Note     •     History

(a) For each competitive  procurement, the regional center shall:
(1) Develop and utilize an RFP pursuant to Section 58533;
(2) Develop a bid form with instructions that shall include a requirements that the form be submitted in a sealed envelope, separate from the remainder of the bid;
(3) Establish an RFP evaluation committee which shall be composed of at least five members, the majority of whom shall have experience in evaluating, procuring, or providing transportation service; and
(4) Develop a written protest procedure which allows unsuccessful bidders to protest the notice of intent to award the contract. This procedure shall specify the:
(A) Format and content of the protest;
(B) Grounds for the protest;
(C) Process and time frame for submission and resolution of the protest; and
(D) Process and time frame for awarding the contract once the protest has been resolved, as specified in Section 58534(c).
NOTE

Authority cited: Sections 4405, 4631, 4648 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58532. Public Notice of RFP.
Note     •     History

(a) The regional center shall give public notice of its intent to issue an RFP. The notice shall be published in a newspaper of general circulation in the area for which service is to be provided at least ten, but not more than 90, days before the RFP is issued.
(b) The regional center shall give notice to the following of its intent to issue an RFP by mail within ten days after publication of the notice specified in subsection (a) above:
(1) Providers of transportation service known by the regional center to be operating in the area for which service is to be provided; and
(2) Other individuals or entities that have requested the notification.
(c) The notices specified in subsections (a) and (b) above shall include the following information:
(1) Method of obtaining a copy of the RFP;
(2) Date on which the RFP will be available;
(3) Place, date, and time of bidders' conference, if scheduled;
(4) Deadline for submission of bids; and
(5) Place, date, and time of opening the sealed envelopes containing the bid form pursuant to Section 58534(a)(3).
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58533. Contents of RFP.
Note     •     History

(a) Each RFP shall include:
(1) Background information including a description of the following:
(A) Services provided by the regional center; and
(B) Consumers to be served.
(2) Format and submission requirements including:
(A) Standard format in which the bids shall be submitted;
(B) Instructions on how and where to submit bids;
(C) Deadline for submission of bids;
(D) Place, date, and time of bidders' conference, if scheduled;
(E) Place, date, and time of bid opening;
(F) Bid form developed by the regional center pursuant to Section 58531(a)(2); and
(G) Form DS 1890 (7/90), entitled Vendor Application Form.
(3) The scope of work;
(4) The resources and technical expertise required of bidders;
(5) The criteria necessary to establish the bidders' qualifications, competency, experience, financial resources and business integrity;
(6) The following specifications:
(A) Any requirements for performance bonds or letters of credit;
(B) Liability insurance requirements;
(C) Conditions under which subcontracting may be allowed;
(D) Any requirements for transportation aide services;
(E) Basis for payment; and
(F) A sample contract format.
(7) Evaluation criteria for use by the evaluation committee including:
(A) Basis for determining which bidders meet the criteria specified in subsections (a)(4) and (5) above;
(B) Quality of service;
(C) Cost-effectiveness of service that meet all applicable quality of service standards;
(D) The process for selection of the successful bidder which shall be based, at the regional center's discretion, on either:
1. The lowest bid; or
2. The highest score using a scoring process with specified criteria which includes a requirement that at least 75% of the total possible score shall be based upon the bid price.
a. The scoring process specified in the RFP must identify the total maximum score possible, each of the criteria for which a score will be assigned and the maximum score possible for each of the criteria.
(E) Composition and qualifications of the RFP evaluation committee pursuant to Section 58531(a)(3).
(F) The regional center shall notify all prospective bidders, in writing at least ten days in advance of the due date for submission of bids, of any additional evaluation criterion which was not included in the RFP and which will be utilized in evaluating bids.
(8) The contract award process as specified in Section 58534; and
(9) A copy of the protest procedure developed in accordance with Section 58531(a)(4).
NOTE

Authority cited: Sections 4405, 4631, 4648 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsection (a)(1)(B) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58534. Contract Award Process.
Note     •     History

(a) The regional center's RFP evaluation committee shall complete the following in the sequence indicated:
(1) Review all bids to determine which bids, if any, meet the format and bid submission requirements specified in the RFP;
(2) Review each bid which meets the format and bid submission requirements specified in the RFP to determine which bidders meet the criteria specified in Section 58533(a)(4) and (5);
(3) Open the sealed envelope containing the bid form for each bid that meets the criteria specified in Section 58533(a)(4) and (5) at the time and place stated in the RFP, and read them publicly. Opened bid forms shall be made available for public review;
(4) Evaluate, in writing, each opened bid form pursuant to the process for selection of the successful bidder specified in Section 58533(a)(7)(B); and
(5) Select the bidder who is the successful bidder based upon the specific criteria announced by the regional center in the RFP pursuant to Section 58533(a)(7)(B)(1) and (2).
(b) Within 30 days from the day of opening the sealed envelope containing the bid forms pursuant to (a)(3) above, the regional center shall give public notice of intent to award the contract. The notice shall identify the bidder selected pursuant to (a)(5) above and specify the contract award date. The notice shall be posted in a visible location of the main entrance of the regional center that issued the RFP. The notice shall be posted for ten working days prior to the award and shall be sent to all bidders.
(c) If, prior to the award, any bidder files a written protest in accordance with the protest procedure developed pursuant to Section 58531(a)(4), the regional center shall follow either step (1) or (2) below:
(1) Not award the contract until:
a. The protest has been withdrawn; or
b. The regional center has resolved the protest.
(2) Terminate the RFP process pursuant to (d) below.
(d) The regional center may terminate the contract award process at any time by rejecting all bids submitted. If the RFP process is terminated, the regional center shall:
(1) Notify all bidders in writing within ten working days after the decision to terminate the contract award process; and
(2) Correct the disputed items and rebid the contract utilizing the process specified in Sections 58530 through 58535; or
(3) Allow all interested bidders to participate in the negotiated rate contract process.
(e) Pending resolution of a dispute and/or award of a contract, if the regional center determines that the health or safety of a consumer(s) is in jeopardy and no current vendor is available to provide the needed transportation service, the regional center may approve emergency vendorization utilizing the process specified in Section 54324, except the emergency vendorization may be approved for a maximum of 60 days. The emergency vendorization shall lapse if the vendor application is not properly submitted or if the regional center does not approve the application within 60 days of the initial authorization.
(f) All bids with unopened bid forms shall be returned to the respective bidder after the contract is awarded.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of section and Note filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58535. Reporting Requirements for Competitive Process. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Repealer filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
Article 5. Noncompetitive Procurement
§58540. Negotiated Rates.
Note     •     History

(a) A regional center may enter into a contract for the provision of transportation service in which the rate of payment, including the rate for transportation aide services, if any, is negotiated. The regional center may enter into such contracts only with an entity vendored or eligible to be vendored as either:
(1) Transportation Companies - Service Code 875, pursuant to Title 17, California Code of Regulations, Section 54342(a)(82); or
(2) Transportation - Additional Component - Service Code 880, pursuant to Title 17, California Code of Regulations, Section 54342(a)(78).
(3) Transportation Broker - Service Code 883, pursuant to Title 17, California Code of Regulations, Section 54342(a)(81).
(b) The proposed rate negotiated between the regional center and the vendor shall not be subject to the review and approval of the Department.
(c) The regional center shall maintain, pursuant to Section 58512, the following information:
(1) A written explanation for the selection of the vendor; and
(2) A written analysis showing that transportation service will be provided in a cost-effective manner.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4690.1 and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. New subsection (a)(3) and amendment of Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
3. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
4. Change without regulatory effect amending subsections (a)(1)-(a)(3) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
5. Amendment of subsections (b)-(c), repealer of subsections (c)(1) and (d)-(f) and subsection renumbering filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58541. Temporary Provision of Transportation Services.
Note     •     History

(a) When transportation service is terminated because of unforeseen circumstances, the regional center may purchase transportation service including transportation aide service, if any, from an individual or entity eligible to be vendored as:
(1) Transportation Companies - Service Code 875, pursuant to Title 17, California Code of Regulations, Section 54342(a)(82);
(2) Transportation - Additional Component - Service Code 880, pursuant to Title 17, California Code of Regulations, Section 54342(a)(78);
(3) Transportation Auto Driver - Service Code 890, pursuant to Title 17, California Code of Regulations, Section 54342(a)(80);
(4) Transportation - Public Transit Authority, Dial-a-ride, Rental Car Agency or Taxi - Service Code 895, pursuant to Title 17, California Code of Regulations, Section 54342(a)(84); or
(5) Miscellaneous service provider to purchase bus passes, taxi rides, or other transportation services for regional center consumers, including vehicle rental.
(b) The rate of payment for transportation service provided on a temporary basis shall be determined by the regional center and shall meet the following standards:
(1) The transportation service will be provided in a cost-effective manner;
(2) For those vendors specified in subsection (a)(1) above, the rate shall not exceed the amount the vendor charges to the general public; and
(3) For those vendors specified in subsections (a)(3) and (4) above, the rate shall be determined in accordance with Section 58542.
(c) Temporary provision of transportation service shall be limited to 90 days for each occurrence.
(d) The regional center shall maintain, pursuant to Section 58512, the following information:
(1) An explanation of the circumstances that resulted in the need to purchase transportation service on a temporary basis;
(2) The rate and duration of payment; and
(3) The vendor name and identification number.
(e) The rate of payment for transportation service provided on a temporary basis shall not be subject to the review and approval of the Department.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4690.1 and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of subsections (a)(3)-(4) and Note filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
3. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
4. Change without regulatory effect amending subsections (a)(1)-(a)(5) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
5. Amendment of subsections (a)(3)-(4) and (d), repealer of subsections (e)-(e)(4) and subsection relettering filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58542. Standardized Rates.
Note     •     History

(a) Transportation Assistant - Service Code 882, as described in Title 17, California Code of Regulations, Section 54342(a)(79), shall be paid a rate in accordance with the vendor's usual and customary rate.
(b) Transportation - Medical - Service Code 885, as described in Title 17, California Code of Regulations, Section 54342(a)(83), shall be paid in accordance with the Schedule of Maximum Allowances (SMA).
(c) Transportation - Public Transit Authority, Dial-A-Ride, Rental Car Agency, or Taxi - Service Code 895, pursuant to Title 17, California Code of Regulations, Section 54342(a)(84) shall be paid at a rate or fare not to exceed the amount charged to the general public for the same service.
(d) Transportation Auto Drivers - Service Code 890, pursuant to Title 17, California Code of Regulations, Section 54342(a)(80) shall be paid on a per mile basis at a rate not to exceed the travel rate paid by the regional center to its own employees.
(e) Persons who are vendored as miscellaneous service providers by the regional center to purchase bus passes, taxi rides, or other transportation services for regional center consumers, including vehicle rental, shall be paid at a rate not to exceed the rate charged to the general public for those services or rental vehicles.
(f) The rate of payment for transportation services established pursuant to Subsections (a) through (c) above, shall not be subject to the review and approval of the Department.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4690.1 and 4791, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of subsection (b) and Note filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b) and NOTE refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25).  A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
5. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
6. Amendment of subsections (b)-(d) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
7. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
8. Certificate of Compliance as to 6-20-94 order transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
9. Change without regulatory effect amending section filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
§58543. Standard Rate Schedule.
Note     •     History

(a) A regional center may enter into a contract for the provision of transportation service in which the rate of payment, including the rate for transportation aide services, if any, is based upon a Standard Rate Schedule (SRS). The regional center may enter into such contracts only with an individual or entity vendored as a Transportation -- Additional Component -- Service Code 880, pursuant to Section 54342(a)(78), Transportation -- Auto Driver -- Service Code 890, pursuant to Section 54342(a)(80), Transportation -- Family Member -- Service Code 425, pursuant to Section 54355(g)(5), or Participant-Directed Transportation -- Family Member -- Service Code 470, pursuant to 58886(e)(4).
(1) The SRS shall be established by the regional center based upon the cost effectiveness of providing specific transportation services. The regional center shall also adopt a Standardized Contract, to be used with the SRS, which complies with Sections 58500 through 58525 of these regulations;
(2) The regional center shall submit the proposed SRS, the Standardized Contract, and a written explanation of the cost effectiveness of the SRS and Standardized Contract to the Department for review and approval. Within 30 days after receipt of the information, the Department shall:
(A) Review the information and approve the SRS and Standardized Contract only upon a showing by the regional center that the transportation service, procured pursuant to the SRS and Standardized Contract, will be provided in a cost-effective manner and that the Standardized Contract complies with Sections 58500 through 58525 of these regulations;
(B) Notify the regional center of the approval or denial of the SRS and Standardized Contract. If approved, the notification shall include the effective date of the SRS or, if denied, the reason for the denial.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4648.12(c)(1)(B) and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648.12(c) and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 11-5-91 as an emergency; operative 11-5-91 (Register 92, No. 21). A Certificate of Compliance must be transmitted to OAL 3-4-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-4-92 as an emergency; operative 3-4-92 (Register 92, No. 25). A Certificate of Compliance must be transmitted to OAL 7-2-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 3-4-92 order transmitted to OAL 6-25-92 and filed 8-6-92 (Register 92, No. 33).
4. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
5. Amendment of subsection (a) filed 6-20-94 as an emergency; operative 6-20-94.  Submitted to OAL for printing only pursuant to Chapter 722, Statutes of 1992, Section 147 (Register 94, No. 25).
6. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
7. Certificate of Compliance as to 6-20-94 order, including amendment of subsection (a), transmitted to OAL 2-20-96 and filed 3-29-96 (Register 96, No. 13).
8. Change without regulatory effect amending subsection (a) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
9. Amendment of subsection (a) and Note filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
Article 6. Noncompetitive Procurement Based on Cost Statement
§58550. Cost Statement.
Note     •     History

(a) A regional center may enter into a contract for the provision of transportation service in which the rate of payment is based on a cost statement. The regional center may enter into such contracts only with an entity vendored or eligible to be vendored as either:
(1) Transportation Companies - Service Code 875, pursuant to Title 17, California Code of Regulations, Section 54342(a)(82); or 
(2) Transportation Additional Component - Service Code 880, pursuant to Title 17, California Code of Regulations, Section 54342(a)(78). 
(b) The rate of payment based on a cost statement shall be effective for at least one year. If the term of the contract exceeds one year, the rate shall be effective for the full term of the contract unless amended.
(c) When a proposed contract for transportation service is based on a cost statement, the vendor shall submit Form DS2 (7/91), entitled Transportation Cost Statement, to the regional center. Within 30 days after receipt of Form DS2 (7/91) from the vendor, the regional center shall:
(1) Review the Form DS2 (7/91) for compliance with Sections 58551, 58552, 58553 and 58555 of these regulations; and
(2) Calculate a proposed rate of payment pursuant to Section 58554, based on the information contained on the Form DS2 (7/91).
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsections (a)(1) and (a)(2) filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment of subsection (b) and repealer of subsections (c)(3)-(f) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58551. Vendor Information. 
Note     •     History

(a) The vendor shall submit the following information to the regional center on the Form DS2 (7/91), entitled Transportation Cost Statement:
(1) Vendor name;
(2) Business telephone number;
(3) Vendor identification number;
(4) Service code and subcode;
(5) Business and mailing addresses;
(6) Name of management organization, if any;
(7) Name and telephone number of the contact person;
(8) Name of the vendoring and contracting regional center;
(9) Proposed effective date of service; and
(10) Signature of the vendor or designee and the date signed.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58552. Cost Information. 
Note     •     History

(a) The vendor shall submit the following information for the projected allowable costs for a 12 month period to the regional center on the Form DS2 (7/91), entitled Transportation Cost Statement, if the costs will be incurred by the vendor and are necessary for the provision of transportation service:
(1) Salary and wage expense which shall include:
(A) Total gross salaries and wages, including overtime; and
(B) Cash outlays for employees' accrued vacation.
(2) Fringe benefit costs which shall be limited to the following:
(A) Old Age Security Disability Insurance (OASDI) or Federal Insurance Compensation Act (FICA);
(B) Workers' Compensation;
(C) Unemployment insurance;
(D) Life insurance;
(E) Health insurance;
(F) Dental insurance;
(G) Retirement;
(H) Vision insurance;
(I) Employee Training Tax as specified in the California State Unemployment Insurance Code Section 976.6; and
(J) Long-term disability insurance.
(3) Operating expenses which shall not duplicate other projected allowable costs and shall be limited to the following cost categories:
(A) Accounting fees of the vendor for the establishment and maintenance of accounting records and other information systems required for the fiscal management of the vendored service;
(B) Bank service fees of the vendor;
(C) Communication costs for services including telephone, telegraph, teletype, centrex, telepak, postage, message services, facsimiles and Telecommunications Devices for the Deaf (TDD);
(D) Contractual/consultant fees for transportation service operations that do not have a specific cost category;
(E) Depreciation costs, except for vehicles which are covered under subsection (a)(6) below. The following items shall be depreciated using the straight-line depreciation method and the useful life of the item. The useful life of an item shall be the same as that which is used for federal tax purposes.
1. Facilities or buildings purchased by the vendor, which are directly related to providing transportation services to regional center consumers;
2. Furniture and equipment which has been purchased by the vendor, and is associated with the provision of transportation services to regional center consumers, has a unit acquisition cost of at least $500 and a normal useful life of at least four years; and
3. Capital improvements that add to the value or useful life of the building, facility or equipment. Capital improvements shall be treated as a permanent investment to be added to the cost basis of the building or equipment and charged to depreciation.
(F) General expense costs for the following items, only if projected to be incurred as a result of providing transportation services to regional center consumers:
1. Furniture and equipment which do not meet the criteria specified in subsection (E)2. above;
2. Interest on loans attributable to the vendored service;
3. Subscriptions for periodicals which are used in the operation of the transportation services or for the purpose of staff development;
4. Staff recruitment costs including:
a. Staff screening costs, such as fingerprinting prospective employees; and
b. Staff hiring costs which shall include the costs for physical examinations or other health and safety costs that may be required prior to employment.
5. Fees for licenses, certifications, registrations or permits, if necessary for vendorization or the continued operation of the transportation service subsequent to vendorization;
6. Association dues or fees;
7. Costs for providing or preparing information requested by the regional center which is related to the transportation service and is used as general information to the consumers or to the authorized consumer representatives;
8. Local business fees or taxes;
9. Costs related to inoculations or clinical tests of an employee, for the employee's or consumer's health and safety; and
10. Fuel and oil.
(G) Janitorial fees;
(H) Legal fees;
(I) Office supply costs;
(J) Rental and lease costs. On a lease-purchase, while the item is being leased, the cost shall be reported under this category. When the option-to-purchase has been exercised, the residual value of the item shall be depreciated and shall be reported, as applicable, under subsection (E). Rental and lease costs shall apply to the following items:
1. Furniture and equipment;
2. Buildings and terminals; and
3. Vehicles.
(K) Staff training costs for in-service training and employee development which are related to transportation service;
(L) Staff travel costs which are specifically related to the administration of the transportation service;
(M) Utility costs such as gas, electricity, water, garbage, and sewer fees.
(4) Insurance costs which shall include all projected costs for liability insurance associated with conducting the transportation service. Insurance costs shall not include any cost specified in subsections (2)(A) through (J) above;
(5) Maintenance costs which shall include costs for repair or upkeep of furniture, equipment, vehicles, buildings or grounds when the repair or upkeep does not add to the permanent value but maintains the item in an efficient operating condition;
(6) Vehicle depreciation costs for vehicles owned by the vendor which shall be calculated by using the straight-line depreciation method and the minimum normal service life specified below. Vehicles which have been purchased using a combination of funds obtained through Section 16(b) 2 of the Urban Mass Transportation Act of 1964, 49 United States Code, Section 1612(b), and funds from the vendor, shall only be depreciated for the portion of the costs incurred by the vendor. The minimum service life for:
(A) Standard size heavy duty (approximately 35' - 40') transit buses is at least 12 years of service or an accumulation of at least 500,000 total miles on the vehicle;
(B) Medium size heavy duty (approximately 30') transit buses is at least ten years of service or an accumulation of at least 350,000 total miles on the vehicle;
(C) Small size heavy duty (under 30') transit buses is at least seven years of service or an accumulation of at least 200,000 total miles on the vehicle. A 16-passenger bus shall be considered a small medium duty transit bus and not a van; and
(D) Other vehicles such as regular and specialized vans and cars is at least four years of service or an accumulation of at least 100,000 total miles on the vehicle.
(7) Management organization costs which:
(A) Shall include the vendor's prorated portion of the projected allowable costs specified in subsections (a)(1) through (6) above.
(B) Shall not include:
1. More than 100 percent of the allocated costs of the management organization costs;
2. Costs applicable to or claimed by other services operated by the vendor.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Change without regulatory effect amending subsections (a)(3)(E)1.-2., (a)(3)(F), (a)(3)(F)7. and (a)(3)(F)9. filed 1-17-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 3).
3. Amendment of subsections (a)(3)(F)2. and (a)(6)(A)-(C), redesignation of subsections (a)(7)(B)(1)-(2) to (a)(7)(B)1.-2. and amendment of newly designated subsection (a)(7)(B)2. filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58553. Vendor Income Information. 
Note     •     History

(a) The vendor shall submit the following projected vendor information, for all income related to the transportation service being provided to the regional center on the Form DS2 (7/91), entitled Transportation Cost Statement:
(1) The name of each vendor income source;
(2) The duration of projected vendor income from each source; and
(3) The total amount of projected vendor income from each source.
(b) Vendor income shall not include:
(1) Donations;
(2) Income received form the Department or regional centers.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58554. Rate Calculation Based on Cost Statement.
Note     •     History

(a) A rate of payment based on a cost statement is computed using the following:
(1) Step One in the process is to compute a total amount for annual projected allowable costs by adding together the costs identified in Section 58552 which were reported by the vendor Form DS2 (7/91), entitled Transportation Cost Statement;
(2) Step Two in the process is to compute a total amount for annual projected vendor income identified in Section 58553 which were reported by the vendor on Form DS2 (7/91), entitled Transportation Cost Statement;
(3) Step Three in the process is to determine the annual net cost by subtracting the amount computed in Step Two from the amount computed in Step One; and
(4) Step Four in the process is to compute the rate of payment by dividing the annual net cost determined in Step Three by the total number of annual route miles which were reported by the vendor on Form DS2 (7/91), entitled Transportation Cost Statement.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58555. Rate of Payment for Transportation Aide Services.
Note     •     History

(a) When the regional center requires a transportation service vendor to employ a transportation aide, the rate of payment for transportation aide service shall be limited to the following hourly expenses as reported on the Form DS2 (7/91), entitled Transportation Cost Statement:
(1) Salary and wage expense pursuant to Section 58552(a)(1);
(2) Fringe benefit costs pursuant to Section 58552(a)(2); and
(3) Training costs pursuant to Section 58552(a)(3)(K).
(b) The regional center shall pay for transportation aide service on an hourly basis. The hourly rate for transportation aide service shall be computed by adding the hourly expenses reported in subsections (a)(1) and (a)(2) to the hourly expenses reported in subsection (a)(3) above.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
Article 7. Appeals
§58560. General Provisions.
Note     •     History

(a) A vendor may appeal the following decisions of the director of the contracting regional center to the Department's Deputy Director who has responsibility for setting rates:
(1) Denial of a request for an amendment to a written contract;
(2) Denial of a proposed rate based on a cost statement;
(3) Denial of a proposed negotiated rate; and/or
(4) Denial of a proposed contract based on noncompliance with Sections 58513 through 58524 or Sections 58540 through 58555 of these regulations.
(b) The vendor shall file the appeal with the Deputy Director within 30 days after the receipt of written notification of the regional center director's denial specified in (a)(1) through (3) above.
(c) If an appeal is not filed within the time specified, it shall be denied unless good cause pursuant to Section 58564 is established for the late submission. Good cause shall be determined by the Deputy Director in accordance with Section 58564. If good cause for late submission is established, the Deputy Director shall decide the appeal in accordance with Section 58561. 
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of subsections (a), (a)(4) and (b) filed 4-25-2000; operative 5-25-2000 (Register 2000, No. 17).
§58561. Contents of Appeal and Decision.
Note     •     History

(a) The appeal filed pursuant to Section 58560 shall be in writing and shall include the following:
(1) The vendor's:
(A) Name, business address, and telephone number; and
(B) Vendor identification number, service code and subcode.
(2) Identification of the denial being appealed;
(3) The specific basis of the appeal; and
(4) All supporting documentation and any other information necessary to substantiate and/or justify the appeal including the specific regulation used as the basis for the appeal.
(b) At the time the vendor files the appeal with the Deputy Director, a copy shall be mailed to the contracting regional center.
(c) Within 15 days after receipt of the appeal, the Deputy Director shall review the appeal to determine if all required documentation has been submitted and that the appeal complies with Sections 58560 and 58561.
(1) If all required documentation has been submitted, the Deputy Director shall render a decision pursuant to subsection (d) below;
(2) If all the required documentation has not been submitted and/or additional documentation is needed, the Deputy Director shall request the additional information in writing from the vendor within 15 days after receipt of the appeal. The vendor shall submit the additional information within 15 days after receipt of the Deputy Director's request.
(A) If the vendor fails to submit the additional information within the time specified, the appeal shall be deemed withdrawn and no further action shall be taken unless the vendor establishes good cause for late submission pursuant to Section 58564 of this article. Good cause shall be determined by the Deputy Director, in accordance with Section 58564. If good cause for late submission is established and the additional information is submitted as requested by the Deputy Director, the appeal process shall resume and the Deputy Director shall render a decision pursuant to  subsection (d) below;
(B) If the additional information submitted by the vendor does not comply with the request the appeal shall be deemed withdrawn and no further action shall be taken.
(d) The Deputy Director shall render a decision on the appeal within 60 days after receipt of all required and/or requested information. The decision shall:
(1) Identify the name and address of the vendor(s);
(2) Identify the specific issue(s) in dispute;
(3) Rule on each issue identified;
(4) State the facts supporting each ruling; and
(5) Identify the statutes and regulations upon which each ruling is based, if applicable.
(e) A written copy of the decision shall be mailed to the vendor and the contracting regional center within 15 days after the decision is rendered.
(f) I the vendor does not appeal the decision to the Director, pursuant to Section 58562, it shall be deemed final.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58562. Appeal of Deputy Director's Decision.
Note     •     History

(a) The vendor may appeal the Deputy Director's decision to the Director within 15 days after receipt of the written decision. The appeal shall be in writing and shall include the following:
(1) All information submitted to the Deputy Director pursuant to Section 58561(a);
(2) A copy of the Deputy Director's decision; and
(3) A statement of the issue(s), facts, documentation, and supporting authority identifying why the vendor believes the decision of the Deputy Director should be reversed by the Director.
(b) Within 30 days after receipt of the appeal, the Director or the Chief Deputy Director shall review the appeal and determine whether additional information upon which to base a decision is needed form the vendor pursuant to Section 58561(c).
(c) Within 60 days after receipt of all required and/or requested information, the Director or the Chief Deputy Director shall render a decision pursuant to Section 58561(d).
(d) A written copy of the decision shall be sent to the contracting regional center and the vendor within 15 days after the decision is rendered.
(e) An appeal filed with the Director is the final level of appeal. The decision rendered by the Director or the Chief Deputy Director shall be deemed final.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4690.1 and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58563. Effective Date of Decision.
Note     •     History

(a) The effective date shall be stated in the decision and shall be:
(1) For the appeal of a denial of a request for amendment to a written contract, no earlier than the date the Department received the request for amendment;
(2) For the appeal of a denial of a proposed rate based on a cost statement, no earlier than the date the Form DS2 (7/91), entitled Transportation Cost Statement, was received by the Department; or
(3) For the appeal of a denial of a negotiated rate, no earlier than the date the information specified in 58540(c)(1) thru (3) was received by the Department.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
§58564. Good Cause.
Note     •     History

(a) For the purposes of Sections 58560 through 58563, good cause for a failure to acts limited to:
(1) A violent act of nature, including, but not limited to, flood, earthquake, blizzard or fire; or
(2) Arson, vandalism, and/or theft by individuals other than the vendor which preclude the vendor from filing a timely appeal.
(b) The vendor shall, within 60 days after receipt of the notice of the incident giving rise to its claim of good cause, submit to the Deputy Director or the Director, whichever is appropriate, the basis for its claim of good cause and all supporting documents or other evidence to substantiate its claim. The Deputy Director, Director or Chief Deputy Director, whichever is appropriate, shall within 30 days after receipt of the claim and supporting documentation, review the information and render a decision regarding whether good cause has been established.
(c) The Deputy Director, Director or Chief Deputy Director, whichever is appropriate, shall notify the vendor in writing of the good cause determination and shall specify what action shall be taken, if any, pursuant to Sections 58561 through 58563.
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; Sections 4405, 4631, 4690.1 and 4791(i), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4690.1 and 4791, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
2. Amendment of section filed as an emergency 6-17-93; operative 6-17-93. Submitted to OAL for printing only pursuant to SB485 (Chapter 722, Statutes of 1992) Section 147(a) (Register 93, No. 26).
3. Certificate of Compliance as to 6-17-93 order transmitted to OAL 6-20-94 and filed 8-2-94 (Register 94, No. 31).
§58565. Review of Documents Only.
Note     •     History

(a) An appeal made pursuant to Sections 58560 through 58565 shall be decided only on the documents submitted. There shall be no oral testimony or argument.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).
Article 8. Transitory Provisions
§58570. General Provisions.
Note     •     History

(a) A contract for transportation serviced which was executed before the effective date of these regulations shall:
(1) Remain in effect unless it is terminated pursuant to the contract provisions or pursuant to subsection (3) below;
(2) Not be amended after the effective date of these regulations; and
(3) Be terminated by agreement of the parties.
NOTE

Authority cited: Sections 4405, 4631 and 4690.1, Welfare and Institutions Code and Section 11152, Government Code. Reference: Sections 4631 and 4690.1, Welfare and Institutions Code.
HISTORY

1. New section filed 9-26-91; operative 9-26-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 10).

View Graphic

View Graphic

Transportation Cost Statement - Page 1 Instructions

Instructions

Line		Reference

1.	Enter the vendor name and telephone number.	58551 (a)(1)(a)(2)

2.	Enter vendor identification number, service code ad subcode.	58551 (a)(1)(a)(4)

3.	Enter the address where the service is located.	58551 (a)(5)

4.	Enter the mailing address of the service.	58551 (a)(5)

5.	Enter the management organization name if the service is affiliated with a management organization.	58551 (a)(6)

6.	Enter the name and telephone number of the contact person.	58551 (a)(7)

7.	Enter the name of the vendoring regional center.	58551 (a)(8)

8.	Enter the names of the contracting regional centers for which you provide service.	58551 (a)(8)

9.	Enter the effective date of service.	58551 (a)(9)

10-16.	On Lines 10-16, enter the projected costs for these items	58552 (a)(1)
		through (a)(7)

17.	To determine the subtotal, add all projected costs for line items 10-16, and enter on this line.	58554 (a)(1)

18.	Enter the total vendor income from page 2, Section A, on this line.	58554 (a)(2)

19.	To determine the annual net cost, subtract the vendor income, if any (line 18) from the subtotal of the	58554 (a)(3) 

	projected costs (line 17). Enter this amount on line 19 and on page 2, Section B, under annual net cost.

Instructions

Section		Reference

A	Enter information on vendor income received, including name of each source, duration of income, and 	58533
	amount of income received from each source. Add these amounts, and enter the total on page 1, line 18.

B	To establish the proposed rate of payment, divide the annual net cost by the projected number of annual 	58554 (a)(4)
	route miles anticipated to be driven. The quotient shall be the proposed rate of payment.

C	To determine the hourly rate of pay for Transportation Aides, add the hourly salaries and wages, hourly	58555 (a) 
	fringe benefits and hourly training cost.	through (b)
Subchapter 19. Supported Living Service
Article 1. Definitions
§58600. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense. Words used in the singular form include the plural form. Use of the word “shall” indicates conduct that is required, and “may” indicates conduct that is permitted.
NOTE

Authority cited: Section 11152, Government Code; Sections 4689 and 4690, Welfare and Institutions Code. Reference: Section 4689, Welfare and Institutions Code.
HISTORY

1. New subchapter 19, article 1 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 19, article 1 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New subchapter 19, article 1 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including  amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58601. Definitions.
Note     •     History

(a) The following definitions shall apply to the regulations contained in Subchapter 19:
(1) “Circle of Support” means an informal but identifiable and reliable group of people who, pursuant to Welfare and Institutions Code, Section 4512(f), meet and communicate regularly to offer support, at a frequency and in a manner consistent with and appropriate to the need, to the consumer for whose benefit it exists.
(2) “Direct Service(s)” means any service component enumerated in Section 58614.
(3) “Home” means, with respect to the home of a consumer receiving SLS, a house or apartment, or comparable dwelling space meeting community housing standards, which is neither a community care facility, health facility, nor a family home certified by a Family Home Agency, and in which no parent or conservator of the consumer resides, and which a consumer chooses, owns or rents, controls, and occupies as a principal place of residence.
(4) “Individual Program Plan (IPP)” means a written plan that is developed jointly by the consumer, one or more representatives of the regional center, and other persons pursuant to Welfare and Institutions Code, Section 4646(d), through a process which identifies the consumer's needs and preferences and adopts a cost-effective strategy for meeting them.
(5) “Internal Grievance Procedure” means the written set of procedures, established pursuant to Welfare and Institutions Code, Section 4705(a), a SLS vendor uses to achieve the communication and resolution of consumer dissatisfaction.
(6) “Personal Advocate” means a person chosen by the consumer to assist in representing and expressing the consumer's interests and preferences, or, when appropriate, means the conservator or other person legally authorized to act on the consumer's behalf.
(7) “Supported Living Arrangement” means the full array of regional center-funded services and supports received by a SLS consumer, including SLS, day program, transportation, and all other regional center services and supports.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648(a)(3), 4689, 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4648, 4689 and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of section and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Repealer of subsection (a)(2), subsection renumbering, amendment of newly designated subsections (a)(2)-(3) and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§58602. Terms Defined in Other Subchapters.
Note     •     History

(a) As used in this subchapter, the following terms have the meanings specified in Title 17, Section 50401:
(1) Department; and
(2) Regional Center.
(b) As used in this subchapter, the following terms have the meanings specified in Title 17, Section 50501:
(1) Community Care Facility; and
(2) Health Facility.
(c) As used in this subchapter, the following term has the meaning specified in Title 17, Section 54000:
(1) Developmental Disability.
(d) As used in this subchapter, the following terms have the meanings specified in Title 17, Section 54302:
(1) Applicant;
(2) Consumer;
(3) Generic Support(s);
(4) Natural Supports;
(5) Service Design;
(6) Service Code;
(7) Special Incidents;
(8) Supported Living Service;
(9) Vendor; and
(10) Vendorization.
(e) As used in this subchapter, the following term has the meaning specified in Title 17, Section 56076(e):
(1) Family Home;
(2) Family Home Agency (FHA);
(3) Relative.
(f) As used in this subchapter, the following term has the meaning specified in Title 17, Section 58501:
(1) Cost Effective.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4689, 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4689 and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including new subsections (d)-(e)(1), transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Editorial correction of Note (Register 97, No. 21).
6. New subsections (b)-(b)(2), subsection relettering, amendment of newly designated subsection (e)(1), new subsections (e)(2)-(3) and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
Article 2. General Provisions
§58610. Regional Center Responsibilities.
Note     •     History

(a) Regional centers shall purchase SLS as defined in Title 17, Section 54349(a) through (e), only:
(1) From a SLS vendor; and
(2) Pursuant to a written contract as specified in Sections 58670, 58671, and 58672.
(b) The regional center shall make available to any consumer and, as appropriate, to any consumer's family members relevant and understandable information aimed at enhancing the recipients' general understanding of SLS and ability to make informed choices.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4689, 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4685(c)(5), 4689(d) and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New article 2 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 2 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 2 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of subsections (b)-(c), new subsections (c)(1)-(3) and amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of subsection (a), repealer of subsections (c)-(c)(3) and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§58611. Housing Financial Involvement and Responsibilities.
Note     •     History

(a) A SLS vendor shall have no financial or fiduciary involvement in the home, or in any utility or service contract integral to the occupancy of the home, of a consumer to whom the SLS vendor provides services, whenever such involvement would inhibit the consumer's exercise of the rights enumerated in Section 58620, or be inconsistent with any requirement of Welfare and Institutions Code, Section 4689.
(1) Whenever a vendor proposes to have a financial or fiduciary involvement specified in (a), the vendor shall present the proposal in writing to the regional center. The proposal shall assure and demonstrate to the regional center's satisfaction, that:
(A) The involvement would serve the interests of the consumer better than a range of available alternatives;
(B) The consumer understands and approves of the vendor's proposed involvement; and
(C) The requirements of (a) would be met.
(b) The regional center shall not pay any costs incurred by a consumer receiving SLS in securing, occupying, or maintaining a home rented, leased, or owned by the consumer except when the executive director of the regional center has determined that:
(1) Payment of the cost would result in savings to the State with respect to the cost of meeting the consumer's overall services and supports needs;
(2) The costs can not be paid by other means, including available natural or generic supports; and
(3) The costs are limited to:
(A) Rental or utility security deposits;
(B) Rental or lease payments;
(C) Household utility costs;
(D) Moving fees; and
(E) Non-adaptive and/or non-assistive household furnishings, appliances, and home maintenance or repair costs.
NOTE

Authority cited: Section 11152, Government Code; Sections 4689 and 4690, Welfare and Institutions Code. Reference: Section 1505(l), Health and Safety Code; and Sections 4512(b), 4620.1, 4689(a), 4689(b) and 4791(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of subsections (b)-(b)(3), new subsections (b)(3)(A)-(E), repealer of subsections (b)(4)-(10) and amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58612. Vendor Status Requirements.
Note     •     History

(a) A regional center shall grant initial SLS vendor status to an applicant for vendorization if the applicant:
(1) Meets all applicable general vendorization requirements specified in Title 17, Sections 54310 through 54330 with the exception specified in Section 58630(d), and also meets the additional requirements specified in Articles 4 through 6 of this subchapter, or
(2) Has provided direct services and supports which the regional center has identified as being the equivalent of, or essentially similar to SLS, immediately proceeding the effective date of this regulation. 
(b) An applicant granted SLS vendor status pursuant to (a)(2) shall meet all requirements of (a)(1) not later than one year after the effective date of this regulation.
(1) The regional center shall terminate vendor status for a vendor failing to meet the requirements of (a)(1) without good cause.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4689, 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4685(c)(5), 4689(d) and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of section and Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§58613. Consumer Eligibility Determination.
Note     •     History

(a) A consumer shall be eligible for SLS upon a determination made through the IPP process that the consumer:
(1) Is at least 18 years of age;
(2) Has expressed directly or through the consumer's personal advocate, as appropriate, a preference for:
(A) SLS among the options proposed during the IPP process; and
(B) Living in a home that is not the place of residence of a parent or conservator of the consumer.
(b) Consumers shall not be denied eligibility for SLS solely because of the nature and severity of their disabilities.
NOTE

Authority cited: Section 11152, Government Code; Sections 4689 and 4690, Welfare and Institutions Code. Reference: Sections 4512(b), 4646(b) and 4689(a)(8), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58614. Service and Support Components.
Note     •     History

(a) Supported Living Service, as referenced in Title 17, Section 54349(a) through (e), shall consist of any individually designed service or assessment of the need for service, which assists an individual consumer to:
(1) Live in his or her own home, with support available as often and for as long as it is needed;
(2) Make fundamental life decisions, while also supporting and facilitating the consumer in dealing with the consequences of those decisions; building critical and durable relationships with other individuals; choosing where and with whom to live; and controlling the character and appearance of the environment within their home.
(b) Supported Living Service(s) are tailored to meet the consumer's evolving needs and preferences for support without having to move from the home of their choice, and include but are not limited to the following:
(1) Assisting with common daily living activities such as meal preparation, including planning, shopping, cooking, and storage activities;
(2) Performing routine household activities aimed at maintaining a clean and safe home;
(3) Locating and scheduling appropriate medical services;
(4) Acquiring, using, and caring for canine and other animal companions specifically trained to provide assistance;
(5) Selecting and moving into a home;
(6) Locating and choosing suitable house mates;
(7) Acquiring household furnishings;
(8) Settling disputes with landlords;
(9) Becoming aware of and effectively using the transportation, police, fire, and emergency help available in the community to the general public;
(10) Managing personal financial affairs;
(11) Recruiting, screening, hiring, training, supervising, and dismissing personal attendants;
(12) Dealing with and responding appropriately to governmental agencies and personnel;
(13) Asserting civil and statutory rights through self-advocacy;
(14) Building and maintaining interpersonal relationships, including a Circle of Support;
(15) Participating in community life; and
(16) 24-hour emergency assistance, including direct service in response to calls for assistance. This service also includes assisting and facilitating the consumer's efforts to acquire, use, and maintain devices needed to summon immediate assistance when threats to health, safety, and well-being occur.
(c) Supported Living Service Vendor Administration, as referenced in Title 17, Section 54349(e), shall include, but is not limited to, the following:
(1) Administrative functions;
(2) Rental or leasing of administrative office(s) space;
(3) Office furniture, supplies, and equipment;
(4) Travel designated in the SLS vendor's contract as necessary for the performance of administrative functions;
(5) Accounting;
(6) Insurance designed to protect against loss by theft, fire, and similar calamities; professional liability; and automobile accident liability; and
(7) Discretionary background checks for paid staff, volunteers, and contractors as specified in the SLS vendor's contract.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648, 4689, 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4648(a)(2), 4689(c) and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of section and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of section and Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§58615. Service Records.
Note     •     History

(a) SLS vendors shall maintain, and provide access to, records pursuant to all applicable requirements of Title 17, Sections 50603, 50604, and 50605.
(b) In addition to the requirements noted in (a), all SLS vendors shall maintain and provide access to all records relating to service design, service delivery, and employee service time records. These records shall include the following:
(1) Time sheets;
(2) Payroll records;
(3) Accounting records;
(4) Training records;
(5) Service evaluations;
(6) Internal grievance procedure records;
(7) Historical data documenting the actual delivery of service to consumers for which the SLS vendor has claimed payment, including the:
(A) Identification of the vendor by unique identifier;
(B) Location of the service;
(C) Description of the service; and
(D) Inclusive dates of the service; and
(8) Other records as required by:
(A) The terms of the contract; and
(B) The regional center, for the purpose of conducting the evaluations specified in Sections 58671(c).
NOTE

Authority cited: Section 11152, Government Code; Sections 4648 and 4690, Welfare and Institutions Code. Reference: Sections 4648.1(a), 4648.1(b) and 4659(a)(1), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Editorial correction of Note (Register 97, No. 21).
§58616. Additional General Provisions.
Note     •     History

(a) A consumer shall have the right to qualify for SLS vendorization and to serve as his/her own SLS vendor.
(b) No relative or conservator of a consumer shall serve as the SLS vendor for that consumer except when a determination has been made through the IPP process that:
(1) Unpaid family-based, or other natural supports for the consumer will not be supplanted;
(2) Such service is consistent with the consumer's IPP goals and objectives;
(3) The relative or conservator proposing to serve as the SLS vendor has no legal obligation to support the consumer;
(4) The consumer's preference is for that relative or conservator to serve as the SLS vendor; and
(5) The service will be at least as cost effective as any available alternative.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648, 4688, 4689 and 4690, Welfare and Institutions Code. Reference: Sections 4648.1(d), 4659(a), 4688(b)(5) and 4689(a)(1), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of section and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58617. Supported Living Arrangement Costs.
Note     •     History

(a) Before SLS is provided to a consumer, the projected annual cost of the consumer's SLA, as determined through the consumer's IPP process, shall not exceed the total annual cost of regional center funded services and supports that would be provided if the consumer were served in an appropriate licensed residential facility, as identified through the IPP process, provided:
(1) The total annual cost of services and supports shall include all regional center costs for residential placement (or costs incurred by the State for 24-hour long-term health care), community-based day program, transportation, and other services and supports; and
(2) The appropriate licensed facility for a consumer who is living in a licensed facility at the time of the cost comparison shall be that licensed facility.
(b) Notwithstanding (a), when the consumer does not reside in a licensed facility the projected annual cost of a consumer's SLA shall be deemed to have met the requirements of (a) when the cost is within the range of annual costs of SLAs for other consumers with comparable needs for regional center services and supports, who are currently receiving SLS from the regional center.
(c) Notwithstanding (a), the projected annual cost of a consumer's SLA shall be deemed to have met the requirements of (a) when the consumer is one of a group of consumers receiving, or projected to receive, SLS services from the same vendor, provided the aggregate cost to the regional center of the SLAs of the grouped consumers does not exceed the total cost to the regional center that would have resulted had the costs for services and supports for each of the grouped consumers been determined individually in accordance with (a).
NOTE

Authority cited: Sections 4689 and 4690, Welfare and Institutions Code. Reference: Sections 4512(b), 4690 and 4791(b) and (c), Welfare and Instititions Code.
HISTORY

1. New section filed 9-20-96; operative 9-20-96 (Register 96, No. 38).
2. Editorial correction of Note (Register 97, No. 21).
Article 3. Consumer Rights
§58620. Consumer Preferences and Leadership.
Note     •     History

Consumers receiving SLS shall have the right to make decisions that shape the nature and quality of their lives in accordance with their preferences, and consistent with the goals of the consumer's IPP. These rights shall include, but are not limited to, the following:
(a) Choosing where and with whom to live;
(b) Controlling the character and appearance of the environment within their home;
(c) Choosing and changing their SLS vendors and direct service staff;
(d) Participating actively in their IPP process so that the SLS they receive is based on their needs and preferences;
(e) Receiving services appropriate to their evolving needs and preferences for support without having to move from the home of their choice, for as long as SLS remains the preferred objective, as determined in the consumer's IPP process; and
(f) Informing the regional center about how satisfied they are with the services they are receiving, and to have this information taken into account in the regional center's periodic evaluation of the SLS vendor's service, pursuant to Section 58671(c).
NOTE

Authority cited: Section 11152, Government Code; Sections 4648, 4689 and 4690, Welfare and Institutions Code. Reference: Sections 4646(a), 4648(a)(7), 4502, 4502.1, 4503(j), 4689(a) and 4689(e), Welfare and Institutions Code.
HISTORY

1. New article 3 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 3 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 3 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of subsection (e) and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58621. Right to Information.
Note     •     History

To assure opportunities for making informed decisions as people supported in community settings, SLS consumers shall have a right to information, in an understandable and accessible form. Such information shall include, but not be limited to:
(a) An explanation of the general concepts, purposes, and practices of SLS, pursuant to Section 58610(b);
(b) Training in the philosophy and objectives of SLS, available from the SLS vendor pursuant to Section 58653;
(c) Information from the SLS vendor describing any change in the SLS vendor's service design that would affect the services being received by the consumer, pursuant to Section 58630(b)(2)(B); and
(d) Notice in writing from the regional center when their SLS is affected by the termination of a contract with a SLS vendor, within 10 days of a notification of contract termination pursuant to Section 58672(a).
NOTE

Authority cited: Section 11152, Government Code; Sections 4689 and 4690, Welfare and Institutions Code. Reference: Sections 4502.1, 4503(j) and 4689(d), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
Article 4. Service Design
§58630. General Requirements.
Note     •     History

(a) Except as specified in (d), an applicant for SLS vendor status shall develop a written service design that shall be approved by the regional center as a condition of vendorization.
(b) A SLS vendor shall modify or replace the approved service design only:
(1) In accordance with its contractual obligations, if any, to the regional center; and
(2) Upon 60 days' prior written notice to:
(A) The regional center; and
(B) Each consumer (or, when appropriate, the consumer's personal advocate) receiving SLS from the SLS vendor. The notice to each consumer shall communicate clearly the consequences the service design changes will have with respect to the SLS services being received by the consumer.
(c) The regional center shall:
(1) Inform a vendor in writing of the regional center's approval or disapproval of a new or modified service design prior to the expiration of the notice specified in (b)(2); and
(2) Delete from the vendor panel any vendor whose service design has not been approved by the regional center.
(d) Notwithstanding the above, the regional center may waive the service design requirements, provided the:
(1) Applicant proposes to provide services to consumers at no more than one home; and
(2) Competence and suitability of the applicant has been established, using the requirements of Sections 58631 and 58632 as guidelines.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3)(C), 4689 and 4690, Welfare and Institutions Code. Reference: Section 4689(d), Welfare and Institutions Code.
HISTORY

1. New article 4 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 4 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 4 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58631. Service Design Components.
Note     •     History

A required service design shall include, but not be limited to, the following:
(a) A mission statement;
(b) A description of the range of approaches and strategies the SLS vendor is prepared to employ to achieve the aims specified in Section 58632;
(1) The SLS vendor shall specify for each aim whether and to what extent each of the associated services are available through the vendor.
(c) A description of the SLS vendor's training program, if required, pursuant to Sections 58651 through 58653;
(d) A description of the SLS vendor's internal grievance procedure;
(e) A description of the records the SLS vendor will maintain relating to the procedures for regional center SLS vendor performance evaluation referenced in Section 58671(c);
(f) A description of the SLS vendor's staff hiring criteria, including any minimum qualifications requirements; and
(g) A description of procedures and practices the agency will use to screen paid staff, consultants, and volunteers who will have direct contact with consumers.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3)(C) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(3)(C), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of section, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58632. Implementation of SLS Philosophy.
Note     •     History

A service design shall provide generalized examples sufficiently detailed to illustrate and demonstrate the SLS vendor's competence and suitability to implement the service orientation and principles of SLS stated in Welfare and Institutions Code, Section 4689(a)(1) through (a)(8). This demonstration shall include, but not be limited to, a general explanation of how the SLS vendor will achieve all of the following:
(a) Support of the consumer's assumption of responsibility for making life decisions on the basis of personal preference that enhance the prospects for increased independence, self-reliance, and self-esteem, and for implementing those decisions effectively;
(b) Provision of ongoing monitoring to help confirm, assure, or signal that:
(1) Significant changes in the needs and preferences of the consumer are reflected in the SLS component of the consumer's IPP;
(2) Supports and services remain responsive to the consumer's needs and preferences; and
(3) Risks of endangerment to health, safety, and well-being are minimized.
(c) Provision of necessary and appropriate assistance to the consumer, subject to the prohibitions on payments enumerated in Section 58611(b) in locating, securing, and maintaining a place to live;
(d) Assistance to the consumer in structuring and maintaining a:
(1) Social environment within the home typical of other non-institutional, non-licensed homes in the community, in which persons without disabilities live;
(2) Community-oriented life in which all generic and natural supports are accessed consistent with the needs and preferences of the consumer; and
(3) Network of critical and durable relationships with others, including a circle of support consisting of a majority of members who are not paid to support the consumer, and with appropriate family participation.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648(a)(3)(C), 4688, 4689, 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections  4501, 4648(a), 4688, 4689, 4689.7(c) and 4750, Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of section and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of subsection (a), repealer of subsection (b)(3), subsection renumbering and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
Article 5. Standards for Vendors
§58640. General Requirements.
Note     •     History

(a) Each SLS vendor shall provide for the performance of the duties of director, direct service supervisor(s), and employees of the vendor who provide direct service to consumers.
(b) The SLS vendor may:
(1) Separate or combine, and provide for the discharge of, these duties as appropriate to the vendor's circumstances and internal organization; and
(2) Designate staff positions by titles different from those noted in (a).
(c) One individual may assume all the duties of the director, direct service supervisor(s), and direct service employees of the vendor, or any combination of such duties, provided:
(1) The individual meets the qualifications for any positions assumed; and
(2) No more than one full-time equivalent position is required for discharging such duties.
(d) Pursuant to Sections 58630(d), 58654, and 58671(c), a SLS vendor providing services to consumers at no more than one home may be required to meet service design, training, and/or service evaluation requirements that are less demanding than those required by the regional center of other SLS vendors.
(e) The SLS vendor shall assure that any consultant to the SLS vendor meets all licensing, certification, registration and SLS vendor status requirements applicable to the functions undertaken by the consultant.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3)(A) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(6)(A), Welfare and Institutions Code.
HISTORY

1. New article 5 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 5 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 5 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of section, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58641. Standards for Director Position.
Note     •     History

(a) The SLS vendor shall assign a director to carry out the administrative responsibilities for the SLS vendor's SLS operations, which shall include at least all of the functions noted in (b).
(b) The director shall have the ability, as a result of any combination of relevant training and experiemce, to competently and consistently organize and supervise the provision of services in accordance with the SLS vendor's established policies, including:
(1) Selecting, and exercising general supervision over, assigned staff; and
(2) Overseeing discharge of the vendor's contractual obligations, budgeting, service design and implementation, project planning, staff development, training, evaluation, and the direction of the SLS.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3)(A) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(6)(A), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of subsection (b), transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58642. Standards for Supervisory Position.
Note     •     History

(a) The SLS vendor shall assign direct service supervisory staff to supervise the delivery of SLS by direct service personnel.
(b) All direct service supervisory staff shall have the ability, as a result of any combination of relevant training and experience, to competently and consistently organize and supervise the direct provision of services to consumers in accordance with the SLS vendor's established policies, under the general supervision of the director.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3)(A) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(6)(A), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58643. Standards for Direct Service Staff.
Note     •     History

(a) The SLS vendor shall, subject to Section 58620(c), assign direct service staff to provide SLS directly to consumers. Such direct service staff shall have:
(1) The skill, training, or education necessary to:
(A) Establish and maintain a constructive and appropriate personal relationship with consumers;
(B) Minimize risks of endangerment to the health, safety, and well-being of consumers;
(C) Perform first aid and cardiopulmonary resuscitation (CPR), and operate 24-hour Emergency Assistance systems, as appropriate to the need with respect to any specific consumer; and
(D) Achieve the intended results of the service being performed.
(2) Current and valid licenses, certificates, or registrations that may be legally required to provide the service.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3)(A) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(6)(A), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
Article 6. Training Requirements
§58650. Regional Center Staff Orientation.
Note     •     History

(a) Each regional center shall provide SLS orientation for any regional center staff assigned to SLS-related responsibilities, including, but not limited to, the following:
(1) Regional center policy-making;
(2) Vendoring of SLS providers;
(3) Resource development;
(4) Supervising, evaluating, overseeing, or consulting with SLS vendors; and
(5) Service coordination to SLS consumers.
(b) Orientation shall:
(1) Focus on the philosophy, concepts, and practices of SLS; and
(2) Occur within three months following the assumption of SLS-related responsibilities.
NOTE

Authority cited: Section 11152, Government Code; Sections 4688 and 4690, Welfare and Institutions Code. Reference: Sections 4651(b), 4659(d) and 4688, Welfare and Institutions Code.
HISTORY

1. New article 6 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 6 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 6 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58651. Vendor Orientation Requirements.
Note     •     History

(a) Each SLS vendor shall be responsible for SLS orientation of the SLS vendor's paid and unpaid staff, whose duties include the direction or supervision of SLS, or direct service delivery of the services defined in Title 17, Section 54349(a), (b), and (c).
(b) SLS orientation for each staff member shall occur within the first two weeks of employment, and shall include:
(1) An overview of the SLS vendor's mission, policies, practices, and SLS philosophy as stated in the approved service design, pursuant to Section 58632, or as otherwise approved by the regional center pursuant to Section 58630(d);
(2) An understanding of the IPP objectives of each consumer with whom the staff member works directly;
(3) A focus on the practical use of SLS to promote a consumer's self-reliance;
(4) Consumers' protections and rights, including:
(A) The operation of the SLS vendor's internal grievance procedure;
(B) Fair hearing provisions, pursuant to Title 17, Sections 50900 through 50964;
(C) Special incident reporting, pursuant to Title 17, Section 54327;
(D) Rights of consumers specified in Sections 58620 and 58621; and
(E) Protection of consumers from abuse, neglect and financial exploitation, including requirements for documenting and reporting such occurences.
(5) A review of appropriate conduct of staff in establishing and maintaining personal relationships with consumers; and
(6) Participation of consumers in a teaching, consulting, or other instructional resource capacity.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(3)(C), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of subsections (b)(4)(E) and (b)(6) and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of subsection (b)(4)(C) filed 6-27-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Reinstatement of section as it existed prior to 6-27-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 43).  
7. Amendment of subsection (b)(4)(C) filed 10-25-2001 as an emergency; operative 10-31-2001 (Register 2001, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-28-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 10-25-2001 order transmitted to OAL 2-28-2002 and filed 4-10-2002 (Register 2002, No. 15).
§58652. Vendor Continuing Training Requirements.
Note     •     History

(a) Each SLS vendor, subsequent to orientation of staff, shall provide continuing training for all staff whose duties include the direction, supervision, or direct service delivery of the services defined in Title 17, Section 54349(a), (b), and (c).
(b) Such continuing SLS training for staff shall occur at least annually and shall focus on:
(1) Recent developments in the theory and practice of SLS;
(2) Policies, procedures, and practices of the SLS vendor targeted at meeting IPP objectives for SLS; and
(3) Identification of service delivery issues and challenges, and the accumulated experience of the SLS vendor's staff and others in dealing with them. 
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(3)(C), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58653. Vendor SLS Training for Consumers.
Note     •     History

Each SLS vendor shall be responsible for making SLS training available to each consumer receiving SLS from the SLS vendor and to the unpaid members of the consumer's circle of support. Such SLS training shall include, as appropriate to each consumer's preferences, all of the following:
(a) Philosophy of SLS;
(b) Consumers' rights;
(c) Identification and reporting of suspected abuse or exploitation of the consumer; 
(d) Internal grievance procedure of the SLS vendor; and
(e) Strategies for building and maintaining an effective circle of support.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648, 4689 and 4690, Welfare and Institutions Code. Reference: Section 4689(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of subsections (c) and (d), new subsection (e) and amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
§58654. Waiver of Vendor Training Requirements.
Note     •     History

The regional center may waive any or all training requirements specified in Sections 58651 through 58652, provided the:
(a) Vendor provides services to consumers at no more than one home; and
(b) Regional center determines that no adverse impact on the quality of service delivery will result.
NOTE

Authority cited: Section 11152, Government Code; Sections 4688, 4689 and 4690, Welfare and Institutions Code. Reference: Sections 4688 and 4651(a), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
Article 7. Rate Negotiation
§58660. General Requirements.
Note     •     History

(a) Rates for SLS shall be:
(1) Cost effective to the State; and
(2) Agreed upon through contract negotiation between the regional center and the SLS vendor in accordance with Sections 58661 through 58663.
(b) The regional center may negotiate a rate for the direct services referenced in Title 17, Section 54349(a) through (d), and specified in Section 58614(b). The negotiated rate for direct services shall be established using one of the following methods:
(1) The direct service rate includes compensation for all SLS vendor's administration services specified in Section 58614(c). No additional rate shall be negotiated for SLS Vendor Administration (Service Code 894), and the vendor shall receive no additional compensation for administration costs;
(2) The direct service rate excludes all SLS vendor's administration costs for the services specified in Section 58614(c). An additional rate may be negotiated separately for SLS Vendor Administration (Service Code 894), to compensate the vendor for necessary administration costs.
(c) Negotiated rates shall not:
(1) Result in the regional center paying the vendor more for any service than the vendor would charge any other purchaser of the same or essentially similar service; nor
(2) Be subject to approval by the Department.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648(a)(3), 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4648(a)(3)(B), 4689.7(c), 4690 and 4791(c), Welfare and Institutions Code.
HISTORY

1. New article 7 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 7 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 7 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of subsections (b)-(b)(2) and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§58661. Direct Service Rates.
Note     •     History

(a) Direct Service rates shall be:
(1) Limited to the following service code categories:
(A) Personal Support Service (Service Code 891), pursuant to Title 17, Section 54349(a);
(B) Training and Habilitation Service (Service Code 892), pursuant to Title 17, Section 54349(b);
(C) 24-Hour Emergency Assistance (Service Code 893), pursuant to Title 17, Section 54349(c); and
(D) Supported Living Service (Service Code 896), pursuant to Title 17, Section 54349(d);
(2) Negotiated separately for each service code category enumerated in (a)(1) until July 1, 2000, and based on any one or any combination of the following models that results in the most cost-effective purchase of services by the regional center:
(A) Hourly rates;
(B) Monthly rates;
(C) Flat rates;
(D) Rates based on anticipated average monthly costs;
(E) Rates based on the actual provision of services in a payment period;
(F) Rates applied to services to individual consumers, groups of consumers, or to all the consumers served by the SLS vendor.
(b) Rates may reflect, as appropriate to the applicable method of negotiation specified in Section 58660(b), any combination of the following:
(1) Salaries, wages, and benefits of all SLS staff and consultants to the vendor providing direct service;
(2) Travel and incidental costs designated in the contract as necessary for the provision of direct service; and
(3) Cost of the administration services specified in Section 58614(c), necessary to maintain the SLS vendor's direct service operation.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648(a)(3), 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4648(a)(3)(B), 4689.7(c) and 4791(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of subsections (a)(1)(A)-(C) and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of section and Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§58662. SLS Vendor Administration Rates.
Note     •     History

(a) A separate SLS vendor administration rate shall be limited to SLS Vendor Administration (Service Code 894), pursuant to Title 17, Section 54349(e).
(b) The SLS vendor administration rate shall be:
(1) Negotiated only with SLS vendors whose direct service rates are negotiated pursuant to Section 58660(b)(2);
(2) A single fixed monthly rate; and
(3) Limited to the SLS vendor's costs of administration, as specified in Section 58614(c), which are required to maintain the SLS vendor's direct service operation.
NOTE

Authority cited: Section 11152, Government Code; and Sections 4648(a)(3), 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4648(a)(3)(B) and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of subsections (a) and (b)(3) and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
§58663. Rate Review and Renegotiation.
Note     •     History

(a) The regional center and contracting SLS vendor shall review all negotiated rates at the time of contract renewal, and at other times as specified in the contract.
(b) Regional centers shall, for at least three years from the date of the final payment to the SLS vendor in any State fiscal year, retain and make available to the Department upon request the cost data or analytical bases which the regional center relied upon during rate negotiation with the SLS vendor.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a) and 4690, Welfare and Institutions Code. Reference: Sections 4648(a)(3)(B) and 4648(a)(5), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
Article 8. SLS Contract Standards
§58670. General Provisions.
Note     •     History

(a) All contracts between a regional center and a SLS vendor for the delivery of SLS shall meet all the following applicable contracting regulatory requirements:
(1) Requirements specified in Title 17, Section 50607;
(2) Fiscal provisions specified in Title 17, Section 50609(a), (c), (d), and (e); and
(3) Audit provisions specified in Title 17, Section 50610.
(b) In addition to the requirements specified in (a), all contracts between a regional center and a SLS vendor for the delivery of SLS shall meet all requirements specified in this section, and in Sections 58671 and 58672.
(c) A regional center shall not negotiate a contract with any SLS vendor who has:
(1) Adopted a required service design that has not been approved by the regional center; or
(2) Not signed the State Department of Health Care Services' Medi-Cal Provider Agreement.
(d) A regional center may, pursuant to Sections 58660 through 58662, contract with a SLS vendor for one or more of the SLS services referenced in Title 17, Section 54349, and specified as a SLS service component in Section 58614.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3) and 4690, Welfare and Institutions Code. Reference: Section 4648(a)(3), Welfare and Institutions Code.
HISTORY

1. New article 8 and  section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 8 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 8 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Change without regulatory effect amending subsection (c)(2) filed 9-24-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 39).
§58671. Contract Requirements.
Note     •     History

In addition to the requirements set forth in Section 58670, all contracts shall include:
(a) The vendor's approved service design;
(b) Performance standards and service provision outcomes the SLS vendor is obligated to meet; and
(c) The procedures that will be used to monitor and evaluate the outcomes of the vendor's service provision, including but not limited to the requirements of Section 58680.
(d) Rates agreed upon through negotiation, pursuant to Sections 58660, 58661, and 58662;
(e) Limitations on the SLS services referenced in Title 17, Section 54349(a) through (e), which the SLS vendor is authorized to deliver; 
(f) Disclosure by the vendor of any past, present or pending residential licensure revocation or denial, and/or any pending application(s) the vendor has filed for residential licensure in the State of California; and
(g) A description of the contract termination conditions specified in Section 58672.
(h) A requirement that the vendor maintain service records to support all billing/invoicing as specified in Section 50604(d)(1) through (3)(F), as applicable.
(i) A requirement that the vendor submit to the regional center with their billings/invoices the information specified in (h) above for the billing period.
NOTE

Authority cited: Chapter 157, Statutes of 2003; Section 11152, Government Code; and Sections 4648(a)(3), 4689.7(c) and 4690, Welfare and Institutions Code. Reference: Sections 4648(a)(3)(B), 4689(e) and 4689.7(c), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of section and Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of subsections (e) and amendment of Note filed 4-18-2000; operative 5-18-2000 (Register 2000, No. 16).
6. New subsections (h)-(i) and amendment of Note filed 10-9-2003 as an emergency; operative 10-9-2003 (Register 2003, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-6-2004 or emergency language will be repealed by operation of law on the following day.
7. New subsections (h)-(i) and amendment of Note refiled 2-3-2004 as an emergency; operative 2-3-2004 (Register 2004, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-2-2004 or emergency language will be repealed by operation of law on the following day.
8. New subsections (h)-(i) and amendment of Note refiled 6-1-2004 as an emergency; operative 6-1-2004 (Register 2004, No. 23). A Certificate of Compliance must be transmitted to OAL by 9-29-2004 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 6-1-2004 order, including amendment of subsection (h), transmitted to OAL 9-15-2004 and filed 10-28-2004 (Register 2004, No. 44).
§58672. Contract Termination.
Note     •     History

(a) The contract shall be subject to termination under any of the following conditions:
(1) For cause by the regional center, with notice, pursuant to Title 17, Section 50611(b);
(2) For cause by the regional center, with or without notice, when the regional center determines that either:
(A) The results of any evaluation of the SLS vendor's service delivery, conducted pursuant to Section 58671(c), warrant contract cancellation; or
(B) The SLS vendor's service contributes to life-threatening dangers to, or has resulted in abuse of, a consumer.
(3) Without cause by either party, provided:
(A) The parties to the contract mutually agree to the termination; or
(B) The party initiating the termination gives 60 days' written notice of intention to terminate.
(b) Upon termination of the contract, the vendor shall immediately cease providing services to, and remove any direct service staff from the home of, any consumer whose services were covered by the contract.
(c) The provision of Title 17, Section 50611(d) shall remain applicable to any SLS contract termination.
NOTE

Authority cited: Section 11152, Government Code; Sections 4648(a)(3) and 4690, Welfare and Institutions Code. Reference: Section 4648.1(d), Welfare and Institutions Code.
HISTORY

1. New section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
Article 9. Performance Evaluations
§58680. Regional Center Requirements.
Note     •     History

(a) The regional center shall, with respect to the procedures adopted pursuant to Section 58671(c) for monitoring and evaluating a SLS vendor's provision of service:
(1) Assure that the requirements of Welfare and Institutions Code, Section 4689(e)(1) through (5), are met;
(2) At least quarterly conduct a face-to-face meeting with each SLS consumer and, when appropriate, the consumer's personal advocate. The meeting shall occur in the consumer's home, except when the consumer withholds permission;
(3) Give significant weight to the evaluation results in any decision to renegotiate, terminate for cause, or renew an existing contract with the SLS vendor; and
(4) Retain and make available to the Department for a period of at least three years from the date of an evaluation, all records related to the evaluation.
NOTE

Authority cited: Section 11152, Government Code; Sections 4405, 4648, 4689 and 4690, Welfare and Institutions Code. Reference: Sections 4648.1(d) and 4689(e), Welfare and Institutions Code; and Chapter 282, Statutes of 1997, Item 4300-101-0001, Provision 8.
HISTORY

1. New article 9 and section filed 8-14-95 as an emergency; operative 8-14-95 (Register 95, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-95 or emergency language will be repealed by operation of law on the following day.
2. New article 9 and section refiled 12-4-95 as an emergency; operative 12-12-95 (Register 95, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-10-96 or emergency language will be repealed by operation of law on the following day.
3. New article 9 and section refiled 4-8-96 as an emergency; operative 4-10-96 (Register 96, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-6-96 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-95 order, including new subsections (a)(1)-(2) and subsection renumbering and amendment of Note, transmitted to OAL 8-8-96 and filed 9-20-96 (Register 96, No. 38).
5. Amendment of subsection (a)(2) and Note filed 6-29-98 as an emergency; operative 6-29-98 (Register 98, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-98 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (a)(2) and Note refiled 10-20-98 as an emergency; operative 10-27-98 (Register 98, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-24-99 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 10-20-98 order transmitted to OAL 12-31-98 and filed 2-17-99 (Register 99, No. 8).
Subchapter 21. Habilitation Services Program
Article 1. Definitions
§58800. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense. Words used in the singular form include the plural form. Use of the word “shall” indicates conduct that is required, and “may” indicates conduct that is discretionary. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Section 4851, Welfare and Institutions Code. 
HISTORY

1. New subchapter 21 (articles 1-9, sections 58800-58882), article 1 (sections 58800-58801) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New subchapter 21 (articles 1-9, sections 58800-58882), article 1 (sections 58800-58801) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New subchapter 21 (articles 1-9, sections 58800-58882), article 1 (sections 58800-58801) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
§58801. Definitions.
Note     •     History

(a) As used in this Subchapter, the following terms shall have the meanings specified in Title 17, Section 50602: 
(1) Service Provider, 
(b) As used in this Subchapter, the following terms shall have the meanings specified in Title 17, Section 54302 
(1) Accreditation; 
(2) CARF; 
(3) Certification; 
(4) Department 
(5) Habilitation Services; 
(6) Individual Program Plan (IPP) 
(7) Management Organization 
(8) Supported Employment; 
(9) Supported Employment Program (SEP); 
(10) Vendor; 
(11) Vendorization; and 
(12) Work Activity Program. 
(c) As used in this Subchapter, the term “regional center” shall have the meaning specified in Title 17, Section 54505. 
(d) As used in this Subchapter, the term “Cost-of-Living Adjustment” or “COLA” shall have the meaning specified in Title 17, Section 57210. 
(e) As used in this Subchapter, the following terms shall mean: 
(1) “Allowable supported employment services” means the services approved in the IPP and specified in the IHSP for the purpose of achieving supported employment outcomes, and may include any combination of the following: 
(A) Job development to the extent authorized by the regional center; 
(B) Program staff time for conducting job analysis of supported employment opportunities for a specific consumer; 
(C) Program staff time for the direct supervision or training of a consumer or consumers while they engage in integrated work unless other arrangements for consumer supervision, including, but not limited to, employer supervision reimbursed by the Supported Employment Program, are approved by the regional center; 
(D) Community-based training in adaptive functional and social skills necessary to ensure job adjustment and retention; 
(E) Counseling with a consumer/family and/or authorized representative to ensure support of a consumer in job adjustment; 
(F) Advocacy or intervention on behalf of a consumer to resolve problems affecting the consumer's work adjustment or retention; and 
(G) Ongoing support services needed to ensure the consumer's retention of the job; 
(2) “Audit, Desk” means a desk review by the Department used to calculate a daily rate based on the Cost Statement data submitted. This does not verify or guarantee that the data submitted or the daily rate are accurate or final; 
(3) “Audit, Independent” means an external examination by a Certified Public Accountant (CPA) of a facility's year-end financial statements on which an opinion is issued; 
(4) “Audit, Review” means an examination is an independent review by an accountant of a facility's year-end financial statements on which a statement is issued; 
(5) “Common Area” means the space within a service provider's location that has no specific purpose related to the cost centers (e.g., lunchrooms, hallways, and rest rooms); 
(6) “Consumer, Habilitation Services (consumer)” means an individual who is at least 18 years of age, with a developmental disability receiving habilitation services who has been referred by a Regional Center or by another agency (in accordance with Welfare and Institutions Code section 4850-4867) and is authorized to receive such services; 
(7) “Consumer, Other” means an individual who is funded by a private or government source other than the regional center, Department of Rehabilitation or unfunded by any source (including unfunded sheltered employees); 
(8) “Consumer, Vocational Rehabilitation” means an individual funded by the Vocational Rehabilitation Program (VRP) of the Department of Rehabilitation; 
(9) “Consumer Productivity Rate” means the percentage of industrial standard that the consumer has produced in the work setting; 
(10) “Consumer Stipend” means a monetary payment to a consumer, generally used as an incentive, for purposes other than a consumer wage (e.g., during training, class time, and other time spent in unpaid activities); 
(11) “Consumer Subsidy” means that portion of wages exceeding the wages warranted by the consumer's productivity rate that must be paid to meet regulations for Department of Labor's certificate for regular work programs and/or applicable State labor laws, i.e. if a consumer produces at 40% but must be paid 50% of minimum wage; 
(12) “Consumer Wage” means a monetary payment to a consumer in accordance with regulations for the Department of Labor certificate and/or any applicable State Labor laws for the production of goods/and or services; 
(13) “Cost Center” means a grouping of revenues and expenses based on a similar purpose; 
(14) “Cost Center, Administration” means those costs of a general nature that are applicable to all programs operated by the service provider and those specified in these regulations to be administrative in nature; 
(15) “Cost Center, Fund Raising” means those costs related to producing income for the service provider from private sources other than production, fee-for-service, and/or grants; 
(16) “Cost Center, Non-Program Activities” means those costs generated and incurred by the service provider for revenue generating activities in which no consumers are served (e.g., thrift stores in which no consumers participate, non-habilitation programs); 
(17) “Cost Center, Other” means those costs generated and incurred by service providers serving consumers in other than work activity programs which are administered by the same service provider (e.g., day program, residential, camp); 
(18) “Cost Center, Production” means those costs generated and incurred by the work activity program service provider from the production of goods and/or services; 
(19) “Cost Center, Stores” means those costs incurred and generated by stores or other business operations in which consumers are trained for employment; 
(20) “Cost Center, Transportation” means those costs incurred and generated by the ongoing transportation of consumers by the service provider to and from their place of residence and their habilitation services program; 
(21) “Cost Center, Work Activity Programs (WAP)” means those costs generated and incurred by the provision of services to a consumer in the work activity program. These services include Habilitation/Rehabilitation which is a single set of services that incorporate work adjustment where the purpose is to enable consumers to develop, maintain, and increase proficiency in work skills and behaviors. Included may be supportive habilitation services which are non-vocational but support the consumer's vocational development and retention of work skills and behavior; 
(22) “Cost Statement” means the information required biennially by the Department from the work activity program vendor for the establishment of the rate for Work Activity Programs. 
(23) “Direct Production Expense” means those expenses or portion of expenses that are directly attributable to the production of goods or services, including, but not limited to raw materials, marketing, contract procurement, direct production labor, food in food service programs, and shipping and receiving expenses. This does not include expenses for stores and/or other non-program activities; 
(24) “Direct Production Labor” means the salary or portion of salary paid to or for an employee for the production of goods and/or services for revenue to the service provider; which includes the cost of non-consumer production workers; 
(25) “DOR” means the Department of Rehabilitation; 
(26) “Extended services” means training, supervision and support services given to a consumer after transition from intensive services; 
(27) “Facility” means a single unit vendored by a regional center that has at least one component of habilitation services that may be operated by a management organization; 
(28) “Fee-For-Service” means a fee paid to a facility by a government or private source for a specific service or services provided to a consumer or group of consumers; 
(29) “Fiscal Year” means that period of twelve consecutive-months selected and used by a vendor for organizing and reporting accounting records; 
(30) “Government Source” means Federal, state, or local public agencies that are supported by public funds; 
(31) “Group Services” means job coaching in a group supported employment where services are funded by the Regional Center or DOR. For consumers receiving group services, ongoing support shall be limited to job coaching at the work site; 
(32) “Historical period” means the period of time upon which allowable costs for the Work Activity Program are based; 
(33) “Holding Company” means a management organization of which the vendor is a subsidiary; 
(34) “Income” means all revenue received by a vendor that is not a recovery; 
(35) “Indirect Expenses” means vendor expenses that are related to providing services to consumers, and non-consumer related activities administered by the vendor; 
(36) “Individual Habilitation Service Plan (IHSP)” means the service plan developed by the habilitation service vendor to meet the employment goals of the IPP; 
(37) “Individualized Plan for Employment (IPE)” means an agreed-upon, approved, written plan of vocational rehabilitation program services that assists an individual with a disability eligible for Department of Rehabilitation services to achieve an employment outcome. 
(38) “Individualized Services” means job coaching and other supported employment services, provided on or off the worksite, for regional center consumers in a supported employment placement at a job coach-to-consumer ratio of one-to-one. These services decrease over time; 
(39) “Integrated work” means paid work by a consumer in a community setting in which the consumer interacts with individuals without disabilities, other than those providing services to the consumer, to the same extent that individuals without disabilities in comparable positions interact with other persons; 
(40) “Intensive Services” means, except as noted in Section 58842, initial DOR funded ongoing support services as specified by the Code of Federal Regulations, and when related to individualized services, as defined in this section, decrease to stabilization; 
(41) “Intervention” means job coaching services necessary for maintenance of employment; 
(42) “Job Coaching” means employment-related services specified in the IPP and provided by a job coach, directly to or on behalf of consumers, for both group and individual placements; 
(43) “Non-Consumer Production Worker” means a person who is not a consumer and who is hired specifically to produce goods and/or services for revenue for the Work Activity Program; 
(44) “Order of Selection” for vocational rehabilitation services means the priority established by the Department of Rehabilitation for selecting eligible individuals to receive vocational rehabilitation services in the event these services cannot be provided to all eligible applicants. 
(45) “Payment Year” means the year for which the daily rate is paid for habilitation services, beginning July 1 and ending June 30; 
(46) “Percentage of Intervention” means supported employment program job coaching time expressed as a percentage of all the hours worked by the consumer; 
(47) “Private Source” means any entity other than a government source; 
(48) “Production Consumer” means a consumer who is receiving a wage for the production of goods and/or services under the supervision of the Work Activity Program staff; 
(49) “Production Work Day” means a day of attendance in which any paid work is performed by a consumer or non-consumer production worker for the production of goods and/or services; 
(50) “Production Work Hour” means an hour in which any paid work is performed during a day of attendance by a consumer or non-consumer production worker for the production of goods and/or services; 
(51) “Productivity Rate” means the percentage of the industrial standard established with the Code of Federal Regulations, by the U. S. Department of Labor and the California Industrial Welfare Commission Orders, that the consumer has produced in either a supported Employment or Work Activity Program work setting and when sub-minimum wages apply; 
(52) “Program Day” means the period of time during which a Work Activity Program provides services to consumers as established by the vendor in the approved program design; 
(53) “Program Expansion” means the addition of a new service program, space at an existing site, or a new site by a vendor; 
(54) “Rate” means the daily or hourly rate paid to service providers for their provision of services to habilitation consumers; 
(55) “Rate, Base” means the daily or hourly fee based on the historical period and updated by a rate adjustment based on the State approved COLA, if any, through the current fiscal year; 
(56) “Rate, Gross” means the base rate without deducting recoveries from indirect expenses; 
(57) “Rate, Historical” means the total allowable Work Activity Program costs in the historical period divided by the total days or hours of attendance of consumers in the historical period;. 
(58) “Rate, Interim” means the daily, statewide average rate, set by the Department for a new Work Activity Program prior to the establishment of a daily rate based on the historical period; 
(59) “Rate Adjustment “ means a rate increase or decrease to adjust for cost changes not reflected in the historical period; 
(60) “Rate Correction” means the increase or decrease in the rate following a Departmental review or onsite audit, based on source documentation; 
(61) “Rate Revision” means a rate increase or decrease in consequence of a review or audit conducted by the Department or the regional center based on additional information provided by the vendor; 
(62) “Reconciliation” means the explanation by the service provider of differences between year end financial statements (audited or unaudited) and Revenue Statement (Form DS1950 Work Activity Program Cost Statement [Rev 3/05], Tab C) and Expense Statement (Form DS1950 Work Activity Program Cost Statement [Rev 3/05], Tab D); 
(63) “Recoveries” are defined primarily as funds provided to offset indirect expenses by reimbursing a service provider directly for expenses incurred or by direct payment (generally for staff) of such expenses. Rental income or revenue from sales when the production cost has been included as an indirect expense, are also included as recoveries. 
(64) “Revenue” means all income and support, including cash, goods, and in-kind received by a service provider; 
(65) “Service Delivery Staff” means the Work Activity Program staff working directly with the consumer; 
(66) “Shipping and Receiving” means incoming and outgoing transportation and loading area expenses for production materials and supplies, used goods, and finished products; 
(67) “Stabilization” means the consumer has reached the employment outcomes as specified in the Individualized Plan for Employment and IPP, the consumer has learned and maintained the job for a minimum of sixty (60) consecutive work days, and is expected to continue in the employment. Stabilization rates (the ratio of job coaching hours to the consumers work hours per month) for consumers receiving individualized services in supported employment requires the following percentages of intervention be achieved: 
(A) 20% intervention or less for 60 days; or 
(B) 25% intervention or less for 90 days; or 
(C) 30% intervention or less for 120 days. 
(68) “Staff-To-Consumer Ratio” means the number of service delivery staff to number of consumers in the Work Activity Program reported on the cost statement; 
(69) “Staggered Work Schedule” means differing start and stop times for consumer work schedules in a supported employment group; 
(70) “State” means the State of California; 
(71) “Subsidy” means the funds from a government source (cash or in-kind) other than fee-for-service that offsets allowable indirect expenses; 
(72) “Supported Employment Intake” means the process completed by a vendor for the purpose of the provision of Supported Employment services to a consumer, and must include; 
(A) Initial meeting with the consumer and, when appropriate, the consumer's authorized representative. 
(B) Review of the Job Placement Parameters form with the consumer, and 
(C) Development of a plan of action for job placement. 
(73) “Supported Employment Placement” means the employment of an individual with a developmental disability in an individual placement by an employer in the community, directly or through contract with a supported employment program. This includes provision of ongoing support services necessary for the individual to retain employment. 
(74) “Supported Employment Retention” means a consumer authorized for individual placement services who is placed in an integrated supported employment setting and has remained on the job for ninety (90) days. 
(75) “Supportive Habilitation Services” means any combination of direct services to consumers to achieve personal safety practice training, housekeeping maintenance skills training development, health maintenance skills development, including hygiene skills, and other vocationally related activities identified in the vendor's program design and approved by the vendoring regional center, including but not be limited to self-advocacy training, consumer counseling, job club, peer vocational counseling, and career counseling; 
(76) “Temporary Transfer” means a regional center-authorized reassignment of a consumer from one habilitation program type to another, for a period not exceeding sixty (60) consecutive days per occurrence, with one thirty (30) consecutive day extension; 
(77) “Vocational Rehabilitation Program (VR)” means a statewide program administered by the Department of Rehabilitation to assess, plan, develop, and provide employment services for individuals with disabilities so that those individuals may prepare for and engage in employment opportunities and achieve employment outcomes consistent with their strengths, priorities, concerns, abilities, capabilities, interests, and informed choice. The VR program is an integral part of a statewide workforce investment system. 
(78) “Work Adjustment Services” means any combination of direct services to consumers designed to develop physical capacities, psychomotor skills, interpersonal and communicative skills, work habits, vocationally appropriate dress and grooming, productive skills, work practices and work-related skills development, or preparation for a Vocational Rehabilitation referral. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Section 4851, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
Article 2. General Requirements for All Habilitation Services
§58810. General Vendorization Requirements for Habilitation Services.
Note     •     History

(a) Regional centers shall purchase Habilitation services, pursuant to Title 17, Section 54310, only from vendored work activity programs or supported employment programs, or both. 
(b) Habilitation services providers who, on July 1, 2004, are engaged in providing work activity or supported employment services to consumers shall be deemed to be vendored by the appropriate regional center effective that date provided the habilitation program meets the requirements pursuant to Section 54310. 
(c) Vendors approved pursuant to (b) shall have until July 1, 2005 to submit to the vendoring regional center an approved program design pursuant to Section 58811. 
(d) Regional centers shall vendor additional Habilitation services providers, pursuant to the requirements of Title 17, Sections 54310 and 54351, upon verifying that an applicant for vendorization is appropriately accredited and/or certified. 
(e) The regional center shall make available to existing, new and developing vendors information regarding the statutes and regulations, as developed by the Department. 
(f) Within four (4) years of the effective date of vendorization, Habilitation services providers must become CARF accredited. The service provider shall distribute copies of any CARF accreditation reports to the vendoring regional center(s), DOR and the Department within thirty (30) days of receipt of such report(s). The regional center may purchase services from a service provider who is not CARF accredited if the service provider meets the following conditions: 
(1) Demonstrates that the program is in compliance with the DOR certification standards, to allow a period for becoming CARF accredited: and 
(2) Commits, in writing, to apply within three years for accreditation by CARF in the service categories appropriate to their program type(s) as a condition of continued vendorization. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4857.1, 4861(c) and 4861(d), Welfare and Institutions Code. 
HISTORY

1. New article 2 (sections 58810-58812) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New article 2 (sections 58810-58812) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 2 (sections 58810-58812) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (f) and new subsections (f)(1)-(2), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58811. Program Design Requirements for Habilitation Services.
Note     •     History

(a) The general program design requirements that apply to both Work Activity Programs (addressing the specific program standards as defined in Sections 58820 through 58822) and Supported Employment Programs (addressing the specific program standards as defined in Section 58830 and 58831) and reflect current CARF requirements shall include the following: 
(1) A description of the program including: 
(A) Employment/Habilitation philosophy, including purpose and goals; 
(B) The specific services and supports it typically provides; 
(C) A definition of the geographic area and anticipated number of individuals the vendor intends to serve; 
(2) The methods used to inform consumers about the programs services and supports, employment, and career options; 
(3) Desired consumer outcomes stated in measurable terms; 
(4) A description of the entrance and exit criteria that includes all of the following: 
(A) Ages of consumers to be served; 
(B) Any other prerequisites required for entrance and continuing participation in the program; 
(C) A description of the consumer attributes required for participation, including: 
1. Self-care skills, 
2. Physical and medical conditions, and 
3. Behavioral characteristics. 
(5) A description of the process the program uses for evaluating and promoting consumer career/vocational development; 
(6) A description of the person-centered planning process used to facilitate a consumer's vocational and career outcome(s); 
(7) A staff-training plan; 
(8) A description of the internal consumer grievance procedures pursuant to Welfare and Institutions Code, Section 4705; 
(9) A description of the program's quality management system; 
(b) Program design modifications: 
(1) Must be approved by the vendoring regional center prior to implementation; and 
(2) Require the vendor to notify, at least 30 days prior to the implementation of the modification, the consumer(s) or authorized representative(s), the Department, and the Department of Rehabilitation. 
(c) In addition to the general program design requirements described in (a) and (b) above, the program design for Work Activity Programs (addressing the specific program standards as defined in Sections 58820 through 58822) shall include the following: 
(1) Consumer attendance policy to include the following: 
(A) The requirement for the vendor to notify the regional center on or before a consumer's fifth consecutive day of unplanned absence; and, 
(B) The attendance requirements for a consumer to remain enrolled in the program; 
(2) The length of the program day; 
(3) A description of the methods utilized for contract procurement and product marketing; 
(d) In addition to the general program design requirements described in (a) and (b) above; the program design for Supported Employment Programs, Group or Individual (addressing the specific program standards as defined in Sections 58830 and 58831) shall include the following: 
(1) A description of the services and supports used to assist consumer(s) to meet employer requirements; 
(2) The methods utilized for job development, placement and retention; 
(3) The process used to determine either Individual or group placement. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4851(e) and 4861, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including repealer and new section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58812. General Planning Requirements.
Note     •     History

(a) Following regional center referral of a consumer to a Habilitation service provider, the service provider shall develop and submit for regional center review an initial IHSP within 90 days of the start date. 
(1) The IHSP shall include the following: 
(A) Service provider name, address and vendor number; 
(B) Consumer name, UCI number and social security number; 
(C) Reporting period; 
(D) Objective, status and progress; 
(E) Current vocational functioning; 
(F) Goals and methods to measure progress 
(G) Persons responsible for implementation 
(H) Achievements summary; 
(I) Attendance, wage statistics and percentage of intervention; and, 
(J) Signature of consumer and/or conservator. 
(b) Following development, and adoption of the consumer's initial IHSP, the vendor shall submit for regional center review an updated IHSP, within thirty (30) days of the consumer's birthday annually thereafter. 
(c) The Habilitation services vendor, working collaboratively with the consumer and/or his or her family or authorized representative, shall review the IHSP, at least, semiannually, or as specified in the IHSP, and document progress achieved toward each IHSP objective. 
(d) The IPP team of a consumer receiving Habilitation services shall meet whenever it is necessary to review: 
(1) Job placement considerations, including the appropriateness of the placement; 
(2) The efficacy of services at the consumer's Work Activity Program or Supported Employment Program; and 
(3) The Individual Habilitation Service Plan. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854 and 4854.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (a), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
Article 3. Standards for Work Activity Programs
§58820. General Standards for Work Activity Programs.
Note     •     History

(a) Work Activity Program services include, but are not necessarily limited to, any combination of the following: 
(1) Community-based work activity centers or essentially similar site-based programs and services certified by the Department of Rehabilitation and subject to CARF accreditation pursuant to Section 58810(f). 
(2) Vocationally focused services to, and remunerative employment of, consumers, and related activities pursuant to Title 29, Part 525, Code of Federal Regulations. 
(3) Paid training of consumers for the purpose of enhancing their ability to perform productive work, pursuant to Title 29, Part 785, Section 785.27, Code of Federal Regulations. 
(4) Work environments providing payment to consumers commensurate with their level of productivity, based on productivity studies conducted in compliance with Title 29, Part 525, of the Code of Federal Regulations, and the requirement of Section 1191.5 of the California Labor Code, and Sections 6 and 7 of the California Industrial Welfare Commission Order, order number 1-2001, updated effective January 1, 2004. 
(b) Work Activity Programs shall provide the requisite amount and variety of work sufficient to prepare each consumer served to attain his or her highest feasible level of functioning, in accordance with each consumer's IPP. 
(c) Work Activity Programs shall assure that the aggregate percentage of the total time consumers average in program participation time over any six (6)-month period, shall be: 
(1) Not less than fifty (50) percent in paid work; 
(2) Not more than fifty (50) percent of the time in a combination of work adjustment services and supportive habilitation services.
(A) Work adjustment services consist of any appropriate combination of the following components: 
1. Physical capacities development; 
2. Psychomotor skills development; 
3. Interpersonal and communicative skills development; 
4. Work habits development; 
5. Development of vocationally appropriate dress and grooming; 
6. Productive skills development; 
7. Work practices training; 
8. Work-related skills development; 
9. Orientation to and preparation for referral to the Department of Rehabilitation for vocational rehabilitation program services. 
(B) Supportive habilitation services consist of any appropriate combination of the following components: 
1. Personal safety practice training; 
2. Housekeeping maintenance skills training development; 
3. Health and hygiene maintenance skills development; 
4. Self-advocacy training, consumer counseling, peer vocational counseling, career counseling and peer club participation; 
5. Other vocationally related activities identified in the regional center-approved Work Activity Program design. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4851(e), 4854, 4854.1 and 4857, Welfare and Institutions Code. 
HISTORY

1. New article 3 (sections 58820-58822) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
4. New article 3 (sections 58820-58822) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
5. New article 3 (sections 58820-58822) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 3-30-2005 order, including amendment of section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58821. Work Activity Program Day Length.
Note     •     History

(a) The approved Work Activity Program design shall specify the length of the program day during which consumers receive services, provided: 
(1) No approved design shall define a program day of less than five (5) hours, exclusive of the meal period.; 
(2) The program day shall not be reduced in length from what it had been in the historical period used in calculating the Work Activity Program rate, unless an exception pursuant to Welfare and Institutions Code, Section 4862, has been granted. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Section 4862(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
§58822. Work Activity Program Service Records Requirements.
Note     •     History

(a) All Work Activity Programs shall meet the requirements of Section 50604 and maintain consumer-specific records documenting daily service delivery in a manner that links regional center-paid services to the services specified in the consumer's IHSP. 
(b) All Work Activity Programs shall submit to the Department and the billing regional center by the 15th day of each following month, a completed monthly Work Activity Program Consumer Monthly Report, DS 1971 (1/05) for the previous month, including the following information for each consumer served and aggregated calculations for: 
(1) Name of the consumer; 
(2) Wages earned by the consumer; 
(3) Hours worked by the consumer; 
(4) Monthly percentage of participation in paid work for each consumer; 
(5) Productivity level for each consumer; 
(5) Average percentage of participation in paid work for the aggregate of consumers; and 
(7) Average wages and productivity level for the aggregate of consumers. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854, 4859 and 4865, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsection (b), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
Article 4. Standards for Supported Employment Programs
§58830. General Standards for Supported Employment Programs.
Note     •     History

(a) Supported Employment Program services consist of any combination of the allowable supports identified in the IPP and specified in the IHSP for a consumer as necessary to enable that consumer to perform integrated work for pay through a supported employment placement. 
(b) Allowable supported employment services may include any of the following: 
(1) Job development, as indicated in the IPP and the IHSP, and authorized by the regional center; 
(2) Program staff time for conducting job analysis of supported employment opportunities for a specific consumer; 
(3) Program staff time for the direct supervision or training of a consumer or consumers while they engage in integrated work unless other arrangements for consumer supervision, including, but not limited to, employer supervision reimbursed by the supported employment program, are approved by the regional center; 
(4) Community-based training in adaptive functional and social skills necessary to ensure job adjustment and retention; 
(5) Counseling with a consumer and or his or her family member or authorized representative to ensure support of a consumer in job adjustment; 
(6) Advocacy or intervention on behalf of a consumer to resolve problems affecting the consumer's work adjustment or retention; 
(7) Ongoing support services needed to ensure the consumer's retention of the job. 
(8) Services and supports following a job loss; 
(9) Job coach travel time for individual placement is billable as follows: 
(A) Job coach travel time from the vendor's headquarters to the first consumer's work site is billable to the first consumer. 
(B) The job coach travel time from the first consumer's worksite to the second consumer's worksite is billable to the second consumer. 
(C) Job coach travel time for all subsequent consumers is billed in the same fashion until the job coach arrives at the last consumer's worksite. Travel from last consumer's worksite back to the vendor's headquarters is not billable. 
(c) Supported Employment Program services shall be designated as either group services or individualized services. 
(d) Group services shall be limited to: 
(1) Job coaching provided at the worksite; 
(2) Employment placements at a job coach-to-consumer ratio of not less than one-to-four nor more than one-to-eight except for those groups that may be authorized by the passage of the Trailer Bill to the Budget Act Fiscal Year 2004-05 to grand-father specific groups at a one-to-three consumer to job coach ratio: 
(A) Services to a minimum of four consumers are funded by the regional center or the Department of Rehabilitation, and 
(B) Consumers unable to participate due to illness or injury for a period not exceeding six (6) months are replaced by other consumers temporarily, for the purpose of maintaining the program's minimum coach-to-consumer ratio. 
(C ) A newly approved group begins with a minimum of three (3) consumers and increased to four (4) within ninety (90) days of starting. 
(e) Individualized services: 
(1) May be provided on or off the jobsite; 
(2) Shall consist of job coaching and other supported employment services for regional center-funded consumers in a supported employment placement at a job coach-to-consumer ratio of one-to-one; 
(3) Shall decrease over time until stabilization in the employment is achieved. 
(f) Consumers in Supported Employment Programs receiving less than the minimum wage shall be paid according to productivity level on the basis of appropriately conducted productivity studies in compliance with Title 29, Part 525, of the Code of Federal Regulations; Section 1191.5 of the California Labor Code; and Sections 6 and 7 of the Industrial Welfare Commission Order No. 1, updated effective January 1, 2004.
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4851(j) and 4854, Welfare and Institutions Code. 
HISTORY

1. New article 4 (sections 58830-58834) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New article 4 (sections 58830-58834) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 4 (sections 58830-58834) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including new subsections (b)(8)-(b)(8)(C) and amendment of subsections (d)(2) and (f), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58831. Supported Employment Program Records Requirements.
Note     •     History

(a) In addition to meeting the requirements of Section 50604, all Supported Employment Programs shall maintain service records that accurately and adequately link the services billed to the IHSP of each consumer receiving services, including: 
(1) Consumer's name; 
(2) Job coach's name; 
(3) Date(s) of intervention; 
(4) Start and end times of intervention; 
(5) Purpose of intervention; 
(6) Location of intervention; and 
(7) Actions taken. 
(b) In addition to (a), Supported Employment Individual Services Programs shall regularly submit to the Department and the billing regional center a completed Supported Employment Individualized Services Consumer Monthly Report, DS 1972 (1/05), no later than the 15th day of the following month. The report shall include for each consumer served and the aggregate calculation of the: 
(1) Name of the consumer; 
(2) Wages earned by each consumer and the average for the aggregate; 
(3) Hours worked by each consumer and the average for the aggregate; 
(4) Hours of intervention for each consumer and the average for the aggregate; and 
(5) Percentage of intervention for each consumer and the average for the aggregate. 
(c) In addition to (a), Supported Employment Group Services Programs shall: 
(1) Maintain records documenting: 
(A) Occurrences or behaviors by a consumer that impede the progress of the group or the individual consumer; and 
(B) Any unusual circumstances or events that impact the stability of the group and/or individual consumer. 
(2) Regularly submit to the Department, the billing regional center and DOR (when one (1) or more consumers are in the Vocational Rehabilitation program and payment is required) a completed Supported Employment Group Services Consumer Monthly Report, DS 1964 (1/05), no later than the 15th day of the following month. The report shall include the following information: 
(A) Employer name and location; 
(B) Supported Employment Program name and vendor number;
(C) Group ID number; 
(D) Name(s) of the job coach(es); 
(E) Date(s) of service; 
(F) Time in 15 minute increments of each consumer's workday, including lunch break; 
(G) Hourly wages (reported each July and January) earned by each consumer; 
(H) Monthly hours worked by each consumer;
(I) Monthly Report preparer's name; 
(J) Each consumer productivity level; 
(K) Indication of regional center authorization for each of the following: 
1. meal time supervision; and 
2. staggered start and stop time. 
(L) Consumer Name; 
(M) UCI Number; and 
(N) Authorization Number. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854, 4859 and 4865, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58832. Supported Employment Group Formation and Change Requirements.
Note     •     History

(a) Supported Employment Programs offering group services may request permission to form new groups through submission to the Department of a completed Request for New SEP Groups, Form DS1962 (1/05), 
(b) The Department shall, in consultation with the vendoring regional center, approve or disapprove the formation of new groups based upon consideration of the following factors: 
(1) Number of consumers; 
(2) Ratio of consumers to job coaches; 
(3) Wages paid to consumers; and 
(4) Necessity for staggered hours attributable to medical and transportation needs as identified in the consumer's IPP, job requirements as established by the employer, availability of transportation in the geographic location. 
(c) Supported Employment Programs offering group services may request permission to change existing groups through submission to the Department and the vendoring regional center of a completed Notification of SEP Group Changes, Form DS 1963 (1/05). The following changes may be requested: 
(1) Increase or decrease in work hours or work days; 
(2) Implementation of or alteration to a staggered work schedule; and 
(3) Termination of group and transfer of consumers to another Supported Employment Program. 
(d) The Department and the regional center shall approve any proposed change to an existing program prior to implementation of the change by the Supported Employment Program. 
NOTE

Authority cited: Section 11152, Government Code; Section 4866, Welfare and Institutions Code. Reference: Sections 4854, 4860 and 4861, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (a) and (c), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58833. Temporary Transfers Between Work Activity and Supported Employment Programs.
Note     •     History

The regional center shall approve the temporary transfer of a consumer between a Supported Employment -- Group Placement Program and a Work Activity Center, pursuant to the following: 
(a) A finding by the consumer's IPP team of a prospective need for a temporary transfer, manifested in a written preauthorization for the transfer specifying the following: 
(1) The criteria upon which the temporary transfer is preconditioned; 
(2) The maximum number of days of the temporary transfer, not to exceed sixty (60) days; and 
(3) Conditions, other than those specified in (c), under which an extension of the temporary transfer is to be granted, not to exceed thirty (30) days. 
(b) Emergency authorization of a temporary transfer pursuant to Title 17, Section 50612. 
(c) The regional center may grant an extension of a temporary transfer of up to thirty (30) days when not specified in accordance with (a)(3), provided one or more of the following adverse circumstances occurs: 
(1) Temporary shutdown of the employer's operations due to good cause; 
(2) Adverse weather conditions; 
(3) Natural disasters. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854.1, 4857, 4860(b) and 4862(c)(1)(2), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
§58834. Additional Requirements for Supported Employment Programs.
Note     •     History

(a) Regional centers shall approve job coaching for consumer supervision during the meal period when previously approved by the Department of Rehabilitation or when specified in the consumer's IPP. 
(b) Supported employment services above the stabilization level specified in the consumer's IPP shall be allowable as necessary, consistent with the determination of the consumer's IPP team, when: 
(1) The consumer is learning new job skills or increasing his or her job responsibilities; 
(2) There is a change in employer management; 
(3) The consumer is experiencing a personal crisis. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854 and 4854.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
Article 5. Coordination of Services With the Department of Rehabilitation
§58840. Referrals to the Department of Rehabilitation.
Note     •     History

(a) Work Activity Programs shall at least once annually assess the service needs of each consumer served by the program to identify any consumers for whom vocational rehabilitation program services provided by the Department of Rehabilitation would be appropriate, provided the program shall inform the regional center at any time when a consumer expresses an interest in securing employment outside the Work Activity Program, or presents as an appropriate candidate for referral to the Department of Rehabilitation. 
(1) The Work Activity Program shall inform the regional center whenever a consumer is identified as a candidate for vocational rehabilitation program services pursuant to this section, within thirty (30) days of the assessment or identification; 
(2) Upon being informed of the need for services for any consumer, the regional center shall collaborate with the Work Activity Program to address the finding of need for vocational rehabilitation program services through the consumer's IPP process. 
(3) Upon confirmation of the need for vocational rehabilitation program services through the consumer's IPP process, the regional center shall refer the consumer to the Department of Rehabilitation for the needed vocational rehabilitation program services, using Vocational Rehabilitation Referral, Form DS 1968 (4/04) to effect the referral. 
(b) The regional center shall refer a consumer to the Department of Rehabilitation when: 
(1) The consumer has no current job, and requests a job while meeting Department of Rehabilitation eligibility requirements for Vocational Rehabilitation Services, or:
(2) The consumer has a job, where ongoing job coach funding is provided by the regional center and he/she requests an additional job where DOR will provide funding of services for the new job. DOR VR program does not provide ongoing support for a consumer in a job after the consumer has stabilized. DOR would provide services for the new job only.
NOTE

Authority: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854.1, 4856(a), 4857 and 4858, Welfare and Institutions Code. 
HISTORY

1. New article 5 (sections 58840-58842) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New article 5 (sections 58840-58842) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 5 (sections 58840-58842) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (b)-(b)(2) and repealer of subsection (b)(3), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58841. Transition to Habilitation Services Upon Achievement of Stabilization.
Note     •     History

(a) The regional center shall maintain communication with the Department of Rehabilitation to monitor the progress of any consumer referred by the regional center to the Department of Rehabilitation pursuant to Section 58840. 
(b) When a consumer receiving supported employment services from the Department of Rehabilitation achieves stabilization, the regional center shall assure that consumer's timely transition from vocational rehabilitation intensive services to regional center-funded extended services, in accordance with the following requirements: 
(1) Upon receiving notification from the Department of Rehabilitation that the consumer receiving supported employment intensive services has reached stabilization, the regional center shall implement the consumer's IPP determinations for Habilitation Service. Based upon the notification received from the Department of Rehabilitation, the planning team shall verify that: 
(A) The consumer has performed the job satisfactorily for a minimum of sixty (60) days or longer; 
(B) The consumer's job is expected to be stable and to continue; and 
(C) The percentage of job coaching intervention for individual services meets the following criteria: no more than 20 percent for at least sixty (60) days; no more than 25 percent for at least ninety (90) days; no more than 30 percent for at least 120 days; 
(2) Regional center funding for the consumer's extended services shall begin on the first billing day of the month following the regional center's approval of services, or according to a start time agreed upon by the IPP team in coordination with the Department of Rehabilitation. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854.1 and 4857, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
§58842. Denial of Services Pursuant to Order of Selection Criteria.
Note     •     History

Whenever the Department of Rehabilitation is unable to provide vocational rehabilitation services to all eligible applicants and invokes order of selection criteria to set priorities for accepting applicants, the regional center shall, as directed by the Department, provide on behalf of consumers denied services pursuant to the order of selection: 
(a) Intensive services job coaching until stabilization is achieved; and 
(b) Supported Employment Intake, Supported Employment Retention, and Supported Employment Placement fees. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854.1, 4856(a), 4857 and 4858, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
Article 6. Quality Assurance Monitoring and Corrective Actions for Habilitation Services Programs
§58850. Monitoring and Evaluation of Habilitation Program Services.
Note     •     History

(a) The Department and the vendoring regional center shall have the authority and responsibility for monitoring and evaluating Habilitation Services Programs for: 
(1) Service quality. 
(2) Protections as specified in Section 50510 of these regulations and the CARF standards for consumers receiving services. 
(3) Verify ongoing CARF accreditation. 
(b) The Department and the vendoring regional center shall coordinate the following monitoring and evaluation activities as may from time to time be necessary to avoid duplication or incompatibility of effort, and to achieve the most efficient and effective employment of staff resources in the implementation of this section: 
(1) Review the initial and subsequent annual Individual Habilitation Service Plan prepared by the Habilitation Services Program for all consumers served by the program; 
(2) Review each program's CARF accreditation report, upon initial accreditation and renewal, as appropriate; and 
(3) Review for each Work Activity Program the information, as compiled by the Department, the amount of time consumers engaged in paid work as a percentage of the total time that the aggregate of consumers in the program received services over a selected period of six (6) months. 
(c) The activities specified in (a) shall be undertaken at a frequency and in a manner to be determined by the Department and the vendoring regional center, provided that these reviews shall occur not less frequently than would achieve synchronization with the program's CARF accreditation renewal cycle. 
(d) As necessary for the implementation of this section, all Habilitation Services Programs shall: 
(1) Maintain and make available for inspection and review by the Department and the regional center, as appropriate, all records, reports, documents, and facilities related to the delivery of services to consumers; and 
(2) Provide the Department and the vendoring regional center, as appropriate, direct access to program administrators, supervisors, and staff. 
(e) In the event the Department and the vendoring regional center disagree upon a course of action pursuant to the monitoring and evaluating responsibilities of this section, the Department's position shall prevail. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Section 4856, Welfare and Institutions Code. 
HISTORY

1. New article 6 (sections 58850-58851) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New article 6 (sections 58850-58851) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 6 (sections 58850-58851) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (a)(2)-(3), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58851. Noncompliance Sanctions and Corrective Action Plans.
Note     •     History

(a) Habilitation Services Programs determined by the Department and the vendoring regional center consequent to the monitoring and quality assurance activities specified in Section 58850, to be out of compliance with any relevant service provider requirement in this Subchapter, shall be subject to immediate sanctions proportional to the noncompliance condition(s). 
(b) A finding of failure on the part of a Habilitation Services Program to comply with relevant service provider requirements shall require the development of a corrective action plan within thirty (30) days of notification by the Department or regional center of noncompliance, provided the sanction imposed is not termination of vendorization. 
(c) The appropriate sanction(s) shall be selected from the following: 
(1) A moratorium on new referrals. 
(A) This sanction shall apply only in cases where consumers are not subject to, or at imminent risk of, abuse or other harm. 
(B) The moratorium shall trigger development and implementation of a corrective action plan, and shall be rescinded only when the conditions that led to the moratorium have been corrected in accordance with the corrective action plan. 
(2) Imposition of a corrective plan. 
(A) A corrective action plan may be imposed in conjunction with a moratorium on new referrals, or as the sole sanction when a moratorium on referrals has not been imposed. 
(B) The program shall develop a corrective action plan within thirty (30) days of notification by the Department or regional center of noncompliance, provided the sanction imposed does not include termination of vendorization. 
(C) The corrective action plan shall be subject to Department or regional center approval. 
(D) Failure of the Habilitation Services Program to comply with the conditions and timelines of the corrective action plan shall result in termination of vendorization, pursuant to Title 17, Section 54370. 
(3) Removal of consumers from the habilitation services program.
(A) Removal of consumers shall be required only when dangerous or abusive conditions are present, or upon termination of vendorization. 
(B) Upon correction by the Habilitation Services Program of the conditions found by the Department or the regional center to have threatened the health and safety of consumers, as determined by the Department or the regional center, consumers removed from the program may, at their option, return to the program or receive services from an alternate program. 
(4) Termination of vendorization. 
(d) A Habilitation Services Program sanctioned under subparagraph (A) of paragraph (3) of subdivision (c) may request an administrative review, pursuant to Welfare and Institutions Code, Section 4648.1. 
(e) A Habilitation Services Program sanctioned under paragraph (4) of subdivision (c) shall have a right to a formal review by the Office of Administrative Hearings under Chapter 4 (commencing with Section 11370) of Part 1 of Division 3 of Title 2 of the Government Code. 
(f) Any habilitation services program that has been sanctioned pursuant to former Title 9, Section 19354.5, the provider shall complete the requirements of the corrective action plan or any other terms or conditions imposed upon it as part of the sanctions. At the end of the term of the corrective action plan or other compliance requirements, the services provider shall be evaluated by the regional center and/or Department in light of the standards and requirements established for Habilitation Services Programs in this Subchapter. 
(g) The Department and vendoring regional center(s) shall notify DOR if sanctions are being considered. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4856 and 4648.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (c) and (c)(3) and new subsection (g), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
Article 7. Work Activity Program Ratesetting Procedures
§58860. General Provisions.
Note     •     History

(a) The rates shall be based on the allowable costs inclusive of allowable staff time costs associated with the Work Activity Programs only and shall not include expenses for other programs such as Activity Centers, residential programs, camps, or transportation to and from the consumer's home. Staff cost will be determined by a semi-annual two-week time study. 
(b) The Department shall establish rates which reflect the reasonable cost of both an overall habilitation service and each specific allowable service, activity, or administrative cost comprising that overall service. Direct costs related to services, provided in the areas of shipping/receiving, or business operations, such as stores, shall not be included in the computation of the Habilitation Service cost, but rates paid for consumers receiving services in these areas shall be based on the costs and consumer attendance of the primary work activity operation. 
(c) For new Work Activity Programs, which have insufficient historical fiscal and consumer data, rates shall be set according to Section 4861 of the Welfare and Institutions Code. 
(d) When an established habilitation service provider who has a historical period of costs for Work Activity Program services corresponding to that of service providers already vendorized requests a new vendorization, the Department shall: 
(1) Base the rate on all allowable historical period costs relating to all cost centers, except those for other vendorized programs, and on the total attendance of all consumers served through those cost centers in the historical period, since the service provider cannot have served Habilitation consumers in the historical period; and 
(2) Determine if the computed rate is comparable (within one standard deviation of the mean) to those of service providers already vendorized that are similar in size, area, and consumer services. 
(e) Reasonable cost shall not be based on actual cost during a payment year, but on actual allowable costs in a historical period. The principle of reasonable cost, as distinct from actual cost, shall be based on the cost containment methods specified in Sections 58871. 
(f) The policies and procedures the Department employs to establish rates shall be equitable. The Department shall require all vendors to submit the same type of cost statement data in the same form. 
(g) The Department shall apply all of the ratesetting policies and procedures specified in these regulations in the same manner. 
(h) The Cost Statement shall be used by the Department as a basis for establishing rates so that expenses for all services for which the vendor bills the regional center are reported separately for each service. 
(i) The Department shall not reduce the rate of payment resulting from income, as defined in Section 58801(e)(34), received by vendors. 
(j) The rate for Work Activity Program services shall be the sole rate paid for such services and shall not be paid if any other fee is paid by any government or private entity other than the regional center for a consumer for such Work Activity Program services. 
(k) The historical rate for Work Activity Program services shall be based on allowable administrative, production, and service costs divided by the actual habilitation and vocational rehabilitation services consumer attendance during the historical period as reported on the Cost Statement required in Section 58870. 
(1) Allowable costs include: 
(A) Administrative -- costs allocated to service programs based on the percentage of indirect costs of each program. 
(B) Production -- all indirect production costs are allowable to the extent that consumers are not working to the industry's production level. (Net of consumer productivity). 
(C) Service -- all indirect service costs are allowed up to the amount allocated to Work Activity Program (WAP). 
(l) This historical rate shall then be adjusted by any State approved COLA(s) to arrive at a daily or hourly rate. The amount of the COLA(s) shall depend directly upon the accounting fiscal year that is the historical period for the service provider (e.g., if the accounting fiscal year of the service provider begins two years prior to the payment year, a two-year COLA shall be added to the rate resulting from the historical period data). 
(m) Days or hours billed during the historical period by the Work Activity Program and paid by the regional center, Department of Rehabilitation, and any other entity shall be considered to be days or hours of attendance for purposes of rate setting. 
(n) Because the Legislature has expressed its intent that the Department assures service quality the ratesetting procedure shall seek to maintain an adequate level of habilitation services. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859, 4861(b) and 4863, Welfare and Institutions Code. 
HISTORY

1. New article 7 (sections 58860-58864) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New article 7 (sections 58860-58864) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 7 (sections 58860-58864) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58861. General Ratesetting Requirements for Work Activity Programs.
Note     •     History

(a) Work Activity Programs requesting or receiving reimbursement from the regional center for the provision of Work Activity Program services shall submit all fiscal and consumer data as required by these regulations, to the Department and a copy to the vendoring regional center. Such data shall serve as the basis for setting rates, and is subject to audit. Failure to comply with the Department' s data submission policies shall result in a delay in processing of the current payment year invoices of that Work Activity Program. 
(b) All vendors and Management Organizations shall use the instructions and procedures for reporting Cost Statement data detailed in this Subchapter. The data reported for the Management Organization shall then be allocated to the vendor(s) on a cost basis. 
(c) Vendors that are part of a school, hospital, or any city or county operation may report only the data for the Work Activity Program. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4860, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58862. Reporting Period for Submission of Information.
Note     •     History

(a) For Fiscal Year 2006-07, and each alternate fiscal year thereafter, rates are based on the costs for the vendor's fiscal year of two (2) years prior. 
(b) To aid in the vendors' preparation and the Department's desk audit and the Department's and/or regional center's field audit of Cost Statements, vendors shall use as a historical period their most recently completed fiscal year as the basis for reporting Cost Statement data. The historical period shall not end later than the last day of March preceding the payment year. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
§58863. Required Due Dates for Submission of Information.
Note     •     History

(a) Beginning September 30, 2005, the Cost Statement data and year-end financial statements, audited or un-audited, and any reconciliation shall be submitted to the Department and a copy to the vendoring regional center three months after the end of the vendors' fiscal year but no later than May 31, 2006 and no later than each alternate May 31st thereafter. This establishes the cost statement due date.  
(b) An independent audit or review report of the historical period shall be submitted to the Department and a copy to the vendoring regional center within three months of the cost statement due date. Schools, hospitals and public agencies are exempt from this requirement. 
(c) The Department may extend deadlines for submission of cost statements and audits or review reports if such extensions may be accommodated by the Department. 
(d) The vendor shall request extensions at least two weeks prior to the due date set by the Department. 
(e) Failure to submit the cost statement on required forms and audits or review reports, on time, shall result in Departmental action pursuant to California Code of Regulations, Section 58861(a). 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (a)-(b), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58864. Required Cost Statement Information.
Note     •     History

(a) The vendor shall report the following in the form and time period required by the Department utilizing the DS 1950 (3/2005), Work Activity Program Cost Statement and instructions incorporated in these regulations by reference, including Tab A (Staff Survey Report), Tab B (Space Utilization Report), Tab C (Revenue Statement), Tab D (Expense Statement), Tab E (Other Expense Statement), Tab F (Revenue and Expense Statement Reconciliation), Tab G (Consumer Survey Report), Tab H (Rate Computation Sheet), Tab I (General Information/Certification), Tab J (Allocation Guidelines), Tab K (Facility Questionnaire), Tab L (Adjustments): 
(1) All revenue and expenses biennially; 
(2) Actual attendance of all consumers and non-consumer production workers, and productivity rates of all habilitation and vocational rehabilitation consumers biennially; and 
(3) Any request for rate adjustment. 
(b) For each of the forms listed below the specified objective and required documentation which must be retained for review and audit are as follows: 
(1) Staff Survey Report, Form DS 1950 (3/05), Tab A, 
(A) Objective: To report staff salaries and wages and allocate them to the appropriate cost centers 
(B) Required Documentation: 
1. Payroll records, including W-2s, quarterly payroll tax returns, and canceled checks. 
2. Time studies used as the basis for allocating salaries and wages; 
(2) Space Utilization Report, Form DS 1950 (3/05), Tab B; 
(A) Objective: To report, by cost center, the use of buildings owned or leased by the facility for use in allocating costs related to the building; 
(B) Required Documentation: The floor plan identifying size and area; 
(3) Revenue Statement, Form DS 1950 (3/05), Tab C; 
(A) Objective: To report all revenue (cash and in-kind) received by the service provider; 
(B) Required Documentation: All revenue records; 
(4) Expense Statement, Form DS 1950 (3/05), Tab D; 
(A) Objective: To report all expenses incurred by the facility. 
(B) Required Documentation: All expense records, including ledgers, journals, invoices, and canceled checks, depreciation records, records of the basis for allocating all expenses. 
(5) Revenue and Expenses Statement Reconciliation, Form DS 1950 (3/05), Tab F; 
(A) Objective: To reconcile the year-end financial statements with the Revenue and Expense Statements (Forms DS 1950 (3/05), Tab C and DS 1950 (3/05), Tab D to ensure accuracy. 
(B) Required Documentation: Year-end financial statements (audited or unaudited), annual reviews or independent audit reports, including management letters from independent auditors; 
(6) Consumer Survey Report, Form DS 1950 (3/05), Tab G; 
(A) Objectives: (i) To provide a basis for allocating work activity program costs based upon consumer and worker participation and HSP consumer productivity. (ii) To provide a basis for determining the unit cost for HSP consumers. 
(B) Required Documentation: Consumer attendance records (should be summarized monthly), consumer payroll records, records of individual consumer productivity rates, consumer productivity rate calculations (should be summarized monthly), workdays or work hours for non-consumer production workers (should be summarized monthly); 
(7) Rate Computation Sheet, Form DS 1950 (3/05), Tab H, 
(A) Objective: To calculate daily or hourly rates for Work Activity Programs; 
(8) General Information/Certification, Form DS 1950 (3/05), Tab I. 
(A) Objective: This form is required and shall be completed after the ratesetting forms are completed. To provide an overview of the organization and to obtain assurance from the directors of the facilities that, to the best of their knowledge, all of the data submitted for the setting of the rate is accurate. 
(c) The vendor shall consistently use the same headings or titles for services or programs on all reporting forms required by the Department. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Section 4859(a), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
Article 8. Ratesetting Methodology for Work Activity Programs
§58870. General Provisions.
Note     •     History

(a) Work Activity Program rates shall be established, as applicable, according to the following sequence: 
(1) Applying, as appropriate, all cost containment policies in accordance with Section 58871. 
(2) Setting of the historical rate from Cost Statement; Work Activity Program Cost Statement, DS 1950 (3/05), Tab A (Staff Survey Report); Tab B (Space Utilization Report),Tab C (Revenue Statement); Tab D (Expense Statement); Tab E (Other Expense Statement); Tab G (Consumer Survey Report); and Tab H (Rate Computation Sheet); 
(3) Computing the base rate.; 
(4) As appropriate, reducing the rate in accordance with the maximum daily rate policy specified in Section 58873. 
(5) Adjusting the rate, as appropriate, in accordance with policies on rate adjustments specified in Section 58876. 
(b) If vendor operations during the historical period are dependent upon grant funds which will terminate before the payment year for which the rate is being set, the Department shall not apply such grant funds as a recovery in its computation of the rate. 
(c) When a vendor dependent on grant funds has not been in operation long enough to establish a historical period, the daily rate shall be the statewide average rate. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859, 4860 and 4866, Welfare and Institutions Code. 
HISTORY

1. New article 8 (sections 58870-58879) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New article 8 (sections 58870-58879) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 8 (sections 58870-58879) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (a)(1)-(2) and (a)(5), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58871. Cost Containment Policies.
Note     •     History

(a) All cost containment policies shall be applied to historical period costs. 
(b) Administrative costs of a Work Activity Program shall be determined by the Department to be excessive when, as a percentage of the total gross cost of the Work Activity Program in the historical period, such costs exceed the maximum of 32.12%. The procedure to determine administrative costs is: 
(1) To determine the percentage of administrative cost to total gross cost of each Work Activity Program, the Department shall divide the gross administrative cost applicable to the Work Activity Program by the total gross cost of the Work Activity Program. 
(2) If a Work Activity Program's administrative cost percentage exceeds the maximum allowable percentage, the Department shall reduce the administrative cost to the maximum level. 
(3) The only exception to the above policy is that a service provider's cost of administration of the Work Activity Program shall not be reduced below the minimum cost necessary to support the salaries and overhead for the basic core administrative staff which is defined as the director, clerical, and fiscal support staff. 
(c) Retirement plan expenses costs shall be contained as follows: 
(1) The Department shall allow as an expense FICA contributions actually incurred during the historical period as described in (2) and (3) below. In addition, the contribution made by the employer to a qualified plan shall be allowed subject to the exceptions, conditions, and limitations contained herein. 
(A) As used in this section, “Qualified Plan” means a pension, retirement, or other similar deferred compensation plan that has been approved, certified, and is legal as required by federal and state laws, regulations, and case law. 
(B) As used in this section, “FICA Rate” means the employer's portion of the FICA contribution rate expressed as a percent of gross wages. The rate used shall be the rate in effect during the historical period. 
(2) If the employee was covered by FICA during the historical period, the allowed percentage for the employer contributions to a qualified plan shall be five percent (5%). 
(3) If the employee was not covered by FICA during the historical period, the allowed percentage shall be the sum of the FICA rate plus five percent (5%). 
(4) The total allowable expense of this section shall not exceed the amount defined by either (2) or (3) above. 
(5) Notwithstanding any other provision of this section, the maximum allowance for employer contributions to a qualified plan shall not exceed the lesser of either: 
(A) The required employer contribution as determined by the trustee of the qualified plan; or 
(B) The contribution required to keep the plan actuarially sound. 
(6) To determine the percentage allowed for retirement plans, the Department shall divide the total amount reported for indirect expenses for retirement by the total amount reported for staff salaries. 
(7) If the percentage is less than or equal to the allowed percentage, no adjustment shall be made. 
(8) If the percentage is more than the allowed percentage, the expense applicable to the excess percentage not allowed shall be deducted from the amount reported for retirement on a prorated basis from each cost center. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of section heading and section, renumbering and amendment of former section 58872 to section 58871(c)-(c)(8) and amendment of Note, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58872. Program Expansion Policy and Procedure.
Note     •     History

(a) Through its ratesetting procedure, the Department shall allow increased costs incurred in the historical period for program expansion only if such costs for expansion were approved by the Department, in writing, prior to the expenditure. This policy shall apply only to major line items (related to staff, occupancy, and equipment) and shall not apply to any costs incurred by a Work Activity Program prior to the date of the filing of these regulations. 
(b) Work Activity Programs shall adhere to the following procedure to submit costs related to program expansion: 
(1) A Work Activity Program planning to incur increased costs for program expansion which are likely to exceed the Consumer Price Index (CPI) percent increase as reported in California Abstract for “all items”, shall submit a written request for approval of those costs to the Department. The request shall include all applicable information as required for vendorization as a new service provider. 
(2) In consultation with the regional center and the Department of Rehabilitation, the Department shall review and evaluate the request. 
(3) The Department shall apply criteria as they are relevant to the pertinent policies and procedures relating to: local needs assessment, service capacity, standards, and evaluation of all alternative options to meet the identified need that apply to the vendorization of new service providers. 
(4) The Department shall submit a written response to the director of the Work Activity Program within 45 days of the receipt of the request. The response shall specify the rationale applied for approval (in full or in part) or for denial of the request. 
(5) If the request is approved, the director of the Work Activity Program shall include a copy of the written letter of approval with the Cost Statement for the historical period in which those costs were incurred. 
(6) If the letter of approval does not accompany the Cost Statement, the Department, during the desk audit, shall compare current Cost Statement expense line items to those of the prior year. If increases have occurred above the CPI, the Department shall require the Work Activity Program to provide an explanation of the increased costs. If the increases were due to disapproved program expansion, the costs shall be disallowed in the computation of the rate. 
NOTE

Authority: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including renumbering of former section 58872 to section 58871(c)-(c)(8) and new section, transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58873. Maximum Daily Rate.
Note     •     History

(a) The Department shall, biennially, set the maximum daily rate for Work Activity Program services. 
(b) The Department shall set three (3) maximums, dependent on the total number of consumers served in the Work Activity Program during the historical period. 
(c) The maximums shall be established biennially based on the Cost Statements submitted and received by the Department, in a form permitting such determination, by June 1 preceding the payment year for which they are submitted. 
(d) For each vendor submitting a Cost Statement meeting the time constraints stated in (c) above, the Department shall calculate the gross rate. 
(e) The Department shall group the above gross rates based on the number of all consumers served in the Work Activity Program during the historical period covered by the Cost Statements. The vendor groupings are as follows: 
(1) Small vendors: 0 - 30 consumers; 
(2) Medium vendors: 31 - 100 consumers; 
(3) Large vendors: 101 or more consumers. 
(f) For each grouping of gross rates calculated, the Department shall compute the mean (average) and standard deviation for that grouping. 
(g) The mean plus one standard deviation shall be the maximum allowable rate for each grouping for the payment year. 
(h) If a vendor's rate exceeds the maximum established for its number of consumers, following application of any other cost containment measures in Sections 58871 through 58872, the rate shall be reduced to the maximum for that grouping. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
§58874. Reporting Requirements.
Note     •     History

(a) To receive a rate based on allowable cost, in accordance with these regulations, a vendor shall establish a historical period. In the case of new vendors meeting all other criteria for vendorization, the historical period need not extend a full year, but it shall occupy at least three months ending no later than March 31 preceding the payment year for which the Work Activity Program's rate is being established. That historical period shall be representative of the vendor's ongoing operating costs excluding start-up costs. 
(b) The vendor shall submit, as required by the Department, a completed Cost Statement for the historical period in accordance with the principles, policies, procedures, and instructions specified in Section 58864. Using representative cost and consumer data in the Cost Statement, the Department shall apply the policies and procedures in these regulations to establish the rate for the upcoming payment year. If service provider operations during the historical period are dependent upon establishment grant funds which will terminate before the payment year for which the rate is being set, the Department shall not apply such grant funds as a recovery in its computation of the rate. 
(c) If the Department determines that the minimum required historical period is not sufficiently representative of cost and consumer data as the basis for establishing the rate, the policy set forth in Section 58860(c) shall be in effect. To be sufficiently representative, the historical period shall not contain costs that are essentially start-up costs (security deposits, moving expenses, etc.), and the consumer attendance during the historical period shall reasonably approximate the caseload level that had been anticipated in the service provider's request -for vendorization. 
(d) Expenses for other programs not provided as part of the Work Activity Program shall be reported separately from the expenses of Work Activity Program services. However, such expenses may be consolidated under one cost center unless a portion of those expenses are allowable Work Activity Program expenses. 
(e) An independent review of financial statements performed by an accountant may be submitted instead of an independent audit and shall cover at a minimum the following: 
(1) An inquiry as to the vendor's accounting principles and practices and methods used in applying them; 
(2) An inquiry as to the vendor's procedures for recording, classifying, and summarizing transactions and accumulating information; 
(3) Analytical procedures designed to identify relationships or items that appear to be unusual; 
(4) An inquiry about budgetary actions taken at meetings of board of directors or other comparable meetings; 
(5) An inquiry about whether the financial statements have been properly prepared in conformity with Generally Accepted Accounting Principles and whether any events subsequent to the date of the financial statements would have a material effect on the statements under review; 
(6) Working papers prepared in connection with a review of financial statements describing the items covered as well as any unusual items, including their disposition. 
(f) An independent review report shall accompany the financial statements reviewed by an accountant and shall cover the following points: 
(1) A review was performed in accordance with standards established by the American Institute of Certified Public Accountants; 
(2) The statements are representations of management; 
(3) The review consisted of inquiries and analytical procedures that are less in scope than those of an audit; thus, no opinion is expressed regarding the financial statements as a whole; 
(4) The accountant is not aware of any material modifications that need to be made to the statements for them to be in conformity with Generally Accepted Accounting Principles. 
(g) If there are material changes as the result of the independent review or independent audit report, the vendor shall revise the Cost Statement to reconcile with the review or audit and resubmit them. The Department shall revise the rate accordingly. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (b)-(c), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58875. Non-Allowable Costs.
Note     •     History

(a) The historical period shall not contain costs that are start-up costs, such as security deposits, moving expenses. 
(b) The value of private donations or grants for rent, goods, services, assets, or staff shall not be reported either as an indirect expense or a recovery. The value of private donations shall be reported as income, the expense for which the donation was used shall be reported as a direct expense, when applicable, or as an item on the Work Activity Program Cost Statement -- Revenue and Expenses Statement Reconciliation, Form DS 1950 (3/05) Tab F. 
(c) The following expenses shall not be allowable for the purposes of establishing a historical rate: 
(1) Bad debts of vendors; 
(2) Bad debts to vendors; 
(3) Donations from vendors to other parties; 
(4) Sales discounts to other parties; 
(5) Theft of materials, products, or assets; 
(6) Federal and State tax penalties and interest; 
(7) Breakage and spoilage of materials and products used in production only; 
(8) Consumer stipends; 
(9) Insurance to protect against ratesetting or funding decisions made by the Department; 
(10) Losses from food service programs; 
(11) Losses from sales of fixed assets; 
(12) Other losses from business transactions or operations; 
(13) Legal fees resulting from suits against the department or regional centers; 
(14) All expenses related to the following in Work Activity Programs: 
(A) Medical, psychological, and/or nursing services; 
(B) Physical and/or occupational therapy services; 
(C) Diagnostic laboratory or x-ray services; 
(D) Dietary services; 
(E) Pharmacy services; 
(F) Speech pathology services; 
(G) Audiological services; 
(H) Prosthetics and/or orthotics fitting; 
(I) Dentistry services; 
(J) Optometric services; 
(K) Camps, field trips, recreational or social activities; 
(L) Expenses for payment to holding companies for items such as occupancy, equipment, and vehicles that exceed the expense that would have been incurred by the vendor if the holding company did not exist. 
(d) It is not necessary to allocate unallowable expenses. These shall be reconciling items between the Expense Statement, Form DS 1950 (3/05) Tab D and the Revenue and Expense Statement Reconciliation, Form DS 1950 (3/05) Tab F. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (b), (c)(8) and (d), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58876. Rate Adjustment and Rate Revision Provisions.
Note     •     History

(a) The Department shall adjust base rates following the addition of any State-approved COLA's except as provided in Section 58876(g)(7) and 58876(p). 
(b) The Department shall make rate adjustments only before the payment year begins and make them effective July 1 of the payment year, except in cases of occupancy adjustments due to disasters such as earthquakes, floods, and fires pursuant to Section 58877. 
(c) If the basis for the adjustment will not take effect until after the beginning of the payment year, the Department shall prorate the adjustment over the entire payment year effective July 1. 
(d) In all cases the vendor shall actually incur the cost to be eligible for a rate adjustment. 
(e) Documentation submitted by a vendor as the basis for an adjustment shall be subject to Departmental review and Departmental and/or regional center audit, as well as to all policies and procedures pertaining to such reviews and audits. 
(f) No rate adjustment shall result in a rate exceeding the approved maximum daily rate for the vendor based on vendor grouping pursuant to section 58873(a) through (h). 
(g) The Department shall take into account, as a basis for a rate adjustment, increases in occupancy cost (limited to rent, lease, mortgage interest, and building depreciation) from the historical period to the payment period, only if all of the following apply: 
(1) The increase in rent, lease, mortgage interest, and/or building depreciation for the payment year exceeds the corresponding cost(s) in the historical period; 
(2) The increased cost: 
(A) Resulted in needed and more normalized or improved services to consumers and was approved in writing by the Department before it was incurred; or 
(B) Was unavoidable, such as loss of lease or disaster, and the replacement vendor site, or portion thereof, was obtained at a cost consistent with the average cost paid for buildings in the area; or 
(3) The vendor submits the request for adjustment in writing prior to July 1 of the payment year, except in cases of disasters such as earthquakes, floods, and fires, and in the form required by the Department; 
(4) The vendor shall complete a Request for Rate Adjustment B Occupancy on a form specified by the Department and submit it to the Department with a copy to the vendoring regional center prior to July 1 of the payment year for which the adjustment is being requested, except in the case of disaster when the form shall be submitted before new occupancy commitments are made; 
(5) If the cost increase meets all of the requirements specified in (g)(1) through (3) above, the Department shall deduct that amount from the historical period cost, and use the difference to compute the rate adjustment; 
(6) If space utilization differs from that of the historical period, the vendor shall submit a Space Utilization Report, Form DS 1950 (3/05) Tab B, as a basis for distribution of the increased costs. If there is no change, the costs shall be distributed as in the historical period; 
(7) The Department shall use all historical consumer data to calculate the adjustment for the payment year. However, because costs are payment year costs, no COLA increases shall be applied in the year of the adjustment. 
(h) The Department shall make rate adjustments for staffing for the following reasons: 
(1) If a vendor's Work Activity Program staff-to-consumer ratio in the historical period falls below the staffing level as defined here and the vendor elects to hire staff to attain this staffing level; 
(A) The staffing level the Department will use as a basis for rate adjustments shall be applied to all consumers and staff in the combined programs offered by the Work Activity Program and is as follows: 
(i) For direct service staff, three staff positions for the first ten consumers, and one additional staff position for each additional ten consumers; 
(ii) These positions include the executive director, rehabilitation counselor, and all staff positions whose function is primarily to provide direct service to consumers including, but not limited to, supervision, training, and education; 
(iii) The position(s) of executive director and/or rehabilitation counselor may be combined; 
(B) For administrative support staff, one staff position to provide clerical support and one staff position to provide fiscal support. 
(i) If the functions of the administrative support staff above are included in the duties of staff defined as service delivery staff, the position(s) shall be calculated on a pro rata basis between direct service and administrative support; 
(ii) If the vendor's Work Activity Program staffing level is not maintained following payment of a rate adjustment for that purpose, no future adjustments shall be approved for this reason; and/or 
(iii) If the vendor incurs a loss of subsidized staff, from the historical period, causing the staff-to-consumer ratio to fall below the staffing level above, and hires or retains staff to attain or maintain this staffing level; 
(iv) If the vendor cannot confirm the loss of subsidized staff prior to the deadline for submission of a request for rate adjustment, the vendor shall obtain information from the source of subsidy, and on the basis of that information, submit a request if there is likelihood that substantial subsidy will be lost. 
(i) The adjustment, if approved, shall be based on the information as known, and if the subsidy is not reduced, the adjustment, in full or in part, will be rescinded retroactively. 
(j) In all cases, the vendor shall supply written documentation verifying the hiring or retention of the staff including the salary and fringe benefits to be paid to such staff. 
(k) The vendor shall complete a Request for Rate Adjustment B Staffing on a form specified by the Department and submit it to the Department with a copy to the vendoring regional center prior to July 1 of any future payment years for which the adjustment is being requested. 
(l) Following the request for a rate adjustment by the vendor, the Department shall review the data submitted on the Staff Survey Report(s), Form DS 1950 (3/05) Tab A, the Consumer Survey Report(s), Forms DS 1950 (3/05) Tab G for the historical period to determine if the vendor met the staffing level as defined in this Section during the historical period, or if the loss of subsidized staff caused it to fall below that level for that period. 
(m) If the vendor did not meet the staffing level as defined in this Section, the Department shall prorate the annual salary and fringe benefits to staff to be hired, or retained, based on the date hiring or retention is to occur. 
(n) The Department shall enter the cost in (d) above on the Rate Computation Sheet, Form DS 1950 (3/05) Tab H and distribute it based on the Staff Survey Report, Form DS 1950 (3/05) Tab A. 
(o) The Department shall complete the rate calculation using all client data from the historical period. 
(p) The Department shall add no COLA increases in the year of the adjustment because costs used in calculating the rate adjustment are for current payment year costs. 
NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of section heading and section, renumbering and amendment of former section 58877 to section 58876(g)-(g)(7) and renumbering and amendment of former section 58878 to section 58876(h)-(p), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58877. Rate Adjustment Due to an Increase in Occupancy Cost. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including renumbering of former section 58877 to section 58876(g)-(g)(7), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58878. Rate Adjustment Due to a Change in Staff-to-Consumer Ratio. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11152, Government Code; and Sections 4857.1, 4859(a), 4860(b) and 4866, Welfare and Institutions Code. Reference: Sections 4859 and 4861(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including renumbering of former section 58878 to section 58876(h)-(p), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58879. Rate Appeals. [Renumbered]
Note     •     History

(a) Any vendor disputing a departmental decision affecting its rate for Work Activity Program services may appeal the decision pursuant to Sections 57940 through 57948. 
NOTE

Authority cited: Chapter 722, Statutes of 1992, Section 147; and Section 4691, Welfare and Institutions Code. Reference: Section 4691, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
Article 9. Billing and Payment
§58880. Work Activity Programs.
Note     •     History

(a) For each payment year, the Department shall establish a maximum number of service days per year, which shall be based on a maximum of five days per week, minus the number of nationally observed holidays. At the beginning of each payment year, all Work Activity Programs shall submit to the applicable regional center, for approval a schedule of the number of days per month for which reimbursement will be requested for services provided; the total number of days in that schedule shall not exceed the maximum number of service days established by the Department. 
(b) The regional center shall make payment for services using a daily rate as follows: 
(1) A Work Activity Program may bill for a full day of service when the Work Activity Program has written documentation that the consumer has received allowable Work Activity Program services as specified in Section 4851(h) of the Welfare and Institutions Code; 
(2) A Work Activity Program may bill for a half-day of service when the Work Activity Program has written documentation that the consumer has received services as specified in Section 4851(i) of the Welfare and Institutions Code; 
(3) A Work Activity Program may not bill for a consumer who is absent or who receives services for less than two hours, excluding the lunch period, except that the Department may authorize payment for absences which are the direct result of situations or occurrences for which a state of emergency has been declared. If payment for absences due to a state of emergency is authorized, the Work Activity Program shall bill only for daily absences in excess of the average percentage of daily absences experienced by the Work Activity Program, per consumer, in the same month of the year previous to the year in which the state of emergency was declared. If the Work Activity Program was not in operation in the previous year, the average percentage of absences per consumer shall be based on the most recent comparable month, as determined by the Department, in which billing was made to the regional center; 
(4) Payment using a daily rate shall be as follows: 
(A) For full-day and half-day billing, the Work Activity Program shall add the approved full-days and half-days of service for each consumer for each month and invoice the regional center after the month's end for the total number of billing days for each consumer, not to exceed the maximum number of billing days for the billing month per the schedule submitted to regional center. 
(c) The regional center may make payment for services using an hourly rate determined by the regional center and specified by a service contract pursuant to Section 57540. The Work Activity Program or regional center shall request this option from the other party not less than 60 (sixty) days prior to the month in which billing using an hourly rate is requested. The Work Activity Program or regional center may refuse the request. The service contract shall be effective for a minimum of one year unless the regional center discontinues payment for services on an hourly basis if it determines that the information submitted is not supported by sufficient documentation, or if it determines that the cost of using an hourly rate is greater than the cost of utilizing a daily rate or other terms of the contract are not met. 
(d) The hours billed for each consumer for each month shall be determined by totaling the number of hours and minutes of services for each day. At the end of the month, the Work Activity Program shall round the total numbers of hours and minutes for each consumer to the nearest hour for the month, using simple rounding, i.e., round down for less than a half hour and round up for a half hour or more. 
(e) The vendor shall maintain records for each consumer of all daily start and end times of the service, the daily lunch period, and any interruptions in the program day and as specified in Section 58822. 
(f) The regional center shall make no payment for services to any person, including students of elementary or secondary schools, for whom any other agency has primary responsibility for providing such services according to Federal or State statute. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4863, 4864 and 4867, Welfare and Institutions Code. 
HISTORY

1. New article 9 (sections 58880-58882) and section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New article 9 (sections 58880-58882) and section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New article 9 (sections 58880-58882) and section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order, including amendment of subsections (b)(3) and (b)(4)(A), transmitted to OAL 6-21-2005 and filed 8-1-2005; amendments operative 8-31-2005 (Register 2005, No. 31).
§58881. Supported Employment Programs.
Note     •     History

(a) Payment rates for Supported Employment Program services are specified in Welfare and Institutions Code 4860. 
(b) Vendors must maintain adequate documentation to support the job coaching billed to the regional center as specified in Section 58831(a). 
(c) A Supported Employment Program may not bill for group services when a job coach is not present, except that the Department may authorize payment for group services that were not provided when the work site was not accessible due to the direct result of situations or occurrences for which a state of emergency has been declared. If payment due to a state of emergency is authorized, the Supported Employment Program shall bill only for job coaching for days the work site was not accessible, as determined by the Department, in which billing was made to the regional center. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Section 4860, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
§58882. Billing for Temporary Transfers.
Note     •     History

(a) Procedure for Authorization of a temporary transfer: 
(1) Temporary transfers should be anticipated and planned for during the IPP. The pre-authorization of a temporary transfer should specify the criteria and maximum number of days of the temporary transfer. 
(2) Emergency authorization of a temporary transfer pursuant to Section 50612. 
(b) The regional center may grant an extension of a temporary transfer if there is a delay in the return date to the job beyond the original 60-calendar day authorization for the temporary transfer; 
(1) Delays may include: 
(A) Temporary employer closures, e.g. school breaks, inventory, natural disasters; 
(B) Adverse weather conditions; 
(C) Other conditions as specified in the IPP. 
(c) Billing for authorized temporary transfers: 
(1) From Supported Employment - Group Placement to a Work Activity Program shall be billed for the consumer utilizing the Work Activity Program Purchase of Service and not under the Supported Employment Program B Group Placement Purchase of Service; 
(2) From a Work Activity Program to Supported Employment Group Placement shall be billed for the consumer utilizing the Supported Employment Program -- Group Placement Purchase of Service and not the Work Activity Program Purchase of Service. 
NOTE

Authority cited: Section 11152, Government Code; and Section 4866, Welfare and Institutions Code. Reference: Sections 4854.1, 4857, 4860(b) and 4862(c)(1)(2), Welfare and Institutions Code.
HISTORY

1. New section filed 7-22-2004 as an emergency; operative 7-22-2004 (Register 2004, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-19-2004 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2004, No. 49).
3. New section refiled 11-29-2004 as an emergency; operative 11-29-2004 (Register 2004, No. 49). A Certificate of Compliance must be transmitted to OAL by 3-29-2005 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 3-30-2005 as an emergency; operative 3-30-2005 (Register 2005, No. 13). A Certificate of Compliance must be transmitted to OAL by 7-28-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-30-2005 order transmitted to OAL 6-21-2005 and filed 8-1-2005 (Register 2005, No. 31).
Subchapter 22. Participant-Directed Services
Article 1. Definitions
§58883. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in their present tense include the future tense. Words used in the singular form include the plural form. Use of the word “shall” indicates conduct that is required, and “may” indicates conduct that is permitted. 
NOTE

Authority cited: Sections 4405 and 4648(a), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631 and 4648(a), Welfare and Institutions Code.
HISTORY

1. New subchapter 22 (articles 1-3, sections 58883-58888), article 1 (sections 58883-58884) and section filed 8-29-2011 as an emergency; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL by 2-27-2012 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 8-29-2011 order transmitted to OAL 2-15-2012 and filed 3-15-2012 (Register 2012, No. 11).
§58884. Definitions.
Note     •     History

(a) The following definitions shall apply to the language contained in Subchapter 22 of these regulations:
(1) Participant-Directed Services means those services described in California Code of Regulations, Title 17, Section 58886(a) and includes the adult consumer or family member exercising decision-making authority over specified services. 
(2) Co-Employer means the vendored adult consumer or family member who manages employees that provide specified Participant-Directed Services and who works with the Financial Management Service Co-Employer. The Co-Employer makes recommendations to the Financial Management Services Co-Employer on who to hire to perform a specified Participant-Directed Service. 
(3) Employer means the vendored adult consumer or family member who hires and engages an employee or procures an entity to perform a specified Participant-Directed Service.
(4) Financial Management Service Co-Employer (FMS Co-Employer) means a vendored entity that functions with the Co-Employer to hire an employee pursuant to the Co-Employer's recommendation and pays the employee to perform the Participant-Directed Services.
(5) Financial Management Service Fiscal/Employer Agent (FMS F/EA) means the vendored entity that functions as the adult consumer's agent or family member's agent in performing payroll duties according to IRS regulations, processing payments for the reimbursement of goods and services, and performing other employer responsibilities that are required by federal and state law. Under this arrangement the adult consumer or family member is the employer.
(6) Individual Family Service Plan (IFSP) has the meaning specified in California Code of Regulations, Title 17, Section 52100.
(b) As used in this subchapter, the following terms shall have the meanings specified in California Code of Regulations, Title 17, Section 54302:
(1) Adult;
(2) Consumer;
(3) Family member
(4) Individual Program Plan (IPP); and
(5) Vendor.
NOTE

Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(B) and 4688.21(d), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4648.12(c) and 4688.21, Welfare and Institutions Code; 42 U.S.C. Section 1396n(c) (Section 1915(c) of the Social Security Act).
HISTORY

1. Adoption of subsections (a)(2) and (a)(4) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4688.21; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 24 months or emergency language will be repealed by operation of law on the following day.
2. Adoption of subsections (a)(1), (a)(3), (a)(5)-(6) and (b) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
Article 2. General Requirements for Participant-Directed Services
§58886. General Requirements for Participant-Directed Services.
Note     •     History

(a) Effective October 1, 2011, for consumers and family members of consumers receiving the services in California Code of Regulations, Title 17, Section 54355 (g) (1), (3), (4), and (5), when these services are funded with federal financial participation through Medicaid programs, the regional center may offer Participant-Directed Services to allow the adult consumer and/or family member to procure their own community-based training service, day care, nursing, respite, and/or transportation services.
(b) When an adult consumer or family member makes the decision to use Participant-Directed Services the regional center shall:
(1) Provide information regarding their responsibilities and functions as either the Employer or Co-Employer; 
(2) Provide information about the requirements regarding the use of a FMS Co-Employer or FMS F/EA;
(3) Assist the adult consumer or family member to identify and choose an FMS Co-Employer or FMS F/EA as follows:
(A) An adult consumer or family member who chooses to be the Employer as described in Section 58884(a)(3) shall make use of a FMS F/EA vendor pursuant to Section 58884(a)(5); 
(B) An adult consumer or family member who chooses to be a Co-Employer as described in Section 58884(a)(2) shall make use of a FMS Co-Employer pursuant to Section 58884(a)(4); and
(C) Neither the adult consumer nor the family member shall be the FMS Co-Employer nor the FMS F/EA.
(4) Vendor the adult consumer or family member acting as Employer or Co-Employer for one or more Participant-Directed Services pursuant to (c), and a family member of more than one consumer shall only be vendored once. 
(c) The Employer or Co-Employer duties and authority over workers include, but are not limited to, the following: 
(1) Recruits workers;
(2) Verifies worker qualifications;
(3) Specifies additional worker qualifications based on consumer needs and preferences;
(4) Determines worker duties;
(5) Schedules workers;
(6) Orients and instructs workers in duties;
(7) Supervises workers;
(8) Evaluates worker performance; and
(9) Verifies time worked by employees and approves time sheets.
(d) The Employer or Co-Employer has the following additional responsibilities:
(1) The adult consumer or family member in the capacity as an Employer pursuant to (b)(3)(A) above has independent authority to:
(A) Hire workers; and
(B) Terminate workers. 
(2) The adult consumer or family member in the capacity as Co-Employer pursuant to (b)(3)(B) above has authority to make recommendations to the FMS Co-Employer for hiring and terminating workers. 
(e) The regional center shall vendor the Employer and Co-Employer in accordance with vendor requirements contained in California Code of Regulations, Title 17, Sections 54310 and 54326, in addition to the following requirements:
(1) Participant-Directed Day Care Service -- Family Member -- Service Code 455.
(A) A regional center shall classify a vendor as Participant-Directed Day Care Service -- Family Member if the vendor:
1. Is a family member;
2. Is not the direct provider of the day care service; and
3. Selects the day care service for the consumer from:
a. An individual who possesses the skill, training, or education necessary to provide the day care service; or
b. An agency that meets the criteria specified in California Code of Regulations, Title 17, Section 54342(a)(4) or (a)(15)(A), (B), or (C).
(B) Participant-directed day care services for children shall only be authorized by regional centers for day care costs and/or hours exceeding the cost of providing day care services provided to a child without disabilities. The regional center may pay in excess of this amount when a family can demonstrate a financial need and when doing so will enable the children to remain in the family home.
(2) Participant-Directed Nursing Service -- Family Member -- Service Code 460.
(A) A regional center shall classify a vendor as a Participant-Directed Nursing Service -- Family Member if the vendor:
1. Is a family member; and
2. Selects, assigns, and monitors an individual who provides nursing services for a consumer.
(B) The family member may be the direct provider of the nursing service if the service is not intended to provide respite to the family member.
(C) The individual or family member who provides the nursing service shall possess the qualifications specified in California Code of Regulations, Title 17, Section 54342(a)(46), (51), or (66).
(3) Participant-Directed Respite Service -- Family Member -- Service Code 465. 
(A) A regional center shall classify a vendor as Participant-Directed Respite Service -- Family Member if the vendor:
1. Is a family member;
2. Is not the direct provider of the respite service; and
3. Selects the respite service for the consumer from an individual who is at least 18 years of age and possesses the skill, training, or education necessary to provide the respite service. The vendored family member shall be responsible for ensuring that the individual selected to provide the respite service will possess the skill, training, or education necessary to provide the respite service. In addition, the vendored family member is responsible for ensuring that the person providing respite care is familiar with the consumer's daily routines and needs, and is trained in any specialized supports necessary for the consumer. To the extent that these specialized support needs require additional training or certification in such things as First Aid, Cardiopulmonary Resuscitation (CPR), etc., these needs and requirements will be included as part of the description of respite care needs in the consumer's IPP or IFSP; or
4. An agency that meets the criteria specified in California Code of Regulations, Title 17, Section 54342(a)(39); or
5. For out-of-home respite services, a facility which meets the standards specified in California Code of Regulations, Title 17, Section 54342(a)(58) or (72). A relative who provides out-of-home respite in the relative's own house is exempt from licensure pursuant to Title 22, California Code of Regulations, Section 80007.
(4) Participant-Directed Transportation -- Family Member -- Service Code 470. 
(A) A regional center shall classify a vendor as Participant-Directed Transportation -- Family Member if the vendor secures the transportation to and/or from authorized services identified in the consumer's IPP and the vendor:
1. Is a family member or adult consumer. The family member or adult consumer may either provide the transportation service or secure an individual to provide the transportation services identified in the consumer's IPP;
(B) The individual who is actually providing the transportation service shall:
1. Possess a driver's license which is valid in California; and
2. Have evidence of maintenance of adequate insurance coverage pursuant to Welfare and Institutions Code, Section 4648.3.
(C) Participant-Directed Transportation shall only be authorized by regional centers to cover transportation costs which exceed the transportation costs that the family member would incur for a minor child without disabilities. The regional center may pay in excess of this amount when a family can demonstrate a financial need and when doing so will enable the consumer to remain in the family home.
(5) Participant-Directed Community-Based Training Service for Adults -- Service Code 475, as established in Welfare and Institutions Code Section 4688.21(c)(1) through (12) is an adult day program service that assists the adult consumer in the development of skills required for community integrated employment and/or participation in volunteer activities and to secure employment and/or volunteer positions or pursue secondary education. 
(A) A regional center shall classify a vendor as a Participant-Directed Community-Based Training Service for Adults if the vendor: 
1. Is an adult consumer, family member, or conservator;
2. Is not the direct provider of the community-based training service for adults. A parent or conservator shall not be the direct support worker employed by the community-based training vendor; and 
3. Selects the community-based training service for adults from an individual who is at least 18 years of age and possesses the skill, training, or experience necessary to provide the community-based training service for adults in accordance with the IPP. If the selected individual is required to transport the consumer, meets the requirements in (e)(4)(B) above. 
(B) The Participant-Directed Community-Based Training Service for Adults shall be provided in natural environments in the community, separate from the consumer's residence.
(f) By September 30, 2011, adult consumers or family members vendored pursuant to California Code of Regulations, Title 17, Section 54355(g)(1), (3), (4) and (5) who choose to be an Employer or Co-Employer are not required to be re-vendored. The regional center shall:
(1) Ensure that the adult consumer or family member continues to meet vendor requirements in accordance with (b), (c), (d) and (e) above;
(2) Provide the adult consumer or family member with information regarding the requirements to use an FMS Co-Employer and/or FMS F/EA pursuant to (b) above when these services are funded with federal financial participation through Medicaid and about the requirements for the applicable Participant-Directed Services, pursuant to (e) above;
(3) Assist the adult consumer or family member to identify and choose an appropriate FMS Co-Employer or FMS F/EA pursuant to (b) above;
(4) Assign the applicable Participant-Directed Service code pursuant to (e) above, with services to be effective no sooner than October 1, 2011; and
(5) Continue to pay the existing rate of the voucher service(s) for the corresponding participant-directed services as described in (e) above.
NOTE

Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(B) and 4688.21(d), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4648.12(c) and 4688.21, Welfare and Institutions Code.
HISTORY

1. Adoption of article 2 (sections 58886-58887) and subsection (e)(5) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4688.21; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 24 months or emergency language will be repealed by operation of law on the following day.
2. Adoption of subsections (a)-(e)(4)(C) and (f)-(f)(5) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
§58887. Service Components for Participant-Directed Services.
Note     •     History

(a) Effective August 29, 2011, the FMS F/EA, pursuant to (b) below, and the FMS Co-Employer, pursuant to (c) below, shall be vendored to provide the following services to support the adult consumer or family member with the employment of workers to carry out authorized Participant-Directed Services:
(1) Collect and process timesheets of workers providing Participant-Directed Services;
(2) Assist the family member or adult consumer in verifying the worker's eligibility for employment as evidenced by a copy of the social security number or any document pursuant to California Code of Regulations, Title 17, Section 50604(d)(3), if individual worker is used; 
(3) Process payroll, withholding, filing and payment of applicable federal, state and local employment related taxes and insurance for authorized Participant-Directed Services; 
(4) Track, prepare and distribute monthly expenditure reports to the Employer or Co-Employer and the regional center; 
(5) Maintain all source documentation related to the authorized service(s) and expenditures; 
(6) Maintain a separate accounting of funds used for each adult consumer or family member Participant-Directed Service; and
(7) Ensure payments do not exceed the amounts and rates authorized by the regional center subject to the limits of California Code of Regulations, Title 17, Section 58888. 
(b) FMS F/EA -- Service Code 490.
(1) A regional center shall classify an applicant as an FMS F/EA if the applicant meets vendor requirements described in California Code of Regulations, Title 17, Sections 54310 and 54326, and demonstrates the ability, skills, and knowledge to carry out both the responsibilities in (a) above and the following additional requirements of an FMS F/EA to assist an adult consumer or family member functioning as an Employer:
(A) For the purposes of processing payroll, apply for and obtain authorization under Section 3504 of the Internal Revenue Code to be an agent for each adult consumer or family member that the FMS F/EA represents; 
(B) During the period from when the FMS F/EA makes application to the Secretary of the Internal Revenue Service (IRS) until receiving IRS approval, the FMS F/EA shall be responsible for applicable federal, state and local employment-related taxes and insurance; and
(C) Process payments for reimbursements to entities providing goods and services in accordance with applicable IRS regulations.
(2) The FMS F/EA may process payroll for services provided by individual workers, and reimbursements for services provided by other entities.
(c) FMS Co-Employer -- Service Code 491.
(1) A regional center shall classify an applicant as an FMS Co-Employer if the applicant meets vendorization requirements described in California Code of Regulations, Title 17, Section 54310 and demonstrates the ability, skills, and knowledge to carry out both the responsibilities in (a) above and the following additional requirements specific to assisting an adult consumer or family member functioning as a Co-Employer:
(A) Hiring of individual employees who have been selected by the adult consumer or family member to provide Participant-Directed Services;
(B) Providing other employer-related supports to the Co-Employer as specified in the consumer's IPP.
(2) The FMS Co-Employer shall process payroll for services provided by the employees.
(d) The FMS Co-Employer and the FMS F/EA shall submit billings/invoices to the regional center for reimbursement for expenditures for authorized Participant-Directed Services and meet the requirements of California Code of Regulations, Title 17, Section 50604.
(e) The FMS Co-Employer and the FMS F/EA shall reimburse the worker(s) who provide(s) the authorized Participant-Directed Service(s) at a rate not to exceed the specified rates in California Code of Regulations, Title 17, Section 58888.
NOTE

Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(B) and 4688.21(d), Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a), 4648.12(c) and 4688.21, Welfare and Institutions Code.
HISTORY

1. Adoption of subsections (a)-(a)(7) and (c)-(e) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4688.21; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 24 months or emergency language will be repealed by operation of law on the following day.
2. Adoption of subsections (b)-(b)(2) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
Article 3. Participant-Directed Services Rate-Setting Provisions
§58888. General Provisions for Rate-Setting and Reimbursements.
Note     •     History

(a) The Participant-Directed Service(s), and units of service shall be determined through the IPP process pursuant to Welfare and Institutions Code Sections 4646 and 4646.5. The rate of payment for the service shall not exceed the maximum rate of reimbursement as specified below: 
(1) Participant-Directed Day Care Service -- Family Member -- Service Code 455 -- the usual and customary rate, as defined in California Code of Regulations, Title 17, Section 57210(a)(19), which the direct provider of the service charges or, if the direct provider of the service does not have an established usual and customary rate, a negotiated rate pursuant to California Code of Regulations, Title 17, Section 57300(e);
(2) Participant-Directed Nursing Service -- Family Member -- Service Code 460 -- the Schedule of Maximum Allowances for the Home and Community Based Services, In-Home Medical Care Waiver Program, as developed by the Department of Health Care Services; 
(3) Participant-Directed Respite Service -- Family Member -- Service Code 465 -- the rate established pursuant to California Code of Regulations, Title 17, Section 57310(b)(3); 
(4) Participant-Directed Transportation -- Family Member -- Service Code 470 -- the standard rate schedule developed by the regional center pursuant to California Code of Regulations, Title 17, Section 58543; and
(5) Participant-Directed Community-Based Training Service -- Service Code 475 -- $13.47 per consumer per hour up to a maximum of 150 hours per quarter. The rate includes employer-related taxes and all transportation needed to implement the service, except that the consumer shall also be eligible for a regional center-funded bus pass, if appropriate and needed.
(b) The regional center shall authorize a rate of payment for the FMS F/EA and FMS Co-Employer as follows: 
(1) For FMS FE/A services as described in Section 58887(a) and (b):
(A) A rate not to exceed a maximum of $45.00 per consumer per month for one Participant-Directed Service; or
(B) A rate not to exceed a maximum of $70.00 per consumer per month for two or three Participant-Directed Services; or
(C) A rate not to exceed a maximum of $95.00 per consumer per month for four or more Participant-Directed Services.
(2) For FMS Co-Employer services as described in Sections 58887(a) and (c) a rate not to exceed a maximum of $95.00 per consumer per month for one to four Co-Employer services.
(c) The regional center shall name the FMS Co-Employer -- Service Code 491, and/or the FMS F/EA -- Service Code 490, as the vendor of record for the purchase of service authorizations for the Participant-Directed Services identified in the consumer's IPP. The authorization shall have an effective date for services or payments no sooner than October 1, 2011.
NOTE

Authority cited: Sections 4405, 4648(a), 4648.12(c)(1)(B), 4688.21(d) and 4690, Welfare and Institutions Code; and Section 11152, Government Code. Reference: Sections 4631, 4648(a) and 4648.12(c), Welfare and Institutions Code.
HISTORY

1. Adoption of article 3 (section 58888) and subsection (a)(5) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4688.21; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 24 months or emergency language will be repealed by operation of law on the following day.
2. Adoption of subsections (a)-(a)(4) and (b)-(c) filed 8-29-2011 as a deemed emergency pursuant to Welfare and Institutions Code section 4648.12; operative 8-29-2011 (Register 2011, No. 35). A Certificate of Compliance must be transmitted to OAL within 18 months or emergency language will be repealed by operation of law on the following day.
Chapter 4. Case Management
Subchapter 1. General
Article 1. Definitions
§59000. Meaning of Words.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing chapter 4,  subchapter 1 (articles 1-4, sections 59000-59011), article 1 (sections 59000-59001) and section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59001. Definitions.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code. 42 USC Section 1396n.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
Article 2. Case Management Services
§59002. Case Management Services.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing article 2 (section 59002) and section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
Article 3. Assessment Procedures
§59003. Fee Determinations.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852, 4853 and 14170, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing article 3 (sections 59003-59007) and section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59004. Self-Declaration of Income (SDOI).
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Section 4852, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59005. Health Insurance/Benefit Plan.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4659, 4851, 4852, 4853 and 14170, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59006. Health Insurance/Benefit Plan (HIBP).
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4852 and 14170, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9).
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59007. Reports.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day. 
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
Article 4. Billings and Collections
§59008. Statements.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing article 4 (sections 59008-59011) and section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59009. Billings.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59010. Delinquency.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
§59011. Collections.
Note     •     History

NOTE

Authority cited: Chapter 14, Statutes of 1991, Section 4. Reference: Sections 4851, 4852 and 4853, Welfare and Institutions Code.
HISTORY

1. New section filed 7-17-91 as an emergency and submitted to OAL on 7-17- 91 for printing only pursuant to section 4 of chapter 14 of the Statutes of 1991; operative 7-17-91 (Register 91, No. 48). A Certificate of Compliance must be transmitted to OAL by 11-14-91 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-17-91 order transmitted to OAL 11-13-91 and filed 12-10-91 (Register 92, No. 9). 
3. Change without regulatory effect repealing section filed 5-2-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 18).
Division 3. Air Resources
Chapter 1. Air Resources Board
Subchapter 1. Administrative Procedures
Article 1. Board Meetings and Hearings
§60000. Purpose.
Note     •     History

The regulations set forth in this subchapter shall supplement provisions in the Mulford-Carrell Air Resources Act (Division 26 of the Health and Safety Code), the Administrative Procedure Act, and the California Environmental Quality Act with regard to meetings and hearings of the state board and the executive officer.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 39000, et seq., Health and Safety Code; Sections 11340, et seq., Government Code; and Section 21080.5, Public Resources Code.
HISTORY

1. Redesignation of Subchapter 1 (Sections 60100-70201, not consecutive) to Subchapter 1.5 (Sections 60100-70201, not consecutive) filed 6-5-78; effective thirtieth day thereafter (Register 78, No. 23).
2. New Subchapter 1 (Sections 60000-60013) filed 6-5-78; effective thirtieth day thereafter (Register 78, No. 23).
3. Repealer of Subchapter 1 (Articles 1-2, Sections 60000-60023) and new Subchapter 1 (Articles 1-2, Sections 60000-60023) filed 11-25-81; effective thirtieth day thereafter (Register 81, No. 48). For prior history, see Registers 80, No. 27 and 80, No. 9.
§60001. Scheduling of Meetings.
Note

Meetings shall be scheduled by the chairperson or the executive officer of the state board, who may with appropriate notice change the starting time of any proceeding or reschedule, cancel, or continue the proceeding.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 39513, 39515, 39516, and 39600, Health and Safety Code; Section 11129, Government Code.
§60002. Notice.
Note

In addition to providing notice of state board meetings and hearings as required by statute, notice shall be mailed to state and local government agencies having jurisdiction by law with respect to a proposed activity of the state board and to persons who request such notice in writing. For informational purposes, notice may be provided to newspapers of general circulation, to all persons believed to be interested in the proceeding, and to the State Clearinghouse for circulation to public agencies.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 39002, 41502 and 41650, Health and Safety Code; Sections 11125 and 11346.5, Government Code.
§60003. Quorum.
Note

The presence of a majority of the total appointed members of the state board shall constitute a quorum, and formal decisions shall be by vote of a majority of the quorum. No formal decision on any item shall be made in the absence of a quorum.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: FTC v. Flothill Products, 389 U.S. 179, 183 (1967); Vita-Pharmacals v. Board of Pharmacy, 110 Cal.App.2d 826 (1952); Robert's Rules of Order .
§60004. Record of Proceedings.
Note

(a) Board proceedings shall be recorded electronically, or by other appropriate means. The recording or transcript shall be made available to the public for review at the state board's main office. At the request of the state board, the executive officer, or any interested person, the proceedings shall be recorded by a certified court reporter and the cost thereof borne by the person making the request. Upon a showing of need, economic hardship, and the public interest to be served, any person may request, and the state board or executive officer may grant, a transcript of specified proceedings at state board expense.
(b) For every rulemaking proceeding, the secretary of the state board shall maintain a file as required by Government Code Section 11347.3.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Section 39600, Health and Safety Code;  and 11347.3, Government Code.
§60005. Staff Reports.
Note

(a) Where a public hearing is required by law or where the action contemplated may have a significant effect on the environment, a staff report, together with the proposed rule, regulation, order, standard or plan shall be prepared and published by the staff of the state board. For rulemaking proceedings governed by the Administrative Procedure Act, the staff report shall be published at least 45 days before the date of the public hearing. For all other such proceedings, the staff report shall be published as early as reasonably practicable prior to the proceeding. Staff reports shall be available for public review and comment and shall be distributed to all governmental agencies having jurisdiction by law over the proposed activity and to persons who have requested such reports.
(b) It is the policy of the state board to prepare staff reports in a manner consistent with the environmental protection purposes of the state board's regulatory program and with the goals and policies of the California Environmental Quality Act (CEQA; Public Resources Code Sections 21000 et seq.). All staff reports shall contain a description of the proposed action, an assessment of anticipated significant long or short term adverse and beneficial environmental impacts associated with the proposed action and a succinct analysis of those impacts. The analysis shall address feasible mitigation measures and feasible alternatives to the proposed action which would substantially reduce any significant adverse impact identified.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Section 21080.5, Public Resources Code.
§60006. Environmental Alternatives.
Note

Any action or proposal for which significant adverse environmental impacts have been identified during the review process shall not be approved or adopted as proposed if there are feasible mitigation measures or feasible alternatives available which would substantially reduce such adverse impact. For purposes of this section, “feasible” means capable of being accomplished in a successful manner within a reasonable period of time, taking into account economic, environmental, social, and technological factors, and consistent with the state board's legislatively mandated responsibilities and duties.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Section 21080.5, Public Resources Code.
§60007. Response to Environmental Assessment.
Note

(a) If comments are received during the evaluation process which raise significant environmental issues associated with the proposed action, the staff shall summarize and respond to the comments either orally or in a supplemental written report. Prior to taking final action on any proposal for which significant environmental issues have been raised, the decision maker shall approve a written response to each such issue.
(b) Notice of the final action and the written response to significant environmental issues raised shall be filed with the Secretary of the Resources Agency for public inspection.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Section 21080.5, Public Resources Code.
§60008. Local District Amendment of Regulations Adopted by State Board.
Note

(a) For one year after the state board's adoption for a district of any program or portion thereof or rule, or regulation, any amendment by a district pursuant to its own regulations, of such program or portion thereof or rule, or regulation, shall not be effective for any purpose unless and until the state board finds that such amendment will not interfere with the district's ability to achieve and maintain the state's ambient air quality standards. The state board may at any time, by resolution adopted either on its own motion or at the request of an affected district, exempt from the provisions of this section any program or portion thereof or rule, or regulation adopted by it for a local district.
(b) Upon amendment by a district, within the one-year period provided in paragraph (a), of a program or portion thereof or rule, or regulation, adopted for it by the state board, the district shall file such amendment with the general counsel of the state board, accompanied by a request for review pursuant to this section. Within thirty (30) days of such filing, the board's executive officer shall review the amendment for the purpose of making the state board finding set forth in paragraph (a). In the event the executive officer finds that the amendments do not satisfy the requirements of paragraph (a), the executive officer shall notify the district in writing of such finding and set forth the specific reasons therefor. Unless the executive officer so notifies the district within the thirty-day period specified herein, the state board shall be deemed to have made the finding set forth in paragraph (a) of this section. 
(c) The determination of the executive officer pursuant to paragraph (b) of this section shall be reviewable by the state board pursuant to the procedures set forth in Sections 60020-60023 of Title 17 of the California Administrative Code.
NOTE

Authority cited: Sections 39600, 39601 and 41504, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 41500, Health and Safety Code.
Article 2. State Board Review of Executive Officer Actions
§60020. Petition.
Note

(a) A petition to the state board for review of action taken by the executive officer relating to the matters set forth in Health and Safety Code Section 39515(c) must be received by the state board or postmarked no later than thirty (30) days from the date of the action sought to be reviewed.
(b) Any air pollution control district, air quality planning agency, or member of the public shall, upon written request to the board secretary, be mailed notice of such executive officer action at the time it is taken.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Section 39515, Health and Safety Code.
§60021. Scheduling of Board Review; Procedure for Stay.
Note     •     History

(a) Upon receipt of a petition for review of an executive officer action, the matter shall be placed on the agenda of the next regularly scheduled board meeting to take place at least ten (10) days following receipt of the petition. A notice shall be promptly mailed to the petitioner and to all parties who participated in any executive officer hearing on the action being reviewed.
(b) The executive officer action shall remain in full force and effect pending state board review unless petition for review demonstrates to the satisfaction of the executive officer that a stay of the action is needed to prevent irreparable injury to the public or an affected member thereof. If, in its initial consideration of a petition for review, the board does not take final action on the petition, or at any other time, the board may, at the request of the petitioner or on its own motion, grant a stay of the executive officer action pending final board action.
(c) The board or the executive officer shall have the power, on a showing of good cause by the petitioner, to continue the hearing on the petition to the next regularly scheduled board meeting following the meeting at which the petition is originally scheduled for hearing.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Section 39515, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (a) filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
§60022. Record Before the State Board.
Note

(a) The state board shall review the executive officer action based upon (1) the record on which the executive officer action was based; and (2) the contents of the petition(s) requesting state board review. Additionally, where the state board determines that additional evidence is necessary to its review of the action of the executive officer, it may consider such new evidence, provided that all interested persons who participated in any proceeding before the executive officer are given at least fifteen (15) days to respond to any evidence accepted by the board. Any person desiring the board to consider new evidence shall submit such evidence in writing no later than three (3) days prior to the hearing. Where the executive officer acted pursuant to a hearing, only persons who participated in the hearing may submit new evidence to the board.
(b) At the hearing at which the board considers the petition, the petitioner shall be afforded the opportunity to comment in support of the petition.
NOTE

Authority cited: Sections 39600 an 39601, Health and Safety Code. Reference: Section 39515, Health and Safety Code.
§60023. State Board Action on Review.
Note

Upon completing its review of the executive officer action, the state board may:
(1) affirm the action of the executive officer; or
(2) set aside or modify the action of the executive officer; or
(3) direct the executive officer to take appropriate action as directed by the state board.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Section 39515, Health and Safety Code.
Article 3. Permit Procedures
§60030. Permit Application Review and Processing.
Note     •     History

(a) The procedures and time periods set forth in this subsection shall apply to all permit applications received by the board, except for those permit applications specified in subsection (b).
(1) Within 30 days of receipt of an application for a permit, as defined in Government Code Section 15375(a), the executive officer shall inform the applicant, in writing, either that the application is complete and accepted for filing or that the application is deficient and identify the specific information required to make the application complete.
(2) Within 15 days of receipt of additional information provided in response to a determination by the executive officer that an application is deficient, the executive officer shall inform the applicant, in writing, either that the new information is sufficient to make the application complete and that the application is accepted for filing, or that the application is deficient and shall identify the specific information required to make the application complete.
(3) Within 90 days after an application is accepted for filing, the executive officer shall act to approve or to disapprove the application.
(b) For the categories listed below, permit applications shall be processed as provided in the procedures specified in subsection (a), in accordance with the following time periods:

		No. of days after	No. of days after
	receipt of appli-	receipt of
	cation within which	additional infor-
	executive officer	mation within which	
	will inform the appli-	executive officer	No. of days after
	cant either that the	will determine	application is
	application is com-	whether the infor-	accepted for filing
plete or that addi-	mation submitted	within which
	tional information	makes the appli-	executive officer will
	is required	cation complete	act on the application
Type of Permit
Emergency variance for lead in gasoline 1 	               5	5	10 
Emergency variance for sulfur in gasoline or diesel 2	               5	5	10 
Waiver for lead in gasoline 3 	             15	15	45 
Approval of independent testers 4 	             15	15	905
Certification of vapor recovery systems6	             60	30	120 

1Title 13, California Code of Regulations, Section 2253.2

2Title 13, California Code of Regulations, Section 2252

3Title 13, California Code of Regulations, Section 2253.2

4Title 17, California Code of Regulations, Section 91207

5This period applies to each test, as specified in Section 91201 of Title 17, California Code of Regulations, for which approval is requested.

6Title 17, California Code of Regulations, Section 94011
(c) The executive officer may, in the course of processing the application, request the applicant to clarify, amplify, correct, or otherwise supplement the information required for the application.
(d) The time periods in subsections (a) or (b) may be extended by the executive officer for good cause as provided by Government Code Section 15376.
(e) Based on the state board's experience in processing permits, from the receipt of the initial application to the final permit decision, during the two years immediately preceding the proposal of these regulations:
(1) the minimum time for processing a permit was 5 days;
(2) the maximum time for processing a permit was 567 days; and
(3) the estimated median time for processing a permit was 30 days. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 15375 and 15376, Government Code.
HISTORY

1. New Article 3 (Section 60030) filed 3-2-84; effective thirtieth day thereafter (Register 84, No. 9).
2. Amendment of table and footnotes in subsection (b) filed 3-20-2001; operative 4-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
Subchapter 1.25. Administrative Procedures--Hearings
Article 1. Adjudicatory Hearings
§60040. Applicability.
Note     •     History

(a) The provisions of this article shall apply to all adjudicatory hearings conducted for the purpose of reviewing any of the following decisions of the executive officer: (1) vehicle or engine recalls pursuant to Health and Safety Code Section 43105; (2) intention to revoke or suspend a license as a vehicle emission test laboratory pursuant to Section 2048 of Title 13, California Code of Regulations; and (3) to other decisions of the executive officer where the person directly affected by the executive officer's action requests a hearing and where an adjudicatory hearing is required by law but neither the administrative adjudication procedures contained in Government Code Sections 11500 et seq. nor other hearing procedures are specified. The provisions of this article do not apply to review of decisions of the executive officer related to the programs or actions of air pollution control or air quality management districts.
(b) The provisions of this article shall apply to the review of all decisions of the executive officer covered by subparagraph (a) issued prior to the effective date of article 2, sections 60055.1, et seq. All subsequently issued executive officer decisions shall be subject to the procedures set forth in article 2, sections 60055.1, et seq.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
2. New subchapter 1.25 (articles 1-4), redesignation of former article 4 to article 1 (sections 60040-60053) and amendment adding subsection (b) filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60041. Definitions.
Note     •     History

(a) “Days” means calendar days.
(b) “Manufacturer working days” means the days when the headquarters of the manufacturer-petitioner is open for business.
NOTE

Authority cited: Section 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60042. Petition for Hearing.
Note     •     History

(a) Within 20 days after receipt of a decision by the executive officer described in Section 60040, the person directly affected by the decision may file a petition requesting a hearing to review the decision. Notwithstanding the above, a petition for a hearing pursuant to Health and Safety Code Section 43105 may be filed within 30 manufacturer working days of receipt of the executive officer's decision.
(b) Petitions shall be filed with the board secretary at the offices of the state board in Sacramento and shall include the following information:
(1) the name and address of the petitioner;
(2) a copy of the executive officer decision for which review is requested;
(3) the date the decision was received by the petitioner;
(4) the action the state board is requested to take;
(5) a complete, verified statement of the facts and relevant evidence; and
(6) the grounds on which review is requested, including legal argument and authorities. The verification may be on information and belief. The chairperson of the state board shall review the petition and if he/she determines that a hearing is not required by law, the petitioner shall be notified of the decision and there shall be no hearing under this article. The board secretary shall send a copy of the petition to any person who was given written notice of the executive officer's decision.
NOTE

Authority cited: Section 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60043. Effect of Filing a Petition.
Note     •     History

A decision of the executive officer ordering a recall of vehicles or engines or intending to suspend or revoke the license of a vehicle emission test laboratory shall be stayed on timely receipt of a petition requesting a hearing until the state board has filed a decision with the board secretary. Other decisions of the executive officer shall also be stayed until the state board has filed the decision with the board secretary unless the executive officer finds that the adverse effects of a stay on the public health, safety and welfare outweigh the harm to those persons directly affected by the lack of a stay.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60044. Executive Officer Response to Petition.
Note     •     History

Within 20 days after receipt of a petition by the board secretary, the executive officer shall file with the board secretary and serve upon the petitioner a response to the petition, except that the executive officer shall file a response within 15 manufacturer working days to a petition regarding executive officer decisions pursuant to Health and Safety Code Section 43105. The response shall contain the reasons for and the facts in support of the decision of the executive officer under review.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60045. Time for and Notice of Hearings.
Note     •     History

(a) A hearing shall be initiated no later than 75 days after receipt of a petition for review except that the hearing shall be initiated no later than 45 manufacturer working days after receipt of a petition regarding executive officer decisions pursuant to Health and Safety Code Section 43105. The state board may delay the hearing upon a showing of good cause therefore by any party, provided that the petitioner's consent to the delay must be obtained if the executive officer's decision is not stayed.
(b) The state board shall mail written notice to the petitioner and to any persons who have requested notice at least 30 days before the scheduled date of hearing, indicating the time and location of the hearing, except that the notice shall be mailed 25 manufacturer working days prior to a hearing regarding an executive officer decision pursuant to Health and Safety Code Section 43105. The notice shall state that the parties may, but need not be, represented by counsel at the hearing. The notice of the hearing shall also be posted in the state board offices in Sacramento and El Monte.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60046. Appointment of Hearing Officers and Presiding Officer.
Note     •     History

(a) Hearings under this article may be held by the state board, by a committee of no fewer than two members of the state board, or by an administrative law judge from the Office of Administrative Hearings. In cases where the hearing is conducted by a committee of the state board or an administrative law judge, the committee or administrative law judge shall prepare a recommended decision for consideration by the state board.
(b) When the state board, or a committee of the state board, hears the case, the board or the committee may request that an administrative law judge be present at the hearing to assist in conducting the hearing, and to advise on the admission and exclusion of evidence, and on matters of law.
(c) Notwithstanding Section 60045, if the state board requests that an administrative law judge conduct the hearing or assist in the hearing, the hearing may be delayed if necessary to obtain the services of an administrative law judge. However, when the executive officer's decision is not stayed, no hearing may be delayed beyond 180 days from receipt of the petition without the consent of the petitioner.
(d) The chairperson of the state board may serve as the presiding officer or may designate another member of the state board or the administrative law judge to serve as the presiding officer for the hearing.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60047. Interested Persons.
Note     •     History

Any person shall have the right to submit written evidence and shall also have the opportunity to present oral evidence, including witnesses and argument, subject to reasonable limitations imposed by the presiding officer. A person shall notify the state board secretary of his/her intent to participate in the hearing at least 20 days prior to the hearing or 15 manufacturer working days prior to the hearing on an executive officer decision pursuant to Health and Safety Code Section 43105.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60048. Subpoenas.
Note     •     History

The chairperson of the state board, the presiding officer of the hearing, or the administrative law judge may on his or her own motion or at the request of any party in accordance with the provisions of Government Code Section 11510, issue subpoenas for witnesses and for the production of documents at or prior to the hearing. Subpoenas are not required for the production of state board documents which are directly related to the executive officer's decision or which are required to be disclosed under the California Public Records Act (Government Code Section 6250 et seq.). Subpoenas are also not required for attendance at the hearing of members of the state board staff.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 39514, 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60049. Witness List, Prehearing Statement, and Prehearing Conference.
Note     •     History

(a) No later than 10 days before the scheduled date of the hearing, or 10 manufacturer working days before the scheduled date of a Health and Safety Code Section 43105 hearing, the petitioner, the executive officer, and any person who has indicated that he/she intends to participate in the hearing shall each submit to the board secretary and serve upon one another a witness list including the name and qualifications of each proposed witness and a brief summary of the testimony to be presented by each witness. All parties shall also send to the board secretary and serve upon one another a prehearing statement which sets forth their respective positions regarding all contested issues.
(b) On the presiding officer's own initiative or on the motion of the petitioner or executive officer, the presiding officer may conduct a prehearing conference. The presiding officer shall set the time and place for the prehearing conference and give reasonable written notice to all parties.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60050. Oaths.
Note     •     History

In hearings under this article, members of the state board, the presiding officer and any administrative law judge assigned to the hearing shall be authorized to administer oaths and affirmations.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60051. Conduct of the Hearing.
Note     •     History

The presiding officer shall govern the conduct of the hearing and shall make decisions on the admissibility of evidence. The following rules shall apply to any hearing held pursuant to the provisions of this article.
(a) The hearing need not be conducted according to the technical rules relating to civil procedure, evidence and witnesses which would apply in a court of law. Any relevant noncumulative evidence shall be admitted if it is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs. Relevant noncumulative evidence and legal argument which does not raise significant new issues shall not be denied admission based solely upon the failure of the petitioner to state the evidence or legal argument in the petition for hearing.
(b) Oral testimony offered by any witness shall be under oath.
(c) The petitioner, the executive officer and interested persons shall each, subject to reasonable limitations imposed by presiding officer, have the right to call and examine witnesses, and to introduce exhibits. Parties may cross-examine opposing witnesses and offer rebuttal evidence if the presiding officer determines that cross-examination and rebuttal evidence is necessary to resolve disputed issues of material fact. The rules of privilege shall be effective to the extent that they are otherwise required by California statute to be recognized.
(d) Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but shall not be sufficient in itself to support a finding unless it would be admissible over objections in civil actions.
(e) Official notice may be taken of any generally accepted technical or scientific matter within the state board's field of competence or any matter which may be judicially noticed by the courts of this state. Parties present at the hearing shall be informed of and given an opportunity to rebut the matters proposed to be noticed.
(f) Evidence in the form of affidavits shall be admissible if offered in accordance with Government Code Section 11514.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60052. Decision of the State Board.
Note     •     History

After the hearing, or in the event the hearing is conducted by a committee of the state board or by an administrative law judge, following consideration of the recommendation of the committee or the administrative law judge and the hearing record by the state board, the state board shall issue a written decision setting forth findings and conclusions regarding all issues necessary to the decision. The state board shall file the decision with the board secretary as a public record and shall serve the written decision by certified mail on the petitioner and all other parties. The state board shall specify in the decision a date on which the decision is effective.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
§60053. Request for Reconsideration.
Note     •     History

(a) Within 20 days after service of the state board's decision, or within 15 manufacturer working days after service of the state board's decision in a hearing pursuant to Health and Safety Code Section 43105, the petitioner or the executive officer may submit a request for reconsideration, which shall include (1) a detailed statement of the legal and factual grounds on which reconsideration is requested; (2) the specific findings and conclusions for which reconsideration is requested; and (3) if additional evidence is sought to be presented, a description of the additional evidence and an explanation of why in the exercise of reasonable diligence it could not have been presented at the hearing. The party requesting reconsideration shall serve the request by certified mail on parties who participated in the original hearing within one day after submitting the request to the state board.
(b) The request for reconsideration may include a request that the decision of the state board be stayed, pending further administrative proceedings pursuant to this article. If such a request is made, the chairperson of the state board shall decide whether or not to stay the decision pending the state board's review of the request for reconsideration. The Chairperson of the state board shall make his/her decision based on his/her evaluation of the merits of the petition, consideration of possible hardship to the party and possible adverse public health impacts.
(c) Within 45 days after the receipt of a request for reconsideration, or for Health and Safety Code Section 43105 hearings within 30 manufacturer working days after receipt of a request for reconsideration, the state board shall decide whether to grant or deny the request. The state board may decide to reconsider its entire decision or any portion thereof. The state board shall serve written notice of its decision to grant or to deny reconsideration on the party requesting reconsideration and all participants in the prior hearing. If reconsideration is granted, the written notice shall describe any further proceedings.
(d) If reconsideration is granted, and if the party requesting reconsideration also requested a stay of the decision of the state board, the state board shall decide whether the stay shall be granted. If the request for reconsideration is denied, any stay of the decision pending state board review of the reconsideration request shall be dissolved.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 43105 and 44207, Health and Safety Code.
HISTORY

1. New section filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
Article 2. Administrative Hearing Procedures for Petitions for Review of Executive Officer Decisions
Subarticle 1. General Provisions
§60055.1. Applicability.
Note     •     History

(a) The provisions of this article shall apply to all adjudicatory hearings conducted for the purpose of reviewing any of the following decisions of the executive officer to: 
(1) Recall motor vehicles or motor vehicle engine families pursuant to Health and Safety Code Section 43105 and sections 2122, et seq., of title 13, California Code of Regulations; 
(2) Revoke or suspend a license as a vehicle emission test laboratory pursuant to section 2048 of title 13, California Code of Regulations; 
(3) Revoke or suspend a previously granted executive order certifying a motor vehicle engine family under Chapter 2, Part 5, Division 26 of the Health and Safety Code; 
(4) Deny certification of a motor vehicle engine family under Chapter 2, Part 5, Division 26 of the Health and Safety Code; or 
(5) Any other decision where the person directly affected by the executive officer's action requests a hearing and where an adjudicatory hearing is required by law but neither the administrative adjudication procedures contained in Government Code sections 11500, et seq., nor other hearing procedures are specified. 
(b) The provisions of this article do not apply to review of decisions of the executive officer related to the programs or actions of air pollution control or air quality management districts, and final orders or decisions under this regulation and section 60075.45. 
(c) The provisions of this article apply only to executive officer decisions issued on or after the effective date of this article. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; Sections 60075, et seq., title 17 and 2048, title 13, California Code of Regulations; and Sections 11500, et seq., Government Code. 
HISTORY

1. New article 2 (subarticles 1-10, sections 60055.1-60055.43), subarticle 1 (sections 60055.1-60055.10) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.2. Definitions.
Note     •     History

(a) The definitions applicable to these rules include those set out in the Health and Safety Code (commencing with section 39010) and in Title 13, California Code of Regulations, Chapter 5, Standards for Motor Vehicle Fuels, sections 2250, et seq., and Chapter 8, Clean Fuels Program, sections 2300, et seq. 
(b) The following definitions also apply: 
(1) “Administrative record” means all documents and records timely filed with the hearing office, pursuant to section 60055.4 and the time deadlines of these rules, including pleadings, petitions, motions, and legal arguments in support thereof; all documents or records admitted into evidence or administratively noticed by the hearing officer; all official recordings or written transcripts of hearings conducted; and all orders or decisions issued by the hearing officer or the state board regarding the petition for review of an executive officer decision; administrative record does not include any prohibited communications as defined in section 60055.13, and any settlement discussions or offers of settlement pursuant to section 60055.24. 
(2) “Days” means calendar days. 
(3) “Default” means the failure of any party to take the steps necessary and required by these regulations to further the hearing towards resolution, resulting in a finding by the hearing officer of forfeiture of the cause of action against that party. 
(4) “Discovery” refers to the process set forth in section 60055.25 allowing one party to request and obtain information relevant to the proceedings. The scope of discovery is limited by the express terms of that section. 
(5) “Ex Parte Communication” means an oral or written communication not on the public record for which reasonable prior notice to all parties should have been given. 
(6) “Hearing Office” refers to the administrative hearings office established by the state board to conduct administrative hearings to implement the provisions of these rules or to the Office Administrative Hearings established pursuant to Government Code section 11370.2. The administrative hearing office of the state board shall include at least one administrative law judge who shall act as a hearing officer. 
(7) “Hearing Officer” refers to an administrative law judge appointed by the state board to conduct hearings under these procedures or an administrative law judge appointed by the Office of Administrative Hearings. 
(8) “Intervenor” means a person who is allowed to voluntarily enter into the proceedings with leave of the hearing officer. 
(9) “Party” includes the petitioner, the executive officer and employees of the state board, and an intervenor to the extent permitted by the hearing officer pursuant to section 60055.21. Notice to the executive officer shall constitute notice to all employees of the state board involved in the case.
(10) “Petition” means petition to review an executive officer decision. 
(11) “Petitioner” means a person directly affected by a decision of the executive officer who requests a hearing pursuant to Subarticle 5 to review that decision. 
(12) “Proceeding” means any hearing, determination or other activity before the hearing officer involving the parties to a petition for review. 
(13) “Response” means a document filed by the executive officer responding to the petition for review. 
(14) “Settlement Agreement” means a written agreement executed by the petitioner, the executive officer, and, to the extent permitted by the hearing officer pursuant to section 60055.21(b)(4), an intervenor that respectively settles the allegations at issue in the petition for review. 
NOTE

Authority cited: Sections 39600, 39601 and 39010, et seq., Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 39514 and 43105, Part 5, (commencing with 39010) Health and Safety Code; Sections 2250, et seq., 2300, et seq., title 13; and Sections 60075.1, et seq., Article 5, title 17, California Code of Regulations. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.3. Right to Representation.
Note     •     History

(a) A party may appear in person or through a representative, who is not required to be an attorney at law. The right to representation is at the party's own expense. Following notification that a party is represented by a person other than him or herself, all further communications regarding the proceedings shall be directed to that representative. 
(b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding. Persons who appear as representatives shall not engage in unethical conduct or intentionally fail to observe the procedures set forth in these rules and the proper instructions or orders of the hearing officer. 
(c) A representative may withdraw an appearance by filing a written notice of withdrawal with the hearing office and by serving a copy on all parties. 
NOTE

Authority cited: Sections 39600, 39601 and 43028, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 2180, et seq., title 13, California Code of Regulations. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.4. Time Limits; Computation of Time.
Note     •     History

(a) All actions required pursuant to these rules shall be completed within the times specified in this article, unless extended by the hearing officer upon a showing of good cause, after consideration of prejudice to other parties. Requests for extensions of time for the filing of any pleading, letter, document, or other writing or completing any other required action must be received in advance of the date on which the filing or action is due and should contain sufficient facts to establish a reasonable basis for the relief requested. 
(b) In computing the time within which a right may be exercised or an act is to be performed, the day of the event from which the designated period runs shall not be included and the last day shall be included. If the last day falls on a Saturday, Sunday, or a state holiday, time shall be extended to the next working day. 
(c) In computing time, the term “day” means calendar day, unless otherwise provided. 
(d) Unless otherwise indicated by proof of service, the mailing date shall be presumed to be the postmark date appearing on the envelope if first-class postage was prepaid and the envelope was properly addressed. 
(e) Where service of any pleading, petition, letter, document, or other writing is by mail, overnight delivery, or facsimile transmission (fax), pursuant to section 60055.5(c), and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed shall be extended as provided in section 60055.5(c). 
(f) Papers delivered to or received by the hearing office during regular business hours (8 a.m. to 5 p.m.) will be filed on that date. Papers delivered or received at times other than regular business hours will be filed on the next regular business day. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code.
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.5. Service, Notice and Posting.
Note     •     History

(a) Except as otherwise provided in this article, the original of every pleading, petition, letter, document, or other writing served in a proceeding under these rules shall be filed with the designated hearing officer. 
(b) Unless otherwise required, service of any documents in the proceedings may be made by personal delivery; by United States first-class or interoffice mail, by overnight delivery, or by fax. 
(1) Service is complete at the time of personal delivery. 
(2) In the case of first-class mail, the documents to be served must be deposited in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, in a sealed envelope, properly addressed to the person on whom it is to be served at the address as last given by that person on any document filed in the present cause of action and served on the party making service or otherwise at the place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended five days if the place of address is within the State of California, ten days if the place of address is outside the State of California but within the United States, and 15 days if the place of address is outside the United States. 
(3) If served by overnight delivery, or interoffice mail, the document must be deposited in a box or other facility regularly maintained for interoffice mail or by the express service carrier, or delivered to an authorized courier or driver authorized by the express service carrier to receive documents, in an envelope or package designated by the express service carrier with delivery fees paid or provided for, addressed to the person on whom it is to be served, at the address as last given by the person on any document filed in the present cause of action and served on the party making service or otherwise at that place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(4) If served by fax, the document must be transmitted to a fax machine maintained by the person on whom it is served at the fax machine telephone number as last given by that person on any document which he or she has filed in the present cause of action and served on the party making the service. The service is complete at the time of the transmission, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(c) Each document filed shall be accompanied by a proof of service on each party or its representative of record on the date of service. The proof of service shall state whether such service was made personally, first-class mail, overnight delivery, or facsimile. 
(1) Where service is made by personal delivery, the declaration shall show the date and place of delivery and the name of the person to whom the documents were handed. Where the person making the service is unable to obtain the name of his or her person to whom the documents were handed, the person making the service may substitute a physical description for the name. 
(2) Where service is made by first-class mail or overnight delivery, the declaration shall show the date and place of deposit in the mail, the name and address of the person served as shown on the mailing envelope and that the envelope was sealed and deposited in the mail with the postage fully prepaid. 
(3) Where service is made by fax, the declaration shall show the method of service on each party, the date sent, and the fax number to which the document was sent. 
(d) The proof of service declaration shall be signed by the person making it and contain the following statement above the signature: “I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct, and this declaration was executed at (City, State) on (Date).” The name of the declarant shall be typed and signed below this. 
(e) Proof of service made in accordance with Code Civil Procedure section 1013a complies with this regulation. 
(f) Service and notice to a party who has appeared through a representative shall be made upon such representative. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; Sections 11182 and 11184, Government Code; and Sections 1013 and 1013a Code of Civil Procedure. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.6. Motions.
Note     •     History

(a) Any motion or request for action by the hearing officer relating to any proceeding pending before him or her filed by any party, except those made orally on the record at the hearing, shall be in writing and shall be directed to the hearing officer, with written notice and proof of service to all parties. The caption of each motion shall contain the title and docket number of the proceeding and a clear and plain statement of the relief sought, together with the grounds therefore. 
(b) Except as otherwise provided by statute or these regulations, or as ordered by the hearing officer, a motion shall be made and filed at least 15 days before the date set for the motion to be heard or the commencement of the hearing on the merits. Any response to the motion shall be filed and served no later than five days before the motion is scheduled to be heard or as ordered by the hearing officer. 
(c) The hearing office shall set the time and place for the hearing of the motion. The hearing shall occur as soon as practicable. 
(d) Except as otherwise provided by statute or these regulations, the hearing officer may decide a motion filed pursuant to this section without oral argument. Any party may request oral argument at the time of the filing of the motion or the response. If the hearing officer orders oral argument, the party requesting oral argument, or any party directed to do so by the hearing officer, shall serve written notice on all parties of the date, time and place of the oral argument. The hearing officer may direct that oral argument be made by telephone conference call. The hearing officer may order that the proceedings be recorded. 
(e) The hearing officer shall issue a written order deciding any motion, unless the motion is made during the course of the hearing on the merits while on the record. The hearing officer may request that the prevailing party prepare a proposed order. 
(f) A request for a prehearing conference or a settlement conference under sections 60055.23 and 60055.27 does not constitute a motion within the meaning of this section. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.7. Form of Pleadings.
Note     •     History

(a) Except as otherwise expressly provided in this article or by the hearing officer, there are no specific requirements as to the form of documents filed in a proceeding under these rules. 
(b) The original of any pleading, letter, document, or other writing (other than an exhibit) shall be signed by the filing party or its representative. The signature constitutes a representation by the signer that it has read the document, that to the best of its knowledge, information and belief, the statements made therein are true, and that it has not filed the document for the purpose of delay. 
(c) The initial document filed by any person shall indicate his or her status (as a party or representative of the party) and shall contain his or her name, address and telephone number. Any changes in this information shall be communicated promptly to the hearing office and all parties to the proceeding. A party who fails to furnish such information and any changes to it shall be deemed to have waived his or her right to notice and service under these rules. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.8. Limitations on Written Legal Arguments or Statements.
Note     •     History

(a) Any written legal argument or statement submitted to the hearing officer by a participant in an action under this part shall be double spaced and typed in a font size 12 point or larger. Except as otherwise provided by this part, further limited by the hearing officer, or otherwise authorized by the hearing officer for good cause shown, no written legal argument, exclusive of any supporting documentation, may exceed: 
(1) Fifteen pages, for arguments in support of or opposition to motions; and 
(2) Five pages, for reply arguments. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.9. Records of the State Board.
Note     •     History

Except where public disclosure of information or exhibits is restricted by law, records of the state board are public records and are available to the public pursuant to section 91000, et seq., Title 17, California Code of Regulations. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; Sections 6250, et seq., Government Code; and Sections 91000, et seq., title 17, California Code of Regulations. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.10. Interpreters and Other Forms of Accommodation.
Note     •     History

(a) In proceedings where a party, a party's representative, or a party's expected witness requires an interpreter for any language, including sign language, that party shall be responsible for notifying the hearing office as soon as the requirement is known, but no later than ten days prior to the first day of hearing. The hearing officer may allow later notification for good cause. The hearing office shall be responsible for securing the interpreter, and for providing reasonable accommodation. 
(b) The cost of interpreter services shall be paid by the state board if the hearing officer so directs. In determining who should pay the cost of the interpreter, the hearing officer shall base the decision on equitable considerations, including the ability of the party in need of the interpreter to pay the cost. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; Sections 11435.25, 11435.30 and 11435.55, Government Code; and Section 751, Evidence Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 2. Hearing Officers
§60055.11. Authority of Hearing Officers.
Note     •     History

In any matter subject to hearing pursuant to these rules, the hearing officer shall have the authority to do any act and take all measures necessary for the maintenance of order and for the efficient, fair and impartial adjudication of issues arising in proceedings governed by these rules, including, but not limited to, authority to hold prehearing conferences; conduct hearings to determine all issues of fact and law presented; to rule upon motions, requests and offers of proof, dispose of procedural requests, and issue all necessary orders; administer oaths and affirmations and take affidavits or declarations; to issue subpoenas and subpoenas duces tecum for the attendance of a person and production of testimony, books, documents, or other things; to compel the attendance of a person residing anywhere in the state; to rule on objections, privileges, defenses, and the receipt of relevant and material evidence; to call and examine a party or witness and introduce into the hearing record documentary or other evidence; to request a party at any time to state the respective position or supporting theory concerning any fact or issues in the proceeding; to certify official acts; to extend the submittal date of any proceeding; to hear and determine all issues of fact and law presented and to issue such interlocutory and final orders, findings, and decisions as may be necessary for the full adjudication of the matter. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 11181-11182 and 11425.30, Government Code. 
HISTORY

1. New subarticle 2 (sections 60055.11-60055.12) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.12. Disqualification.
Note     •     History

(a) The hearing officer or a member of the state board shall disqualify himself or herself and withdraw from any case in which he or she cannot accord a fair and impartial hearing. 
(b) A hearing officer may not hear any case in which he or she has previously served as an investigator, prosecutor, or advocate. 
(c) Any party may request the disqualification of a hearing officer or member of the state board by filing an affidavit or declaration under penalty of perjury. A request for the disqualification of a hearing officer must be made no later than five days prior to the commencement of a prehearing conference or first day of hearing on the merits, whichever is earlier. A request for the disqualification of a member of the state board must be made no later than five days prior to the state board's consideration of the recommended decision. The affidavit or declaration must state with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. Where the request for disqualification concerns a member of the state board, the issue shall be determined by the other members of the board. Where the request concerns the hearing officer, the issue shall be determined by the hearing officer. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 11425.40 and 11512, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 3. Ex Parte Communications
§60055.13. Prohibited Communications.
Note     •     History

(a) Except as otherwise provided in this section, while the proceeding is pending, the hearing officer shall not participate in any communications with any party, representative of a party, or any person who has a direct or indirect interest in the outcome of the proceeding about the subject matter or merits of the case at issue, without notice and opportunity of all parties, to participate in communication except a party that has been determined to be in default pursuant to section 60055.37. 
(b) No pleading, letter, document, or other writing shall be filed in a proceeding under these rules by a party unless service of a copy thereof together with any exhibit or attachment is made on all other parties to a proceeding. Service shall be in a manner as prescribed in section 60055.5. 
(c) For the purpose of this section, a proceeding is pending from the time that the petition for review of an executive officer decision is filed. 
(d) Communications prohibited under paragraph (a) do not include communications concerning matters of procedure or practice, including requests for continuances that are not in controversy. It also does not prohibit communications between a party and the hearing officer when the opposing party has had a default entered pursuant to section 60055.37. 
(e) A communication between a hearing officer and an employee of the state board that would otherwise be prohibited by this section is permissible if: 
(1) The employee is another hearing officer or other employee of the hearing office whose job duties include aiding the hearing officer in carrying out the hearing officer's adjudicative responsibilities. Upon request, the hearing office will provide a list of employees of the hearing office to the parties. 
(2) The employee of the state board has not served as an investigator, prosecutor, or advocate in the proceeding or its preadjudicative stage, or in any factually related proceedings, and the purpose of the communication is to assist and advise the hearing officer in determining whether a document is a confidential business record (i.e., trade secrets). In obtaining such assistance and advice, the hearing officer shall give notice to the parties of the person consulted and shall provide the parties with as detailed a summary as possible of the substance of the advice received, while protecting the confidentiality of the business records at issue, and a reasonable opportunity to respond. 
(3) The prohibitions of paragraph (a) that apply to the hearing officer shall also apply to all employees covered by subparagraphs (1) and (2) above. 
(4) Communications permitted under subparagraphs (1) and (2) above shall not furnish, augment, diminish, or modify the evidence in the record. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 11430.70-11430.80, Government Code. 
HISTORY

1. New subarticle 3 (sections 60055.13-60055.15) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.14. Disclosure of Communication.
Note     •     History

(a) If, while the proceeding is pending, but before serving as hearing officer, the hearing officer receives a communication of a type that would be in violation of this subarticle if received while serving as hearing officer, he or she shall, promptly after starting to serve, disclose the content of the communication on the record and give all parties an opportunity to address it as provided below. 
(b) If a hearing officer receives a communication in violation of this article, the hearing officer shall make all of the following a part of the record in the proceeding: 
(1) If the communication is written, the writing and any written response of the hearing officer to the communication; and 
(2) If the communication is oral, a memorandum stating the substance of the communication, any response made by the hearing officer, and the identity of each person from whom the hearing officer received the communication. 
(c) The hearing officer shall notify all parties that a communication described in this section has been made a part of the record. 
(d) If a party requests an opportunity to address the communication within ten days after receipt of notice of the communication: 
(1) The party shall be allowed to comment on the communication. 
(2) The hearing officer has discretion to allow the party to present evidence concerning the subject of the communication, including discretion to reopen a hearing that hearing having been concluded. 
(e) Receipt of ex parte communications may be cause for disqualification of the hearing officer. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 11340.1-11340.5, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.15. Applicability to the State Board.
Note     •     History

The provision of Subarticle 3 governing ex parte communications to the hearing officer also governs ex parte communications with members of the state board on matters that may come before them pursuant to Subarticles 4 and 9. Nothing in this provision shall be construed to prohibit ex parte communications, after a proposed decision has been forwarded to the state board, between members of the state board and the hearing officer who prepared the decision, a hearing officer from the State Office of Administrative Hearings (OAH) not previously involved in the case, or outside legal counsel to the state board. Nor shall anything in this provision be construed to prohibit communications between members of the state board and staff of the state board (including staff counsel), provided reasonable notice and opportunity to participate in such communications either in person or by telephone has been provided to all parties. For purposes of this section, reasonable notice shall be deemed as 24-hours or greater advance notice. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 11430.70-11430.80 Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 4. Filing and Initial Review of Petitions for Review and Executive Officer's Response
§60055.16. Filing of Petitions for Review Hearing.
Note     •     History

(a) Within 30 days after receipt of a decision by the executive officer described in section 60055.1, a person directly affected by the decision may file a petition requesting a hearing to review the decision. The hearing officer may extend the time for filing for good cause. 
(b) A petition shall be filed with the clerk of the board, at the offices of the state board in Sacramento and a copy served on the executive officer. The petition shall include the following information: 
(1) The name and address of the petitioner; 
(2) A copy of the executive officer decision for which review is requested; 
(3) The date the decision was received by the petitioner; 
(4) A statement of the objections to the decision upon which review is requested; a verified statement of the facts, data and other relevant evidence in support of the objections; a demand for the specific relief the petitioner seeks; a short, concise statement of legal argument, with citation to authorities, in support of the objections and the relief requested. The verification may be made on information and belief. 
(c) The petitioner may request permission from the hearing officer to amend the petition. Such request must include an amended statement of objections and, as applicable, verified statement of facts, data, and other relevant evidence in support of the amended objections; demand for the specific relief the petitioner seeks; and amended statement of legal argument. The hearing officer shall grant the request upon determining that good cause exists; in granting the request the hearing officer shall take whatever steps necessary (e.g., continuing the hearing) to prevent any party from being unduly prejudiced by the decision. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New subarticle 4 (sections 60055.16-60055.19) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.17. Appointment of a Hearing Officer; Initial Review of Petition.
Note     •     History

(a) Initial Assignment: 
(1) Upon receipt of a petition, the state board shall refer the matter to the administrative hearing office of the state board for assignment of a hearing officer. The hearing office shall assign an administrative law judge from the hearing office to hear the matter, unless staffing and other resources of the hearing office would prevent timely consideration of the matter. If the resources of the administrative hearing office prevent assignment, the administrative hearing office shall refer the matter to the State Office of Administrative Hearings (OAH) for assignment. For the two years immediately following the effective date of these hearing procedures, it shall be presumed that petitions requesting review of executive officer decisions ordering the recall of motor vehicles or motor vehicle engines or the suspension, revocation, or denial of executive orders certifying motor vehicles or motor vehicle engines are too resource intensive, given the present staffing of the administrative hearing office of the state board. For the two-year period identified above, such matters shall be immediately referred to the OAH for assignment. 
(2) In addition to the above, a party may petition the state board to request that hearings be referred to OAH. The state board shall grant the request upon the petitioner providing substantial evidence that it could not receive a full and fair hearing from any hearing officer employed by the administrative hearing office of the state board. 
(3) In all cases referred to OAH, under paragraph (2) above, the petitioner shall bear one-half of the fees charged by OAH for the services of the OAH hearing officer. 
(b) Within 20 days of assignment of a hearing officer, the hearing officer shall review the petition and determine whether a hearing is required by law. Pursuant to section 60055.1(b), all petitions seeking review of executive officer decision to recall motor vehicles or engines under Health and Safety Code section 43105, to revoke or suspend a license as a vehicle emission test laboratory under Title 13, CCR, section 2048, or to revoke or suspend an Executive Order granting certification to a motor vehicle engine family under Chapter 2, Part 5, Division 26 of the Health and Safety Code shall have the right to a hearing. Petitions for review of executive officer decisions to deny applications for motor vehicle certifications shall be entitled to a hearing on the merits, unless the hearing officer finds that the petition and supporting data and information do not raise a substantial issue of fact or law. If the hearing officer determines that a hearing is not required, the petitioner shall be notified of the decision and there shall be no hearing under this article. 
(c) A petitioner adversely affected by a hearing officer determination that a hearing is not required may request reconsideration by the state board under Subarticle 10. 
(d) The clerk of the state board shall make arrangements to send a copy of the petition and any decision of the hearing officer or the state board to any person who was given written notice of the executive officer's decision. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.18. Stays Pending Hearing.
Note     •     History

(a) On timely receipt of a petition requesting a hearing to review a decision of the executive officer to recall motor vehicles or motor vehicle engines, the hearing officer shall issue a stay of the executive officer action until a decision of the state board has been issued pursuant to section 60055.44. 
(b) The hearing officer shall not issue a stay pending review of an executive officer decision denying certification of an motor vehicle engine family pursuant to Chapter 2, Part 5, Division 26 of the Health and Safety Code. 
(c) For other decisions of the executive officer for which petitions for review have been filed and hearings granted, the hearing officer shall issue a stay pending issuance of the state board's decision under section 60055.38, unless the hearing officer finds that the adverse effects of a stay on the public health, safety and welfare outweigh the harm to those persons directly affected by the lack of a stay. The hearing officer may conduct a hearing or request such submissions by the parties as necessary to obtain information to make a determination on this issue. 
(d) If a stay is granted under subparagraphs (a) and (c) above, and the petition is subsequently denied by the Board, the Board may order the petitioner to take whatever remedial action is necessary, including implementing a recall of those vehicles and engines that would not otherwise have been sold in or delivered to California but for the stay, to achieve emissions reductions equal to the amount of emissions that occurred because of implementation of the stay. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.19. Executive Officer Response to Petition.
Note     •     History

Within ten days after issuance of the hearing officer determination that a hearing is required or ten days after a petition has been amended, the executive officer shall file with the hearing officer and serve upon the petitioner a response to the petition. The response shall contain the reasons for and the facts in support of the decision of the executive officer under review. If a petition for review raises claims or issues in a manner that is so vague or ambiguous that the executive officer cannot reasonably be expected to respond, the executive officer may, within the time allotted for responding, move that the hearing officer require a more definite statement of matters covered in the petition for review. If such motion is granted, the petitioner shall comply within ten days of issuance of the order of the hearing officer. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 5. Prehearing Procedures
§60055.20. Scheduling of Hearings.
Note     •     History

(a) Within 30 days after receipt of the executive officer's response, the hearing office shall schedule the hearing on the merits of the petition. Except as provided in paragraph (f), below, a hearing on the merits of a petition for review shall, in general, be scheduled to be heard no later than 180 days from the date of the hearing officer's determination under section 60055.17 that a hearing on the petition for review is appropriate. The hearing officer may determine, for good cause and in the interest of justice, that a later hearing date is necessary. 
(b) The hearing office shall deliver or mail a notice of hearing to all parties at least 30 days prior to the hearing. The notice shall be in the form specified in section 11509 of the Government Code, and shall also provide notice of the availability of interpreters pursuant to section 60055.10 of these rules. 
(c) The hearing officer shall grant such delays or continuances as may be necessary or desirable in the interest of fairly resolving the case. 
(1) The hearing officer may, on his or her own motion or upon request of any party accompanied by a showing of good cause, continue a hearing to another time or place. 
(2) A party shall apply to the hearing officer for a continuance not less than five days prior to the scheduled hearing. 
(3) When a continuance is ordered during a hearing, the hearing officer shall give written notice of the time and place of the continued hearing. 
(d) The hearing office shall set the place of hearing at a location as near as practicable to the place where the petitioner resides or maintains a place of business in California. If the owner does not reside or maintain a place of business in California, the hearing shall be in Sacramento. The hearing office may establish hearing locations anywhere in the state; at a minimum one hearing location shall be established in Sacramento and one in the Los Angeles area. 
(e) Upon the motion of any party and a showing of good cause, or upon the motion of the hearing officer, and in the absence of an objection from any party, the hearing officer may exercise discretion to conduct all or part of a hearing by telephone. 
(1) In granting such a motion, the hearing officer must be assured that each participant in the hearing has an opportunity to participate in and to hear the entire proceeding while it is taking place and to observe all exhibits fully. 
(2) The hearing officer may direct the party who has requested the alternative method to make the necessary arrangements and be responsible for any associated costs. 
(f)(1) If a hearing has been granted under section 60055.17 in a proceeding requesting review of an executive officer decision denying certification to motor vehicle engine families pursuant to Chapter 2, Part 5, Division 26 of the Health and Safety Code, a motor vehicle manufacturer may file a petition requesting that the hearing schedule be expedited. Such petitions shall be filed concurrently with the petition for review of the action and shall be accompanied by affidavits and other evidence setting forth the reasons why expedited scheduling is warranted. A hearing officer shall be assigned to consider the petition for expedited scheduling and shall issue a determination on the petition within five business days of receipt of the petition. The hearing officer shall grant the petition for expedited scheduling upon the manufacturer presenting evidence showing a reasonable likelihood that it may suffer serious competitive harm if the petition is not granted. 
(2) If the petition for expedited scheduling is granted: 
(a) The hearing office shall give priority to the scheduling of the hearing on the merits and shall make every effort to schedule the first day of hearing no later than ten days after the granting of the petition. 
(b) The hearing officer shall issue a recommended decision that the Board may accept, reject, or modify as necessary. 
(3) Notwithstanding section 60055.25, and subject to the discretion of the hearing officer, the parties shall have limited rights to discovery in a matter scheduled for expedited hearing. The parties shall exchange lists of witnesses that are expected to testify and copies of exhibits that are expected to be introduced at hearing no later than 48 hours prior to the commencement of the hearing. The hearing officer may disallow the testimony of witness or the introduction of any evidence that is not timely provided to the opposing party. 
(4) Unless expressly provided by the hearing officer, the parties shall not have the opportunity to present closing written arguments. 
(5) The hearing officer shall attempt to issue his or her decision as expeditiously as possible, but not later than ten days after the close of hearing. 
(6) Upon issuance of the proposed decision of the hearing officer, the decision shall be delivered to the board for review, with copies served on the parties. Consistent with the requirements of Government Code section 11125, the state board shall consider the recommended decision at its next scheduled meeting. The state board may accept, reject, or modify the hearing officer's proposed decision. If the state board rejects or makes substantive modifications to the proposed decision, it shall issue a written decision, with findings of fact and conclusions of law in support of its decision. 
(7) The decision of the state board is not subject to reconsideration under section 60055.41. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 11509 and 11440.30, Government Code. 
HISTORY

1. New subarticle 5 (sections 60055.20-60055.28) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.21. Motion to Intervene.
Note     •     History

(a) A person may file a motion to intervene, and the hearing officer may grant such a motion if all of the following conditions are satisfied: 
(1) The motion is in writing, with copies served on all parties named in the petition for review. 
(2) The motion is made as early as practicable prior to the prehearing conference, if one is held, or the first day of the hearing on the merits of the petition for review. 
(3) The motion states facts demonstrating that the requesting intervenor's legal rights, duties, privileges, or immunities will be substantially affected by the proceeding or that it qualifies as an intervenor under a statute or regulation. 
(4) The hearing officer determines that the interests of justice and the orderly and prompt conduct of the proceeding will not be impaired by allowing the intervention. 
(b) If the motion is granted, the hearing officer may impose conditions on the intervenor's participation in the proceeding, either at the time that intervention is granted or at a later time. Conditions may include: 
(1) Limiting the intervenor's participation to designated issues in which the intervenor has a particular interest demonstrated by the motion. 
(2) Limiting or excluding the use of discovery, cross-examination, and other procedures involving the intervenor so as to promote the orderly and prompt conduct of the proceeding. 
(3) Requiring two or more intervenors to combine their presentations of evidence and argument, cross-examination, discovery, and other participation in the proceeding. 
(4) Limiting or excluding the intervenors's participation in settlement negotiations. 
(c) The hearing officer shall issue an order granting or denying the motion for intervention as soon as practicable in advance of the hearing, briefly stating the reasons for the order and specifying any conditions that he or she has determined as appropriate. The hearing officer may modify the order at any time, stating the reasons for the modification. The hearing officer shall promptly give notice of any order granting, denying, or modifying intervention to the applicant and to all parties. 
(d) Whether the interests of justice and the orderly and prompt conduct of the proceedings will be impaired by allowing intervention is a determination to be made at the sole discretion of the hearing officer, based on his or her knowledge and judgment. The determination is not subject to administrative or judicial review. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Section 11440.50, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.22. Consolidation, Separation of Proceedings.
Note     •     History

(a) Upon the motion of a party or upon the hearing officer's own motion, the hearing officer may consolidate for hearing and decision: 
(1) Any number of proceedings involving the same respondent or petitioner; 
(2) Any number of proceedings involving common issues of law or fact where consolidation would expedite and simplify consideration of the issues and would not adversely affect the rights of the parties. 
(b) Upon the motion of a party or upon the hearing officer's own motion, the hearing officer may, in furtherance of convenience or to avoid prejudice or when separate hearings will be conducive to expedition and economy, order a separate hearing of any issue, including an issue raised in the notice of defense, or of any number of issues. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.23. Prehearing Conference.
Note     •     History

(a) Upon the scheduling of a petition for review for hearing, the hearing officer may order the scheduling of a prehearing conference upon his or her own motion or the request of any party. A request for a prehearing conference shall be in writing, addressed to the hearing officer and served on all parties. 
(b) A prehearing conference shall be held no later than 30 days after an order of the hearing officer or a request by a party, but no later than 60 days from the date of the executive officer's filing of its response to the petition. 
(c) The hearing officer may conduct the prehearing conference in person or by telephone. 
(d) At least ten business days before a scheduled conference, each party shall file with the hearing office and serve on all other parties a prehearing conference statement which shall contain the following information: 
(1) Identification of all operative pleadings by title and date signed; 
(2) The party's current estimate of time necessary to try the case; 
(3) The name of each witness the party may call at hearing along with a brief statement of the content of the witness's expected testimony; 
(4) The identity of any witness whose testimony will be presented by affidavit pursuant to section 60055.29, if known; 
(5) The name and address of each expert witness the party intends to call at hearing along with a brief statement of the opinion the expert is expected to give. The party shall also attach a copy of a current resumé for each expert witness; 
(6) Whether there is need for an interpreter or special accommodation at the hearing; 
(7) A list of the documentary exhibits the party intends to present at hearing and a description of any physical or demonstrative evidence; and 
(8) A concise statement of any legal issues which may affect the presentation of evidence or the disposition of the case.  
(e) At the prehearing conference, the hearing officer may: 
(1) Establish a time and place for further proceedings in the action, but no hearing on the merits of the action shall take place sooner than 30 days following the date of the prehearing conference; 
(2) Attempt to simplify issues and help the parties to stipulate to facts not in dispute; 
(3) Explore the necessity or desirability of amendments to the pleadings; and 
(4) Discuss any other appropriate subject. 
(f) After the prehearing conference, the hearing officer shall issue a prehearing order which incorporates the matters determined at the conference. This order may be issued orally if an accurate record can be made. Agreement on the simplification of issues, amendments, stipulations, or other matters may be entered on the record or may be made the subject of a written order by the hearing officer. If no matters were determined or dates set at the prehearing conference, a prehearing order is not required. The hearing officer may, to aid the efficient administration of justice, modify the prehearing order as necessary. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.24. Settlement Agreements and Consent Orders.
Note     •     History

(a) At any time before a final decision is issued, parties, (the complainant and the respondent) may settle the matters at issue, in whole or in part. 
(b) The parties may request the assistance of the hearing office in their attempts to settle the matters at issue. Upon receiving such a request, the hearing office may assign a settlement hearing officer, who is not the same hearing officer that has been assigned, to hear the merits of the case, unless the parties specifically request in writing the assignment of the latter hearing officer. 
(c) The parties shall memorialize any agreement in writing. 
(d) In a petition for review proceeding, if the parties resolve all issues raised by the petition, the petitioner shall agree to withdraw the petition and the case shall be dismissed. 
(e) If the settlement does not wholly conclude the action, the hearing officer assigned to hear the merits of the case shall promptly inform the parties of the schedule of the remaining proceedings. 
(f) Unless the parties have otherwise consented to use the hearing officer assigned to hear the merits of the case in settlement discussions, settlement discussions or offers of compromise regarding unresolved issues shall not be discussed with that hearing officer. Settlement discussions or offers of compromise shall also not be made part of the record of the proceedings. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Section 11415.60, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.25. Discovery.
Note     •     History

(a) The provisions of this section provide the exclusive right to, and method of, discovery as to any proceeding governed by these hearing procedures. However, nothing in this section prohibits the parties from voluntarily stipulating to provide discovery deemed appropriate. This section does not authorize the inspection or copying of, any writing, or thing which is privileged from disclosure by law or protected as part of an attorney's work product. 
(b) The names and addresses of witnesses; inspection and copying of documents and things. 
(1) Unless otherwise stipulated to by the parties, within 30 days of the hearing officer's determination that a hearing is required under section 60055.17, a party may request: 
(A) The names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the hearing; and 
(B) The opportunity to inspect and make a copy of any thing, document, statement or other writings relevant to the issues for hearing that are in the possession, custody or control of the other party and would be admissible in evidence. This includes the following information from inspection or investigative reports prepared by, or on behalf of, any party that pertain to the subject matter of the proceeding: (i) the names and addresses of witnesses or of persons (other than confidential informants) having personal knowledge of the issues involved in the proceeding, (ii) matters perceived by the investigator in the course of his or her investigation (as opposed to his or her analysis or conclusions), and (iii) statements related to the issues of the proceedings which are otherwise admissible. For purposes of this section, “any thing, document, statement or other writings relevant to the issues for hearing that are in the possession, custody, or control of the other party” would include those items within the possession, custody, or control of a third-party who obtained or used such items while acting as a representative, contractor, or agent of the “other party”. 
(2) Parties shall arrange a mutually convenient time for the exchanging of the names and addresses of witnesses and the inspecting and copying of relevant things, documents, statements, and other writings identified in subparagraph (B) above, but such date shall not be later than 30 days from the date of receipt of the request made pursuant to subparagraph (b)(1). Unless other arrangements are made, the party requesting the writings shall pay for the copying. 
(3) All requests under subparagraph (b) are continuing, and the party receiving the request shall be under a continuing duty to provide the requesting party with the information requested. 
(4) Absent a stipulation between the parties, a party claiming that certain writings or things are privileged against disclosure shall, within 15 days of receipt of the request for inspection and copying, serve on the requesting party a written statement setting forth what matters it claims are privileged and the reasons supporting its claims. 
(c) Other Discovery. 
(1) A party may file a motion requesting that the hearing officer order further discovery. The motion shall specify the proposed method of discovery to be used and shall include affidavits describing in detail the nature of the information and/or documents sought, the proposed time and place of the discovery (if applicable), and the information addressing the findings listed in subparagraphs (A)-(D) below. The hearing officer shall grant the motion upon finding that: 
(A) The additional discovery will not unreasonably delay the proceedings; 
(B) The information to be obtained from the discovery is most reasonably obtained from the non-moving party, who has refused to provide it voluntarily; or that 
(C) The information to be obtained is relevant and has significant probative value on a disputed issue of material fact regarding a matter at issue. 
(2) The hearing officer may order the taking of oral depositions only under the following circumstances: 
(A) After affirmatively making the findings in subparagraphs (c)(2)(A)-(C), and further finding that the information sought cannot be obtained by alternative methods; or 
(B) There is substantial reason to believe that relevant and probative evidence may otherwise not be preserved for presentation by a witness at the hearing. 
(3) If the hearing officer grants the motion for the taking of a deposition, the moving party shall serve notice of the deposition on the person to be deposed with copies served on the other parties at least ten days before the date set for the deposition. 
(4) Where the witness resides outside of the state and where the hearing officer has ordered the taking of the testimony by deposition, the hearing officer shall obtain an order of the court to that effect by filing a petition in the superior court in Sacramento County. The proceedings for such a hearing shall be in accordance with the provisions of Government Code section 11189. 
(d) Third-Party Notice of Request for Disclosure of Information Identified as Confidential and Opportunity to Participate. 
(1) A third-party shall be notified whenever a party receives a request for disclosure of information that is in the possession, control, or custody of the party subject to a claim of confidentiality asserted by the third-party, including, but not limited to, claims of confidentiality asserted pursuant to the California Public Records Act (CPRA). This section creates rights and obligations in addition to, and does not affect, existing rights and obligations under the CPRA and applicable federal regulations. 
(2) A third-party shall have the opportunity to be heard on all issues involving requests for disclosure of information that is in the possession, control, or custody of the party subject to a claim of confidentiality asserted by the third-party. Within five days of receipt of notice pursuant to subparagraph (d)(1), a third-party may object to disclosure of the subject information and may seek a protective order pursuant to subparagraph (e). Objections to disclosure may be based on all legal grounds, including, but not limited to, lack of relevance to the issues for hearing. 
(e) Protective Orders: 
(1) Upon motion by a party from whom discovery is sought, a third-party who has made a claim of confidentiality regarding the information to be discovered, or by the hearing officer on his or her own motion, the hearing officer may enter a protective order with respect to this material. 
(2) Prior to granting a protective order, it must be established by the moving party that the information sought to be protected is entitled to be treated as a trade secret or is otherwise confidential. A party or person seeking a protective order shall have the opportunity to be heard on all issues relevant to preserving the record's confidentiality, including, but not limited to, the following: 
(A) The appropriate scope and terms of any governing protective order; 
(B) The terms under which the record may be placed in evidence or otherwise used at a hearing; and 
(C) The disposition of the record and any copies thereof after all relevant administrative and judicial proceedings have concluded. 
(3) A party or person seeking a protective order may be permitted to make all, or part of, the required showing in a closed meeting. The hearing officer shall have discretion to limit attendance at any closed meeting proceeding to the hearing officer and the person or party seeking the protective order. 
(4) A protective order, if granted, shall contain terms governing the treatment of the information which are appropriate under the circumstances to prevent disclosure outside the hearing. The protective order may order that the trade secret information not be disclosed or that it be disclosed only to specified persons, or in a specified way. Disclosure may be limited to counsel for the parties who shall not disclose such information to the parties themselves. Disclosure to specified persons shall be conditioned on execution of sworn statements that no disclosure of the information will be made to persons not entitled to receive it under the terms of the protective order. 
(5) The protective order shall contain terms governing the treatment of the information which are appropriate under the circumstances to prevent disclosure outside the hearing; the order may require that the material be kept under seal and filed separately from other evidence and exhibits in the hearing. 
(6) Any party subject to the terms and conditions of any protective order, desiring to make use of any documents or testimony obtained in a closed meeting, shall file a motion to the hearing officer and set forth justification for the request. The motion shall be granted upon a demonstration of good cause that the information is relevant and has significant probative value on a disputed issue of material fact in issue. In granting the motion, the hearing officer shall enter an order protecting the rights of the affected persons and parties, who have claimed that the information is confidential, by preventing any unnecessary disclosure of the information. The hearing officer may require that the information be presented in a closed meeting, with attendance limited, as necessary and practicable, to specified representatives of the parties and that the material be sealed and filed separately from other evidence and exhibits in the hearing. 
(7) The hearing office shall make a record of all closed meetings that are held under this section. The record shall be sealed and made available, upon appropriate order, to the state board or to the court review of the record. 
(8) If the hearing officer denies a motion for protective order or grants a protective order only, in part, the order shall not become effective until ten days after the date the order is served. In the interim, a party to the proceeding or third-party holder of the asserted confidential information adversely affected by the order may seek appropriate interlocutory relief in a court of competent jurisdiction. 
(f) Proceeding to Compel Discovery. 
(1) Any party claiming that its request for discovery pursuant to this section has not been complied with or that the opposing party has failed to comply with a stipulated agreement to provide discovery may serve and file with the hearing officer a motion to compel the party who has refused or failed to produce the requested or stipulated discovery to comply. The motion shall include the following: 
(A) Facts showing the party has failed or refused to comply with a discovery request or stipulation; 
(B) A description of the information sought to be discovered; 
(C) The reasons why the requested information is discoverable; 
(D) Evidence that a reasonable and good faith attempt to contact the noncomplying party for an informal resolution of the issue has been made; and 
(E) To the extent known by the moving party, the measures for the noncomplying party's refusal to provide the requested information. 
(2) The motion shall be filed within 15 days after the date the requested information was to be made available for inspection and copying or the date a deposition was scheduled to take place and served upon the party who has failed or refused to provide discovery. 
(3) The hearing on the motion to compel discovery shall be held within 15 days after the motion is filed, or a later time that the hearing officer may on his or her own motion for good cause determine. The party who has refused or failed to provide discovery shall have the right to serve and file a written answer or other response which shall be due at the hearing office and personally served on all parties at least three days prior to the date set for hearing. 
(4) Where the matter sought to be discovered is under the custody or control of the party who has refused or failed to provide discovery and that party asserts that the matter is not a discoverable matter under this section, or is privileged against disclosure, the hearing officer may order that the party in custody lodge with the hearing office the matters identified in subdivision (b) of section 915 of the Evidence Code and the hearing officer shall examine the matters in accordance with those provisions. 
(5) The hearing officer shall decide the case on the matters examined in a closed meeting, the papers filed by the parties, and such oral argument and additional evidence as the hearing officer may allow. 
(6) Unless otherwise stipulated by the parties, the hearing officer shall no later than 15 days after the hearing make its order denying or granting the motion. The order shall be in writing setting forth the matters the moving party is entitled to discover. The hearing office shall serve a copy of the order by mail upon the parties. Where the order grants the motion in whole, or in part, the order shall not become effective until ten days after the date the order is served. Where the order denies relief to the moving party, the order shall be effective on the date it is served. 
(7) If after receipt of an order directing compliance with the provisions of these rules regarding discovery, a party fails, without good cause, to comply with the order, the hearing officer may draw adverse inferences against that party and may prevent that party from introducing any evidence that had been requested and not produced during discovery into the administrative record. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; Sections 11189 and 11507.6, Government Code; and Section 915(b), Evidence Code.
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.26. Subpoena and Subpoena Duces Tecum.
Note     •     History

(a) Subpoenas and subpoenas duces tecum may be issued for attendance at a hearing and for production of documents at any reasonable time and place or at a hearing. 
(b) At the request of a party, subpoenas and subpoenas duces tecum shall be issued by the hearing officer assigned to a proceeding, or the general counsel or executive officer of the state board, or, if represented by an attorney, the attorney of record for the party in accordance with sections 1985-1985.4 of the California Code of Civil Procedure. 
(c) The custodian of documents that are the subject of a subpoena duces tecum may satisfy the subpoena by delivery of the documents or a copy of the documents, or by making the documents available for inspection or copying, together with an affidavit in compliance with section 1561 of the Evidence Code. 
(d) The process extends to all parts of the state and shall be served in accordance with sections 1987 and 1988 of the California Code of Civil Procedure. A subpoena or subpoena duces tecum may also be delivered by certified mail, return receipt requested, or by messenger. Service by messenger shall be effected when the witness acknowledges receipt of the subpoena to the sender, by telephone, by mail, or in person, and identifies himself or herself either by reference to date of birth and driver's license number or Department of Motor Vehicles identification number, or the sender may verify receipt of the subpoena by obtaining other identifying information from the recipient. The sender shall make a written notation of the acknowledgment. A subpoena issued and acknowledged pursuant to this section has the same force and effect as a subpoena personally served. Failure to comply with a subpoena issued and acknowledged pursuant to this section may be punished as a contempt and the subpoena may so state. A party requesting a continuance based upon the failure of a witness to appear at the time and place required for the appearance or testimony pursuant to a subpoena, shall prove that the party has complied with this section. The continuance shall only be granted for a period of time that would allow personal service of the subpoena and in no event longer than that allowed by law. 
(e) No witness is obliged to attend unless the witness is a resident of the state at the time of service. 
(f) Upon timely motion of a party or witness, or upon his or her own motion, after notice to the parties and an opportunity to be heard and upon a showing of good cause, the hearing officer may order the quashing of a subpoena or subpoena duces tecum entirely, may modify it, or may direct compliance with it upon other terms or conditions. In addition, the hearing officer may make any other order as may be appropriate to protect a party or witness from unreasonable or oppressive demands. 
(g) The state board may quash a subpoena or a subpoena duces tecum that it has issued on its own motion. 
(h)(1) In the case of the production of a party to the record of a proceeding or of a person for whose benefit a proceeding is prosecuted or defended, the service of a subpoena on the witness is not required if written notice requesting the witness to attend, with the time and place of the hearing, is served on the representative of the party or person. 
(2) Service of written notice to attend under this section shall be made in the manner and is subject to the conditions provided in section 1987 of the California Code of Civil Procedure for service of written notice to attend in a civil action or proceeding. 
(i) A witness other than an employee of the state or a political subdivision thereof appearing pursuant to a subpoena or a subpoena duces tecum, other than a party, shall receive the same mileage, and appearance fees allowed by law; such fees are to be paid by the party at whose request the witness is subpoenaed. 
NOTE

Authority cited: Sections 39600, 39601 and 43028, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; Sections 11186-11188, 11450.05-11450.30, Government Code; Section 1561, Evidence Code; and Sections 1985-1985.4, 1987 and 1988, California Code of Civil Procedure. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.27. Witness Lists and Exhibits.
Note     •     History

(a) No later than ten days before the scheduled hearing date, the parties shall submit to the hearing office and serve upon the other parties: 
(1) A list of the names, addresses and qualifications of proposed witnesses to be called in making the party's case-in-chief and a brief summary of the testimony to be presented by each witness; and 
(2) Each document or other exhibit, the party expects to offer or may offer, if the need arises, into evidence in making the party's case-in-chief. 
(b) The hearing officer may prohibit any party from presenting any witness or exhibit that has not been included on that party's witness list or in the exhibits that have been submitted as required under paragraph (a) of this section. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.28. Motions for Summary Determination of Issues.
Note     •     History

(a) Any party may file a motion for summary judgment or summary adjudication of the issues. Such motions shall include supporting legal argument, and where necessary, affidavits showing that there is no genuine issue of material fact for determination regarding the identified issues. A party opposing such a motion shall show by affidavit or other documentation that a genuine issue of material fact as to the issues raised exists. After reviewing the motion and response of the parties, the administrative record, and any arguments of the parties, the hearing officer shall determine whether a genuine issue of material fact as to the issues exists and whether a party is entitled to judgment on the issue(s) as a matter of law. 
(b) If, upon considering a motion under subparagraph (c), the hearing officer determines that a party is entitled to summary judgment on the issue(s) as a matter of law, the hearing officer shall issue a written decision or order that sets forth necessary findings of fact and conclusions of law regarding all matters that were at issue. 
(c) Should it appear from the affidavits of a party opposing the motion that the party cannot, for reasons stated, present by affidavit facts essential to justify the party's opposition, the hearing officer may deny the motion or may grant a continuance to permit affidavits to be obtained or to permit such additional discovery as provided under these procedures. 
(d) The hearing officer shall deny a request for summary determination of the issue(s) if he or she finds the administrative record, including any evidence presented by the parties as part of this motion, present a genuine issue of material fact. If the hearing officer denies a request for summary determination, or denies such a request in part, the hearing officer shall promptly issue to each party a written ruling as to the existence of a genuine issue of material fact on the issue(s) and the reasons for the ruling. The matter shall continue to be set for hearing on all issues for which a genuine issue of material fact exists. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 6. Contempt and Sanctions
§60055.29. Contempt.
Note     •     History

If any person in proceedings before the hearing officer disobeys or resists any lawful order or refuses to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined, or is guilty of misconduct during a hearing or in its immediate vicinity as to obstruct the proceedings, the hearing officer may certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code section 11455.20. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 11455 and 11525, Government Code. 
HISTORY

1. New subarticle 6 (sections 60055.29-60055.30) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.30. Sanctions.
Note     •     History

(a) Notwithstanding the above, the hearing officer may order a party, a party's representative or both, to pay reasonable expenses, including attorney's fees, incurred by another party as a result of bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay. 
(1) “Actions or tactics” include, but are not limited to, the making or opposing of motions; the failure to comply with a discovery request or subpoena; or the failure to comply with a lawful order of the hearing officer. 
(2) “Frivolous” means: 
(A) Totally and completely without merit; or 
(B) For the sole purpose of harassing an opposing party. 
(b) An order for sanctions may be oral on the record or in writing and shall set forth the factual findings which are the basis for the imposition of sanctions. 
(1) In determining reasonable expenses, the party or parties to whom payment is to be made shall, at the hearing officer's discretion, either make a statement on the record under oath or submit a written declaration under penalty of perjury setting forth with specificity the expenses incurred as a result of the other party's conduct. 
(2) Within five days of the receipt of the hearing officer's order for the payment of expenses, a party or representative may, on the ground of hardship, request reconsideration from the hearing officer issuing the order. The request for reconsideration shall be filed in writing, and include a declaration under penalty of perjury. 
(c) The order or denial of an order to pay expenses under paragraph (b) is subject of procedural review in the same manner as a final decision pursuant to Subarticle 11. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and  Sections 11455.30 and 11525, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 7. Hearings
§60055.31. Failure to Appear.
Note     •     History

If after service of a Notice of Hearing, including Notice of Consolidated Hearing or Continuance, a party fails to appear at a hearing either in person or by representative, the hearing officer may take the proceeding off calendar, or may, at the request of a party, or on his or her own motion, adversely rule against the absent party. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New subarticle 7 (sections 60055.31-60055.36) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.32. Conduct of Hearing.
Note     •     History

(a) The hearing shall be presided over by a hearing officer who shall conduct a fair and impartial hearing in which each party has a reasonable opportunity to be heard and to present evidence. 
(b) The hearing shall be conducted in the English language. 
(c) Subject to reasonable limitations that may be imposed by the hearing officer, each party to the proceeding shall have the right to: 
(1) Call and examine witnesses; 
(2) Introduce exhibits; 
(3) Question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examinations; 
(4) Impeach any witness regardless of which party first called the witness to testify; and 
(5) Call and examine an opposing party as if under cross-examination, even if that party does not testify on his or her own behalf. 
(d) Burden of Going Forth. 
(1) The executive officer has the initial burden of presenting evidence that those parts of the executive officer decision specifically challenged in the petition for review are supported by the facts and applicable law. 
(2) After the executive officer presents its evidence, the petitioner shall present documentation, testimony, or other evidence to support all claims made, including any affirmative defenses raised, that are pertinent to the issues presented to the hearing officer for determination. 
(3) Subject to the hearing officer's authority under subparagraph (e)(1) below, at the close of the petitioner's presentation of evidence, the parties may present rebuttal evidence that is necessary to resolve disputed issues of material fact. 
(e) The hearing officer may: 
(1) Limit the number of witnesses and the scope and extent of any direct examination, cross-examination, or rebuttal testimony, as necessary, to protect the interests of justice and conduct a reasonably expeditious hearing; 
(2) Require the authentication of any written exhibit or statement; 
(3) Call and examine a party or witness and may, on his or her own motion, admit any relevant and material evidence; 
(4) Exclude persons whose conduct impedes the orderly conduct of the hearing; 
(5) Restrict attendance because of the physical limitations of the hearing facility; or 
(6) Take other action to promote due process or the orderly conduct of the hearing. 
(f) The taking of evidence in a hearing shall be controlled by the hearing officer in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall define the issues and the order in which evidence will be received. The hearing officer shall have discretion to decide whether conferences and informal discussions necessary to facilitate the orderly and expeditious conduct of the case will be conducted in closed session and/or be recorded. 
(g) Each matter in controversy shall be decided by the hearing officer upon a preponderance of the evidence test, unless otherwise provided under California law. 
(h) Hearings shall be recorded electronically. The recording made by the Administrative Hearing Office shall be the official recording of the hearing. 
(1) A verbatim transcript of the official recording will not normally be prepared, but may be ordered by the hearing officer if deemed necessary to permit a full and fair review and resolution of the case. If not so ordered by the hearing officer, a party may, at its own expense, request that a verbatim transcript be made. The party making the request shall provide one copy to the hearing officer and one copy to every other party. 
(2) The official recording of the hearing and transcript of the recording, together with all written submissions made by the parties, shall become part of the administrative record for the proceeding. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.33. Evidence.
Note     •     History

(a) Testimony shall be taken only under oath or affirmation. 
(b) The hearing need not be conducted according to technical rules relating to evidence and witnesses. The hearing officer shall admit evidence which is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions, and which is not irrelevant, immaterial, unduly repetitious, or otherwise unreliable or of little probative value. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence, but upon timely objection shall not be sufficient in and of itself to support a finding unless it would be admissible over objection in civil actions. The application of these rules shall not affect the substantial rights of the parties as provided in the Evidence Code. 
(c) The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing. 
(d) Consistent with the provisions of section 60055.25(d), trade secret and other confidential information may be introduced into evidence. The hearing officer shall take all precautions to preserve the confidentiality of such information, and may make such orders as may be necessary to consider such evidence in a closed meeting, including the use of a supplemental order or decision to address matters which arise out of that portion of the evidence which is confidential. 
(e) In reaching a decision, official notice may be taken, either before or after submission of the proceeding for decision, of any generally accepted technical or scientific matter within the state board's area of expertise, and determinations, rulings, orders, findings and decisions, required by law to be made by the state board or the hearing officer. 
(1) The hearing officer shall take official notice of those matters set forth in section 451 of the Evidence Code. 
(2) The hearing officer may take official notice of those matters set forth in section 452 of the Evidence Code. 
(3) Each party shall give notice of a request to take official notice and be given reasonable opportunity on request to present information relevant to: 
(A) The propriety of taking official notice; and 
(B) The effect of the matter to be noticed. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Sections 451 and 452, Evidence Code.
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.34. Evidence by Affidavit or Declaration.
Note     •     History

(a) At any time 20 or more days prior to a hearing or a continued hearing, a party may mail or deliver to the opposing party or parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subdivision (b). Unless an opposing party, within seven days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine the affiant or declarant the opposing party's right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified orally. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefore is made as herein provided, the hearing officer may allow the affidavit or declaration to be introduced, but if it is allowed to be introduced, it shall only be given the same effect as other hearsay evidence. 
(b) The notice referred to in subdivision (a) shall be a separate document concurrently served with the affidavit or declaration, entitled “Notice of Intent to Use Declaration or Affidavit in Lieu of Oral Testimony.” The title shall be in bold print. The content of the notice shall be substantially in the following form: 
“The accompanying affidavit or declaration of [insert name of affiant or declarant] will be introduced as evidence at the hearing in [insert title and docket number or petition number of proceeding]. [Insert name] will not be called to testify orally and you will not be entitled to question the affiant or declarant unless you notify [insert name of the proponent, representative, agent or attorney] at [insert address] that you wish to cross-examine the affiant or declarant. To be effective, your request must be mailed or delivered to [insert name of proponent, representative, agent or attorney] on or before [insert a date 7 days after the date of mailing or delivery of the affidavit to the opposing party].” 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.35. Exclusion of Witnesses.
Note     •     History

Upon motion of a party, the hearing officer may exclude from the hearing room any witnesses not at the time under examination; but the parties or their representatives to the proceeding shall not be excluded. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.36. Oral Argument and Briefs.
Note     •     History

(a) Prior to the close of the hearing, the hearing officer may, on his or her own motion, or upon motion of a party, grant and determine the length of oral argument. 
(b) Motions to submit written closing argument shall be made prior to the close of the hearing and shall be granted at the discretion of the hearing officer upon a determination that written argument will be productive and will not unreasonably delay the disposition of the proceeding. The hearing officer shall determine the appropriate page lengths of all post hearing briefs at the time he or she determines that the filing of closing arguments is appropriate. A party shall file written closing brief within 15 working days from the date of the hearing. Opposing parties may file a reply brief within 10 working days from service of the argument. The hearing officer may extend or reduce the above filing dates for submission of written argument for good cause. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code.
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 8. Decisions of the Hearing Officer
§60055.37. Default Order.
Note     •     History

(a) Upon motion, the hearing officer may find a party to be in default upon failure, without good cause to appear at a scheduled conference or hearing; or to comply with an order of the hearing officer. 
(b) A default by the petitioner shall result in dismissal of the petition, with prejudice. 
(c) A default by the executive officer shall result in reversal of the decision of the executive officer that is under review. 
(d) Any proceeding may be reinstated by the hearing officer upon a showing of good cause that contains sufficient facts to show or establish a reasonable basis for the failure to appear at the hearing. The request for reinstatement shall be made by the defaulting party within 30 days of service of the default order. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New subarticle 8 (sections 60055.37-60055.38) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.38. Proposed Order or Decision of the Hearing Officer after Petition for Review Hearing; Order or Decision of the Board.
Note     •     History

(a) Unless otherwise ordered, all hearings on petitions for review shall be submitted at the close of the hearing unless otherwise extended by the hearing officer or provided in these rules. Within a reasonable period of time after the proceeding is submitted, the hearing officer shall make findings upon all facts relevant to the issues for hearing, and file a proposed order or decision with the reasons or grounds upon which the order or decision was made. 
(b) The proposed order or decision shall be in writing, signed and dated by the hearing officer deciding the proceeding. 
(c) The hearing officer shall immediately certify the administrative record and forward it, together with a copy of the proposed order or decision, to the clerk of the board. Within 30 days after receipt of the proposed order or decision, the clerk of the board shall serve a copy of the proposed order or decision on each party to the proceeding or its representative and shall issue a public notice that the state board will conduct a public hearing to consider adoption of the proposed order or decision of the hearing officer. At the public hearing, the state board may take any of the following actions: 
(1) Adopt the proposed order or decision in its entirety. 
(2) Make technical or other minor changes to the proposed order or decision and adopt it as its own. Actions under this subparagraph are limited to clarifying or other changes that do not affect the factual or legal basis of the proposed decision. 
(3) Refer the matter back to the hearing officer for the taking of additional evidence, or order that additional evidence be taken at a hearing before the state board itself. If the matter is remanded to the hearing officer, the hearing officer shall issue and serve upon the parties a new proposed order or decision based upon the new evidence that has been received. In such an event, the state board shall consider the newly proposed order or decision under the procedures set forth in this section. 
(4) Issue its own written order or decision, based on the administrative record and any additional evidence presented during the public hearing, setting forth findings of fact and conclusions of law regarding all issues necessary to support the order or decision. 
(d) The clerk of the state board shall serve a copy of the order or decision of the state board on the petitioner, other parties to the proceedings, and any member of the public who has requested a copy. The state board shall specify in the order or decision the date that order or decision becomes effective. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 9. Reconsideration
§60055.39. Reconsideration by the State Board.
Note     •     History

A party aggrieved by an order or decision of the state board relating to a petition for review of an executive officer decision pursuant to section 60055.38 of these rules, or an initial determination by the hearing officer that a hearing to consider a petition is not required by law, pursuant to section 60055.17 of these rules, may within 20 days of service of such order or decision, request that the state board reconsider its order or decision with respect to any matters covered therein. The request for reconsideration shall be filed with the clerk of the state board and shall be served on all parties and the hearing office. The request shall be deemed filed the date it is delivered or mailed to the clerk of the state board. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New subarticle 9 (sections 60055.39-60055.41) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.40. Requirements in Filing Request for Reconsideration; Comments Opposing Request.
Note     •     History

(a) A request for reconsideration of a state board's order or decision regarding a petition for review of an executive officer decision shall be signed by the party or its representative and verified under oath. The request shall be based upon one or more of the following grounds: 
(1) The hearing officer or the state board acted without or in excess of its powers; 
(2) The order or decision was procured by fraud; 
(3) The order or decision is not supported by the evidence or the findings of fact; 
(4) The requesting party has discovered new material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing; or 
(5) The hearing officer and/or the state board have misapplied applicable law. 
(b) Any request for reconsideration shall specifically detail the grounds upon which the requesting party considers the order or decision to be unjust or unlawful and every issue to be considered on reconsideration. The requesting party shall be deemed to have fully waived all objections, irregularities, and illegalities concerning the proceeding upon which reconsideration is sought other than those specifically set forth in the request for reconsideration. The request for reconsideration will be denied if it contains no more than allegations of the statutory or constitutional grounds for reconsideration, unsupported by specific references to the record and principles of law involved. 
(c) When a request for reconsideration or answer thereto has been timely filed, the filing of supplemental papers or answers may be granted at the discretion of the state board. Parties requesting a copy of the hearing record shall bear the cost of reproduction. 
(d) The request for reconsideration may include a request that the order or decision of the state board be stayed pending resolution of the request for reconsideration. As provided in section 60055.41, the order or decision shall be automatically stayed for 20 days from the date of filing of the request for reconsideration. 
(e) Within ten days of being served with notice of a request for reconsideration, a party opposed to the request may file an opposition to the request with the clerk of the state board. The opposition shall be signed and verified under oath by the party or its representative and shall not exceed six pages. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.41. Decision on Reconsideration; Stays.
Note     •     History

(a) The state board may upon the request of a party or its own motion, stay, suspend, or postpone the order or decision that it has issued while the request for reconsideration is pending. 
(b) The state board shall consider the request for reconsideration at the next scheduled board meeting at which the matter may be timely considered and may: 
(1) Review some, but not all issues raised by the request; 
(2) Affirm, rescind, or amend the findings and conclusions of law, of the order or decision; or 
(3) Direct the taking of additional evidence either by submission or further hearing. 
(A) If the state board orders the parties to submit additional evidence, notice and an opportunity to respond shall be given to all parties. 
(B) If the state board orders that additional evidence be taken at a further hearing conducted by the state board or the hearing officer assigned to the case and that additional findings of fact be made, notice of the time and place of the hearing shall be given to all parties and to such other persons that may be affected by the order. 
(C) The issues on further hearing shall be limited to those set forth in the order issued by the state board. 
(D) The time limits in section 60055.38 of these rules for filing an order or decision shall not apply to further hearings during reconsideration. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Section 1140.10, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Subarticle 10. Final Order or Decision; Judicial Review
§60055.42. Final Order or Decision; Effective Date.
Note     •     History

(a) If no request for reconsideration of state board's order or decision is filed within 30 days of the service of an order or decision, the initial order or decision of the state board shall become final. The effective date of the final order or decision shall be the date set forth in the state board's initial decision. 
(b) If reconsideration has been requested, the order or decision of the state board that addresses and fully disposes of the request for reconsideration is the final order or decision. The effective date of the order or decision shall be the date that the order or decision was served on the parties. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Section 43105, Health and Safety Code. 
HISTORY

1. New subarticle 10 (sections 60055.42-60055.43) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60055.43. Judicial Review.
Note     •     History

(a) A party adversely affected by a final decision of the state board, may seek judicial review by filing a petition for a writ of mandate in accordance with section 1094.5 of the California Code of Civil Procedure. The right to petition shall not be affected by the failure to seek reconsideration before the agency. Such petition shall be filed within 30 days after the order or decision becomes final. 
(b) The state board may seek to enforce a final order or decision in superior court in accordance with applicable law. 
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Section 43105, Health and Safety Code; and Section 1094.5, California Code of Civil Procedure. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Article 2.5. Administrative Procedures for Review of Executive Officer Determinations Regarding Service Information for 1994 and Subsequent Model Year Passenger Cars, Light-Duty Trucks, and Medium-Duty Engines and Vehicles and 2007 and Subsequent Model Year Heavy-Duty Engines
Subarticle 1. General Provisions
§60060.1. Applicability.
Note     •     History

(a) This article governs review of Executive Officer determinations regarding compliance with the provisions of Health and Safety Code section 43105.5, and its implementing regulations, title 13, California Code of Regulations, section 1969. 
(b) The provisions of this article apply only to determinations issued on or after the effective date of this article. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: 43105.5(e) and (f), Health and Safety Code; Sections 11500, et seq., Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New article 2.5 (subarticles 1-9, sections 60060.1-60060.34), subarticle 1 (sections 60060.1-60060.10) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of article heading filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.2. Definitions.
Note     •     History

(a) The definitions applicable to these rules include those set out in the Health and Safety Code (commencing with section 39010) and in Title 13, California Code of Regulations, section 1969(c). The definitions set forth in Title 17, California Code of Regulations, section 60065.2 shall also be applicable to the extent that such definitions do not conflict with any terms as defined below. To the extent that any definition in section 60065.2 is applicable to these hearing procedures, any reference to a section within Article 3 that is set forth in that definition shall be read as the parallel section within this Article. 
(b) The following definitions also apply: 
(1) “Executive Officer” is the Executive Officer of the state board and employees of the state board authorized to represent the Executive Officer in the determination made pursuant to title 13, CCR, section 1969(j). 
(2) “Interested Party” shall mean the covered person who filed the underlying request for audit that led to the issuance of a notice to comply. 
(3) “Party” refers to the Executive Officer, motor vehicle manufacturer or engine manufacturer appearing before a hearing officer in a hearing to review an Executive Officer determination against the motor vehicle manufacturer or engine manufacturer for noncompliance with Health and Safety Code section 43105.5 and title 13, California Code of Regulations section 1969 and also to any person whose motion to intervene has been granted pursuant to section 60060.8. 
(4) “Request for Review” refers to the document requesting an administrative hearing that may be filed by a motor vehicle manufacturer, an engine manufacturer, or the Executive Officer. 
(5) “Response” means a document that is responsive to the request for review filed by a party opposed to the review or the relief requested. 
NOTE

Authority cited: Sections 39010, 39600 and 39601, Health and Safety Code. Reference: Part 5 (commencing with 39010), and Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsections (b)(3)-(4) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.3. Right to Representation.
Note     •     History

(a) A party may appear in person or through a representative, who is not required to be an attorney at law. The right to representation is at the party's own expense. Following notification that a party is represented by a person other than him or herself, all further communications regarding the proceedings shall be directed to that representative. 
(b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding. Persons who appear as representatives shall not engage in unethical conduct or intentionally fail to observe the procedures set forth in these rules and the proper instructions or orders of the hearing officer. 
(c) A representative may withdraw an appearance by filing a written notice of withdrawal with the hearing office and by serving a copy on all parties. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.4. Time Limits; Computation of Time.
Note     •     History

(a) All actions required under these rules shall be completed within the times specified in this article, unless extended by the hearing officer after a showing of good cause and consideration of prejudice to other parties. Requests for extensions of time for the filing of any pleading, letter, document, or other writing or completing any other required action must be received in advance of the date on which the filing or action is due and should contain sufficient facts to establish a reasonable basis for the relief requested. 
(b) In computing the time that a person has to perform an act or exercise a right, the day of the event initiating the running of the time period shall not be included and the last day of the time period shall be included. If the last day falls on a Saturday, Sunday, or a state holiday, time shall be extended to the next working day. 
(c) In computing time, the term “day” means calendar day, unless otherwise provided. 
(d) Unless otherwise indicated by proof of service, the mailing date shall be presumed to be the postmark date appearing on the envelope if first-class postage was prepaid and the envelope was properly addressed. 
(e) Where service of any pleading, petition, letter, document, or other writing is by mail, overnight delivery, or facsimile transmission (fax), pursuant to section 60060.5(c), and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time that such right may be exercised or act performed shall be extended as provided in section 60060.5(c). 
(f) Papers delivered to or received by the hearing office during regular business hours (8 a.m. to 5 p.m.) will be filed on that date. Papers delivered or received at times after regular business hours will be filed on the next regular business day. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.5. Service, Notice and Posting.
Note     •     History

(a) Except as otherwise provided in this article, the original of every pleading, petition, letter, document, or other writing served in a proceeding under these rules shall be filed with the hearing office. 
(b) A copy of the request for review shall be concurrently served on all other parties. 
(c) Unless otherwise required, service of any documents in the proceedings may be made by personal delivery, by United States first-class or interoffice mail, by overnight delivery, or by fax. 
(1) Service is complete at the time of personal delivery. 
(2) In the case of first-class mail, the documents to be served must be deposited in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, in a sealed envelope, properly addressed to the person on whom it is to be served at the address as last given by that person on any document filed in the present cause of action and served on the party making service or otherwise at the place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended five days if the place of address is within the State of California, ten days if the place of address is outside the State of California but within the United States, and fifteen days if the place of address is outside the United States. 
(3) If served by overnight delivery, or interoffice mail, the document must be deposited in a box or other facility regularly maintained for interoffice mail or by the express service carrier, or delivered to an authorized courier or driver authorized by the express service carrier to receive documents, in an envelope or package designated by the express service carrier with delivery fees paid or provided for, addressed to the person on whom it is to be served, at the address as last given by the person on any document filed in the present cause of action and served on the party making service or otherwise at that place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(4) If served by fax, the document must be transmitted to a fax machine maintained by the person on whom it is served at the fax machine telephone number as last given by that person on any document which he or she has filed in the present cause of action and served on the party making the service. The service is complete at the time of the transmission, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(d) Each document filed shall be accompanied by a proof of service on each party or its representative of record on the date of service. The proof of service shall state whether such service was made personally, first-class mail, overnight delivery, or fax. 
(1) Where service is made by personal delivery, the declaration shall show the date and place of delivery and the name of the person to whom the documents were handed. Where the person making the service is unable to obtain the name of the person to whom the documents were handed, the person making the service may substitute a physical description for the name. 
(2) Where service is made by first-class mail or overnight delivery, the declaration shall show the date and place of deposit in the mail, the name and address of the person served as shown on the mailing envelope and that the envelope was sealed and deposited in the mail with the postage fully prepaid. 
(3) Where service is made by fax, the declaration shall show the method of service on each party, the date sent, and the fax number to which the document was sent. 
(e) The proof of service declaration shall be signed by the person making it and contain the following statement above the signature: “I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct, and this declaration was executed at (City, State) on (Date).” The name of the declarant shall be typed and signed below this. 
(f) Proof of service made in accordance with the California Code of Civil Procedure section 1013a complies with this regulation. 
(g) Service and notice to a party who has appeared through a representative shall be made upon such representative. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11182 and 11184, Government Code; Sections 1013 and 1013a, Code of Civil Procedure; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.6. Motions.
Note     •     History

(a) Any motion or request for action by the hearing officer filed by any party, except those made orally on the record at a hearing, shall be in writing and filed with the hearing officer, with written notice and proof of service to all parties. The caption of each motion shall contain the title and docket number of the proceeding and a clear and plain statement of the relief sought and supporting rationale. 
(b) Except as otherwise provided by statute or these regulations, or as ordered by the hearing officer, a motion shall be made and filed at least 15 days before the date set for the motion to be heard or the commencement of the hearing on the merits. Any response to the motion shall be filed and served no later than five days before the motion is scheduled to be heard or as ordered by the hearing officer. 
(c) The hearing office shall set the time and place for the hearing of the motion. The hearing shall occur as soon as practicable. 
(d) Except as otherwise provided by statute or these regulations, the hearing officer may decide a motion filed pursuant to this section without oral argument. Any party may request oral argument at the time of the filing of the motion or the response. If the hearing officer orders oral argument, the party requesting oral argument, or any party directed to do so by the hearing officer, shall serve written notice on all parties of the date, time and place of the oral argument. The hearing officer may direct that oral argument be made by telephone conference call. The hearing officer may order that the proceedings be recorded. 
(e) The hearing officer shall issue a written order deciding any motion, unless the motion is made during the course of the hearing on the merits while on the record. The hearing officer may request that the prevailing party prepare a proposed order. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.7. Form of Pleadings.
Note     •     History

(a) Except as otherwise expressly provided in this article or by the hearing officer, there are no specific requirements as to the form of documents filed in a proceeding under these rules. 
(b) The filing party or its representative shall sign the original of any pleading, letter, document, or other writing (other than an exhibit). The signature constitutes a representation by the signer that it has read the document, that to the best of its knowledge, information and belief, the statements made therein are true, and that it has not filed the document for the purpose of delay. 
(c) The initial document filed by any person shall indicate his or her status (as a party or representative of the party) and shall contain his or her name, address and telephone number. Any changes in this information shall be communicated promptly to the hearing office and all parties to the proceeding. A party who fails to furnish such information and any changes to it shall be deemed to have waived his or her right to notice and service under these rules. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.8. Motion to Intervene.
Note     •     History

(a) Any person may file a motion to intervene. 
(b) The hearing officer shall grant, as a matter of right, a timely written motion to intervene filed by an interested party to the determination for which review has been requested. 
(c) As to other persons, the hearing officer may grant such a motion to intervene if all of the following conditions are satisfied: 
(1) The motion is in writing, with copies served on all parties named in the request for review. 
(2) The motion is made as early as practicable. 
(3) The motion states facts demonstrating that the proceeding will substantially affect the requesting person's legal rights, duties, privileges, or immunities. 
(4) The hearing officer determines that the interests of justice and the orderly and prompt conduct of the proceeding will not be impaired by allowing the intervention. 
(d) Upon a motion filed under paragraph (b) or (c) being granted, the hearing officer may impose conditions on the intervenor's participation in the proceeding, either at the time that intervention is granted or at a later time. Conditions may include: 
(1) Limiting the intervenor's participation to designated issues in which the intervenor has a particular interest demonstrated by the motion. 
(2) Limiting or excluding the use of discovery, cross-examination, and other procedures involving the intervenor so as to promote the orderly and prompt conduct of the proceeding. 
(3) Requiring two or more intervenors to combine their presentations of evidence and argument, cross-examination, discovery, and other participation in the proceeding. 
(4) Limiting or excluding the intervenor's participation in settlement negotiations. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.9. Limitations on Written Legal Arguments or Statements
Note     •     History

(a) Any written legal argument or statement submitted to the hearing officer by a participant in an action under this part shall be double spaced and typed in a font size 12 point or larger. Except as otherwise provided by this part, or otherwise authorized by the hearing officer for good cause shown, no written legal argument, exclusive of any supporting documentation, may exceed: 
(1) Fifteen pages, for arguments in support of or opposition to motions; and 
(2) Five pages, for reply arguments. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.10. Interpreters and Other Forms of Accommodation.
Note     •     History

(a) In proceedings where a party, a party's representative, or a party's expected witness requires an interpreter for any language, including sign language, that party shall be responsible for notifying the hearing office as soon as the requirement is known, but no later than ten days prior to the first day of hearing. The hearing officer may allow later notification for good cause. The hearing office shall be responsible for securing the interpreter, and for providing reasonable accommodation. 
(b) The state board shall pay the cost of interpreter services if the hearing officer so directs. In determining who should pay the cost of the interpreter, the hearing officer shall base the decision on equitable considerations, including the ability of the party in need of the interpreter to pay the cost. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11425.10, 11435.25, 11435.30 and 11435.55, Government Code; Section 751, Evidence Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
Subarticle 2. Hearing Officers
§60060.11. Authority of Hearing Officers.
Note     •     History

(a) The hearing officer shall have authority to review matters arising under Health and Safety Code section 43105.5 and title 13, CCR, section 1969(k). Such authority shall include those matters in which: 
(1) A motor vehicle manufacturer or engine manufacturer has contested a notice to comply that has been issued by the Executive Officer because the motor vehicle manufacturer or engine manufacturer has allegedly failed to comply with the provisions of section 43105.5 or the implementing regulations, title 13, CCR, section 1969; 
(2) The Executive Officer has requested review and issuance of a compliance order against a motor vehicle manufacturer or engine manufacturer who has failed to request review of a notice to comply and has not filed a compliance plan as required by the notice to comply; and 
(3) The Executive Officer has rejected a compliance plan submitted by a motor vehicle manufacturer or engine manufacturer pursuant to section 43105.5(e); and 
(4) The Executive Officer has requested review and issuance of a compliance order against a motor vehicle manufacturer or engine manufacturer that has failed to comply with the terms of an approved compliance plan. 
(b) Except as may be specifically limited in title 13, CCR, section 1969, in any matter subject to review pursuant to these rules, the hearing officer shall have the authority to do any act and take all measures necessary for the maintenance of order and for the efficient, fair and impartial adjudication of issues arising in proceedings governed by these rules, including, but not limited to, authority to hold prehearing conferences; conduct hearings to determine all issues of fact and law presented; to rule upon motions, requests and offers of proof, dispose of procedural requests, and issue all necessary orders; administer oaths and affirmations and take affidavits or declarations; to issue subpoenas and subpoenas duces tecum for the attendance of a person and production of testimony, books, documents, or other things; to compel the attendance of a person residing anywhere in the state; to rule on objections, privileges, defenses, and the receipt of relevant and material evidence; to call and examine a party or witness and introduce into the hearing record documentary or other evidence; to request a party at any time to state the respective position or supporting theory concerning any fact or issues in the proceeding; to certify official acts; to extend the submittal date of any proceeding; to hear and determine all issues of fact and law presented and to issue such interlocutory and final orders, findings, decisions, and appropriate remedies, including penalties, as may be necessary for the full adjudication of the matter. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11181-11182 and 11425.30, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New subarticle 2 (sections 60060.11-60060.12) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsections (a)(1)-(4) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.12. Disqualification.
Note     •     History

(a) The hearing officer shall disqualify himself or herself and withdraw from any case in which he or she cannot accord a fair and impartial hearing. 
(b) A hearing officer may not hear any case in which he or she has previously served as an investigator, prosecutor, or advocate. 
(c) Any party may request the disqualification of a hearing officer by filing an affidavit or declaration under penalty of perjury. A request against the hearing officer must be made no later than five days prior to the commencement of a prehearing conference or first day of hearing on the merits, whichever is earlier. The affidavit or declaration must state with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. The issue shall be determined, in the first instance, by the hearing officer against whom the request for disqualification has been filed. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11425.10, 11425.30, 11425.40 and 11512, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
Subarticle 3. Ex Parte Communications
§60060.13. Prohibited Communications.
Note     •     History

(a) Except as otherwise provided in this section, while the proceeding is pending, the hearing officer shall not participate in any communications with any party, representative of a party, or any person who has a direct or indirect interest in the outcome of the proceeding about the subject matter or merits of the case at issue, without notice and opportunity of all parties, to participate in communication. 
(b) No pleading, letter, document, or other writing shall be filed in a proceeding under these rules by a party unless service of a copy thereof together with any exhibit or attachment is made on all other parties to a proceeding. Service shall be in a manner as prescribed in section 60060.5. 
(c) For the purpose of this section, a proceeding is pending from the time that a request for review is first filed with the hearing office. 
(d) Communications prohibited under paragraph (a) do not include communications concerning matters of procedure or practice, including requests for continuances that are not in controversy. 
(e) A communication between a hearing officer and an employee of the state board that would otherwise be prohibited by this section is permissible if the employee is another employee of the hearing office whose job duties include aiding the hearing officer in carrying out the hearing officer's adjudicative responsibilities. Upon request, the hearing office will provide a list of employees of the hearing office to the parties. The prohibitions of paragraph (a) that apply to the hearing officer shall also apply to such other employees employed in the hearing office. Communications permitted under this paragraph shall not furnish, augment, diminish, or modify the evidence in the record. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11425.10 and 11430.70-11430.80, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New subarticle 3 (sections 60060.13-60060.14) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.14. Disclosure of Communication.
Note     •     History

(a) If, while the proceeding is pending, but before serving as hearing officer, the hearing officer receives a communication of a type that would be in violation of this subarticle if received while serving as hearing officer, he or she shall, promptly after starting to serve, disclose the content of the communication on the record and give all parties an opportunity to address it as provided below. 
(b) If a hearing officer receives a communication in violation of this article, the hearing officer shall make all of the following a part of the record in the proceeding: 
(1) If the communication is written, the writing and any written response of the hearing officer to the communication; and 
(2) If the communication is oral, a memorandum stating the substance of the communication, any response made by the hearing officer, and the identity of each person from whom the hearing officer received the communication. 
(c) The hearing officer shall notify all parties that a communication described in this section has been made a part of the record. 
(d) If a party requests an opportunity to address the communication within ten days after receipt of notice of the communication: 
(1) The party shall be allowed to comment on the communication. 
(2) The hearing officer has discretion to allow the party to present evidence concerning the subject of the communication, including discretion to reopen a hearing that has been concluded. 
(e) Receipt of ex parte communications may be cause for disqualification of the hearing officer. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11425.10 and 11430.10 et. seq., Government Code; Section 1969, title 13, California Code of Regulations; Sections 11425.10 and 11430.10 et. seq., Government Code; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
Subarticle 4. Filing Requests for Administrative Hearing Review
§60060.15. Requests for Review by a Motor Vehicle Manufacturer or Engine Manufacturer.
Note     •     History

(a) A motor vehicle manufacturer or engine manufacturer may file a request that a hearing officer review an Executive Officer determination to issue a notice to comply against the motor vehicle manufacturer or engine manufacturer, pursuant to Health and Safety Code section 43105.5(e) and title 13, CCR, section 1969(j). 
(b) The motor vehicle manufacturer or engine manufacturer shall file the request for hearing within 30 days from the date that the Executive Officer issues a determination to issue a notice to comply. The hearing officer may, for good cause, extend the time for such filing. 
(c) A failure to file a timely request for hearing of the Executive Officer's determination to issue a notice to comply, without alternatively serving on the Executive Officer a compliance plan as required by title 13, CCR, section 1969(j)(8), will result in the Executive Officer determination becoming final. The manufacturer's failure to pursue administrative review could subject the manufacturer to penalties pursuant to Health and Safety Code section 43105.5(f) and title 13, CCR, section 1969(n). 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New subarticle 4 (sections 60060.15-60060.22) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of section heading and section filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.16. Requests for Review by the Executive Officer.
Note     •     History

(a) The Executive Officer shall file a request for hearing officer review and issuance of a compliance order when: 
(1) The Executive Officer has issued a notice to comply against a manufacturer and the manufacturer has failed to either request administrative review of the determination, or, in the alternative, to submit a compliance plan as required under Title 13, CCR, section 1969(l)(9). The Executive Officer shall file the request for review within 30 days from the last day that the manufacturer had to file either a request for review of the determination with the hearing office or submit a compliance plan to the Executive Officer. 
(2) A motor vehicle manufacturer or engine manufacturer has submitted a compliance plan pursuant to Title 13, CCR, section 1969(l)(9), and the Executive Officer has determined pursuant to the procedures set forth in section 1969(l)(10) that the compliance plan is unacceptable. The Executive Officer shall file the request for review within 30 days from the date that he or she issues the determination. 
(3) A motor vehicle manufacturer or engine manufacturer has had a compliance plan approved pursuant to Title 13, CCR, section 1969(l)(11) but has failed to comply with the terms of the plan. 
(b) The hearing officer may, for good cause, extend the time for such filing. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsections (a)(1)-(3) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.17. Content of a Request for Review.
Note     •     History

A request for review is not required to follow any particular form or format. But the request for review shall include all of the following. 
(a) The signature of the requesting party or its designated representative. 
(b) Copies of and specific reference to the respective determination of the Executive Officer that is the subject of the request for review (i.e., the notice to comply issued against the motor vehicle manufacturer or engine manufacturer, or the determination rejecting the motor vehicle manufacturer's or engine manufacturer's compliance plan). 
(c) The correct business address of the requesting party and, if applicable, the name and address of the party's designated representative. 
(d) The name and address of any interested party identified in the challenged determination. 
(e) A statement of the circumstances or arguments that are the basis of the request for hearing, with specific reference to the evidence that was before the Executive Officer that supports such arguments. 
(f) A statement of the proposed relief sought by the requesting party. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsection (b) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.18. Notice of Receipt of Request for Review.
Note     •     History

(a) Upon receipt of a timely request for review, the hearing office shall review the request for completeness. 
(b) If the request does not include the information required under section 60060.17, the hearing office shall immediately acknowledge receipt of the request and notify the requesting party of the deficiencies that must be corrected before the request for hearing may be deemed filed and docketed. The requesting party shall have 10 days from the date of mailing the notice of deficiencies to submit a complete request for hearing. If the deficiencies are not corrected within the 10 days or the time provided for initially filing the request in sections 60060.15 through 60060.16, whichever is later, the underlying Executive Officer determination will become final. 
(c) If the hearing office finds the request for hearing to be complete, it shall deem the request filed on the date that the request was received and notify the requesting party, the Executive Officer, and any identified interested party that a request for hearing has been filed. 
(d) Except as provided in paragraph (f) below, the notice shall inform the parties that: 
(1) Copies of these hearing procedures are available from the hearing office and that the procedures set forth at Government Code section 11500 et seq. are not applicable. 
(2) Interested parties may file a motion to intervene pursuant to these rules if they wish to participate in the hearing. 
(3) The parties shall submit to the hearing office responsive and reply arguments by the dates specified in these procedures. 
(4) The parties have the right to be represented by counsel or other representative of their choosing and the right to an interpreter or other necessary accommodation. 
(e) Upon being informed that the request for review is complete, the Executive Officer shall forward to the hearing officer, within 15 days from the date of service, a certified copy of the Executive Officer determination that is the subject of the request for review and the investigative record that was compiled during the Executive Officer's investigation. 
(f) In those matters in which the Executive Officer has requested review of his or her determination to issue a notice to comply because the manufacturer has failed to contest the notice or, in the alternative, submit a compliance plan, the notice shall inform the parties that no hearing on the merits of the underlying Executive Officer determination will be held. Instead the notice shall inform the parties that the hearing officer will issue a compliance order against the motor vehicle manufacturer or engine manufacturer within 30 days of receipt from the Executive Officer of a certified copy of the Executive Officer determination and investigative record. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Part 5, Health and Safety Code; Section 11425.10, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsection (f) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.19. Response to Request for Review.
Note     •     History

Any party opposed to a filed request for review shall file a response within 30 days after service of the notice of filing by the hearing office. The response shall be in writing and address the issues raised in the request for hearing. The response should include any rebuttal to the issues and arguments raised by the party requesting review, with specific reference to the investigative record that was before the Executive Officer when he or she made a determination that is the subject of the review before the hearing officer. The response shall be in the form of a declaration signed under penalty of perjury. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.20. Reply.
Note     •     History

Within 15 days of receipt of the last submitted response, the party requesting review may file a reply responding to the contentions raised in any response. The reply shall be in the form of a declaration signed under penalty of perjury. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.21. Extensions of Time for Submitting a Response or Reply.
Note     •     History

The time period for submitting a response required under section 60060.19 or a reply under section 60060.20 may be extended: 
(1) By stipulation of the parties for 30 additional days to allow the parties to conduct informal settlement negotiations; or 
(2) Upon motion to the hearing officer, who may extend the time period for up to 30 days, if the moving party can show good cause and if the other parties are not prejudiced by a delay. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.22. Stays Pending Issuance of Hearing Officer's Decision.
Note     •     History

Pending the hearing officer issuing its decision, a motor vehicle manufacturer or engine manufacturer contesting an Executive Officer determination to issue a notice to comply or to reject a compliance plan submitted in response to a notice to comply shall not be required to take any action in response to the challenged Executive Officer determination. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
Subarticle 5. Pre-Hearing Procedures
§60060.23. Schedule of Review Proceedings.
Note     •     History

(a) Upon receipt of a request for review, the administrative hearing office of the state board shall assign an administrative law judge to be the hearing officer, unless staffing and other resources of the hearing office would prevent timely consideration of the matter. If the resources of the administrative hearing office prevent assignment, the administrative hearing office shall refer the matter to the State Office of Administrative Hearings for assignment. 
(b) With the consent of the parties, hearings shall be conducted based on the written record certified by the Executive Officer and the written submissions of the parties, whenever possible. 
(c) For matters that are to be decided based upon the submitted written record, the hearing officer shall serve upon the parties a schedule setting forth the date that the record will be closed and submitted for decision. 
(d) For hearings requiring personal appearances, the hearing officer shall serve upon the parties the dates scheduled for hearing for the purpose of taking evidence. Such hearing shall not be set earlier than 30 days from the date that the notice is served on all parties. 
(e) Upon either a motion of the hearing officer or any party, the hearing officer may grant such delays or adjustments to the schedule for the review proceedings as may be necessary or desirable in the interest of fairness. In filing a motion, the moving party shall file the request not less than five days prior to the date set for the action covered by the request and shall submit such evidence to establish good cause for the requested delay or adjustment to the schedule. If the hearing officer orders a delay or adjustment to schedule, he or she shall provide written notice to all parties. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11509 and 11440.30, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New subarticle 5 (sections 60060.23-60060.25) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.24. Consolidation, Separation of Proceedings.
Note     •     History

(a) Upon the motion of a party or upon the hearing officer's own motion, the hearing officer may consolidate for review and decision: 
(1) Any number of proceedings involving the same parties; and 
(2) Any number of proceedings involving common issues of law or fact where consolidation would expedite and simplify consideration of the issues and would not adversely affect the rights of the parties. 
(b) Upon the motion of a party or upon the hearing officer's own motion, the hearing officer may, in furtherance of convenience or to avoid prejudice, or when separate review proceedings will be conducive to expedition and economy, order a separate review proceeding of any issue or any number of issues, including issues raised in a party's response to a request for hearing. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.25. Discovery.
Note     •     History

(a) The provisions of this section provide the exclusive right to, and method of, discovery as to any proceeding governed by these review procedures. Nothing in this section prohibits the parties from voluntarily stipulating to exchange any information that they deem appropriate. This section does not authorize the inspection or copying of, any writing or thing that is privileged from disclosure by law or protected as part of an attorney's work product. 
(b) No discovery is available to the parties in matters forwarded to the hearing officer for issuance of compliance orders pursuant to section 60060.16(a)(1). 
(c) For other hearings, within 30 days from the date of service of the notice of filing, a party may serve on any other party to the proceeding a written request, for the following: 
(1) The names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the hearing; and 
(2) The opportunity to inspect and make a copy of any thing, document, statement or other writings relevant to the issues for hearing that are in the possession, custody or control of another party to the proceeding and would be admissible in evidence. This includes the following information from the investigative file compiled by the Executive Officer: (i) the names and addresses of witnesses or of persons (other than confidential informants) having personal knowledge of the issues involved in the proceeding, (ii) matters perceived by the investigator in the course of his or her investigation (as opposed to his or her analysis or conclusions), and (iii) statements related to the issues of the proceedings which are otherwise admissible. 
(d) The parties subject to the requirements of paragraph (c) shall arrange a mutually convenient time for the exchanging of the names and addresses of witnesses and the inspecting and copying of relevant things, documents, statements, and other writings identified in subparagraph (B) above, but such date shall not be later than 30 days from the date of receipt of the request made pursuant to subparagraph (b)(1). Unless other arrangements are made, the party requesting the writings shall pay for the copying. 
(e) Absent a stipulation between the parties, a party claiming that certain writings or things are privileged against disclosure shall, within 15 days of receipt of the request for inspection and copying, serve on the requesting party a written statement setting forth what matters it claims are privileged and the reasons supporting its claims. 
(f) A party may file a motion requesting that the hearing officer allow further discovery. The motion shall specify the proposed method of discovery that it would like to use and shall include affidavits describing in detail the nature of the information that the requesting party seeks through discovery, the relevance and probative value of the information, proposed time and place of the discovery (if applicable), and why the need for the information was not previously raised with the Executive Officer during his or her consideration of the determination under review. After fully considering the arguments of the parties, the hearing officer may order such discovery that will promote a full and fair hearing. The hearing officer's order shall set forth the form and method of permissible discovery and the time and place for its occurrence. 
(g) Proceeding to Compel Discovery. 
(1) Any party claiming that its request for discovery pursuant to this section has not been complied with or that the opposing party has failed to comply with a stipulated agreement to provide discovery may serve and file with the hearing officer a motion to compel the party who has refused or failed to produce the requested or stipulated discovery to comply. The motion shall include the following: 
(A) Facts showing the party has failed or refused to comply with a discovery request or stipulation; 
(B) A description of the information sought to be discovered; 
(C) The reasons why the requested information is discoverable; 
(D) Evidence that a reasonable and good faith attempt to contact the noncomplying party for an informal resolution of the issue has been made; and 
(E) To the extent known by the moving party, the measures for the noncomplying party's refusal to provide the requested information. 
(2) The motion shall be filed within 15 days after the date the requested information was to be made available for inspection and copying or the date a deposition was scheduled to take place and served upon the party who has failed or refused to provide discovery. 
(3) The hearing on the motion to compel discovery shall be held within 15 days after the motion is filed, or a later time that the hearing officer may on his or her own motion for good cause determine. The party who has refused or failed to provide discovery shall have the right to serve and file a written answer or other response which shall be due at the hearing office and personally served on all parties at least three days prior to the date set for hearing. 
(4) Where the matter sought to be discovered is under the custody or control of the party who has refused or failed to provide discovery and that party asserts that the matter is not a discoverable matter under this section, or is privileged against disclosure, the hearing officer may order that the party in custody lodge with the hearing office the matters identified in subdivision (b) of section 915 of the Evidence Code, and the hearing officer shall examine the matters in accordance with those provisions. 
(5) The hearing officer shall decide the case on the matters examined in a closed meeting, the papers filed by the parties, and such oral argument and additional evidence as the hearing officer may allow. 
(6) Unless otherwise stipulated by the parties, the hearing officer shall no later than 15 days after the hearing make its order denying or granting the motion. The order shall be in writing setting forth the matters the moving party is entitled to discover. The hearing office shall serve a copy of the order by mail upon the parties. Where the order grants the motion in whole, or in part, the order shall not become effective until ten days after the date the order is served. Where the order denies relief to the moving party, the order shall be effective on the date it is served. 
(7) If after receipt of an order directing compliance with the provisions of these rules regarding discovery, a party fails, without good cause, to comply with the order, the hearing officer may draw adverse inferences against that party and may prevent that party from introducing any evidence that had been requested and not produced during discovery into the administrative record. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference:; Sections 43105.5(e) and (f), Health and Safety Code; Sections 11189 and 11507.6, Government Code; Section 915(b), Evidence Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
Subarticle 6. Contempt and Sanctions
§60060.26. Contempt.
Note     •     History

If any person in proceedings before the hearing officer disobeys or resists any lawful order or, if applicable, refuses to take the oath or affirmation as a witness or thereafter refuses to be examined, or is guilty of misconduct during a hearing, the hearing officer may certify the facts to the superior court in and for the county where contempt proceedings are held pursuant to Government Code section 11455.20. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11455 and 11525, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New subarticle 6 (sections 60060.26-60060.27) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.27. Sanctions.
Note     •     History

(a) Notwithstanding the above, the hearing officer may order a party, a party's representative or both, to pay reasonable expenses, including attorney's fees, incurred by another party as a result of bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay. 
(1) “Actions or tactics” include, but are not limited to, the making or opposing of motions and the failure to comply with a lawful order of the hearing officer. 
(2) “Frivolous” means: 
(A) Totally and completely without merit, or 
(B) For the sole purpose of harassing an opposing party. 
(b) An order for sanctions shall be in writing and shall set forth the factual findings that are the basis for the imposition of sanctions. 
(1) In determining reasonable expenses, the party or parties to whom payment is to be made shall, at the hearing officer's discretion, either make a statement on the record under oath or submit a written declaration under penalty of perjury setting forth with specificity the expenses incurred as a result of the other party's conduct. 
(2) Within five days of the receipt of the hearing officer's order for the payment of expenses, a party or representative may, on the ground of hardship, request reconsideration from the hearing officer issuing the order. The request for reconsideration shall be filed in writing, and include a declaration under penalty of perjury. 
(c) The order or denial of an order to pay expenses under paragraph (b) is subject of procedural review in the same manner as a final decision pursuant to Subarticle 11. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11455.30 and 11525, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
Subarticle 7. Review Proceedings
§60060.28. Failure to Appear.
Note     •     History

If after service of a notice of hearing, including notice of consolidated hearing or continuance, a party fails to appear at a hearing either in person or by representative, the hearing officer may take the proceeding off the calendar or such other appropriate action to insure the rights and interests of all parties under Health and Safety Code section 43105.5 and title 13, CCR, section 1969 et seq. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11455.30 and 11525, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New subarticle 7 (sections 60060.28-60060.31) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.29. Conduct of Hearings.
Note     •     History

(a) All hearings shall be presided over by a hearing officer who shall conduct a full and fair hearing in which all parties have a reasonable opportunity to be heard and to present evidence. 
(b) All hearings shall be conducted in the English language, although any party may request the assistance of an interpreter. 
(c) In matters brought before the hearing officer pursuant to a request for review filed by the Executive Officer under section 60060.16(a)(1), no hearing on the merits of the underlying Executive Officer determination issuing a notice to comply shall be held. At the hearing officer's discretion, the hearing officer may issue an order to comply without convening a formal hearing. 
(d) For all other hearings, subject to reasonable limitations that may be imposed by the hearing officer, each party to the proceeding shall have the right to: 
(1) Call and examine witnesses. 
(2) Introduce exhibits. 
(3) Question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examinations. 
(4) Impeach any witness regardless of which party first called the witness to testify. 
(5) Call and examine an opposing party as if under cross-examination, even if that party has not testified on its own behalf. 
(e) The burden of proof and of going forth with evidence in hearings covered by paragraph (c) shall be as follows. 
(1) In all hearings for the review of Executive Officer determinations to issue a notice to comply against a motor vehicle manufacturer or engine manufacturer, to reject a motor vehicle manufacturer's or engine manufacturer's compliance plan, or to seek enforcement of a motor vehicle manufacturer's or engine manufacturer's failure to comply with the terms of an approved compliance plan, the burden of proof and of going forward shall be on the Executive Officer. 
(2) At the conclusion of Executive Officer's case-in-chief, the motor vehicle manufacturer or engine manufacturer has the burden of producing evidence to show that no basis exists to support the Executive Officer determination that is under review. 
(3) At the close of the motor vehicle manufacturer's or engine manufacturer's presentation of evidence, the parties respectively have the right to introduce rebuttal evidence that is necessary to resolve disputed issues of material fact, subject to any limits imposed by the hearing officer pursuant to subparagraph (f)(1) below. 
(f) The hearing officer may: 
(1) Limit the number of witnesses and the scope and extent of any direct examination, cross-examination, or rebuttal testimony, as necessary, to protect the interests of justice and conduct a reasonably expeditious hearing; 
(2) Require the authentication of any written exhibit or statement; 
(3) Call and examine a party or witness and may, on his or her own motion, admit any relevant and material evidence; 
(4) Exclude persons whose conduct impedes the orderly conduct of the hearing; 
(5) Restrict attendance because of the physical limitations of the hearing facility; or 
(6) Take other action to promote due process or the orderly conduct of the hearing. 
(g) The taking of evidence in a hearing shall be controlled by the hearing officer in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall define the issues and the order in which evidence will be received. 
(h) The hearing officer shall base its decision as to whether a motor vehicle manufacturer or engine manufacturer is not in compliance or whether the Executive Officer properly rejected a manufacturer submitted compliance plan upon a preponderance of the evidence. 
(i) Hearings shall be recorded electronically or by a court reporter. The record made by the Administrative Hearing Office shall be the official record of the hearing. 
(1) A verbatim transcript of the official recording will not normally be prepared, but may be ordered by the hearing officer if deemed necessary to permit a full and fair review and resolution of the case. If not so ordered by the hearing officer, a party may, at its own expense, request that a verbatim transcript be made. The party making the request shall provide one copy to the hearing officer and one copy to every other party. 
(2) The official record of the hearing and transcript of the recording, together with all written submissions made by the parties, shall become part of the administrative record for the proceeding. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 11455.30 and 11525, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsections (e)(1)-(3) and (h) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.30. Evidence.
Note     •     History

(a) Oral testimony shall be taken only under oath or affirmation. 
(b) The hearing need not be conducted in accordance with technical rules of evidence. Rather, the hearing officer shall admit evidence that is the type of evidence that responsible persons are accustomed to relying upon in the conduct of serious affairs. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence, but upon timely objection shall not be sufficient by itself to support a finding unless it would be admissible over objection in a civil court action. 
(c) The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized. 
(d) Regarding evidence claimed to be trade secrets or other confidential information, the hearing officer will defer to the findings and conclusions of law made by the superior court pursuant to Health and Safety Code section 43105.5(b) and title 13, CCR, section 1969(i). The hearing officer shall preserve the confidentiality of information determined to be a trade secret and may make such orders as may be necessary, including considering such information in a closed meeting. 
(e) In reaching a decision, official notice may be taken, either before or after submission of the proceeding for decision, of any generally accepted technical or scientific matter within the state board's area of expertise, and determinations, rulings, orders, findings and decisions, required by law to be made by the hearing officer. 
(1) The hearing officer shall take official notice of those matters set forth in section 451 of the Evidence Code. 
(2) The hearing officer may take official notice of those matters set forth in section 452 of the Evidence Code. 
(3) Each party shall give notice of a request to take official notice and be given reasonable opportunity on request to present information relevant to: 
(A) The propriety of taking official notice; and 
(B) The effect of the matter to be noticed. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Sections 451 and 452, Evidence Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
§60060.31. Evidence by Declaration.
Note     •     History

(a) At any time 20 or more days prior to a hearing or a continued hearing, a party may mail or deliver to the opposing party or parties a copy of any declaration which the proponent proposes to introduce in evidence, together with a notice as provided in paragraph (b). Unless an opposing party, within seven days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine the declarant the opposing party's right to cross-examine such declarant is waived and the declaration, if introduced in evidence, shall be given the same effect as if the declarant had testified orally. If an opportunity to cross-examine a declarant is not afforded after a request is made as herein provided, the hearing officer may allow the declaration to be introduced, but it shall only be given the same effect as other hearsay evidence. 
(b) The notice referred to in paragraph (a) shall be a separate document concurrently served with the declaration, entitled “Notice of Intent to Use Declaration in Lieu of Oral Testimony.” The title shall be in bold print. The content of the notice shall be substantially in the following form: 
The accompanying declaration of [insert name of declarant] will be introduced as evidence at the hearing in [insert title and docket number or petition number of proceeding]. [Insert name] will not be called to testify orally and you will not be entitled to question the declarant unless you notify [insert name of the proponent or representative] at [insert address] that you wish to cross-examine the declarant. To be effective, your request must be mailed or delivered to [insert name of proponent or representative] on or before [insert a date 7 days after the date of mailing or delivery of the declaration to the opposing party].” 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
Subarticle 8. Decisions of the Hearing Officer
§60060.32. Decisions and Orders of the Hearing Officer.
Note     •     History

(a) Except for compliance orders issued pursuant to or after a request for hearing filed under section 60060.16(a)(1) or otherwise ordered, all proceedings shall be submitted at the time identified by the hearing officer in the schedule for review that has been served upon the parties. Within 30 days of the matter being submitted, the hearing officer shall make findings upon all facts relevant to the issues under review, and file a written decision and order setting forth the reasons or grounds therefore. 
(b) If the decision finds that the motor vehicle manufacturer or engine manufacturer has failed to comply with any of the requirements of Health and Safety Code section 43105.5 or title 13, CCR, section 1969, including the obligation to submit an acceptable compliance plan, the decision shall order the motor vehicle manufacturer or engine manufacturer to come into compliance within 30 days of the effective date of the decision. 
(1) The order shall further provide that if the motor vehicle manufacturer or engine manufacturer fails to comply within the 30-day time period set forth above, the hearing officer may order that the motor vehicle manufacturer or engine manufacturer be assessed penalties in an amount not to exceed $25,000 per day per violation, commencing of the 31st day of noncompliance and continuing until the violation is corrected. 
(2) For purposes of this section, a finding by the hearing officer that a motor vehicle manufacturer or engine manufacturer has failed to comply with the requirements of Health and Safety Code section 43105.5 and title 13 CCR, section 1969 et seq., including the failure to submit a timely compliance plan, shall be considered a single violation. 
(c) A compliance order issued pursuant to a request for review filed under section 60060.16(a)(1) shall be in writing and issued within 30 days from the date the hearing officer notified the parties that it is in receipt of the documents forwarded by the Executive Officer. The order shall require that the motor vehicle manufacturer or engine manufacturer, within 30 days from the date of the order, correct the noncompliance identified by the Executive Officer in its notice to comply. The hearing officer may order the assessment of penalties for continuing noncompliance after the 30-day grace period consistent with the provisions of paragraphs (b)(1) and (2) above. 
(d) The decision or order of the hearing officer is the final decision of the ARB and is effective on the date of issuance. 
(e) A copy of the decision or order shall be served on each party or representative. 
(f) Within five days of the filing of any decision or order, a party may file a written request that the hearing officer correct a mistake or clerical error. 
(1) Pursuant to the party's request or on the hearing officer's own motion, the hearing officer may issue a revised decision or order correcting a mistake or clerical error with respect to any matter respectively covered therein. If the hearing officer makes such a determination, he shall provide written notice to the parties. 
(2) A motion filed by a party under this subparagraph shall be deemed denied if the hearing officer has taken no action to address the request within 15 days of filing of the request. In such a case, the decision shall become effective 15 days after the motion was filed. 
(3) Within 15 days notifying the parties of his or her intent to modify the decision or order, the hearing officer shall serve a copy of any modified decision or order on each party that had previously been served with the original. The modified decision or order shall supersede the previously served document. The date of service of the modified decision or order shall become the effective date of the document. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 11425.50, Government Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New subarticle 8 (sections 60060.32-60060.33) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsections (b)-(c) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
§60060.33. Penalty Assessment.
Note     •     History

In determining the appropriate conditional daily penalties that a motor vehicle manufacturer or engine manufacturer may be subject to under Health and Safety Code section 43105.5(f) and these regulations, the hearing officer shall consider the following factors. 
(a) The extent of noncompliance by the motor vehicle manufacturer or engine manufacturer. 
(b) The harm caused by the noncompliance to the covered person and other persons, as well as any violations to public health and safety and to the environment. 
(c) The nature and persistence of the noncompliance. 
(d) The compliance history of the motor vehicle manufacturer or engine manufacturer, including the history of past noncompliance. 
(e) The efforts made to comply, and any special circumstances preventing or delaying compliance. 
(f) The cooperation of the motor vehicle manufacturer or engine manufacturer during the course of the Executive Officer's investigation. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Section 43105.5, Health and Safety Code; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319. 
HISTORY

1. New section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of first paragraph and subsections (a), (d) and (f) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
Subarticle 9. Judicial Review
§60060.34. Judicial Review.
Note     •     History

(a) Except as provided in paragraph (b) below, a party adversely affected by the final decision of the hearing officer may seek judicial review by filing a petition for a writ of mandate in accordance with section 1094.5 of the California Code of Civil Procedure. Such petition shall be filed within 30 days after the order or decision becomes final. 
(b) A motor vehicle manufacturer or engine manufacturer adversely affected by a compliance order issued pursuant to section 60060.33(a) may only request judicial review of a penalty assessment and not the merits of the underlying notice to comply, which the manufacturer never itself contested. 
(c) The state board may seek to enforce a final order or decision in superior court in accordance with applicable law. 
NOTE

Authority cited: Sections 39600, 39601 and 43105.5(e) and (f), Health and Safety Code. Reference: Sections 43105.5(e) and (f), Health and Safety Code; Section 1094.5, California Code of Civil Procedure; Section 1969, title 13, California Code of Regulations; and Mathews v. Eldridge (1976) 424 U.S. 319.
HISTORY

1. New subarticle 9 (section 60060.34) and section filed 9-12-2002; operative 10-1-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 37).
2. Amendment of subsection (b) filed 6-15-2007; operative 7-15-2007 (Register 2007, No. 24).
Article 3. Administrative Hearing Procedures for Review of Complaints
Subarticle 1. General Provisions
§60065.1. Applicability.
Note     •     History

(a) This article governs hearings to review complaints issued by the state board pursuant to Health and Safety Code sections 42410, 43023, and 43028. The procedures outlined here do not apply to citations that are subject to review under Article 5, section 60075.1, et seq. 
(b) The provisions of this article apply only to complaints filed on or after the effective date of this article. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; Sections 60075, et seq., title 17 and 2048, title 13, California Code of Regulations; and Sections 11500, et seq., Government Code. 
HISTORY

1. New article 3 (subarticles 1-10, sections 60065.1-60065.45), subarticle 1 (sections 60065.1-60065.10) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsection (a) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.2. Definitions.
Note     •     History

(a) The definitions applicable to these rules include those set out in the Health and Safety Code (commencing with section 39010).
(b) The following definitions also apply: 
(1) “Administrative record” means all documents and records timely filed with the hearing office, pursuant to section 60065.4 and the time deadlines of these rules, including pleadings, petitions, motions, and legal arguments in support thereof; all documents or records admitted into evidence or administratively noticed by the hearing officer; all official recordings or written transcripts of hearings conducted; and all orders or decisions issued by the hearing officer or executive officer regarding the complaint at issue; administrative record does not include any prohibited communications as defined in section 60065.13, and any settlement discussions or offers of settlement pursuant to section 60065.25. 
(2) “Complainant” means the state board, acting through any of its employees that have been authorized to investigate, issue, and prosecute a complaint under this article. 
(3) “Complaint” means a document, other than a citation issued for a Class I violation pursuant to title 17, California Code of Regulations, section 60075.1 et. seq., issued by the complainant that seeks administrative civil penalties as an alternative to judicial civil penalties.
(4) “Consent Order” means an order entered by the hearing officer in accordance with the settlement agreement of the parties. 
(5) “Days” means calendar days. 
(6) “Default” means the failure of any party to take the steps necessary and required by these regulations to further the hearing towards resolution, resulting in a finding by the hearing officer of forfeiture of the cause of action against that party. 
(7) “Discovery” refers to the process set forth in section 60065.26 allowing one party to request and obtain information relevant to the complaint proceedings. The scope of discovery is limited by the express terms of that section. 
(8) “Ex Parte Communication” means an oral or written communication not on the public record for which reasonable prior notice to all parties should have been given. 
(9) “Hearing Office” refers to the administrative hearings office established by the state board to conduct administrative hearings to implement the provisions of these rules or to the Office of Administrative Hearings established pursuant to Government Code section 11370.2. The administrative hearing office of the state board shall include at least one administrative law judge who shall act as a hearing officer. 
(10) “Hearing Officer” is either an administrative law judge appointed by the state board to conduct hearings under these procedures pursuant to Health and Safety Code section 43028, or an administrative law judge within the Department of General Services, State Office of Administrative Hearings (OAH) who shall be appointed to conduct hearings pursuant to Health and Safety Code sections 42410 and 43023. Only appointed administrative law judges shall act as hearing officers. 
(11) “Intervenor” means a person who is allowed to voluntarily enter into the proceedings with leave of the hearing officer. 
(12) “Party” includes the complainant, respondent, and an intervenor to the extent permitted by the hearing officer pursuant to section 60065.22. 
(13) “Proceeding” means any hearing, determination or other activity before the hearing officer involving the parties to a complaint. 
(14) “Respondent” means any person against whom a complaint has been filed under this article. 
(15) “Response/Request for Hearing” means a document, responsive to the complaint and signed by the respondent, in which respondent requests a hearing before an administrative law judge and admits or denies the allegations of the complaint or asserts affirmative defenses to the action. 
(16) “Settlement Agreement” means a written agreement executed by the complainant, respondent, and, to the extent permitted by the hearing officer pursuant to section 60065.22(b)(4), an intervenor, that respectively settles the allegations of violation set forth in the complaint. Settlement agreements of a complaint should include: 
(A) Stipulations by the parties establishing subject matter jurisdiction; 
(B) An admission by respondent that it has committed the violations as alleged in the complaint or a statement by respondent that it neither admits nor denies such violation(s); and 
(C) The terms and conditions of the settlement. 
NOTE

Authority cited: Sections 39010, 39600, 39601, 42410, 43023, 43028 and 43031(a), et seq., Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 39010, 39514, 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsections (a), (b)(3), (b)(10) and (b)(15) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.3. Right to Representation.
Note     •     History

(a) A party may appear in person or through a representative, who is not required to be an attorney at law. The right to representation is at the party's own expense. Following notification that a party is represented by a person other than him or herself, all further communications regarding the proceedings shall be directed to that representative. 
(b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding. Persons who appear as representatives shall not engage in unethical conduct or intentionally fail to observe the procedures set forth in these rules and the proper instructions or orders of the hearing officer. 
(c) A representative may withdraw an appearance by filing a written notice of withdrawal with the hearing office and by serving a copy on all parties. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 2180, et seq., title 13, California Code of Regulations. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.4. Time Limits; Computation of Time.
Note     •     History

(a) All actions required pursuant to these rules shall be completed within the times specified in this article, unless extended by the hearing officer upon a showing of good cause, after consideration of prejudice to other parties. Requests for extensions of time for the filing of any pleading, letter, document, or other writing or completing any other required action must be received in advance of the date on which the filing or action is due and should contain sufficient facts to establish a reasonable basis for the relief requested. 
(b) In computing the time within which a right may be exercised or an act is to be performed, the day of the event from which the designated period runs shall not be included and the last day shall be included. If the last day falls on a Saturday, Sunday, or a state holiday, time shall be extended to the next working day. 
(c) In computing time, the term “day” means calendar day, unless otherwise provided. 
(d) Unless otherwise indicated by proof of service, the mailing date shall be presumed to be the postmark date appearing on the envelope if first-class postage was prepaid and the envelope was properly addressed. 
(e) Where service of any pleading, petition, letter, document, or other writing is by mail, overnight delivery, or facsimile transmission (fax), pursuant to section 60065.5(c), and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed shall be extended as provided in section 60065.5(c). 
(f) Papers delivered to or received by the hearing office during regular business hours (8 a.m. to 5 p.m.) will be filed on that date. Papers delivered or received at times other than regular business hours will be filed on the next regular business day. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.5. Service, Notice and Posting.
Note     •     History

(a) Except as otherwise provided in this article, the original of every pleading, petition, letter, document, or other writing served in a proceeding under these rules shall be filed with the hearing office. 
(b) The complaint and all accompanying information shall be served on the respondent personally or by registered mail. 
(c) Except as provided in (b) above and unless otherwise required, service of any documents in the proceedings may be made by personal delivery; by United States first-class or interoffice mail, by overnight delivery, or by fax. 
(1) Service is complete at the time of personal delivery. 
(2) In the case of first-class mail, the documents to be served must be deposited in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, in a sealed envelope, properly addressed to the person on whom it is to be served at the address as last given by that person on any document filed in the present cause of action and served on the party making service or otherwise at the place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended five days if the place of address is within the State of California, ten days if the place of address is outside the State of California but within the United States, and fifteen days if the place of address is outside the United States. 
(3) If served by overnight delivery, or interoffice mail, the document must be deposited in a box or other facility regularly maintained for interoffice mail or by the express service carrier, or delivered to an authorized courier or driver authorized by the express service carrier to receive documents, in an envelope or package designated by the express service carrier with delivery fees paid or provided for, addressed to the person on whom it is to be served, at the address as last given by the person on any document filed in the present cause of action and served on the party making service or otherwise at that place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(4) If served by fax, the document must be transmitted to a fax machine maintained by the person on whom it is served at the fax machine telephone number as last given by that person on any document which he or she has filed in the present cause of action and served on the party making the service. The service is complete at the time of the transmission, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(d) Each document filed shall be accompanied by a proof of service on each party or its representative of record on the date of service. The proof of service shall state whether such service was made personally, first-class mail, overnight delivery, or fax. 
(1) Where service is made by personal delivery, the declaration shall show the date and place of delivery and the name of the person to whom the documents were handed. Where the person making the service is unable to obtain the name of the person to whom the documents were handed, the person making the service may substitute a physical description for the name. 
(2) Where service is made by first-class mail or overnight delivery, the declaration shall show the date and place of deposit in the mail, the name and address of the person served as shown on the mailing envelope and that the envelope was sealed and deposited in the mail with the postage fully prepaid. 
(3) Where service is made by fax, the declaration shall show the method of service on each party, the date sent, and the fax number to which the document was sent. 
(e) The proof of service declaration shall be signed by the person making it and contain the following statement above the signature: “I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct, and this declaration was executed at (City, State) on (Date).” The name of the declarant shall be typed and signed below this. 
(f) Proof of service made in accordance with Code of Civil Procedure section 1013a complies with this regulation. 
(g) Service and notice to a party who has appeared through a representative shall be made upon such representative. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; Sections 11182 and 11184, Government Code; and Sections 1013 and 1013a. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsection (d)(1) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.6. Motions.
Note     •     History

(a) Any motion or request for action by the hearing officer relating to any proceeding pending before him or her filed by any party, except those made orally on the record at the hearing, shall be in writing and shall be directed to the hearing officer, with written notice and proof of service to all parties. The caption of each motion shall contain the title and docket number of the proceeding and a clear and plain statement of the relief sought, together with the grounds therefore. 
(b) Except as otherwise provided by statute or these regulations, or as ordered by the hearing officer, a motion shall be made and filed at least 15 days before the date set for the motion to be heard or the commencement of the hearing on the merits. Any response to the motion shall be filed and served no later than five days before the motion is scheduled to be heard or as ordered by the hearing officer. 
(c) The hearing office shall set the time and place for the hearing of the motion. The hearing shall occur as soon as practicable. 
(d) Except as otherwise provided by statute or these regulations, the hearing officer may decide a motion filed pursuant to this section without oral argument. Any party may request oral argument at the time of the filing of the motion or the response. If the hearing officer orders oral argument, the party requesting oral argument, or any party directed to do so by the hearing officer, shall serve written notice on all parties of the date, time and place of the oral argument. The hearing officer may direct that oral argument be made by telephone conference call. The hearing officer may order that the proceedings be recorded. 
(e) The hearing officer shall issue a written order deciding any motion, unless the motion is made during the course of the hearing on the merits while on the record. The hearing officer may request that the prevailing party prepare a proposed order. 
(f) A request for a prehearing conference or a settlement conference under sections 60065.27 and 60065.28 does not constitute a motion within the meaning of this section. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.7. Form of Pleadings.
Note     •     History

(a) Except as otherwise expressly provided in this article or by the hearing officer, there are no specific requirements as to the form of documents filed in a proceeding under these rules. 
(b) The original of any pleading, letter, document, or other writing (other than an exhibit) shall be signed by the filing party or its representative. The signature constitutes a representation by the signer that it has read the document, that to the best of its knowledge, information and belief, the statements made therein are true, and that it has not filed the document for the purpose of delay. 
(c) The initial document filed by any person shall indicate his or her status (as a party or representative of the party) and shall contain his or her name, address and telephone number. Any changes in this information shall be communicated promptly to the hearing office and all parties to the proceeding. A party who fails to furnish such information and any changes to it shall be deemed to have waived his or her right to notice and service under these rules. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.8. Limitations on Written Legal Arguments or Statements
Note     •     History

(a) Any written legal argument or statement submitted to the hearing officer by a participant in an action under this part shall be double spaced and typed in a font size 12 point or larger. Except as otherwise provided by this part, further limited by the hearing officer, or otherwise authorized by the hearing officer for good cause shown, no written legal argument, exclusive of any supporting documentation, may exceed: 
(1) Fifteen pages, for arguments in support of or opposition to motions; and 
(2) Five pages, for reply arguments. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.9. Records of the State Board.
Note     •     History

Except where public disclosure of information or exhibits is restricted by law, records of the state board are public records and are available to the public pursuant to section 91000, et seq., title 17, California Code of Regulations. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; Sections 6250, et seq., Government Code; and Sections 91000, et seq., title 17, California Code of Regulations. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.10. Interpreters and Other Forms of Accommodation.
Note     •     History

(a) In proceedings where a party, a party's representative, or a party's expected witness requires an interpreter for any language, including sign language, that party shall be responsible for notifying the hearing office as soon as the requirement is known, but no later than ten days prior to the first day of hearing. The hearing officer may allow later notification for good cause. The hearing office shall be responsible for securing the interpreter, and for providing reasonable accommodation. 
(b) The cost of interpreter services shall be paid by the state board if the hearing officer so directs. In determining who should pay the cost of the interpreter, the hearing officer shall base the decision on equitable considerations, including the ability of the party in need of the interpreter to pay the cost. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; Sections 11435.25, 11435.30 and 11435.55, Government Code; and Section 751, Evidence Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 2. Hearing Officers
§60065.11. Authority of Hearing Officers.
Note     •     History

In any matter subject to hearing pursuant to these rules, the hearing officer shall have the authority to do any act and take all measures necessary for the maintenance of order and for the efficient, fair and impartial adjudication of issues arising in proceedings governed by these rules, including, but not limited to, authority to hold prehearing conferences; conduct hearings to determine all issues of fact and law presented; to rule upon motions, requests and offers of proof, dispose of procedural requests, and issue all necessary orders; administer oaths and affirmations and take affidavits or declarations; to issue subpoenas and subpoenas duces tecum for the attendance of a person and production of testimony, books, documents, or other things; to compel the attendance of a person residing anywhere in the state; to rule on objections, privileges, defenses, and the receipt of relevant and material evidence; to call and examine a party or witness and introduce into the hearing record documentary or other evidence; to request a party at any time to state the respective position or supporting theory concerning any fact or issues in the proceeding; to certify official acts; to extend the submittal date of any proceeding; to hear and determine all issues of fact and law presented and to issue such interlocutory and final orders, findings, and decisions as may be necessary for the full adjudication of the matter. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 11181-11182 and 11425.30, Government Code. 
HISTORY

1. New subarticle 2 (sections 60065.11-60065.12) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.12. Disqualification.
Note     •     History

(a) The hearing officer shall disqualify himself or herself and withdraw from any case in which he or she cannot accord a fair and impartial hearing. 
(b) A hearing officer may not hear any case in which he or she has previously served as an investigator, prosecutor, or advocate. 
(c) Any party may request the disqualification of a hearing officer or the executive officer, on a request for reconsideration, by filing an affidavit or declaration under penalty of perjury. A request against the hearing officer must be made no later than five days prior to the commencement of a prehearing conference or first day of hearing on the merits, whichever is earlier. A request for disqualification of the executive officer must be included in the request for reconsideration. The affidavit or declaration must state with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. The issue shall be respectively determined by either the hearing officer or the executive officer against whom the request for disqualification has been filed. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 11425.40 and 11512, Government Code.
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsection (b) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 3. Ex Parte Communications
§60065.13. Prohibited Communications.
Note     •     History

(a) Except as otherwise provided in this section, while the proceeding is pending, the hearing officer shall not participate in any communications with any party, representative of a party, or any person who has a direct or indirect interest in the outcome of the proceeding about the subject matter or merits of the case at issue, without notice and opportunity of all parties, to participate in communication except a party that has been determined to be in default pursuant to section 60065.38. 
(b) No pleading, letter, document, or other writing shall be filed in a proceeding under these rules by a party unless service of a copy thereof together with any exhibit or attachment is made on all other parties to a proceeding. Service shall be in a manner as prescribed in section 60065.5. 
(c) For the purpose of this section, a proceeding is pending from the time that the complaint is filed. 
(d) Communications prohibited under paragraph (a) do not include communications concerning matters of procedure or practice, including requests for continuances that are not in controversy. It also does not prohibit communications between a party and the hearing officer when the opposing party has had a default entered pursuant to section 60065.38. 
(e) A communication between a hearing officer and an employee of the state board that would otherwise be prohibited by this section is permissible if: 
(1) The employee is another hearing officer or other employee of the hearing office whose job duties include aiding the hearing officer in carrying out the hearing officer's adjudicative responsibilities. Upon request, the hearing office will provide a list of employees of the hearing office to the parties. 
(2) The employee of the state board has not served as an investigator, prosecutor, or advocate in the proceeding or its preadjudicative stage, or in any factually related proceedings, and the purpose of the communication is to assist and advise the hearing officer in determining whether a document is a confidential business record (i.e., trade secrets). In obtaining such assistance and advice, the hearing officer shall give notice to the parties of the person consulted and shall provide the parties with as detailed a summary as possible of the substance of the advice received, while protecting the confidentiality of the business records at issue, and a reasonable opportunity to respond. 
(3) The prohibitions of paragraph (a) that apply to the hearing officer shall also apply to all employees covered by subparagraphs (1) and (2) above. 
(4) Communications permitted under subparagraphs (1) and (2) above shall not furnish, augment, diminish, or modify the evidence in the record. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 11430.70-11430.80, Government Code. 
HISTORY

1. New subarticle 3 (sections 60065.13-60065.15) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsection (c) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.14. Disclosure of Communication.
Note     •     History

(a) If, while the proceeding is pending, but before serving as hearing officer, the hearing officer receives a communication of a type that would be in violation of this subarticle if received while serving as hearing officer, he or she shall, promptly after starting to serve, disclose the content of the communication on the record and give all parties an opportunity to address it as provided below. 
(b) If a hearing officer receives a communication in violation of this article, the hearing officer shall make all of the following a part of the record in the proceeding: 
(1) If the communication is written, the writing and any written response of the hearing officer to the communication; and 
(2) If the communication is oral, a memorandum stating the substance of the communication, any response made by the hearing officer, and the identity of each person from whom the hearing officer received the communication. 
(c) The hearing officer shall notify all parties that a communication described in this section has been made a part of the record. 
(d) If a party requests an opportunity to address the communication within ten days after receipt of notice of the communication: 
(1) The party shall be allowed to comment on the communication. 
(2) The hearing officer has discretion to allow the party to present evidence concerning the subject of the communication, including discretion to reopen a hearing that hearing having been concluded. 
(e) Receipt of ex parte communications may be cause for disqualification of the hearing officer. 
NOTE

Authority cited: Sections 39600 and 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 11340.1-11340.5, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.15. Applicability to Executive Officer.
Note     •     History

(a) The provision of Subarticle 3 governing ex parte communications to the hearing officer also governs ex parte communications with the executive officer on matters that may come before him or her pursuant to Subarticle 9. Irrespective of the prohibitions of section 60065.13(a), the executive officer may consult with state board personnel who are not involved as an investigator, prosecutor, or advocate in the proceedings or preadjudicative proceedings of the matter before the executive officer, or in a factually related case, and whose job duties include assisting the executive officer in his or her adjudicative responsibilities. 
(b) Except as otherwise provided in these procedures, while a proceeding is pending, the hearing officer shall have no communication, direct or indirect, with the members of the state board regarding the merits of any issue in the proceeding. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a). Health and Safety Code; and Sections 11430.70-11430.80 Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 4. Issuance of and Response to Complaints
§60065.16. Violations Subject to a Complaint; Issuance.
Note     •     History

(a) A complaint may be issued for violations: 
(1) Arising under part 5, chapters 1 though 4 and chapter 6 of division 26 of the Health and Safety Code, or violations of any rule, regulation, permit, variance, or orders of the state board adopted or issued pursuant to authority granted under those Health and Safety Code provisions;
(2) Of regulations adopted and orders issued by the state board pursuant to authority granted under parts 1 through 4 of division 26 of the Health and Safety Code.
(b) Complaints issued pursuant to Health and Safety Code 43028 shall not seek penalties that exceed $25,000 per violation for each day of violation or total penalties in excess of $300,000. 
(c) Complaints issued pursuant to Health and Safety Code sections 42410 and 43023 shall not seek penalties in excess of the lesser of the maximum amount allowed by statute for a violation or $10,000 per violation for any day in which the violation occurs, with a total penalty assessment not to exceed $100,000. In determining the amount allowed by statute, the ARB shall use the method of calculation set forth in the underlying statute (e.g., HSC §43016 states that penalties shall be assessed on a per vehicle basis and shall not exceed $500 per vehicle.)
(d) The state board shall not issue a complaint for any violation if:
(1) The state board shares concurrent enforcement jurisdiction with a district and the district has commenced an enforcement action for that violation;
(2) The state board has determined the violation to be a Class I violation as defined in title 17, California Code of Regulations, sections 60075.2(b)(5) and 60075.11.
(e) A complaint shall include: 
(1) The names of each respondent alleged to have committed a violation(s) covered under this article; 
(2) A statement of the facts, in ordinary and concise language, that specifically identifies the statutes and/or rules alleged to have been violated and the acts or omissions of the respondents that constitute the alleged violation(s). The statement shall be specific enough to afford the named respondents notice and information in which to prepare a defense; 
(3) A proposed penalty that complainant seeks for the alleged violations committed; 
(4) Reference to these procedures, notice that a copy of the procedures is available from the ARB hearing office (the address and phone number of which shall be set forth), and notice that Chapter 5 (commencing with section 11500) of the Government Code is not applicable to these proceedings; 
(5) Written notice to the respondent that, within 30 days from the date of service, it may respond to the allegations of the complaint by filing a response/request for hearing that the matter be heard by an administrative law judge. The notice shall also inform the respondent of the consequences of failing to respond by the applicable deadline; 
(6) Written notice to the respondent that it has under the hearing procedures the right to counsel; and, if necessary, the right to an interpreter; or 
(7) The address of the office issuing the complaint; the address to which payment of the proposed penalty may be sent; and the address of the hearing office to whom a response/request for hearing may be submitted. 
(f) A complaint shall be filed with the appropriate hearing office and served on the named respondent(s) by either personal or other form of service consistent with Code of Civil Procedure sections 415 through 417 or by certified mail, restricted delivery.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 39674, 42401, 42402, 42402.1, 42402.2, 42402.3, 42403, 42410, 43008.6, 43012, 43016, 43021, 43023, 43026, 43027, 43028, 43029, 43030, 43031(a), 43154, 43201, 43211 and 43212, Health and Safety Code; and Sections 60075.1, et seq., title 13, California Code of Regulations. 
HISTORY

1. New subarticle 4 (sections 60065.16-60065.20) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.17. Withdrawal of or Amendment to the Complaint.
Note     •     History

(a) The complainant may without prejudice withdrawal or amend the complaint once as a matter of right at any time before respondent has filed its response. 
(b) After the response has been filed, the complainant may move to withdraw or amend the complaint. A motion to amend the complaint must include the proposed amendment. The hearing officer may grant the motion upon finding that good cause exists and that the amendment is in the interest of justice. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.18. Response/Request for Hearing.
Note     •     History

(a) Within 30 days after service of the complaint, the respondent or its representative may file a response/request for hearing to the complaint with the hearing office designated in the complaint. In addition to requesting a hearing before an administrative law judge, the respondent may: 
(1) Object to the complaint on the ground that it does not state acts or omissions upon which the agency may proceed; 
(2) Object to the form of the complaint on the ground that it is so indefinite or uncertain that the respondent cannot identify the transaction or prepare a defense; 
(3) Admit or deny the complaint, in whole or in part, specifying each allegation of fact or conclusion of law as to liability which is in dispute; 
(4) Present new matters by way of affirmative defenses; or 
(5) Oppose or agree to pay the penalty amount proposed in the complaint. 
(b) The time period for response may be extended: 
(1) By stipulation of the parties for 30 additional days to allow the parties to conduct informal settlement negotiations; or 
(2) At the discretion of the hearing officer, for a period of up to 60 days, if the respondent can show good cause and if the complainant is not prejudiced by such a delay. 
(c) Each uncontested allegation in the complaint shall be deemed admitted by the respondent. 
(d) If the respondent fails to respond to the complaint in the time periods provided in this section, the matter shall be considered a default, pursuant to section 60065.41 and the respondent shall be considered to have waived his or her right to appear in the matter covered by the complaint. 
(e) If a complaint is amended prior to the time respondent's response was due under subparagraph (a), respondent shall have 15 additional days from the date of service of the amended complaint to file the response. 
(f) The respondent may move to amend its response to the complaint. Such motion must include language of the proposed amendment. The hearing officer may grant the motion upon finding that good cause exists and that the amendment is in the interest of justice. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of section heading, subsection (a) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.19. Issues for Hearing.
Note     •     History

The issues for hearing shall be limited to those raised in the complaint or amended complaint and the response or amended response. If the complaint alleges a repeat violation and the validity of the earlier violation(s) was not contested because of the respondent's failure to file a response/request for hearing, the validity of the earlier violations(s) shall not be at issue.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.20. Cease and Desist Orders; Stays Pending Hearing.
Note     •     History

If the ARB enforcement staff has issued a cease and desist order against the respondent for alleged violations set forth in the complaint, the respondent may request a stay pending hearing from the hearing officer. The hearing officer may grant a stay pending issuance of a hearing officer decision under section 60065.39, unless the hearing officer finds that the adverse effects of a stay on the public health, safety and welfare outweigh the harm to those persons directly affected by the lack of a stay. The hearing officer may conduct a hearing or request such submissions by the parties as necessary to obtain information to make a determination on this issue. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 5. Prehearing Procedures
§60065.21. Scheduling of Hearings.
Note     •     History

(a) Upon filing of a complaint issued pursuant to authority granted under Health and Safety Code sections 42410 and 43023, with OAH, the matter shall be assigned to a hearing officer.
(b) Upon filing of a complaint issued pursuant to Health and Safety Code section 43028, the hearing office of the state board shall assign a hearing officer of the state board to hear the matter, unless staffing and other resources of the hearing office would prevent timely consideration of the matter. If the resources of the state board's administrative hearing office prevent assignment, the administrative hearing office shall refer the matter to the OAH for assignment. 
(c) The hearing office in which a complaint is filed shall as expeditiously as possible, but no later than 30 days after a response/request for hearing to the complaint has been filed or 45 days from the date that the complaint was issued if no response/request for hearing has been filed, schedule the matter for hearing. Except as provided in paragraph (f), below, a hearing shall be scheduled for no later than 180 days from the date of issuance of the complaint, unless the hearing officer determines, for good cause, that a later hearing date is necessary and in the interest of justice. 
(d) The hearing office shall deliver or mail a notice of hearing to all parties at least 30 days prior to the hearing. The notice shall be in the form specified in section 11509 of the Government Code, and shall also provide notice of the availability of interpreters pursuant to section 60065.10 of these rules. 
(e) The hearing officer shall grant such delays or continuances as may be necessary or desirable in the interest of fairly resolving the case. 
(1) The hearing officer may, on his or her own motion or upon request of any party accompanied by a showing of good cause, continue a hearing to another time or place. 
(2) A party shall apply to the hearing officer for a continuance not less than five days prior to the scheduled hearing. 
(3) When a continuance is ordered during a hearing, the hearing officer shall give written notice of the time and place of the continued hearing. 
(f) The hearing office shall set the place of hearing at a location as near as practicable to the place where the respondent resides or maintains a place of business in California. If the respondent does not reside or maintain a place of business in California, the hearing shall be in Sacramento. The hearing office may establish hearing locations anywhere in the state; at a minimum one hearing location shall be established in Sacramento and one in the Los Angeles area. 
(g) Upon the motion of any party and a showing of good cause, or upon the motion of the hearing officer, and in the absence of an objection from any party, the hearing officer may exercise discretion to conduct all or part of a hearing by telephone. 
(1) In granting such a motion, the hearing officer must be assured that each participant in the hearing has an opportunity to participate in and to hear the entire proceeding while it is taking place and to observe all exhibits fully. 
(2) The hearing officer may direct the party who has requested the alternative method to make the necessary arrangements and be responsible for any associated costs. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 11509 and 11440.30, Government Code. 
HISTORY

1. New subarticle 5 (sections 60065.21-60065.29) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. New subsection (a), subsection relettering, amendment of newly designated subsections (b)-(c) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.22. Motion to Intervene.
Note     •     History

(a) A person may file a motion to intervene, and the hearing officer may grant such a motion if all of the following conditions are satisfied: 
(1) The motion is in writing, with copies served on all parties named in the complaint. 
(2) The motion is made as early as practicable prior to the prehearing conference, if one is held, or the first day of the hearing on the merits of the complaint. 
(3) The motion states facts demonstrating that the requesting intervenor's legal rights, duties, privileges, or immunities will be substantially affected by the proceeding or that it qualifies as an intervenor under a statute or regulation. 
(4) The hearing officer determines that the interests of justice and the orderly and prompt conduct of the proceeding will not be impaired by allowing the intervention. 
(b) If motion is granted, the hearing officer may impose conditions on the intervenor's participation in the proceeding, either at the time that intervention is granted or at a later time. Conditions may include: 
(1) Limiting the intervenor's participation to designated issues in which the intervenor has a particular interest demonstrated by the motion. 
(2) Limiting or excluding the use of discovery, cross-examination, and other procedures involving the intervenor so as to promote the orderly and prompt conduct of the proceeding. 
(3) Requiring two or more intervenors to combine their presentations of evidence and argument, cross-examination, discovery, and other participation in the proceeding. 
(4) Limiting or excluding the intervenors's participation in settlement negotiations. 
(c) The hearing officer shall issue an order granting or denying the motion for intervention as soon as practicable in advance of the hearing, briefly stating the reasons for the order and specifying any conditions that he or she has determined as appropriate. The hearing officer may modify the order at any time, stating the reasons for the modification. The hearing officer shall promptly give notice of any order granting, denying, or modifying intervention to the applicant and to all parties. 
(d) Whether the interests of justice and the orderly and prompt conduct of the proceedings will be impaired by allowing intervention is a determination to be made at the sole discretion of the hearing officer, based upon his or her knowledge and judgment. The determination is not subject to administrative or judicial review. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Section 11440.50, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsections (a)(1)-(2) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.23. Consolidation, Separation of Proceedings.
Note     •     History

(a) Upon the motion of a party or upon the hearing officer's own motion, the hearing officer may consolidate for hearing and decision: 
(1) Any number of proceedings involving the same respondent or petitioner; and 
(2) Any number of proceedings involving common issues of law or fact where consolidation would expedite and simplify consideration of the issues and would not adversely affect the rights of the parties. 
(b) Upon the motion of a party or upon the hearing officer's own motion, the hearing officer may, in furtherance of convenience or to avoid prejudice or when separate hearings will be conducive to expedition and economy, order a separate hearing of any issue, including an issue raised in the notice of defense, or of any number of issues. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.24. Prehearing Conference.
Note     •     History

(a) In any action in which the respondent timely responds pursuant to section 60065.18, the hearing officer may require a prehearing conference upon his or her own order or the request of any party. A request for a prehearing conference shall be in writing, addressed to the hearing officer and served on all parties. 
(b) A prehearing conference shall be held no later than 30 days after an order of the hearing officer or a request by a party, but no later than 90 days from the date of respondent's filing of the response to a complaint.
(c) The hearing officer may conduct the conference in person or by telephone. 
(d) At least ten business days before a scheduled conference, each party shall file with the hearing office and serve on all other parties a prehearing conference statement which shall contain the following information: 
(1) Identification of all operative pleadings by title and date signed; 
(2) The party's current estimate of time necessary to try the case; 
(3) The name of each witness the party may call at hearing along with a brief statement of the content of the witness's expected testimony; 
(4) The identity of any witness whose testimony will be presented by affidavit pursuant to section 60065.29, if known; 
(5) The name and address of each expert witness the party intends to call at hearing along with a brief statement of the opinion the expert is expected to give. The party shall also attach a copy of a current resume for each expert witness; 
(6) Whether there is need for an interpreter or special accommodation at the hearing; 
(7) A list of the documentary exhibits the party intends to present at hearing and a description of any physical or demonstrative evidence; and 
(8) A concise statement of any legal issues which may affect the presentation of evidence or the disposition of the case.  
(9) If the matter is a complaint proceeding, the complainant shall specify the proposed penalty and state the basis for that penalty. The respondent shall provide all factual information it considers relevant to the assessment of a penalty. 
(e) At the prehearing conference the hearing officer may: 
(1) Establish a time and place for further proceedings in the action, but no hearing on the merits of the action shall take place sooner than 30 days following the date of the prehearing conference; 
(2) Attempt to simplify issues and help the parties to stipulate to facts not in dispute; 
(3) Explore the necessity or desirability of amendments to the pleadings; and 
(4) Discuss any other appropriate subject. 
(f) After the prehearing conference, the hearing officer shall issue a prehearing order which incorporates the matters determined at the conference. This order may be issued orally if an accurate record can be made. Agreement on the simplification of issues, amendments, stipulations, or other matters may be entered on the record or may be made the subject of a written order by the hearing officer. If no matters were determined or dates set at the prehearing conference, a prehearing order is not required. The hearing officer may, to aid the efficient administration of justice, modify the prehearing order as necessary. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsections (a)-(b) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.25. Settlement Agreements and Consent Orders.
Note     •     History

(a) At any time before a final decision of the hearing officer, the complainant and the respondent may settle an action, in whole or in part. 
(b) The parties may request the assistance of the hearing office in their attempts to settle the matters at issue. Upon receiving such a request, the hearing office may assign a settlement hearing officer, who is not the same hearing officer that has been assigned, to hear the merits of the case, unless the parties specifically request in writing the assignment of the latter hearing officer. For cases assigned to OAH, OAH may assign administrative law judges from the state board to assist in settlement discussions.
(c) The parties shall memorialize any agreement in writing. 
(d) In a complaint proceeding, the hearing officer assigned to hear the merits of the case, shall thereafter enter a consent order in accordance with the terms of the settlement agreement. Such consent order is not subject to further review by the agency or a court. 
(e) If the filing of the consent order pursuant to paragraph (d) of this section does not wholly conclude the action, the hearing officer assigned to hear the merits of the case shall promptly inform the parties of the schedule of the remaining proceedings. 
(f) Unless the parties have otherwise consented to use the hearing officer assigned to hear the merits of the case in settlement discussions, settlement discussions or offers of compromise regarding unresolved issues shall not be discussed with that hearing officer. Settlement discussions or offers of compromise shall also not be made part of the record of the proceedings. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Section 11415.60, Government Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.26. Discovery.
Note     •     History

(a) The provisions of this section provide the exclusive right to, and method of, discovery as to any proceeding governed by these hearing procedures. However, nothing in this section prohibits the parties from voluntarily stipulating to provide discovery deemed appropriate. This section does not authorize the inspection or copying of, any writing, or thing which is privileged from disclosure by law or protected as part of an attorney's work product. 
(b) The names and addresses of witnesses; inspection and copying of documents and things. 
(1) Unless otherwise stipulated to by the parties, within 45 days of issuance of a complaint or amended complaint, a party may request: 
(A) The names and addresses of witnesses to the extent known to the other party, including, but not limited to, those intended to be called to testify at the hearing; and 
(B) The opportunity to inspect and make a copy of any thing, document, statement or other writings relevant to the issues for hearing that are in the possession, custody or control of the other party and would be admissible in evidence. This includes the following information from inspection or investigative reports prepared by, or on behalf of, any party that pertain to the subject matter of the proceeding: (i) the names and addresses of witnesses or of persons (other than confidential informants) having personal knowledge of the issues involved in the proceeding, (ii) matters perceived by the investigator in the course of his or her investigation (as opposed to his or her analysis or conclusions), and (iii) statements related to the issues of the proceedings which are otherwise admissible. For purposes of this section, “any thing, document, statement or other writings relevant to the issues for hearing that are in the possession, custody, or control of the other party” would include those items within the possession, custody, or control of a third-party who obtained or used such items while acting as a representative, contractor, or agent of the “other party.” 
(2) Parties shall arrange a mutually convenient time for the exchanging of the names and addresses of witnesses and the inspecting and copying of relevant things, documents, statements, and other writings identified in subparagraph (B) above, but such date shall not be later than 30 days from the date of receipt of the request made pursuant to subparagraph (b)(1). Unless other arrangements are made, the party requesting the writings shall pay for the copying. 
(3) All requests under subparagraph (b) are continuing, and the party receiving the request shall be under a continuing duty to provide the requesting party with the information requested. 
(4) Absent a stipulation between the parties, a party claiming that certain writings or things are privileged against disclosure shall, within 15 days of receipt of the request for inspection and copying, serve on the requesting party a written statement setting forth what matters it claims are privileged and the reasons supporting its claims. 
(c) Other Discovery. 
(1) A party may file a motion requesting that the hearing officer order further discovery. The motion shall specify the proposed method of discovery to be used and shall include affidavits describing in detail the nature of the information and/or documents sought, the proposed time and place of the discovery (if applicable), and the information addressing the findings listed in subparagraphs (A)-(D) below. The hearing officer shall grant the motion upon finding that: 
(A) The additional discovery will not unreasonably delay the proceedings; 
(B) The information to be obtained from the discovery is most reasonably obtained from the non-moving party, who has refused to provide it voluntarily; or that 
(C) The information to be obtained is relevant and has significant probative value on a disputed issue of material fact regarding a matter at issue. 
(2) The hearing officer may order the taking of oral depositions only under the following circumstances: 
(A) After affirmatively making the findings in subparagraphs (c)(2)(A)-(C), and further finding that the information sought cannot be obtained by alternative methods; or 
(B) There is substantial reason to believe that relevant and probative evidence may otherwise not be preserved for presentation by a witness at the hearing. 
(3) If the hearing officer grants the motion for the taking of a deposition, the moving party shall serve notice of the deposition on the person to be deposed with copies served on the other parties at least ten days before the date set for the deposition. 
(4) Where the witness resides outside of the state and where the hearing officer has ordered the taking of the testimony by deposition, the hearing officer shall obtain an order of the court to that effect by filing a petition in the superior court in Sacramento County. The proceedings for such a hearing shall be in accordance with the provisions of Government Code section 11189. 
(d) Third-Party Notice of Request for Disclosure of Information Identified as Confidential and Opportunity to Participate. 
(1) A third-party shall be notified whenever a party receives a request for disclosure of information that is in the possession, control, or custody of the party subject to a claim of confidentiality asserted by the third-party, including, but not limited to, claims of confidentiality asserted pursuant to the California Public Records Act (CPRA). This section creates rights and obligations in addition to, and does not affect, existing rights and obligations under the CPRA and applicable federal regulations. 
(2) A third-party shall have the opportunity to be heard on all issues involving requests for disclosure of information that is in the possession, control, or custody of the party subject to a claim of confidentiality asserted by the third-party. Within five days of receipt of notice pursuant to subparagraph (d)(1), a third-party may object to disclosure of the subject information and may seek a protective order pursuant to subparagraph (e). Objections to disclosure may be based on all legal grounds, including, but not limited to, lack of relevance to the issues for hearing. 
(e) Protective Orders: 
(1) Upon motion by a party from whom discovery is sought, a third-party who has made a claim of confidentiality regarding the information to be discovered or by the hearing officer on his or her own motion, the hearing officer may enter a protective order with respect to this material. 
(2) Prior to granting a protective order, it must be established by the moving party that the information sought to be protected is entitled to be treated as a trade secret or is otherwise confidential. A party or person seeking a protective order shall have the opportunity to be heard on all issues relevant to preserving the record's confidentiality, including, but not limited to, the following: 
(A) The appropriate scope and terms of any governing protective order; 
(B) The terms under which the record may be placed in evidence or otherwise used at a hearing; and 
(C) The disposition of the record and any copies thereof after all relevant administrative and judicial proceedings have concluded. 
(3) A party or person seeking a protective order may be permitted to make all, or part of, the required showing in a closed meeting. The hearing officer shall have discretion to limit attendance at any closed meeting proceeding to the hearing officer and the person or party seeking the protective order. 
(4) A protective order, if granted, shall contain terms governing the treatment of the information which are appropriate under the circumstances to prevent disclosure outside the hearing. The protective order may order that the trade secret information not be disclosed or that it be disclosed only to specified persons, or in a specified way. Disclosure may be limited to counsel for the parties who shall not disclose such information to the parties themselves. Disclosure to specified persons shall be conditioned on execution of sworn statements that no disclosure of the information will be made to persons not entitled to receive it under the terms of the protective order. 
(5) The protective order shall contain terms governing the treatment of the information which are appropriate under the circumstances to prevent disclosure outside the hearing; the order may require that the material be kept under seal and filed separately from other evidence and exhibits in the hearing. 
(6) Any party subject to the terms and conditions of any protective order, desiring to make use of any documents or testimony obtained in a closed meeting, shall file a motion to the hearing officer and set forth justification for the request. The motion shall be granted upon a demonstration of good cause that the information is relevant and has significant probative value on a disputed issue of material fact in issue. In granting the motion, the hearing officer shall enter an order protecting the rights of the affected persons and parties, who have claimed that the information is confidential, by preventing any unnecessary disclosure of the information. The hearing officer may require that the information be presented in a closed meeting, with attendance limited, as necessary and practicable, to specified representatives of the parties and that the material be sealed and filed separately from other evidence and exhibits in the hearing. 
(7) The hearing office shall make a record of all closed meetings that are held under this section. The record shall be sealed and made available, upon appropriate order, to the state board or to the court review of the record. 
(8) If the hearing officer denies a motion for protective order or grants a protective order only, in part, the order shall not become effective until ten days after the date the order is served. In the interim, a party to the proceeding or third-party holder of the asserted confidential information adversely affected by the order may seek appropriate interlocutory relief in a court of competent jurisdiction. 
(f) Proceeding to Compel Discovery. 
(1) Any party claiming that its request for discovery pursuant to this section has not been complied with or that the opposing party has failed to comply with a stipulated agreement to provide discovery may serve and file with the hearing officer a motion to compel the party who has refused or failed to produce the requested or stipulated discovery to comply. The motion shall include the following: 
(A) Facts showing the party has failed or refused to comply with a discovery request or stipulation; 
(B) A description of the information sought to be discovered; 
(C) The reasons why the requested information is discoverable; 
(D) Evidence that a reasonable and good faith attempt to contact the noncomplying party for an informal resolution of the issue has been made; and 
(E) To the extent known by the moving party, the measures for the noncomplying party's refusal to provide the requested information. 
(2) The motion shall be filed within 15 days after the date the requested information was to be made available for inspection and copying or the date a deposition was scheduled to take place and served upon the party who has failed or refused to provide discovery. 
(3) The hearing on the motion to compel discovery shall be held within 15 days after the motion is filed, or a later time that the hearing officer may on his or her own motion for good cause determine. The party who has refused or failed to provide discovery shall have the right to serve and file a written answer or other response which shall be due at the hearing office and personally served on all parties at least three days prior to the date set for hearing. 
(4) Where the matter sought to be discovered is under the custody or control of the party who has refused or failed to provide discovery and that party asserts that the matter is not a discoverable matter under this section, or is privileged against disclosure, the hearing officer may order that the party in custody lodge with the hearing office the matters identified in subdivision (b) of section 915 of the Evidence Code and the hearing officer shall examine the matters in accordance with those provisions. 
(5) The hearing officer shall decide the case on the matters examined in a closed meeting, the papers filed by the parties, and such oral argument and additional evidence as the hearing officer may allow. 
(6) Unless otherwise stipulated by the parties, the hearing officer shall no later than 15 days after the hearing make its order denying or granting the motion. The order shall be in writing setting forth the matters the moving party is entitled to discover. The hearing office shall serve a copy of the order by mail upon the parties. Where the order grants the motion in whole, or in part, the order shall not become effective until ten days after the date the order is served. Where the order denies relief to the moving party, the order shall be effective on the date it is served. 
(7) If after receipt of an order directing compliance with the provisions of these rules regarding discovery, a party fails, without good cause, to comply with the order, the hearing officer may draw adverse inferences against that party and may prevent that party from introducing any evidence that had been requested and not produced during discovery into the administrative record. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a). Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; Sections 11189 and 11507.6, Government Code; and Section 915(b), Evidence Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.27. Subpoena and Subpoena Duces Tecum.
Note     •     History

(a) Subpoenas and subpoenas duces tecum may be issued for attendance at a hearing and for production of documents at any reasonable time and place or at a hearing. 
(b) At the request of a party, subpoenas and subpoenas duces tecum shall be issued by the hearing officer assigned to a proceeding, or the general counsel or executive officer of the complainant, or, if represented by an attorney, the attorney of record for a party in accordance with sections 1985-1985.4 of the California Code of Civil Procedure. 
(c) The custodian of documents that are the subject of a subpoena duces tecum may satisfy the subpoena by delivery of the documents or a copy of the documents, or by making the documents available for inspection or copying, together with an affidavit in compliance with section 1561 of the Evidence Code. 
(d) The process extends to all parts of the state and shall be served in accordance with sections 1987 and 1988 of the California Code of Civil Procedure. A subpoena or subpoena duces tecum may also be delivered by certified mail return receipt requested or by messenger. Service by messenger shall be effected when the witness acknowledges receipt of the subpoena to the sender, by telephone, by mail, or in person, and identifies himself or herself either by reference to date of birth and driver's license number or Department of Motor Vehicles identification number, or the sender may verify receipt of the subpoena by obtaining other identifying information from the recipient. The sender shall make a written notation of the acknowledgment. A subpoena issued and acknowledged pursuant to this section has the same force and effect as a subpoena personally served. Failure to comply with a subpoena issued and acknowledged pursuant to this section may be punished as a contempt and the subpoena may so state. A party requesting a continuance based upon the failure of a witness to appear at the time and place required for the appearance or testimony pursuant to a subpoena, shall prove that the party has complied with this section. The continuance shall only be granted for a period of time that would allow personal service of the subpoena and in no event longer than that allowed by law. 
(e) No witness is obliged to attend unless the witness is a resident of the state at the time of service. 
(f) Upon timely motion of a party or witness, or upon his or her own motion, after notice to the parties and an opportunity to be heard and upon a showing of good cause, the hearing officer may order the quashing of a subpoena or subpoena duces tecum entirely, may modify it, or may direct compliance with it upon other terms or conditions. In addition, the hearing officer may make any other order as may be appropriate to protect a party or witness from unreasonable or oppressive demands. 
(g) The state board may quash a subpoena or a subpoena duces tecum that it has issued on its own motion. 
(h)(1) In the case of the production of a party to the record of a proceeding or of a person for whose benefit a proceeding is prosecuted or defended, the service of a subpoena on the witness is not required if written notice requesting the witness to attend, with the time and place of the hearing, is served on the representative of the party or person. 
(2) Service of written notice to attend under this section shall be made in the manner and is subject to the conditions provided in section 1987 of the California Code of Civil Procedure for service of written notice to attend in a civil action or proceeding. 
(i) A witness other than an employee of the state or a political subdivision thereof appearing pursuant to a subpoena or a subpoena duces tecum, other than a party, shall receive the same mileage, and appearance fees allowed by law; such fees are to be paid by the party at whose request the witness is subpoenaed. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; Sections 11186-11188 and 11450.05-11450.30, Government Code; Section 1561, Evidence Code; and Sections 1985-1985.4, 1987 and 1988, California Code of Civil Procedure. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.28. Witness Lists and Exhibits.
Note     •     History

(a) No later than ten days before the scheduled hearing date, the parties shall submit to the hearing office and serve upon the other parties: 
(1) A list of the names, addresses and qualifications of proposed witnesses to be called in making the party's case-in-chief and a brief summary of the testimony to be presented by each witness; and 
(2) Each document or other exhibit, the party expects to offer or may offer, if the need arises, into evidence in making the party's case-in-chief. 
(b) The hearing officer may prohibit any party from presenting any witness or exhibit that has not been included on that party's witness list or submitted exhibits as required under paragraph (a) of this section. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a). Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.29. Motions for Summary Determination of Issues.
Note     •     History

(a) Any party may file a motion for summary judgment or summary adjudication of the issues. Such motions shall include supporting legal argument, and where necessary, affidavits showing that there is no genuine issue of material fact for determination regarding the identified issues. A party opposing such a motion shall show by affidavit or other documentation that a genuine issue of material fact as to the issues raised exists. After reviewing the motion and response of the parties, the administrative record, and any arguments of the parties, the hearing officer shall determine whether a genuine issue of material fact as to the issues exists and whether a party is entitled to judgment on the issue(s) as a matter of law. 
(b) If, upon considering a motion under subparagraph (c), the hearing officer determines that a party is entitled to summary judgment on the issue(s) as a matter of law, the hearing officer shall issue a written decision or order that sets forth necessary findings of fact and conclusions of law regarding all matters that were at issue. In a complaint proceeding, if the hearing officer decision finds the respondent to be in violation, the hearing officer shall follow the penalty assessment criteria set forth in section 60065.40. 
(c) Should it appear from the affidavits of a party opposing the motion that the party cannot, for reasons stated, present by affidavit facts essential to justify the party's opposition, the hearing officer may deny the motion or may grant a continuance to permit affidavits to be obtained or to permit such additional discovery as provided under these procedures. 
(d) The hearing officer shall deny a request for summary determination of the issue(s) if he or she finds the administrative record, including any evidence presented by the parties as part of this motion, present a genuine issue of material fact. If the hearing officer denies a request for summary determination, or denies such a request in part, the hearing officer shall promptly issue to each party a written ruling as to the existence of a genuine issue of material fact on the issue(s) and the reasons for the ruling. The matter shall continue to be set for hearing on all issues for which a genuine issue of material fact exists. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 6. Contempt and Sanctions
§60065.30. Contempt.
Note     •     History

If any person in proceedings before the hearing officer disobeys or resists any lawful order or refuses to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined, or is guilty of misconduct during a hearing or in its immediate vicinity as to obstruct the proceedings, the hearing officer may certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code section 11455.20. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 11455 and 11525, Government Code. 
HISTORY

1. New subarticle 6 (sections 60065.30-60065.31) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.31. Sanctions.
Note     •     History

(a) Notwithstanding the above, the hearing officer may order a party, a party's representative or both, to pay reasonable expenses, including attorney's fees, incurred by another party as a result of bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay. 
(1) “Actions or tactics” include, but are not limited to, the making or opposing of motions; the failure to comply with a discovery request or subpoena; or the failure to comply with a lawful order of the hearing officer. 
(2) “Frivolous” means: 
(A) Totally and completely without merit, or 
(B) For the sole purpose of harassing an opposing party. 
(b) An order for sanctions may be oral on the record or in writing and shall set forth the factual findings which are the basis for the imposition of sanctions. 
(1) In determining reasonable expenses, the party or parties to whom payment is to be made shall, at the hearing officer's discretion, either make a statement on the record under oath or submit a written declaration under penalty of perjury setting forth with specificity the expenses incurred as a result of the other party's conduct. 
(2) Within five days of the receipt of the hearing officer's order for the payment of expenses, a party or representative may, on the ground of hardship, request reconsideration from the hearing officer issuing the order. The request for reconsideration shall be filed in writing, and include a declaration under penalty of perjury. 
(c) The order or denial of an order to pay expenses under paragraph (b) is subject of procedural review in the same manner as a final decision pursuant to Subarticle 11. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 11455.30 and 11525, Government Code.  
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 7. Hearings
§60065.32. Failure to Appear.
Note     •     History

If after service of a Notice of Hearing, including Notice of Consolidated Hearing or Continuance, a party fails to appear at a hearing either in person or by representative, the hearing officer may take the proceeding off calendar, or may, at the request of a party, or on his or her own motion, issue a default order in a complaint proceeding in accordance with section 60065.38 of this article. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New subarticle 7 (sections 60065.32-60065.37) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.33. Conduct of Hearing.
Note     •     History

(a) The hearing shall be presided over by a hearing officer who shall conduct a fair and impartial hearing in which each party has a reasonable opportunity to be heard and to present evidence. 
(b) The hearing shall be conducted in the English language. 
(c) Subject to reasonable limitations that may be imposed by the hearing officer, each party to the proceeding shall have the right to: 
(1) Call and examine witnesses; 
(2) Introduce exhibits; 
(3) Question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examinations; 
(4) Impeach any witness regardless of which party first called the witness to testify; and 
(5) Call and examine an opposing party as if under cross-examination, even if that party does not testify on his or her own behalf. 
(d) Burden of Going Forth. 
(1) The complainant shall have the initial burden of presenting evidence in support of issuance of the complaint, the requested penalty, and any other material that is pertinent to the issues to be determined by the hearing officer. 
(2) At the conclusion of complainants case-in-chief, the respondent has the burden of presenting any defense to the allegations set forth in the complaint and any response or evidence with respect to the appropriate relief. The respondent has the right to examine, respond to, or rebut the allegations of the complaint and any proffered evidence and material. The respondent may offer any documents, testimony, or other exculpatory evidence which bears on appropriate issues, or may be relevant to the penalty amount. 
(3) At the close of respondent's presentation of evidence, the parties respectively have the right to introduce rebuttal evidence that is necessary to resolve disputed issues of material fact, subject to any limits imposed by the hearing officer pursuant to subparagraph (e)(1) below. 
(e) The hearing officer may: 
(1) Limit the number of witnesses and the scope and extent of any direct examination, cross-examination, or rebuttal testimony, as necessary, to protect the interests of justice and conduct a reasonably expeditious hearing; 
(2) Require the authentication of any written exhibit or statement; 
(3) Call and examine a party or witness and may, on his or her own motion, admit any relevant and material evidence; 
(4) Exclude persons whose conduct impedes the orderly conduct of the hearing; 
(5) Restrict attendance because of the physical limitations of the hearing facility; or 
(6) Take other action to promote due process or the orderly conduct of the hearing. 
(f) The taking of evidence in a hearing shall be controlled by the hearing officer in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall define the issues and the order in which evidence will be received. 
(g) Each matter in controversy shall be decided by the hearing officer upon a preponderance of the evidence. 
(h) Hearings shall be recorded electronically. The recording made by the Administrative Hearing Office shall be the official recording of the hearing. 
(1) A verbatim transcript of the official recording will not normally be prepared, but may be ordered by the hearing officer if deemed necessary to permit a full and fair review and resolution of the case. If not so ordered by the hearing officer, a party may, at its own expense, request that a verbatim transcript be made. The party making the request shall provide one copy to the hearing officer and one copy to every other party. 
(2) The official recording of the hearing and transcript of the recording, together with all written submissions made by the parties, shall become part of the administrative record for the proceeding. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.34. Evidence.
Note     •     History

(a) Testimony shall be taken only under oath or affirmation. 
(b) The hearing need not be conducted according to technical rules relating to evidence and witnesses. The hearing officer shall admit evidence which is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions, and which is not irrelevant, immaterial, unduly repetitious, or otherwise unreliable or of little probative value. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence, but upon timely objection shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. The application of these rules shall not affect the substantial rights of the parties as provided in the Evidence Code. 
(c) The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing. 
(d) Trade secret and other confidential information may be introduced into evidence. The hearing officer shall preserve the confidentiality of such information, and may make such orders as may be necessary to consider such evidence in a closed meeting, including the use of a supplemental order or decision to address matters which arise out of that portion of the evidence which is confidential. 
(e) In reaching a decision, official notice may be taken, either before or after submission of the proceeding for decision, of any generally accepted technical or scientific matter within the state board's area of expertise, and determinations, rulings, orders, findings and decisions, required by law to be made by the hearing officer. 
(1) The hearing officer shall take official notice of those matters set forth in section 451 of the Evidence Code. 
(2) The hearing officer may take official notice of those matters set forth in section 452 of the Evidence Code. 
(3) Each party shall give notice of a request to take official notice and be given reasonable opportunity on request to present information relevant to: 
(A) The propriety of taking official notice; and 
(B) The effect of the matter to be noticed. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Sections 451 and 452, Evidence Code.
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.35. Evidence by Affidavit or Declaration.
Note     •     History

(a) At any time 20 or more days prior to a hearing or a continued hearing, a party may mail or deliver to the opposing party or parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subdivision (b). Unless an opposing party, within seven days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine the affiant or declarant the opposing party's right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified orally. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefore is made as herein provided, the hearing officer may allow the affidavit or declaration to be introduced, but if it is allowed to be introduced, it shall only be given the same effect as other hearsay evidence. 
(b) The notice referred to in subdivision (a) shall be a separate document concurrently served with the affidavit or declaration, entitled “Notice of Intent to Use Declaration or Affidavit in Lieu of Oral Testimony.” The title shall be in bold print. The content of the notice shall be substantially in the following form: 
“The accompanying affidavit or declaration of [insert name of affiant or declarant] will be introduced as evidence at the hearing in [insert title and docket number or petition number of proceeding]. [Insert name] will not be called to testify orally and you will not be entitled to question the affiant or declarant unless you notify [insert name of the proponent, representative, agent or attorney] at [insert address] that you wish to cross-examine the affiant or declarant. To be effective, your request must be mailed or delivered to [insert name of proponent, representative, agent or attorney] on or before [insert a date 7 days after the date of mailing or delivery of the affidavit to the opposing party].” 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.36. Exclusion of Witnesses.
Note     •     History

Upon motion of a party, the hearing officer may exclude from the hearing room any witnesses not at the time under examination; but the parties or their representatives to the proceeding shall not be excluded. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.37. Oral Argument and Briefs.
Note     •     History

(a) Prior to the close of the hearing, the hearing officer may, on his or her own motion, or upon motion of a party, grant and determine the length of oral argument. 
(b) Motions to submit written closing argument shall be made prior to the close of the hearing and shall be granted at the discretion of the hearing officer upon a determination that written argument will be productive and will not unreasonably delay the disposition of the proceeding. The hearing officer shall determine the appropriate page lengths of all post hearing briefs at the time he or she determines that the filing of closing arguments is appropriate. A party shall file a written closing brief within 15 working days from the date of the hearing. Opposing parties may file a reply brief within 10 working days from service of the argument. The hearing officer may extend or reduce the above filing dates for submission of written argument for good cause. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsection (b) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 8. Decisions of the Hearing Officer
§60065.38. Default Order.
Note     •     History

(a) Upon motion, the hearing officer may find a party to be in default upon failure, without good cause to file a timely response to the complaint as required under section 60065.18; to appear at a scheduled conference or hearing; or to comply with an order of the hearing officer. 
(b) For purposes of a pending complaint action, 
(1) A default by respondent shall constitute an admission of all facts alleged in the complaint and a waiver of respondent's right to a hearing of the factual allegations. 
(2) A default by complainant shall constitute a waiver of complainant's right to proceed on the merits of the action, and shall result in the dismissal of the complaint with prejudice. 
(c) No finding of default shall be made against the respondent unless the complainant presents sufficient evidence to establish a prima facie showing that the state board and the hearing officer had jurisdiction over the matters at issue and that the complaint was properly served. 
(d) Within 10 days, the complainant shall present written evidence, supported by affidavits or declarations explaining the proposed penalty set forth in the complaint. 
(e) Any proceeding may be reinstated by the hearing officer upon a showing of good cause that contains sufficient facts to show or establish a reasonable basis for the failure to appear at the hearing. The request for reinstatement shall be made by the defaulting party within 10 days of service of the default order. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New subarticle 8 (sections 60065.38-60065.40) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of subsection (e) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.39. Order or Decision of the Hearing Officer after a Complaint Hearing; Rehearing.
Note     •     History

(a) Unless otherwise ordered, all complaint proceedings shall be submitted at the close of the hearing unless otherwise extended by the hearing officer or provided in these rules. Within a reasonable period of time after the proceeding is submitted, the hearing officer shall make findings upon all facts relevant to the issues for hearing, and file an order or decision with the reasons or grounds upon which the order or decision was made. 
(b) The order or decision shall be in writing, signed and dated by the hearing officer deciding the proceeding. 
(c) The order or decision may, based on the findings of fact, affirm, modify or vacate the alleged violations set forth in the complaint or the proposed penalty, or direct other relief as applicable. 
(d) A copy of the order or decision shall be served on each party or representative together with a statement informing the parties of their right to petition the executive officer, for reconsideration of the order or decision pursuant to section 60065.41 of these rules. 
(e)(1) Within five days of the filing of any order or decision, the hearing officer may, at the request of any party or on his or her own motion, on the basis of mistake of law or fact, issue a modified order or decision correcting a mistake or error with respect to any matters determined or covered by the previously issued order or decision. If necessary, the hearing officer may schedule further proceedings to address the issue(s). 
(2) If a request has been filed under this subparagraph, the request shall be deemed denied if the hearing officer has taken no action to address the request within 15 days of filing of the request. 
(3) The hearing office shall serve a copy of any modified order or decision on each party that had previously been served with the original order or decision. The modified order or decision shall supersede the previously served order or decision, and the date of service of the modified order or decision shall be the effective date of the decision and order for purposes of sections 60065.41 and 60065.44. 
(f) The hearing officer shall certify the administrative record and shall make available copies of the administrative record and any issued orders or decisions to the executive officer. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.40. Penalty Assessment Criteria.
Note     •     History

(a) In determining penalties for complaints issued under Health and Safety Code section 42410, the hearing officer shall consider all relevant circumstances, including, but not limited to:
(1) The extent of harm caused by the violation;
(2) The nature and persistence of the violation;
(3) The length of time over which the violation occurs;
(4) The frequency of past violations;
(5) The record of maintenance;
(6) The unproven or innovative nature of the control equipment;
(7) Any action taken by the respondent, including the nature, extent, and time of response of the cleanup and construction undertaken, to mitigate the violation;
(8) The financial burden to the respondent; and
(9) The penalties or range of penalties set forth in the underlying rules or regulations that have been violated.
(b) In determining penalties for complaints issued under Health and Safety Code sections 43023 and 43028, the hearing officer shall consider all relevant circumstances, including, but not limited to: 
(1) The extent of harm caused by the violation to public health and safety and to the environment; 
(2) The nature and persistence of the violation, including the magnitude of the excess emissions; 
(3) The compliance history of the respondent, including the frequency of past violations; 
(4) The preventive efforts taken by respondent, including the record of maintenance and any program to ensure compliance; 
(5) The innovative nature and the magnitude of the effort required to comply, and the accuracy, reproducibility, and repeatability of the available test methods; 
(6) The efforts to attain, or provide for, compliance; 
(7) The cooperation of the respondent during the course of the investigation and any action taken by the defendant, including the nature, extent, and time of response of any action taken to mitigate the violation;
(8) For the person who owns a single retail service station, the size of the business; and
(9) The penalties or range of penalties set forth in the underlying rules or regulations that have been violated.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42403, 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 9. Reconsideration
§60065.41. Reconsideration by Executive Officer.
Note     •     History

(a) A party aggrieved by an order or decision of a hearing officer in a complaint proceeding pursuant to section 60065.39 of these rules may, within 20 days of service of such order or decision, request that the executive officer reconsider the hearing officer decision with respect to any matters covered by the order or decision. The request for reconsideration shall be filed with the executive officer and shall be served on all parties and the hearing office. The request shall be deemed filed the date it is delivered or mailed to the executive officer. 
(b) Within 20 days of issuance of an order or decision by a hearing officer in a complaint proceeding pursuant to section 60065.39 of these rules, the executive officer may, on his or her own motion, decide to order reconsideration of the order or decision of the hearing officer. The executive officer shall notify the parties and the hearing office of this decision. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New subarticle 9 (sections 60065.41-60065.42) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.42. Requirements in Filing Request for Reconsideration; Comments Opposing Request.
Note     •     History

(a) A request for reconsideration of a hearing officer order or decision shall be signed by the party or its representative and verified under oath. The request shall be based upon one or more of the following grounds: 
(1) The hearing officer acted without or in excess of its powers; 
(2) The order or decision was procured by fraud; 
(3) The order or decision is not supported by the evidence or the findings of fact; 
(4) The requesting party has discovered new material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing; or 
(5) The hearing officer has misapplied applicable law. 
(b) Any request for reconsideration shall specifically detail the grounds upon which the requesting party considers the order or decision to be unjust or unlawful and every issue to be considered on reconsideration. The requesting party shall be deemed to have fully waived all objections, irregularities, and illegalities concerning the proceeding upon which reconsideration is sought other than those specifically set forth in the request for reconsideration. The request for reconsideration will be denied if it contains no more than allegations of the statutory or constitutional grounds for reconsideration, unsupported by specific references to the record and principles of law involved. 
(c) When a request for reconsideration or answer thereto has been timely filed, the filing of supplemental papers or answers may be granted at the discretion of the executive officer. Parties requesting a copy of the hearing record shall bear the cost of reproduction. 
(d) The request for reconsideration may include a request that the order or decision of the hearing officer be stayed pending resolution of the request for reconsideration. As stated in section 60065.48, the order or decision shall be automatically stayed for 30 days from the date of filing of the request for reconsideration. 
(e) Within ten days of being served with notice of a request for reconsideration, a party opposed to the request may file an opposition to the request with the executive officer. The opposition shall be signed and verified under oath by the party or its representative and shall not exceed 6 pages. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code.  
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 10. Final Order or Decision; Judicial Review
§60065.43. Final Order or Decision; Effective Date.
Note     •     History

(a) If no request for reconsideration of a hearing officer's order or decision is filed within 20 days of the service of an order or decision, and no reconsideration has been ordered by the executive officer on his or her own motion the order or decision of the hearing officer shall become final. The effective date of the final order or decision shall be 30 days from the date of service of the hearing officer order or decision on the parties. 
(b) If a request for reconsideration has been filed but has been summarily denied because the executive officer has not taken any action on the request within 20 days after receipt of the request, the underlying hearing officer order or decision shall become final. The effective date of the order or decision becoming final shall be the date that the order summarily denying the request for reconsideration was served on the parties. 
(c) If a request for reconsideration has not been summarily denied, the order or decision of the executive officer that addresses and fully disposes of the request for reconsideration is the final order or decision. The effective date of the order or decision shall be the date that the decision was served on the parties. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New subarticle 10 (sections 60065.44-60065.45) and section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Renumbering of former section 60065.44 to new section 60065.43, including amendment of Note, filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.44. Judicial Review.
Note     •     History

(a) A party adversely affected by a final decision of the hearing officer or the executive officer on reconsideration, may seek judicial review by filing a petition for a writ of mandate in accordance with section 1094.5 of the California Code of Civil Procedure. The right to petition shall not be affected by the failure to seek reconsideration before the agency. Such petition shall be filed within 30 days after the order or decision becomes final. 
(b) The state board may seek to enforce a final order or decision in superior court in accordance with applicable law. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code; and Section 1094.5, California Code of Civil Procedure. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Renumbering of former section 60065.44 to new section 60065.43 and renumbering of former section 60065.45 to section 60065.44, including amendment of section and Note, filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60065.45. Judicial Review.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 43028 and 43031(a), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 43028 and 43031(a), Health and Safety Code; and Section 1094.5, California Code of Civil Procedure. 
HISTORY

1. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
2. Renumbering of former section 60065.45 to section 60065.44 filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Article 4. Administrative Hearing Procedures for Review of Citations
Subarticle 1. General Provisions
§60075.1. Applicability.
Note     •     History

These rules shall govern hearings to review citations issued by the state board pursuant to Health and Safety Code sections 42410, 43023, 43028, 43031(a) and 44011.6.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 39674, 42401, 42402, 42402.1, 42402.2, 42402.3, 43008.6, 42410, 43012, 43016, 43021, 43023, 43026, 43027, 43028, 43029, 43030, 43031(a), 43154, 43201, 43211, 43212 and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former article 5 to article 4 (subarticles 1-13, sections 60075.1-60075.47) and amendment of section and Note filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.2. Definitions.
Note     •     History

(a) The definitions applicable to these rules include those set out in the Health and Safety Code (commencing with section 39010).
(b) The following definitions also apply:
(1) “Administrative record” means all documents and records timely filed with the hearing office, pursuant to section 60075.3 and the time deadlines of these rules, including pleadings, petitions, motions, and legal arguments in support thereof; all documents or records admitted into evidence or administratively noticed by the hearing officer; all official recordings or written transcripts of hearings conducted; and all orders or decisions issued by the hearing officer, executive officer, or the state board regarding the citation at issue; administrative record does not include any prohibited communications as defined in section 60075.14, and any settlement discussions or offers of settlement. 
(2) “Citation” means an administrative action alleging one or more Class I violations as determined by the state board pursuant to section 60075.11. 
(3) “Citee” means any person named in a citation as committing a Class I violation; in citations issued pursuant to Health and Safety Code section 44011.6 and title 13, CCR, section 2180, et seq., the citee is the vehicle owner as defined in section 2180.1(a)(21). 
(4) “Citing Party” means the state board, acting through any of its employees that have been authorized by the state board or its executive officers, to investigate, issue, and prosecute a citation under this article.
(5) “Class I violation” means the type of violation for which issuance of a citation under this article is appropriate; it includes: 
(A) All violations arising under Health and Safety Code sections 44011.6, et seq.; and 
(B) Those violations that are less complex, less serious in nature as determined by one or more relevant factors listed in section 60075.11, and that the state board elects to address as “Class I violations.” 
(6) “Consent Order” means an order entered by the hearing officer in accordance with the settlement agreement of the parties. 
(7) “Days” means calendar days.
(8) “Default” means the failure of any party to take the steps necessary and required by these regulations to further the hearing towards resolution, resulting in a finding by the hearing officer of forfeiture of the cause of action against that party. 
(9) “Discovery” means the limited right to exchange documents and taking of depositions, as provided in Subarticle 7. 
(10) “Executive Officer” is the executive officer of the state board.
(11) “Hearing Office” is the office established by the state board to conduct administrative hearings pursuant to Health and Safety Code sections 44011.6(m) and 43028, or the Department of General Services, Office of Administrative Hearings (“OAH”), established pursuant to Government Code section 11370.2.
(12) “Hearing Officer” is an administrative law judge appointed by the state board to conduct hearings pursuant to sections 44011.6 and 43028 of the Health and Safety Code and these rules, or an administrative law judge within OAH, who shall be appointed to conduct hearings pursuant to Health and Safety Code sections 42410 and 43023 and these rules.
(13) “Party” includes the citing party and citee.
(14) “Penalty” means an administrative penalty assessed against a citee for one or more violations of the Act. 
(15) “Proceeding” means any hearing, determination or other activity before the hearing officer that involves the parties to a citation or consideration of the citation. 
(16) “Settlement Agreement” means a written agreement executed by citing party and citee that respectively settles the allegations at issue in the citation. The settlement agreement shall include, but not be limited to, the following: (1) stipulations by the parties establishing subject matter; (2) an admission by citee that it committed the violations as alleged in the citation or a statement by citee that it neither admits nor denies that it committed such violations; and (3) the terms and conditions of the settlement. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Amendment of section and Note filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.3. Time Limits; Computation of Time.
Note     •     History

(a) All actions required pursuant to these rules shall be completed within the times specified in these rules, unless extended by the hearing officer upon a showing of good cause, and after consideration of prejudice to other parties. Requests for extensions of time for the filing of any pleading, letter, document, or other writing must be received in advance of the date on which the above is due to be filed and should contain sufficient facts to establish a reasonable basis for the relief requested.
(b) In computing the time within which a right may be exercised or an act performed, the day of the event from which the designated right or act begins shall be excluded and the last day shall be included. If the last day falls on a Saturday, Sunday, or a state holiday, time shall be extended to the next working day.
(c) In computing time, the term “day” means calendar day.
(d) Unless otherwise indicated by proof of service, the mailing date shall be presumed to be the postmark date appearing on the envelope if first-class postage was prepaid and the envelope was properly addressed.
(e) Where service of any pleading, letter, document, or other writing is by mail, overnight delivery, or by facsimile transmission (fax), pursuant to section 60075.4(c), and if within a given number of days after such service, a right may be exercised, or an act is to be performed, the time within which such right may be exercised or act performed shall be extended as provided in section 60075.4(c). Such extensions shall not apply to extend the time for requesting a hearing pursuant to section 60075.17 of these rules.
(f) Papers received by the hearing office during regular business hours (8 a.m. to 5 p.m.) will be filed on that day. Papers received at times other than regular business hours will be filed on the next regular business day.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Amendment of section and Note filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsection (e) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.4. Service, Notice and Posting.
Note     •     History

(a) Except as otherwise provided, the original of every pleading, letter, document, or other writing served in a proceeding under these rules shall be filed with the hearing office.
(b) If a hearing is assigned to OAH, a copy of every pleading, letter, document or other writing served in a proceeding under these rules shall also be filed with the state board.
(c) Unless otherwise required, service of any documents in the proceedings may be made by personal delivery; by United States first-class or interoffice mail, overnight delivery, or fax. 
(1) Service is complete at the time of personal delivery. 
(2) In the case of first-class mail, the documents to be served must be deposited in a post office, mailbox or mail chute, or other like facility regularly maintained by the United States Postal Service, in a sealed envelope, properly addressed to the person on whom it is to be served at the address as last given by that person on any document filed in the present cause of action and served on the party making service, or otherwise at the place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended five days if the place of address is within the State of California, 10 days if the place of address is outside the State of California, but within the United States, and 15 days if the place of address is outside the United States. 
(3) If served by overnight delivery, or interoffice mail, the document must be deposited in a box or other facility regularly maintained for interoffice mail or by the express service carrier, or delivered to an authorized courier or driver authorized by the express service carrier to receive documents, in an envelope or package designated by the express service carrier with delivery fees paid or provided for, addressed to the person on whom it is to be served, at the address as last given by the person on any document filed in the present cause of action and served on the party making service, or otherwise, at that place of residence of the person to be served. The service is complete at the time of the deposit, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(4) If served by fax, the document must be transmitted to a fax machine maintained by the person on whom it is served at the fax machine telephone number as last given by that person on any document which he or she has filed in the present cause of action and served on the party making the service. The service is complete at the time of the transmission, but any period of notice and any right or duty to do any act or to make any response within any period or date prescribed after service of the document shall be extended two days. 
(d) The proof of service shall be made by declaration by a person over the age of 18 years and shall state whether such service was made personally, by mail, overnight delivery, or by fax.
(1) Where service is made by personal delivery, the declaration shall show the date and place of delivery and the name of the person to whom the documents were handed. Where the person making the service is unable to obtain the name of the person to whom the documents were handed, the person making the service may substitute a physical description for the name. 
(2) Where service is made by first-class mail or overnight delivery, the declaration shall show the date and place of deposit in the mail, the name and address of the person served as shown on the mailing envelope and that the envelope was sealed and deposited in the mail with the postage fully prepaid. 
(3) Where service is made by fax, the declaration shall show the method of service on each party, the date sent, and the fax number to which the document was sent. 
(e) Service and notice to a party who has appeared through a representative shall be made upon such representative.
(f) The proof of service declaration shall be signed by the person making it and contain the following statement above the signature: “I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct, and this declaration was executed at (City, State) on (Date).” The name of the declarant shall be typed or legibly printed and signed below this statement. 
(g) Proof of service made in accordance with the Code of Civil Procedure section 1013a complies with this regulation.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 11182 and 11184, Government Code; and Sections 1013 and 1013a, Code of Civil Procedure.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Amendment of section and Note filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. New subsection (b), subsection relettering and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.5. Form of Pleadings.
Note     •     History

(a) Except as provided in this section, or by order of the hearing officer, there are no specific requirements as to the form of documents filed in a proceeding under these rules.
(b) The original of any pleading, letter, document, or other writing (other than an exhibit) shall be signed by the filing party or its representative. The signature constitutes a representation by the signer that it has read the document, that to the best of its knowledge, information and belief, the statements made therein are true, and that it has not filed the document for the purpose of delay.
(c) The initial document filed by any person shall indicate his or her status (as a party or representative of the party) and shall contain his or her name, address and telephone number. Any changes in this information shall be communicated promptly to the hearing office and all parties to the proceeding. A party who fails to furnish such information and any changes to it shall be deemed to have waived his or her right to notice and service under these rules.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Amendment of section and Note filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.6. Limitations on Written Legal Arguments or Statements.
Note     •     History

Any written legal argument or statement submitted to the hearing officer by a participant in an action under this part shall be legibly printed or double spaced and typed in a font size 12 point or larger. Except as otherwise provided by this part, further limited by the hearing officer, or otherwise authorized by the hearing officer for good cause shown, no written legal argument, exclusive of any supporting documentation, may exceed: 
(1) 12 pages, for arguments in support of or opposition to motions; and 
(2) Three pages, for reply arguments. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 43031(a), Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.6 to section 60075.7 and new section 60075.6 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.7. Records of the State Board.
Note     •     History

Except where public disclosure of information or exhibits is restricted by law, records of the state board are public records and are available to the public pursuant to section 91000 et seq., title 17, California Code of Regulations.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; Section 6250, et seq., Government Code; and Sections 91000, et seq., Title 17, California Code of Regulations.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 2 to subarticle 3, renumbering of former section 60075.7 to section 60075.13 and renumbering of section 60075.6 to section 60075.7, including amendment of Note, filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.8. Representation.
Note     •     History

(a) A party may appear in person or through a representative, who is not required to be an attorney at law. The right to representation is at the party's own expense. Following notification that a party is represented by a person other than him or herself, all further communications regarding the proceedings shall be directed to that representative. 
(b) A representative of a party shall be deemed to control all matters respecting the interest of such party in the proceeding. Persons who appear as representatives shall not engage in unethical conduct or intentionally fail to observe the provisions of these rules and the proper instructions or orders of the hearing officer. 
(c) A representative may withdraw an appearance by filing a written notice of withdrawal with the hearing office and by serving a copy on all parties. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer and new section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.9. Interpreters and Other Forms of Accommodation.
Note     •     History

(a) In proceedings where a party, a party's representative, or a party's expected witness requires an interpreter for any language, including sign language, or any other form of reasonable accommodation that party shall be responsible for notifying the hearing office as soon as the requirement is known, but no later than 10 days prior to the first day of hearing. The hearing officer may allow later notification for good cause. The hearing office shall be responsible for securing the interpreter, and for providing reasonable accommodation. 
(b) The cost of interpreter services shall be paid by the state board if the hearing officer so directs. In determining who should pay the cost of the interpreter, the hearing officer shall base the decision on equitable considerations, including, the ability of the party in need of the interpreter to pay the cost. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m) Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; Sections 11435.25, 11435.30 and 11435.55, Government Code; and Section 751, Evidence Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer and new section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.10. Motions.
Note     •     History

(a) Any motion, including any request for action by the hearing officer relating to any proceeding pending before him or her filed by any party, except those made orally on the record at the hearing, shall be in writing and shall be directed to the hearing officer, with written notice and proof of service to all parties. The caption of each motion shall contain the title and docket number of the proceeding and a clear and plain statement of the relief sought, together with the grounds therefore. 
(b) Except as otherwise provided by statute or these regulations, or as ordered by the hearing officer, a motion shall be made and filed at least 15 days before the date set for the motion to be heard or the commencement of the hearing on the merits. Any response to the motion shall be filed and served no later than five days before the motion is scheduled to be heard or as ordered by the hearing officer. 
(c) The hearing office shall set the time and place for the hearing of the motion. The hearing shall occur as soon as practicable. 
(d) Except as otherwise provided by statute or these regulations, the hearing officer may decide a motion filed pursuant to this section without oral argument. Any party may request oral argument at the time of the filing of the motion or the response. If the hearing officer orders oral argument the party requesting oral argument, or any party directed to do so by the hearing officer, shall serve written notice on all parties of the date, time and place of the oral argument. The hearing officer may direct that oral argument be made by telephone conference call or other electronic means. These proceedings shall be recorded. 
(e) The hearing officer shall issue a written order deciding any motion, unless the motion is made during the course of the hearing on the merits while on the record. The hearing officer may request that the prevailing party prepare a proposed order. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 3 to subarticle 5, renumbering of former section 60075.10 to section 60075.17 and new section 60075.10 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 2. Issuance and Service of Citations
§60075.11. Determination of Class I Violations.
Note     •     History

(a) A Class I violation includes: those violations that the state board has determined, based upon its enforcement discretion, to be of a nature that is clear cut, and less complex and serious, in terms of size, scope, and harm to the public and environment. Class I violations may cover:
(1) All violations arising pursuant to Health and Safety Code sections44011.6 et seq. 
(2) Violations arising under Part 5, chapters 1 to 4 and chapter 6 of division 26 of the Health and Safety Code, or violations of any rule, regulation, permit, variance, or orders of the state board adopted or issued by the state board pursuant to the authority granted by those provisions of the Health and Safety Code.
(3) Violations of regulations adopted and orders issued by the state board pursuant to authority granted under Parts 1 through 4 of division 26 of the Health and Safety Code.
(b) In determining whether violations are Class I violations under section (a)(2) and (a)(3), and the penalty levels of a citation, the state board shall consider the civil penalty amounts prescribed by statute and all relevant circumstances surrounding the violation, the penalty criteria set forth in section 60075.39, supra, and the following;
(1) The discernability of the violation; 
(2) The potential risk of injury to the public and environmental harm from such a violation; 
(3) Whether the violation is a single violation or has occurred in tandem with other violations; 
(4) The frequency and duration of the violation; 
(5) The time, effort, and expense required to correct the violation; 
(6) The cooperation of the citee in detecting and correcting the violation; 
(7) The compliance history of the citee; 
(8) Other factors as appropriate. 
(c) The maximum civil penalty that may be proposed for each Class I violation, described in subparagraph (a)(2) and (a)(3) above, may not exceed the lesser of the maximum allowed by statue for a violation or  $5,000 per day for each day that a violation occurs. In addition, the maximum cumulative penalty that may be proposed in any single citation may not exceed $15,000. See section 60075.39. In determining the amount allowed by statute, the ARB shall use the method of calculation set forth in the underlying statue (e.g., HSC §43016 states that penalties shall be assessed on a per vehicle basis and shall not exceed $500 per vehicle.)
(d) The state board shall not issue a citation for a Class I violation covered by section (a)(3) for any violation if the state board shares concurrent enforcement jurisdiction with a district and the district has commenced an enforcement action for that violation.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 39674, 42401, 42402, 42402.1, 42402.2, 42402.3, 43008.6, 42410, 43012, 43016, 43021, 43023, 43026, 43027, 43028, 43029, 43030, 43031(a), 43154, 43201, 43211, 43212 and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. New subarticle 2, renumbering of former section 60075.11 to section 60075.18 and new section 60075.11 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.12. Issuance and Service of Citations.
Note     •     History

(a) The citing party may issue a citation to any person for Class I violations as defined in section 60075.11. 
(b) A “Citation” shall include the following information: 
(1) The names of the alleged citees; 
(2) The code section, rule or regulation that has allegedly been violated; 
(3) A concise, but reasonably specific statement of the facts that support issuance of each alleged violation; 
(4) A proposed penalty for the alleged violations that is to be assessed against the citee as authorized by applicable law; 
(5) Reference to these procedures, notice that the procedures are available from the ARB hearing office (the address and phone number of which shall be set forth), and notice that Chapter 5 (commencing with section 11500) of the Government Code is not applicable to these proceedings; 
(6) Written notice to citee that he or she: 
(A) May respond to the allegations of the citation and request a hearing. It shall also inform the citee of the consequences of failing to respond by the applicable deadline; 
(B) Has the right to represent him or herself or to retain a representative, who is not required to be an attorney, at one's own expense; and 
(C) If necessary, has the right to an interpreter. 
(7) The address of the office issuing the citation; the address to which payment of the proposed penalty may be sent; and the address where a request for a hearing may be filed if a citee so elects. 
(8) A citation shall be served on the named citee by either personal or other form of service consistent with Code of Civil Procedure sections 415 through 417 or by certified mail, restricted delivery.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.12 to section 60075.19 and new section 60075.12 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsections (a) and (b)(7), new subsection (b)(8) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 3. Hearing Officers
§60075.13. Authority of Hearing Officers; Disqualification.
Note     •     History

(a) In any matter subject to hearing pursuant to these rules, the hearing officer shall have the authority to do any act and take all measures necessary for the maintenance of order and for the efficient, fair and impartial adjudication of issues arising in proceedings governed by these rules, including but not limited to authority to hold prehearing and settlement conferences; conduct hearings to determine all issues of fact and law presented; to rule upon motions, requests and offers of proof, dispose of procedural requests, and issue all necessary orders; administer oaths and affirmations and take affidavits or declarations; to issue subpoenas and subpoenas duces tecum for the attendance of a person and production of testimony, books, documents, or other things; to compel the attendance of a person residing anywhere in the state; to rule on objections, privileges, defenses, and the receipt of relevant and material evidence; to call and examine a party or witness and introduce into the hearing record documentary or other evidence; to request a party at any time to state the respective position or supporting theory concerning any fact or issues in the proceeding; to certify official acts; to extend the submittal date of any proceeding; to hear and determine all issues of fact and law presented and to issue such interlocutory and final orders, findings, and decisions as may be necessary for the full adjudication of the matter.
(b) The hearing officer or the executive officer, on a request for reconsideration, shall disqualify himself or herself and withdraw from any case in which he or she cannot accord a fair and impartial hearing. A hearing officer may not hear any case in which he or she has previously served as an investigator, prosecutor, or advocate. Any party may request disqualification by filing an affidavit or declaration under penalty of perjury. A request for disqualification of the hearing officer must be made no later than five days prior to the commencement to the first day of hearing on the merits of the case. A request for disqualification of the executive officer must be included in the request for reconsideration. The affidavit or declaration must state with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. The issue shall be respectively determined by either the hearing officer or the executive officer against whom the request for disqualification has been filed.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 11181 and 11182, Government Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.13 to section 60075.20, renumbering of former subarticle 2 to subarticle 3 and renumbering and amendment of former section 60075.7 to section 60075.13 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 4. Ex Parte Communication
§60075.14. Prohibited Communications.
Note     •     History

(a) Except as otherwise provided in this section, while the proceeding is pending, the hearing officer shall not participate in any communications with any party, representative of a party, or any person who has a direct or indirect interest in the outcome of the proceeding about the subject matter or merits of the case at issue, without notice and opportunity of all parties, to participate in communication except a party that has been determined to be in default pursuant to section 60075.38. 
(b) No pleading, letter, document, or other writing shall be filed in a proceeding under these rules by a party unless service of a copy thereof together with any exhibit or attachment is made on all other parties to a proceeding. Service shall be in a manner as prescribed in section 60075.4. 
(c) For the purpose of this section, a proceeding is pending from the time that the petition for review of an executive officer decision is filed. 
(d) Communications prohibited under paragraph (a) do not include communications concerning matters of procedure or practice, including requests for continuances that are not in controversy. It also does not prohibit communications between a party and the hearing officer when the opposing party has had a default entered pursuant to section 60075.38. 
(e) A communication between a hearing officer and an employee of the state board that would otherwise be prohibited by this section is permissible if: 
(1) The employee is another hearing officer or other employee of the hearing office whose job duties include aiding the hearing officer in carrying out the hearing officer's adjudicative responsibilities. Upon request, the hearing office will provide a list of employees of the hearing office to the parties. 
(2) The employee of the state board has not served as an investigator, prosecutor, or advocate in the proceeding or its preadjudicative stage, or in any factually related proceedings, and the purpose of the communication is to assist and advise the hearing officer in determining whether a document is a confidential business record (i.e., trade secrets). In obtaining such assistance and advice, the hearing officer shall give notice to the parties of the person consulted and shall provide the parties with as detailed a summary as possible of the substance of the advice received, while protecting the confidentiality of the business records at issue, and a reasonable opportunity to respond. 
(3) The prohibitions of paragraph (a) that apply to the hearing officer shall also apply to all employees covered by subparagraphs (1) and (2) above. 
(4) Communications permitted under subparagraphs (1) and (2) above shall not furnish, augment, diminish, or modify the evidence in the record. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, and 43031(a). Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028 and 43031(a). Health and Safety Code; and Sections 11430.70-11430.80, Government Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. New subarticle 4, renumbering of former section 60075.14 to section 60075.21 and new section 60075.14 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.15. Disclosure of Communication.
Note     •     History

(a) If, while the proceeding is pending, but before serving as hearing officer, the hearing officer receives a communication of a type that would be in violation of this subarticle if received while serving as hearing officer, he or she shall, promptly after starting to serve, disclose the content of the communication on the record and give all parties an opportunity to address it as provided below. 
(b) If a hearing officer receives a communication in violation of this article, the hearing officer shall make all of the following a part of the record in the proceeding: 
(1) If the communication is written, the writing and any written response of the hearing officer to the communication; and 
(2) If the communication is oral, a memorandum stating the substance of the communication, any response made by the hearing officer, and the identity of each person from whom the hearing officer received the communication. 
(c) The hearing officer shall notify all parties that a communication described in this section has been made a part of the record. 
(d) If a party requests an opportunity to address the communication within ten days after receipt of notice of the communication: 
(1) The party shall be allowed to comment on the communication. 
(2) The hearing officer has discretion to allow the party to present evidence concerning the subject of the communication, including discretion to reopen a hearing that hearing having been concluded. 
(e) Receipt of ex parte communications may be cause for disqualification of the hearing officer. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 11340.1-11340.5, Government Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 4 to subarticle 6, renumbering of former section 60075.15 to section 60075.22 and new section 60075.15 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.16. Applicability to Executive Officer.
Note     •     History

(a) The provision of Subarticle 4 governing ex parte communications to the hearing officer also governs ex parte communications with the executive officer on matters that may come before him or her pursuant to Subarticle 11. Irrespective of the prohibitions of section 60075.13(a), the executive officer may consult with state board personnel who are not involved as an investigator, prosecutor, or advocate in the proceedings or preadjudicative proceedings of the matter before the executive officer, or in a factually related case, and whose job duties include assisting the executive officer in his or her adjudicative responsibilities. 
(b) Except as otherwise provided in these procedures, while a proceeding is pending, the hearing officer shall have no communication, direct or indirect, with the executive officer on a matter that is under consideration. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 11430.70-11430.80 Government Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.16 to section 60075.23 and new section 60075.16 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 5. Initiating Proceeding to Contest a Citation
§60075.17. Filing a Request for Hearing.
Note     •     History

(a) Upon receiving a citation, the citee may: 
(1) Initiate proceedings under these rules by filing a written request for hearing to contest a citation issued by the state board; or
(2) Pay the penalty demanded in the citation.
(b) A citee shall file a request for hearing to contest a citation with the executive officer.
(c) For citations arising under section 44011.6 of the Health and Safety Code, the request for hearing shall be filed within 45 days of the citee's receipt of the citation by personal delivery or certified mail. 
(d) For all other citations issued by the state board, the request for hearing shall be filed within 30 days of the citee's receipt of the citation by personal delivery or certified mail.
(e) The executive officer may extend the applicable filing period set forth in subparagraphs (b) and (c) for good cause.
(f) If the citee fails to notify the executive officer of his or her intent to contest the citation within the applicable period set forth in subparagraphs (b) and (c), and if the citation penalty amount has not been paid in full, the citation becomes a final order not subject to review by any court or agency.
(g) The request for hearing shall be deemed filed on the date the notice indicating a desire to contest the issued citation is delivered or mailed to or, if the date of delivery or mailing is not known, received by the hearing office. No particular format is necessary to institute the proceeding; however, the request shall include all of the information specified in section 60075.18 of these rules.
(h) If the communication initiating the proceeding does not include the information required pursuant to section 60075.18, the executive officer shall immediately acknowledge receipt of the communication indicating the desire to request a hearing and shall notify the citee of the deficiencies in the submission which must be corrected before the request for hearing may be filed and docketed. The citee shall have 10 days from the date of mailing of the notice of deficiencies to submit a complete request for hearing; if the deficiencies are not corrected in the time provided the citation becomes final.
(i) Upon timely receipt of a complete request for hearing, the executive officer shall notify the citee or its representative that a request for hearing has been deemed complete and shall assign the case and forward copies of all relevant documents, including copies of the citation and request for hearing to:
(1) The Administrative Hearing Office of the state board if the citation has been issued pursuant to authority granted under Health and Safety Code sections 43028 and 44011.6.
(2) OAH if the citation has been issued pursuant to authority granted under Health and Safety Code sections 42410 and 43023.
(j) Upon a showing of good cause, the executive officer or the hearing officer assigned to the case may allow the citee to amend the request for hearing after the deadline for filing has passed.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 3 to subarticle 5, repealer of former section 60075.17 and renumbering and amendment of former section 60075.10 to section 60075.17 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.18. Form of Request for Hearing.
Note     •     History

(a) The request for hearing shall be signed by the citee or its designated representative and contain at least the following information: a reference to the citation being contested, including citation number and date of issuance; date of citee's receipt of the citation by personal delivery or certified mail; correct business address; a statement of the circumstances or arguments which are the basis of the request for hearing; identification of the facts the citee intends to place at issue; if applicable, the name and address of the designated representative; and identification of any other issues relating to the citation to be resolved in the proceeding.
(b) A separate request for hearing shall be filed for each citation contested.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering and amendment of former subarticle 5 to subarticle 7, repealer of former section 60075.18 and renumbering and amendment of former section 60075.11 to section 60075.18 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.19. Issues for Hearing.
Note     •     History

(a) The issues for hearing shall be limited to those raised by the citation and the docketed request for hearing. 
(b) If a citation is classified as a repeat violation, the validity of the earlier citation established by failure to request a hearing or the entry of a final disposition by the state board shall not be in issue. However, if the citation imposes a penalty pursuant to section 2185(a)(3), the staff of the state board shall be required to demonstrate the existence of the prior citation or citations.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.19 to new section 60076.26(c)-(c)(2) and renumbering and amendment of former section 60075.12 to section 60075.19 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsection (b) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.20. Stays Pending Filing a Request for Hearing.
Note     •     History

(a) The requirements to immediately correct deficiencies specified in a citation issued under section 44011.6(b) of the Health and Safety Code and to pay a civil penalty within 45 days of receipt of a citation (title 13, California Code of Regulations, section 2185) shall be stayed on timely receipt of a request for hearing until a final decision or order has been issued pursuant to section 60075.44 of these rules.
(b) For all other citations of noncompliance, if a cease and desist order has been issued, the hearing officer shall issue a stay pending issuance of a final decision, unless the hearing officer finds that the adverse effects of a stay on the public health, safety and welfare outweigh the harm to those persons directly affected by the lack of a stay. The hearing officer may conduct a hearing or request such submissions by the parties as necessary to obtain information to make a determination on this issue. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer of former section 60075.20 and renumbering and amendment of former section 60075.13 to section 60075.20 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section heading, subsection (a) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.21. Response by Citing Party.
Note     •     History

Within 20 days from the date that the executive officer deems a request for hearing to be filed under section 60075.17(h) and assigns the case to the appropriate hearing office, the citing party may file a response to the issues raised by citee in its request for hearing. The citing party shall file the response with the hearing office assigned to hear the case and shall serve a copy of the response on the citee or its representative.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer of former section 60075.21 and renumbering and amendment of former section 60075.14 to section 60075.21 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section heading, section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 6. Resolution of Proceeding Without Hearing
§60075.22. Withdrawal of Request for Hearing.
Note     •     History

(a) The request for hearing may be withdrawn by the citee by written request at any time before a decision is issued or by oral motion on the hearing record. The hearing officer shall grant such withdrawal by order or decision served on the parties.
(b) If at the time that the withdrawal request is granted, the time period for filing a request for hearing has passed, the citation shall be deemed a final order not subject to review by the state board or any court.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 4 to subarticle 6, repealer of former section 60075.22 and renumbering and amendment of former section 60075.15 to section 60075.22 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsection (b) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.23. Withdrawal of Citation.
Note     •     History

(a) At anytime before the hearing officer issues a decision on the merits of the citation, the citing party may withdraw the citation by written notice at any time or by oral motion on the hearing record.
(b) If a notice of withdrawal is issued prior to the hearing, the citing party shall serve a copy of the notice of withdrawal on each party and on any authorized representatives.
(c) The notice of withdrawal or motion to withdraw a citation shall be accepted by the hearing officer and is a final order. A citation that has been withdrawn may not be reinstituted.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer of former section 60075.23 and renumbering and amendment of former section 60075.16 to section 60075.23 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.24. Settlement Agreements and Consent Orders.
Note     •     History

(a) At any time before a final decision of the hearing officer, the citing party and the citee may settle an action, in whole or in part.
(b) The parties may request the assistance of the hearing office in their attempts to settle the matters at issue. Upon receiving such a request, the hearing office may assign a settlement hearing officer, who is not the same hearing officer that has been assigned, to hear the merits of the case, unless the parties specifically request in writing the assignment of the latter hearing officer. For cases assigned to OAH, OAH may assign hearing officers from the state board to assist in settlement discussions.
(c) The parties shall memorialize any agreement in writing. 
(d) The hearing officer assigned to hear the merits of the case, shall thereafter enter a consent order in accordance with the terms of the settlement agreement. Such consent order is not subject to further review by the agency or a court. 
(e) If the filing of the consent order pursuant to paragraph (d) of this section or the settlement in the petition for review proceeding does not wholly conclude the action, the hearing officer assigned to hear the merits of the case shall promptly inform the parties of the schedule of the remaining proceedings. 
(f) Unless the parties have otherwise consented to use the hearing officer assigned to hear the merits of the case in settlement discussions, settlement discussions or offers of compromise regarding unresolved issues shall not be discussed with that hearing officer. Settlement discussions or offers of compromise shall also not be made part of the record of the proceedings. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Section 11415.60, Government Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer and new section 60075.24 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsections (a) and (b) and amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.25. Motions for Summary Determination of Issues.
Note     •     History

(a) Any party may file a motion for summary judgment or summary adjudication of the issues. Such motions shall include supporting legal argument and, where necessary, affidavits showing that there is no genuine issue of material fact for determination regarding the identified issues. A party opposing such a motion shall show by affidavit or other documentation that a genuine issue of material fact as to the issues raised exists. After reviewing the motion and response of the parties, the administrative record, and any arguments of the parties, the hearing officer shall determine whether a genuine issue of material fact as to the issues exists and whether a party is entitled to judgment as to liability as a matter of law. 
(b) If, upon considering a motion under subparagraph (c), the hearing officer determines that a party is entitled to summary judgment as to liability as a matter of law, the hearing officer shall issue a written order or decision that sets forth necessary findings of fact and conclusions of law regarding all matters that were at issue. If the decision finds liability, the hearing officer shall follow the penalty assessment criteria set forth in section 60075.39. 
(c) Should it appear from the affidavits of a party opposing the motion that the party cannot for reasons stated present by affidavit facts essential to justify the party's opposition, the hearing officer may deny the motion, or grant a continuance to permit affidavits to be obtained, or to permit discovery as provided under these procedures. 
(d) The hearing officer shall deny a request for summary determination of liability if he or she finds the administrative record, including any evidence presented by the parties as part of this motion, present a genuine issue of material fact. If the hearing officer denies a request for summary determination, or denies such a request in part, the hearing officer shall promptly issue to each party a written ruling as to the existence of a genuine issue of material fact as to liability and the reasons for the ruling. The matter shall continue to be set for hearing on all issues for which a genuine issue of material fact exists. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.25 to section 60075.27 and new section 60075.25 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 7. Discovery, and Subpoenas and Subpoenas Duces Tecum
§60075.26. Discovery.
Note     •     History

(a) Exclusivity of Discovery Provisions. 
The provisions of this section provide the exclusive right to, and method of, discovery as to any proceeding governed by this chapter. 
(b) Document Exchange. 
(1) After initiation of a proceeding, a party, upon written request made to another party is entitled, prior to the hearing, to inspect and make a copy of any document, thing, statement or other writing relevant to the issues for hearing which is in the control of the other party and which is relevant and would be admissible in evidence, including, but not limited to, any statements of parties or witnesses relating to the subject matter of the proceeding, all writings or things which the party then proposes to offer in evidence, and any inspection or investigative reports prepared by or on behalf of any party. 
(3) The parties shall exchange the requested information at a time mutually agreed to by the parties, or if no agreement has been reached, no later than 30 days after a request has been made. Documents shall be served upon the requesting party pursuant to section 60075.4(b). 
(4) Unless other arrangements are made, the party making the request shall pay the reasonable costs of copying the requested materials. 
(5) A party claiming that certain writings or things are privileged against disclosure shall serve on the requesting party a written statement setting forth what matters are claimed to be privileged and the reasons therefore. 
(c) Identity of Witnesses and Exhibits 
(1) No later than 10 days before the scheduled hearing date, the parties shall submit to the hearing office and serve upon the other parties: 
(A) A list of the names, addresses and qualifications of proposed witnesses and a brief summary of the testimony to be presented by each witness; and
(B) Each document or other exhibit, the party expects to offer or may offer, if the need arises, into evidence. 
(2) The hearing officer may prohibit any party from presenting any witness or exhibit that has not been included on that party's witness list or in submitted exhibits as required under paragraph (c)(1) of this section. 
(d) Depositions. 
(1) Unless otherwise stipulated to by the parties, depositions shall be limited to the following: 
(A) A party may petition the hearing office to request that it be allowed to take the testimony of a material witness who is either unable to attend or cannot be compelled to attend a hearing on the merits may be obtained by deposition in the manner prescribed by law for depositions in civil actions; 
(B) The petition shall set forth the nature of the pending proceeding; the name and address of the witness whose testimony is desired; a showing of the materiality of the testimony; a showing that the witness will be unable or cannot be compelled to attend; and shall request an order requiring the witness to appear and testify before an officer named in the petition for that purpose; 
(C) The petitioner shall serve notice of the deposition and a copy of the petition on the other parties at least 10 days before the date set for the deposition. 
(2) Where the witness resides outside of the state and where the hearing officer has ordered the taking of the testimony by deposition, the hearing officer shall obtain an order of court to that effect by filing a petition in the superior court in Sacramento County. The proceedings for such a hearing shall be in accordance with the provisions of Government Code section 11189. 
(e) Protective Orders: 
(1) Upon motion by a party or by the person from whom discovery is sought, or by the hearing officer on his or her own motion, the hearing officer may enter a protective order with respect to this material. 
(2) Prior to granting a protective order, it must be established by the moving party that the information sought to be protected is entitled to be treated as a trade secret or is otherwise confidential. A party or person seeking a protective order shall have the opportunity to be heard on all issues relevant to preserving the record's confidentiality, including, but not limited to, the following: 
(A) The appropriate scope and terms of any governing protective order; 
(B) The terms under which the record may be placed in evidence or otherwise used at a hearing; and 
(C) The disposition of the record and any copies thereof after all relevant administrative and judicial proceedings have concluded. 
(3) A party or person seeking a protective order may be permitted to make all or part of the required showing in a meeting closed to the public. The hearing officer shall have discretion to limit attendance at any closed meeting to the hearing officer and the person or party seeking the protective order. 
(4) If granted, the protective order may order that the trade secret information not be disclosed or that it be disclosed only to specified persons, or in a specified way. Disclosure may be limited to counsel for the parties who shall not disclose such information to the parties themselves. Disclosure to specified persons shall be conditioned on execution of sworn statements that no disclosure of the information will be made to persons not entitled to receive it under the terms of the protective order. 
(5) The protective order shall contain terms governing the treatment of the information which are appropriate under the circumstances to prevent disclosure outside the hearing; the order may require that the material be kept under seal and filed separately from other evidence and exhibits in the hearing. 
(6) Any party subject to the terms and conditions of any protective order, desiring to make use of any documents or testimony covered by the protective order, shall file a motion to the hearing officer and set forth justification for the request. The motion shall be granted upon a demonstration of good cause that the information is relevant and has significant probative value on a disputed issue of material fact in issue. In granting the motion, the hearing officer shall enter an order protecting the rights of the affected persons and parties, who have claimed that the information is confidential, by preventing any unnecessary disclosure of the information. The hearing officer may require that the information be presented in a closed meeting, with attendance limited, as necessary and practicable, to specified representatives of the parties. 
(7) The hearing office shall make a record of all closed meetings that are ordered under this section. The record shall be sealed and made available, upon appropriate order, to the executive officer, on reconsideration, or to the court on review. 
(8) If the hearing officer denies a motion for protective order or grants a protective order only in part, the order shall not become effective until 10 days after the date the order is served. In the interim, a party to the proceeding or third-party holder of the asserted confidential information adversely affected by the order may seek appropriate interlocutory relief in a court of competent jurisdiction. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 11185, 11191 and 11511, Government Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 5 to subarticle 7, renumbering of former section 60075.26 to section 60075.30 and new section 60075.26, including renumbering and amendment of former section 60075.19 to section 60076.25(c)-(c)(2), filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.27. Proceeding to Compel Discovery.
Note     •     History

(a) Any party claiming that its request for discovery pursuant to this section has not been complied with or that the opposing party has failed to comply with a stipulated agreement to provide discovery may serve and file with the hearing officer a motion to compel the party who has refused or failed to produce the requested or stipulated discovery to comply. The motion shall state facts showing the party has failed or refused to comply with a discovery request or stipulation, a description of the matters sought to be discovered, the reason or reasons why the matter is discoverable, that a reasonable and good faith attempt to contact the noncomplying party for an informal resolution of the issue has been made, and the grounds of the noncomplying party's refusal so far as known to the moving party. 
(b) The motion shall be filed within 15 days after the date the requested materials were to be made available for inspection and copying or the date a deposition was scheduled to take place and served upon the party who has failed or refused to provide discovery. 
(c) The hearing on the motion to compel discovery shall be held within 15 days after the motion is filed, or a later time that the hearing officer may on his or her own motion for good cause determine. The party who has refused or failed to provide discovery shall have the right to serve and file a written answer or other response which shall be due at the hearing office and personally served on all parties at least three days prior to the date set for hearing. 
(d) Where the matter sought to be discovered is under the custody or control of the party who has refused or failed to provide discovery and that party asserts that the matter is not a discoverable matter under this section, or is privileged against disclosure, the hearing officer may order that the party in custody lodge with the hearing office the matters identified in subdivision (b) of section 915 of the Evidence Code and the hearing officer shall examine the matters in accordance with those provisions. 
(e) The hearing officer shall decide the case on the matters examined in a closed meeting, the papers filed by the parties, and such oral argument and additional evidence as the hearing officer may allow. 
(f) Unless otherwise stipulated by the parties, the hearing officer shall no later than 15 days after the hearing make its order denying or granting the motion. The order shall be in writing setting forth the matters the moving party is entitled to discover. The hearing office shall serve a copy of the order by mail upon the parties. Where the order grants the motion in whole or in part, the order shall not become effective until 10 days after the date the order is served. Where the order denies relief to the moving party, the order shall be effective on the date it is served. 
(g) If after receipt of an order directing compliance with the provisions of these rules regarding discovery, a party fails, without good cause, to comply with the order, the hearing officer may draw adverse inferences against that party and may prevent that party from introducing any evidence that had been requested and not produced during discovery into the administrative record. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 11186-11188 and 11507.7, Government Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.27 to section 60075.31 and renumbering and amendment of former section 60075.25 to section 60075.27 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.28. Subpoena and Subpoena Duces Tecum.
Note     •     History

(a) Subpoenas and subpoenas duces tecum may be issued for attendance at a hearing and for production of documents at any reasonable time and place or at a hearing. 
(b) At the request of a party, subpoenas and subpoenas duces tecum shall be issued by the hearing officer assigned to a proceeding; or the general counsel or executive officer of the citing party; or, if represented by an attorney, the attorney of record for a party in accordance with sections 1985-1985.4 of the California Code of Civil Procedure. 
(c) The custodian of documents that are the subject of a subpoena duces tecum may satisfy the subpoena by delivery of the documents or a copy of the documents, or by making the documents available for inspection or copying, together with an affidavit in compliance with section 1561 of the Evidence Code. 
(d) The process extends to all parts of the state and shall be served in accordance with sections 1987 and 1988 of the California Code of Civil Procedure. A subpoena or subpoena duces tecum may also be delivered by certified mail return receipt requested or by messenger. Service by messenger shall be effected when the witness acknowledges receipt of the subpoena to the sender, by telephone, by mail, or in person, and identifies himself or herself either by reference to date of birth and driver's license number or Department of Motor Vehicles identification number, or the sender may verify receipt of the subpoena by obtaining other identifying information from the recipient. The sender shall make a written notation of the acknowledgment. A subpoena issued and acknowledged pursuant to this section has the same force and effect as a subpoena personally served. Failure to comply with a subpoena issued and acknowledged pursuant to this section may be punished as a contempt and the subpoena may so state. A party requesting a continuance based upon the failure of a witness to appear at the time and place required for the appearance or testimony pursuant to a subpoena, shall prove that the party has complied with this section. The continuance shall only be granted for a period of time that would allow personal service of the subpoena and in no event longer than that allowed by law. 
(e) No witness is obliged to attend unless the witness is a resident of the state at the time of service. 
(f) Upon timely motion of a party or witness, or upon his or her own motion, after notice to the parties and an opportunity to be heard and upon a showing of good cause, the hearing officer may order the quashing of a subpoena or subpoena duces tecum entirely, may modify it, or may direct compliance with it upon other terms or conditions. In addition, the hearing officer may make any other order as may be appropriate to protect a party or witness from unreasonable or oppressive demands. 
(g) The state board may quash a subpoena or a subpoena duces tecum that it has issued on its own motion. 
(h)(1) In the case of the production of a party to the record of a proceeding or of a person for whose benefit a proceeding is prosecuted or defended, the service of a subpoena on the witness is not required if written notice requesting the witness to attend, with the time and place of the hearing, is served on the representative of the party or person. 
(2) Service of written notice to attend under this section shall be made in the manner and is subject to the conditions provided in section 1987 of the California Code of Civil Procedure for service of written notice to attend in a civil action or proceeding. 
(i) A witness other than an employee of the state or a political subdivision thereof appearing pursuant to a subpoena or a subpoena duces tecum, other than a party, shall receive the same mileage, and appearance fees allowed by law; such fees are to be paid by the party at whose request the witness is subpoenaed. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; Sections 11186-11188, 11450.05-11450.30, Government Code; Section 1561, Evidence Code, and Sections 1985-1985.4, 1987 and 1988, California Code of Civil Procedure. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.28 to section 60075.32 and new section 60075.28 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsection (b) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 8. Contempt and Sanction Orders
§60075.29. Contempt.
Note     •     History

(a) If any person in proceedings before the hearing officer disobeys or resists any lawful order or refuses to respond to a subpoena, subpoena duces tecum, or refuses to take the oath or affirmation as a witness or thereafter refuses to be examined, or is guilty of misconduct during a hearing or in its immediate vicinity as to obstruct the proceedings, the hearing officer may certify the facts to the Superior Court in and for the county where the proceedings are held for contempt proceedings pursuant to Government Code sections 11455.20, and 11186 through 11188. 
(b) Notwithstanding the above, the hearing officer may order a party, a party's representative or both, to pay reasonable expenses, including authorized representation fees, incurred by another party as a result of bad faith actions or tactics that are frivolous or solely intended to cause unnecessary delay. 
(1) “Actions or tactics” include, but are not limited to, the making or opposing of motions; the failure to comply with a discovery request or subpoena; or the failure to comply with a lawful order of the hearing officer. 
(2) “Frivolous” means: 
(A) Totally and completely without merit, or 
(B) For the sole purpose of harassing an opposing party. 
(c) An order for sanctions may be oral, on the record, or in writing and shall set forth the factual findings which are the basis for the imposition of sanctions. 
(1) In determining reasonable expenses, the party or parties to whom payment is to be made shall, at the hearing officer's discretion, either make a statement on the record under oath or submit a written declaration under penalty of perjury setting forth with specificity the expenses incurred as a result of the other party's conduct. 
(2) Within 5 days of the receipt of the hearing officer's order for the payment of expenses, a party or representative may, on grounds of hardship, request reconsideration from the hearing officer issuing the order. The request for reconsideration shall be filed in writing, and include a declaration under penalty of perjury. 
(d) The order or denial of an order to pay expenses under paragraph (b) is subject of procedural review in the same manner as a final decision pursuant to Subarticle 12. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Section 11525, Government Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. New subarticle 8, renumbering of former section 60075.29 to section 60075.33 and new section 60075.29 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 9. Hearings
§60075.30. Time and Place of Hearing.
Note     •     History

(a) Within 30 days of the executive officer deeming the request for hearing complete and assigning the case to the appropriate hearing office, the hearing office shall schedule the hearing date. A matter shall be scheduled to be heard as soon as practicable, but no later than 90 days after assignment of the case to the hearing office.
(b) The hearing office shall deliver or mail a notice of hearing to all parties at least 30 days prior to the hearing. The notice shall be in the form specified in section 11509 of the Government Code.
(c) The hearing officer may, on his or her own motion or upon request of any party accompanied by a showing of good cause, grant such delays or continue a hearing to another time or place as may be necessary or desirable in the interest of fairly resolving the case.
(1) A party shall apply to the hearing officer for a continuance not less than 5 days prior to the scheduled hearing.
(2) When a continuance is ordered during a hearing, the hearing officer shall give written notice of the time and place of the continued hearing.
(d) The hearing office shall set the place of hearing at a location as near as practicable to the place where the citee resides or maintains a place of business in California. If the citee does not reside or maintain a place of business in California, the hearing shall be in Sacramento. The hearing office may establish hearing locations anywhere in the state; at a minimum one hearing location shall be established in Sacramento and one in the Los Angeles area.
(e) Upon the motion of any party and a showing of good cause, or upon the motion of the hearing officer, and in the absence of an objection from any party, the hearing officer may exercise discretion to conduct all or part of a hearing by telephone or other electronic means. 
(1) In granting such a motion, the hearing officer must be assured that each participant in the hearing has an opportunity to participate in and to hear the entire proceeding while it is taking place and to observe all exhibits fully. 
(2) The hearing officer may direct the party who has requested the alternative method to make the necessary arrangements and be responsible for any associated costs. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 11509 and 11440.30, Government Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 6 to subarticle 9, renumbering of former section 60075.30 to section 60075.34 and renumbering and amendment of former section 60075.26 to section 60075.30 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsection (a) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.31. Consolidation and Separation of Cases.
Note     •     History

(a) The hearing officer may consolidate for hearing and decision any number of proceedings involving the same citee.
(b) Upon motion of a party or upon his or her own motion, the hearing officer may consolidate for hearing and decision any number of proceedings involving common issues of law or fact where consolidation would expedite and simplify consideration of the issues and would not adversely affect the rights of parties engaged in otherwise separate proceedings.
(c) Upon the motion of a party or upon the hearing officer's own motion, the hearing officer may, in furtherance of convenience or to avoid prejudice or when separate hearings will be conducive to expedition and economy, order a separate hearing of any issue, including an issue raised in the notice of defense, or of any number of issues.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer of former section 60075.31 and renumbering and amendment of former section 60075.27 to section 60075.31 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.32. Failure to Appear.
Note     •     History

(a) If after service of a notice of hearing, including notice of consolidated hearing or continuance, a party fails to appear at a hearing either in person or by representative, the hearing officer may take the proceeding off calendar, or may, at the request of a party or on his or her own motion, issue a default order in accordance with section 60075.38 of these rules.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer of former section 60075.32 and renumbering and amendment of former section 60075.28 to section 60075.32 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.33. Conduct of Hearing.
Note     •     History

(a) The hearing shall be presided over by a hearing officer and shall be conducted in the English language.
(b) The hearing officer shall conduct a fair and impartial hearing in which each party has a reasonable opportunity to be heard and to present evidence.
(c) Each party to the proceeding shall have these rights: To call and examine witnesses; to introduce exhibits; to question opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examinations; to impeach any witness regardless of which party first called the witness to testify; and to rebut the opposing evidence against him. If a party does not testify on his or her behalf, the party may be called and examined as if under cross-examination.
(d) The citing party shall present the citation and the evidence supporting its issuance, and any other material that is pertinent to the issue to be determined by the hearing officer. The citee has the right to examine, respond to, or rebut the citation and any proffered evidence and material. The citee may offer any documents, testimony, or other exculpatory evidence which bears on appropriate issues, or may be relevant to the penalty amount.
(e) At the close of citee's presentation of evidence, the parties respectively have the right to introduce rebuttal evidence that is necessary to resolve disputed issues of material fact, subject to any limits imposed by the hearing officer pursuant to subparagraph (f)(1) below. 
(f) The taking of evidence in a hearing shall be controlled by the hearing officer in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall define the issues and the order in which evidence will be received.
(g) The hearing officer may: 
(1) Limit the number of witnesses and the scope and extent of any direct examination, cross-examination, or rebuttal testimony, as necessary, to protect the interests of justice and conduct a reasonably expeditious hearing; 
(2) Require the authentication of any written exhibit or statement; and 
(3) Call and examine a party or witness and may, on his or her own motion, admit any relevant and material evidence. 
(4) Exclude persons whose conduct impedes the orderly conduct of the hearing; 
(5) Restrict attendance because of the physical limitations of the hearing facility; or 
(6) Take other action to promote due process or the orderly conduct of the hearing. 
(h) The taking of evidence in a hearing shall be controlled by the hearing officer in the manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall define the issues and the order in which evidence will be received. 
(i) Hearings shall be recorded electronically. The recording made by the Administrative Hearing Office shall be the official recording of the hearing. 
(1) The hearing office will not normally prepare a verbatim transcript of the official recording, but the hearing officer may order one if deemed necessary to permit a full and fair review and resolution of the case. If not so ordered, a party may, at its own expense, request that a verbatim transcript be made. The party making the request shall provide one (1) copy to the hearing office and one (1) copy to the other party. 
(2) The official recording of the hearing and transcript of the recording, together with all written submissions made by the parties, shall become part of the administrative record for the proceeding. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer of former section 60075.33 and renumbering and amendment of former section 60075.29 to section 60075.33 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsection (d) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.34. Evidence.
Note     •     History

(a) Testimony shall be taken only on oath or affirmation.
(b) The hearing need not be conducted according to technical rules relating to evidence and witnesses. The hearing officer shall admit evidence which is the sort of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make improper the admission of such evidence over objection in civil actions, and which is not irrelevant, immaterial, unduly repetitious, or otherwise unreliable or of little probative value. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions. The application of these rules shall not affect the substantial rights of the parties as provided in the Evidence Code.
(c) The rules of privilege shall be effective to the extent that they are otherwise required by statute to be recognized at the hearing.
(d) Consistent with the provisions of section 60075.26(e), trade secret and other confidential information may be introduced into evidence. The hearing officer shall take all precautions to preserve the confidentiality of such information, and may make such orders as may be necessary to consider such evidence in a closed meeting, including the use of a supplemental decision or order to address matters which arise out of that portion of the evidence which is confidential.
(e) The hearing officer has discretion to exclude evidence if its probative value is substantially outweighed by the probability that its admission will necessitate undue consumption of time or unduly prejudices the other party.
(f) In reaching a decision, official notice may be taken, either before or after submission of the proceeding for decision, of any generally accepted technical or scientific matter within the state board's area of expertise, and determinations, rulings, orders, findings and decisions, required by law to be made by the state board or the hearing officer.
(1) The hearing officer shall take official notice of those matters set forth in section 451 of the Evidence Code.
(2) The hearing officer may take official notice of those matters set forth in section 452 of the Evidence Code.
(3) Each party shall give notice of a request to take official notice and be given reasonable opportunity on request to present information relevant to: 
(A) The propriety of taking official notice, and
(B) The effect of the matter to be noticed.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Sections 451 and 452, Evidence Code
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.34 to section 60075.36 and renumbering and amendment of former section 60075.30 to section 60075.34 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.35. Evidence by Affidavit or Declaration.
Note     •     History

(a) At any time 20 or more days prior to a hearing or a continued hearing, a party may mail or deliver to the opposing party or parties a copy of any affidavit or declaration which the proponent proposes to introduce in evidence, together with a notice as provided in subdivision (b). Unless an opposing party, within 7 days after such mailing or delivery, mails or delivers to the proponent a request to cross-examine the affiant or declarant the opposing party's right to cross-examine such affiant or declarant is waived and the affidavit or declaration, if introduced in evidence, shall be given the same effect as if the affiant or declarant had testified orally. If an opportunity to cross-examine an affiant or declarant is not afforded after request therefore is made as herein provided, the hearing officer may allow the affidavit or declaration to be introduced into evidence, but if so allowed, it shall only be given the same effect as other hearsay evidence. 
(b) The notice referred to in subdivision (a) shall be a separate document concurrently served with the affidavit or declaration, entitled “Notice of Intent to Use Declaration or Affidavit in Lieu of Oral Testimony.” The title shall be in bold print. The content of the notice shall be substantially in the following form: 
“The accompanying affidavit or declaration of [insert name of affiant or declarant] will be introduced as evidence at the hearing in [insert title and docket number or petition number of proceeding]. [Insert name] will not be called to testify orally and you will not be entitled to question the affiant or declarant unless you notify [insert name of the proponent, representative, agent or attorney] at [insert address] that you wish to cross-examine the affiant or declarant. To be effective, your request must be mailed or delivered to [insert name of proponent, representative, agent or attorney] on or before [insert a date 7 days after the date of mailing or delivery of the affidavit or declaration to the opposing party].” 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former section 60075.35 to section 60075.37 and new section 60075.35 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.36. Exclusion of Witnesses.
Note     •     History

(a) Upon motion of a party, the hearing officer may exclude from the hearing room any witnesses, other than the parties themselves or their representatives, not at the time under examination.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer of former section 60075.36 and renumbering and amendment of former section 60075.34 to section 60075.36 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.37. Oral Argument and Briefs.
Note     •     History

(a) Prior to the close of the hearing, the hearing officer may, on his or her own motion or upon motion of a party, grant oral argument.
(b) Motions to submit written argument shall be made prior to the close of the hearing and shall be granted at the discretion of the hearing officer upon a determination that written argument will be productive and will not unreasonably delay the disposition of the proceeding. If granted, a party shall file written argument within 15 working days from the date of the hearing. Opposing parties may file an answer within 10 working days from service of the argument. The hearing officer may extend or reduce the above filing dates for submission of written argument for good cause.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 7 to subarticle 10, renumbering of former section 60075.37 to section 60075.38 and renumbering and amendment of former section 60075.35 to section 60075.37 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 10. Decisions After Hearing
§60075.38. Default Order.
Note     •     History

(a) A party to a case that has been assigned for hearing pursuant to section 60075.17(i) may be found to be in default upon failure to appear at a scheduled hearing without good cause.
(1) No finding of default shall be made against the citee unless the staff of the state board presents sufficient evidence to establish a prima facie showing that the citation was properly issued and the penalty appropriate.
(2) Default by the citing party shall result in dismissal of the citation with prejudice.
(b) If a default against a citee occurs, the state board, within 10 days, shall present written evidence supported by affidavits or declarations, substantiating the proposed penalty set forth in the complaint.
(c) If the hearing officer determines that a default has occurred, he or she shall issue a default order against the defaulting party. This order shall constitute a decision or order after hearing for purposes of section 60075.40 of these rules.
(d) Any proceeding may be reinstated by the hearing officer upon a showing of good cause that contains sufficient facts to show or establish a reasonable basis for the failure to appear at the hearing.  The defaulting party shall make the request for reinstatement within 10 days of service of the default order pursuant to section 60075.38(d) of these rules.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 7 to subarticle 10, renumbering of former section 60075.38 to section 60075.40 and renumbering and amendment of former section 60075.37 to section 60075.38 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.39. Penalty Assessment Criteria.
Note     •     History

(a) For citations issued under Health and Safety Code section 44011.6 and the regulation adopted pursuant thereto, title 13, California Code of Regulations, sections 2180, et seq., the hearing officer shall follow the penalty schedule outlined in title 13, CCR, section 2185. 
(b) In determining penalties for citations issued under Health and Safety Code sections 43023 and 43028, the hearing officer shall consider all relevant circumstances, including, but not limited to: 
(1) The penalties or range of penalties set forth in the underlying rules or regulations that have been violated;
(2) The extent of harm caused by the violation to public health and safety and to the environment; 
(3) The nature and persistence of the violation, including the magnitude of the excess emissions; 
(4) The compliance history of the citee, including the frequency of past violations; 
(5) The preventive efforts taken by citee, including the record of maintenance and any program to ensure compliance; 
(6) The innovative nature and the magnitude of the effort required to comply, and the accuracy, reproducibility, and repeatability of the available test methods; 
(7) The efforts to attain, or provide for, compliance; 
(8) The cooperation of the citee during the course of the investigation and any action taken by the defendant, including the nature, extent, and time of response of any action taken to mitigate the violation; and 
(9) For the person who owns a single retail service station, the size of the business. 
(c) In determining penalties for citations issued under Health and Safety Code section 42410, the hearing officer shall consider all relevant circumstances, including, but not limited to:
(1) The penalties or range of penalties set forth in the underlying rules or regulations that have been violated;
(2) The extent of harm caused by the violation;
(3) The nature and persistence of the violation;
(4) The length of time over which the violation occurs;
(5) The frequency of past violations;
(6) The record of maintenance;
(7) The unproven or innovative nature of the control equipment;
(8) Any action taken by the respondent, including the nature, extent, and time or response of the cleanup and construction undertaken, to mitigate the violation; and
(9) The financial burden to the respondent.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42403, 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. New section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Change without regulatory effect repealing version of section 60075.39 in effect prior to 9-1-99 action filed 9-20-99 pursuant to section 100, title 1 California Code of Regulations (Register 99, No. 39).
4. Amendment of section and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.40. Decision or Order After Hearing; Correction of Mistakes or Errors; Effective Date of Decision.
Note     •     History

(a) Unless otherwise ordered, all proceedings shall be submitted at the close of the hearing. The hearing officer may extend the submission date and shall, within 30 days after the proceeding is submitted, make findings upon all facts relevant to the issues for hearing, and file an order or decision with the reasons or grounds upon which the order or decision was made.
(b) The order or decision shall be in writing, signed and dated by the hearing officer deciding the proceeding.
(c) The order or decision may, based on the findings of fact, affirm, modify or vacate the citation or penalty, or direct other relief as appropriate.
(d) A copy of the order or decision shall be served on each party or representative together with a statement informing the parties of their right to request that the executive officer reconsider the order or decision pursuant to sections 60075.43, et seq. of these rules.
(e)(1) Within five days of the filing of any order or decision, the hearing officer may, at the request of any party or on his or her own motion, on the basis of mistake of law or fact, issue a modified order or decision correcting a mistake or error with respect to any matters determined or covered by the previously issued order or decision. If necessary, the hearing officer may schedule further proceedings to address the issue(s). 
(2) If a request has been filed under this subparagraph, the request shall be deemed denied if the hearing officer has taken no action to address the request within 15 days of filing of the request. 
(3) The hearing office shall serve a copy of the modified order or decision on each party that had previously been served with the original order or decision. The modified order or decision shall supersede the previously served order or decision, and the date of service of the modified order or decision shall be the effective date of the decision and order for purposes of sections 60075.41 and 60075.44. 
(f) The hearing officer shall certify the administrative record and shall make available copies of the administrative record and any issued orders or decisions to the executive officer. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering and amendment of former section 60075.38 to section 60075.40 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Change without regulatory effect repealing version of section 60075.40 in effect prior to 9-1-99 action filed 9-20-99 pursuant to section 100, title 1 California Code of Regulations (Register 99, No. 39).
4. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 11. Reconsideration by the Executive Officer
§60075.41. Reconsideration; On Motion of Executive Officer or by Request of Party.
Note     •     History

(a) At any time within 20 days of the filing of an order or decision of the hearing officer, pursuant to section 60075.40 of these rules, the executive officer may, on his or her own motion, determine that reconsideration is appropriate with respect to any matters determined or covered by the order or decision of the hearing officer. The executive officer shall notify the parties and the hearing office of his or her determination.
(b) A party aggrieved by an order or decision of the hearing officer, pursuant to section 60075.40 of these rules may, within 20 days of service of such order or decision, request that the executive officer reconsider any matters determined or covered by the order or decision. The request for reconsideration shall be filed with the executive officer and shall be served on all parties in accordance with section 60075.4 of these rules, except that the original of the request shall be filed with the executive officer, and the hearing office shall receive a copy. The request shall be deemed filed the date it is delivered or mailed to the executive officer.
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028 and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 8 to subarticle 11, and amendment of section heading, section and Note filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.42. Reconsideration; Procedural Requirements.
Note     •     History

(a) The request for reconsideration shall be signed by the party filing the request or its representative and verified upon oath. The request may only request reconsideration of issues that were raised before the hearing officer and may only be based upon one or more of the following grounds:
(1) In issuing the order or decision the hearing officer acted without or in excess of his or her powers;
(2) The order or decision was procured by fraud;
(3) The evidence received by the hearing officer does not justify the findings of fact;
(4) The petitioner has discovered new material evidence which the petitioner could not, with reasonable diligence, have discovered and produced at the hearing;
(5) The findings of fact do not support the order or decision; and
(6) The order or decision is contrary to applicable law. 
(b)(1) Any request for reconsideration shall set forth specifically and in full detail the grounds upon which the party making the request considers the order or decision to be unjust or unlawful and every issue to be considered by the executive officer on reconsideration. The party making the request shall be deemed to have waived all objections, irregularities, and illegalities concerning the proceeding upon which reconsideration is sought other than those specifically set forth in the petition for reconsideration. 
(2) The petition for reconsideration will be denied if it contains no more than allegations of the statutory or constitutional grounds for reconsideration, unsupported by specific references to the record and principles of law involved. 
(c) When a request for reconsideration or answer thereto has been timely filed, the filing of supplemental requests or answers in response may be granted at the discretion of the executive officer. Parties requesting a copy of the hearing record shall bear the cost of reproduction. 
(d) The request for reconsideration may include, and the executive officer may grant, a request that the decision of the hearing officer be stayed pending resolution of the petition for reconsideration. 
(e) Within 10 days of being served with notice of a request for reconsideration, a party opposed to the request may file an opposition to the request with the executive officer or the state board secretary, as applicable. The opposition shall be signed and verified under oath by the party or its representative and shall not exceed 6 pages. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer and new section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.43. Reconsideration; Orders and Decisions by the Executive Officer.
Note     •     History

(a) Unless the executive officer expressly finds otherwise, a request for reconsideration shall be deemed summarily denied if the executive officer does not issue a finding that reconsideration is warranted within 20 days of filing of the request. For those matters deemed summarily denied, the order or decision of the hearing officer issued pursuant to section 60075.40 shall be considered final pursuant to section 60075.44. 
(b) If the request for reconsideration has not been summarily denied pursuant to subparagraph (a) above in reconsidering the decision or order of the hearing officer, the executive officer may: 
(1) Review some, but not all, issues raised by the request; 
(2) Grant an order to stay, suspend, or postpone, the order or decision of the hearing officer, findings, or decision after reconsideration; 
(3) Affirm, rescind, or amend the findings, order or decision of the hearing officer; or 
(4) Direct the reopening of the hearing for the taking of additional evidence and issuance of supplementary findings of fact. The executive officer may direct that the taking of such evidence be done by either written submission or further testimony under oath before the executive officer or a hearing officer. The hearing shall be reopened for the limited purposes identified by the executive officer in his order. Notice of the time and place of further hearings shall be given to all parties and to such other persons as the hearing officer may direct. 
(c) For those decisions and orders of the hearing officer for which reconsideration is undertaken, the executive officer shall issue his or her final disposition of the request as expeditiously as possible. A decision or order that is the final disposition of the request for reconsideration shall be in writing and any modifications to the order or decision of the hearing officer shall be supported with additional findings, facts and conclusions of law. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer and new section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 12. Final Orders or Decisions
§60075.44. Final Order or Decision; Effective Date.
Note     •     History

(a) Pursuant to sections 60075.17 and 60075.22(b), if a citee fails to request a hearing to contest the issuance of a citation within the time period provided, the citation becomes a final order and the stated penalty due and payable. 
(b) If no request for reconsideration of the order or decision of the hearing officer has been filed within 20 days of the service of an order or decision under section 60075.41(b) of these rules, and if the executive officer, on his or her own motion, has not issued a finding that reconsideration is appropriate under section 60075.41(a), the order or decision of the hearing officer shall become final. The effective date of the final decision or order shall be 30 days after the date the order or decision of the hearing officer was served by mail on the parties. 
(c) If a party has filed a request for reconsideration and it has been deemed summarily denied pursuant to section 60075.43(a), because the executive officer has not acted upon the request within the time provided, the order or decision of the hearing officer shall become final. The effective date of the hearing officer order or decision becoming final shall be 20 days from the date that the request for reconsideration was filed. 
(d) If the executive officer issues a finding that reconsideration is warranted, the order or decision of the executive officer providing full disposition of the request for reconsideration pursuant to section 60075.44(b) shall be the final order or decision and shall become effective on the date that it is served by mail on the parties. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); and Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. New subarticle 12 and repealer and new section filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subarticle heading, subsection (d) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
Subarticle 13. Judicial Review
§60075.45. Judicial Review.
Note     •     History

(a) Except for orders that have become final because a citee has failed to request a hearing to contest a citation (see sections 60075.17, 60075.22(b) and 60075.44(a)), a party may seek judicial review of a final order or decision by administrative mandamus pursuant to section 1094.5 of the Code of Civil Procedure. The right to petition shall not be affected by the failure to seek reconsideration before the agency. 
(1) For citations arising under section 44011.6 of the Health and Safety Code, the citee may file for judicial review within 60 days from the date the order or decision becomes final under section 60075.44. 
(2) For all citations issued under sections 42410, 43023, and 43028 of the Health and Safety Code, the respondent may file for judicial review within 30 days from the date the order or decision becomes final under section 60075.44. 
(b) The state board may seek to enforce a final order in accordance with applicable law or decision in Superior Court. 
NOTE

Authority cited: Sections 39600, 39601, 42410, 43023, 43028, 43031(a) and 44011.6(m), Health and Safety Code. Reference: Mathews v. Eldridge, 424 U.S. 319 (1976); Sections 42410, 43023, 43028, 43031(a) and 44011.6, Health and Safety Code; and Section 1094.5, Code of Civil Procedure. 
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 9 to subarticle 13, repealer of former section 60075.45 and renumbering and amendment of former section 60075.47 to section 60075.45 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
3. Amendment of subsection (a)(2) and Note filed 9-4-2003; operative 10-4-2003 (Register 2003, No. 36).
§60075.46. Final Order of Decision After Reconsideration.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 44011.6(i), Health and Safety Code. Reference: Section 44011.6, Health and Safety Code.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Repealer filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
§60075.47. Judicial Review.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 44011.6(i), Health and Safety Code. Reference: Section 44011.6, Health and Safety Code; Section 1094.5, Code of Civil Procedure.
HISTORY

1. New section filed 11-27-91; operative 11-27-91 pursuant to Government Code section 11346.2(d) (Register 92, No. 8).
2. Renumbering of former subarticle 9 to subarticle 13 and renumbering of former section 60075.47 to section 60075.45 filed 9-1-99; operative 10-1-99 (Register 99, No. 36).
Article 6. Definition of Minor Violation and Guidelines for Issuance of Notice to Comply
§60090. Purpose.
Note     •     History

The purpose of this regulation is to implement the provisions of Chapter 3 of Part 1 of Division 26 of the California Health and Safety Code (commencing with section 39150) which define a “minor violation” and establish guidelines for issuing a Notice to Comply.
NOTE

Authority cited: Sections 39600, 39601 and 39150(c), Health and Safety Code. Reference: Sections 39150-39153, Health and Safety Code. 
HISTORY

1. New article 6 (sections 60090-60094) and section filed 4-9-99; operative 5-9-99 (Register 99, No. 15).
§60091. Definitions.
Note     •     History

For the purposes of sections 60090 through 60094, the following definitions shall apply:
(a) “Chronic violation” means a violation where there is evidence indicating a pattern of neglect or disregard in complying with air pollution control requirements. A pattern of neglect or disregard can be established by more than one reasonably contemporaneous violation of the same or similar nature at the same facility or by the same operator.
(b) “Executive Officer” means the Executive Officer of the California Air Resources Board or his or her delegate pursuant to section 39516 of the Health and Safety Code.
(c) “Information” means data, records, photographs, analyses, plans, or specifications which will disclose the nature, extent, quantity, or degree of air contaminants which are, or may be, discharged by a source.
(d) “Minor Violation” means: 
(1) The failure of a person to comply with any requirement or condition of any applicable rule, regulation, information request, order, variance, or other requirement, whether procedural or substantive, adopted by the Air Resources Board pursuant to Division 26 of the Health and Safety Code, sections 43830 et seq., 41962, and 41712, where the noncompliance meets all of the following criteria:
(A) does not result in or contribute to, or have the effect of covering or concealing, an increase in emissions of any air contaminant by more than a de minimis amount; and,
(B) does not endanger the health, safety, or welfare of any person(s); and
(C) does not endanger the environment; and
(D) does not cause an increase in emissions of any toxic air contaminant in excess of any emission standard, limitation, or other state or federal requirement that is applicable to that toxic air contaminant; and
(E) does not cause or contribute to the violation of any state or national ambient air quality standard; and
(F) does not hinder the ability of the Executive Officer to determine compliance with any other applicable local, state or federal rule, regulation, information request, order, variance, permit, or other requirement.
(2) Notwithstanding the above, no violation shall be considered a minor violation if:
(A) the violation is knowing, willful, or intentional; or
(B) the violation enables the violator to benefit economically from noncompliance, either by realizing reduced costs or by gaining a competitive advantage; or
(C) the violation is chronic; or
(D) the violation is committed by a recalcitrant violator.
(e) “Notice to Comply” means a written method of alleging a minor violation that:
(1) is written in the course of conducting an inspection by the Executive Officer.
(2) is presented to a person who is owner, operator, employee, or representative of the facility being inspected at the time the Notice to Comply is issued.
(3) clearly states the following:
(A) the nature of the alleged minor violation; and
(B) a means by which compliance with the requirement cited may be achieved; and
(C) a time limit, not to exceed thirty (30) days, by which date compliance must be achieved; and
(D) that the inspected facility may be subject to reinspection at any time.
(f) “Procedural Requirement” means a requirement of a rule or regulation that establishes a manner, method, or course of action but does not specify, limit, or otherwise address direct air contaminant emissions.
(g) “Recalcitrant violator” means a person who, based upon the evidence, has engaged in a pattern of neglect or disregard with respect to the violation of applicable rules, regulations, information requests, orders, permits, or other requirements.
NOTE

Authority cited: Sections 39600, 39601 and 39150(c), Health and Safety Code. Reference: Sections 39150-39153, Health and Safety Code.
HISTORY

1. New section filed 4-9-99; operative 5-9-99 (Register 99, No. 15).
§60092. Applicability.
Note     •     History

Any person who is an owner, operator, employee, or representative of a facility subject to rules, regulations, or other requirements adopted pursuant to Division 26 of the Health and Safety Code, sections 43830 et seq., 41962, and 41712 and commits a minor violation shall be subject to this regulation.
NOTE

Authority cited: Sections 39600, 39601 and 39150(c), Health and Safety Code. Reference: Sections 39150-39153, Health and Safety Code.
HISTORY

1. New section filed 4-9-99; operative 5-9-99 (Register 99, No. 15).
§60093. Requirements.
Note     •     History

For the purposes of sections 60090 through 60094 the following requirements shall apply to the issuance of, and response to, a Notice to Comply for a minor violation:
(a) Except as otherwise provided in this regulation, a Notice to Comply shall be the only means by which the Executive Officer shall cite a minor violation.
(b) A person who receives a Notice to Comply pursuant to this paragraph shall have the period specified from the date of the receipt of the Notice to Comply in which to achieve compliance. Within five (5) working days of achieving compliance, the person who received the Notice to Comply shall sign the Notice to Comply, stating that the person has complied with the Notice to Comply, and return it to the Executive Officer. A false statement that compliance has been achieved is a violation of this rule.
(1) If testing is required to determine compliance, and the testing cannot be conducted during the course of the inspection, the Executive Officer shall have a reasonable period of time to conduct the required testing.
(2) If, after the test results are available, the Executive Officer determines that the issuance of a Notice to Comply is warranted, the facility owner or operator shall be immediately notified in writing. If, after the test results are available, the Executive Officer determines that the issuance of a Notice of Violation is warranted, the facility owner or operator shall be notified in writing.
(c) If testing is not required, or if test results are received in a sufficiently timely manner, a single Notice to Comply shall be issued for all minor violations cited during the same inspection. The Notice to Comply shall separately list each cited minor violation and the manner in which it may be corrected.
(d) A Notice to Comply shall not be issued for any minor violation that is corrected immediately in the presence of the Executive Officer. Immediate compliance may be noted in the inspection report, but the person shall not be subject to any further enforcement action due to the corrected minor violation. Corrected minor violations may be used as evidence to show a pattern of neglect or disregard by a recalcitrant violator.
(e) The Executive Officer may require a person subject to a Notice to Comply to submit reasonable and necessary information to support a claim of compliance.
(f) Nothing in this regulation shall be construed as preventing the reinspection of a facility to ensure that the minor violation(s) cited in a Notice to Comply has been corrected.
(g) Notwithstanding any other provision of this regulation, if a person fails to comply with a Notice to Comply within the prescribed period, or if the Executive Officer determines that the circumstances surrounding a particular minor violation are such that immediate enforcement is warranted to prevent harm to any person(s) or to the environment, the Executive Officer may take any enforcement action authorized by law.
(h) Notwithstanding any other provision of this regulation, if the Executive Officer determines that the circumstances surrounding an otherwise minor violation are such that the assessment of a civil penalty is warranted or required by federal law, the Executive Officer shall make written findings that set forth the basis for this determination prior to, or concurrently with, issuance of a Notice of Violation.
(i) Nothing in this regulation restricts the power of a city attorney, district attorney, county counsel, or the Attorney General to bring any criminal proceeding otherwise authorized by law. Furthermore, nothing in this regulation prevents the Executive Officer from cooperating with, or participating in, such a proceeding.
(j) If a person disagrees with the alleged minor violation(s) cited in the Notice to Comply issued pursuant to this section, the person shall give written notice of appeal, including the reasons why the applicant believes a Notice to Comply is inappropriate, pursuant to the criteria set forth in this regulation, within 5 days of the citation. The written notice of appeal shall be sent to the Executive Officer of the Air Resources Board, P. O. Box 2815, Sacramento, CA 95812 , who shall develop a process for reviewing and determining the disposition of the appeal.
NOTE

Authority cited: Sections 39600, 39601 and 39150(c), Health and Safety Code. Reference: Sections 39150-39153, Health and Safety Code.
HISTORY

1. New section filed 4-9-99; operative 5-9-99 (Register 99, No. 15).
§60094. Penalty for Failure to Comply.
Note     •     History

Any person who fails to comply by the date specified on the Notice to Comply shall be issued a Notice of Violation of this regulation in addition to any other penalties which may be assessed for the underlying violation.
NOTE

Authority cited: Sections 39600, 39601 and 39150(c), Health and Safety Code. Reference: Sections 39150-39153, Health and Safety Code. 
HISTORY

1. New section filed 4-9-99; operative 5-9-99 (Register 99, No. 15).
Subchapter 1.5. Air Basins and Air Quality Standards
Article 1. Description of California Air Basins
§60100. North Coast Basin.
Note     •     History

(a) All of Del Norte County
(b) All of Humboldt County
(c) All of Mendocino County
(d) All of Trinity County
(e) That portion of Sonoma County which lies north and west of a line described as follows:
Beginning at the southeasterly corner of the Rancho Estero Americano, being on the boundary line between Marin and Sonoma Counties, California; thence running northerly along the easterly boundary line of said Rancho Estero Americano to the northeasterly corner thereof, being an angle corner in the westerly boundary line of Rancho Canada de Jonive; thence running along said boundary of Rancho Canada de Jonive westerly, northerly and easterly to its intersection with the easterly line of Graton Road; thence running along the easterly and southerly line of Graton Road, northerly and easterly to its intersection with the easterly line of Sullivan Road; thence running northerly along said easterly line of Sullivan Road to the southerly line of Green Valley Road; thence running easterly along the said southerly line of Green Valley Road and easterly along the southerly line of State Highway 116, to the westerly line of Vine Hill Road; thence running along the westerly and northerly line of Vine Hill Road, northerly and easterly to its intersection with the westerly line of Laguna Road; thence running northerly along the westerly line of Laguna Road and the northerly projection thereof to the northerly line of Trenton Road; thence running westerly along the northerly line of said Trenton Road to the easterly line of Trenton-Healdsburg Road; thence running northerly along said easterly line of Trenton-Healdsburg Road to the easterly line of Eastside Road; thence running northerly along said easterly line of Eastside Road to its intersection with the southerly line of Rancho Sotoyome; thence running easterly along said southerly line of Rancho Sotoyome to its intersection with the Township line common to Townships 8 and 9 North, M.D.M.; thence running easterly along said township line to its intersection with the boundary line between Sonoma and Napa Counties, State of California.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. Amendment filed 7-19-74; effective thirtieth day thereafter (Register 74, No. 29). For prior history, see Register 71, No. 31.
2. Amendment of NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Renumbering of Subchapter 1 (Sections 60100-70201, not consecutive) to Subchapter 1.5 (Sections 60100-70201, not consecutive) filed 6-5-78; effective thirtieth day thereafter (Register 78, No. 23).
§60101. San Francisco Bay Area Basin.
Note     •     History

(a) That portion of Sonoma County which lies south and east of a line described as follows:
Beginning at the southeasterly corner of the Rancho Estero Americano, being on the boundary line between Marin and Sonoma Counties, California; thence running northerly along the easterly boundary line of said Rancho Estero Americano to the northeasterly corner thereof, being an angle corner in the westerly boundary line of Rancho Canada de Jonive; thence running along said boundary of Rancho Canada de Jonive westerly, northerly and easterly to its intersection with the easterly line of Graton Road; thence running along the easterly and southerly line of Graton Road, northerly and easterly to its intersection with the easterly line of Sullivan Road; thence running northerly along said easterly line of Sullivan Road to the southerly line of Green Valley Road; thence running easterly along the said southerly line of Green Valley Road and easterly along the southerly line of State Highway 116, to the westerly line of Vine Hill Road; thence running along the westerly and northerly line of Vine Hill Road, northerly and easterly to its intersection with the westerly line of Laguna Road; thence running northerly along the westerly line of Laguna Road and the northerly projection thereof to the northerly line of Trenton Road; thence running westerly along the northerly line of said Trenton Road to the easterly line of Trenton-Healdsburg Road; thence running northerly along said easterly line of Trenton-Healdsburg Road to the easterly line of Eastside Road; thence running northerly along said easterly line of Eastside Road to its intersection with the southerly line of Rancho Sotoyome; thence running easterly along said southerly line of Rancho Sotoyome to its intersection with the Township line common to Townships 8 and 9 North, M.D.M.; thence running easterly along said township line to its intersection with the boundary line between Sonoma and Napa Counties, State of California.
(b) All of Napa County
(c) That portion of Solano County which lies south and west of a line described as follows:
Beginning at the intersection of the westerly boundary of Solano County and the 1/4 section line running east and west through the center of Section 34, T6N, R2W, M.D.B. & M., thence east along said 1/4 section line to the east boundary of Section 36, T6N, R2W, thence south 1/2 mile and east 2.0 miles, more or less, along the west and south boundary of Los Putos Rancho to the northwest corner of Section 4, T5N, R1W, thence east along a line common to T5N and T6N to the northeast corner of Section 3, T5N, R1E, thence south along section lines to the southeast corner of Section 10, T3N, R1E, thence east along section lines to the south 1/4 corner of Section 8, T3N, R2E, thence east to the boundary between Solano and Sacramento Counties. 
(d) All of Contra Costa County
(e) All of Alameda County
(f) All of Santa Clara County
(g) All of San Mateo County
(h) All of San Francisco County
(i) All of Marin County
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001, 39606(a), and 40200, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (c) filed 6-28-71 as an emergency; designated effective 7-1-71. Certificate of Compliance included (Register 71, No. 27).
2. New NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
§60102. North Central Coast Basin.
Note     •     History

(a) All of Santa Cruz County
(b) All of San Benito County
(c) All of Monterey County
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE (Register 82, No. 11).
§60103. South Central Coast Basin.
Note     •     History

(a) All of San Luis Obispo County
(b) All of Santa Barbara County
(c) All of Ventura County
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. Amendment filed 7-16-76; designated effective 9-1-76 (Register 76, No. 29, 7-17-76).
2. Amendment of NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
§60104. South Coast Air Basin.
Note     •     History

(a) All of Orange County
(b) That portion of Riverside County which lies west of a line described as follows:
Beginning at the Riverside-San Diego County boundary and running north along the range line common to R. 4 E and R. 3 E; then east along the township line common to T. 8 S and T. 7 S; then north along the range line common to R. 5 E and R. 4 E; then west along the township line common to T. 6 S and T. 7 S to the southwest corner of Section 34, T. 6 S, R. 4 E; then north along the west boundaries of Sections 34, 27, 22, 15, 10, 3, T. 6 S, R. 4 E; then west along the township line common to T. 5 S and T. 6 S; then north along the range line common to R. 4 E and R. 3 E; then west along the south boundaries of Sections 13, 14, 15, 16, 17 and 18, T. 5 S. R. 3 E; then north along the range line common to R. 2 E and R. 3 E to the Riverside-San Bernardino County line.
(c) That portion of San Bernardino County west and south of a line described as follows:
Beginning at the San Bernardino-Riverside County boundary and running north along the range line common to R. 3 E and R. 2 E; then west along the township line common to T. 3 N and T. 2 N to the San Bernardino-Los Angeles County boundary.
(d) That portion of Los Angeles County which lies south and west of a line described as follows:
Beginning at the Los Angeles-San Bernardino County boundary and running west along the township line common to T.3 N and T.2 N, San Bernardino Base and Meridian; then north along the range line common to R.8 W and R.9 W; then west along the township line common to T.4 N and T.3 N; then north along the range line common to R.12 W and R.13 W to the southeast corner of Section 12, T.5 N, R. 13 W; then west along the south boundaries of Sections 12, 11, 10, 9, 8, 7, T.5 N, R. 13 W to the boundary of the Angeles National Forest which is collinear with the range line common to R. 13 W and R. 14 W; then north and west along the Angeles National Forest boundary to the point of intersection with the township line common to T.7 N and T. 6 N (point is at the northwest corner of Section 4 in T.6 N, R. 14 W); then west along the township line common to T.7 N and T.6 N; then north along the range line common to R. 15 W and R. 16 W to the southeast corner of Section 13, T.7 N, R. 16 W; then along the south boundaries of Sections 13, 14, 15, 16, 17, 18, T.7 N, R. 16 W; then north along the range line common to R.16 W and R. 17 W to the north boundary of the Angeles National Forest (collinear with township line common to T.8 N and T.7 N); then west and north along the Angeles National Forest boundary to the point of intersection with the south boundary of the Rancho La Liebre Land Grant; then west and north along this land grant boundary to the Los Angeles-Kern County boundary.
NOTE

Authority cited: Sections 39601 and 39606.1, Health and Safety Code. Reference: Sections 39001, 39606(a), 39606.1 and 40410, Health and Safety Code.
HISTORY

1. New subsection (f) filed 7-3-69; effective thirtieth day thereafter (Register 69, No. 27).
2. Amendment filed 7-16-76; designated effective 9-1-76 (Register 76, No. 29, 7-17-76).
3. Editorial correction of Note (Register 82, No. 11)
4. Amendment of section heading, subsection (b) and Note filed 4-8-97; operative 5-8-97 (Register 97, No. 15).
5. Change without regulatory effect amending subsections (c) and (d) filed 10-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 44).
§60105. Northeast Plateau Basin.
Note     •     History

(a) All of Modoc County
(b) All of Lassen County
(c) All of Siskiyou County
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. Amendment of subsection (c) filed 6-28-71 as an emergency; designated effective 7-1-71 (Register 71, No. 27).
2. Certificate of Compliance--Section 11422.1, Gov. Code, filed 7-28-71 (Register 71, No. 31).
3. Editorial correction of NOTE (Register 82, No. 11).
4. Repealer of subsection (d) filed 3-4-86; designated effective 7-1-86 (Register 86, No. 20).
§60106. Sacramento Valley Basin:
Note     •     History

(a) All of Tehama County
(b) All of Glenn County
(c) All of Butte County
(d) All of Colusa County
(e) All of Yolo County
(f) All of Sutter County
(g) All of Yuba County
(h) All of Sacramento County
(i) All of Shasta County.
(j) That portion of Solano County which lies north and east of a line described as follows:
Beginning at the intersection of the westerly boundary of Solano County and the 1/4 section line running east and west through the center of Section 34, T6N, R2W, M.D.B. & M., thence east along said 1/4 section line to the east boundary of Section 36, T6N, R2W, thence south 1/2 mile and east 2.0 miles, more or less, along the west and south boundary of Los Putos Rancho to the northwest corner of Section 4, T5N, R1W, thence east along a line common to T5N and T6N to the northeast corner of Section 3, T5N, R1E, thence south along section lines to the southeast corner of Section 10, T3N, R1E, thence east along section lines to the south 1/4 corner of Section 8, T3N, R2E, thence east to the boundary between Solano and Sacramento Counties.
(k) That portion of Placer County which lies west of Range 9 east, M.D.B. & M.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. New subsection (o) filed 6-28-71 as an emergency; designated effective 7-1-71. Certificate of Compliance included (Register 71, No. 27).
2. Amendment filed 6-21-74 as an emergency; designated effective 7-1-74. Certificate of Compliance included (Register 74, No. 25).
3. Editorial correction of subsection (i) and NOTE (Register 82, No. 11).
4. Amendment of subsection (i) filed 3-4-86; designated effective 7-1-86 (Register 86, No. 20).
5. New subsection (k) filed 6-26-86; designated effective 7-1-86 pursuant to Government Code Section 11346.2(d) (Register 86, No. 26).
§60107. San Joaquin Valley Basin.
Note     •     History

(a) All of San Joaquin County
(b) All of Stanislaus County
(c) All of Merced County
(d) All of Madera County
(e) All of Fresno County
(f) All of Kings County
(g) All of Tulare County
(h) That portion of Kern County which lies west and north of a line described as follows:
Beginning at the Kern-Los Angeles County boundary and running north and east along the northwest boundary of the Rancho La Libre Land Grant to the point of intersection with the range line common to R. 16 W. and R. 17 W., San Bernardino Base and Meridian; north along the range line to the point of intersection with the Rancho El Tejon Land Grant boundary; then southeast, northeast, and northwest along the boundary of the Rancho El Tejon Land Grant to the northwest corner of S. 3, T. 11 N., R. 17 W.; then west 1.2 miles; then north to the Rancho El Tejon Land Grant boundary; then northwest along the Rancho El Tejon line to the southeast corner of S. 34, T. 32 S., R. 30 E., Mount Diablo Base and Meridian; then north to the northwest corner of S. 35, T. 31 S., R. 30 E.; then northeast along the boundary of the Rancho El Tejon Land Grant to the southwest corner of S. 18, T. 31 S., R. 31 E.; then east to the southeast corner of S. 13, T. 31 S., R. 31 E.; then north along the range line common to R. 31 E. and R. 32 E., Mount Diablo Base and Meridian, to the northwest corner of S. 6, T. 29 S., R. 32 E.; then east to the southwest corner of S. 31, T. 28 S., R. 32 E.; then north along the range line common to R. 31 E. and R. 32 E. to the northwest corner of S. 6, T. 28 S., R. 32 E., then west to the southeast corner of S. 36, T. 27 S., R. 31 E., then north along the range line common to R. 31 E. and R. 32 E. to the Kern-Tulare County boundary.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. Amendment filed 10-6-71; effective thirtieth day thereafter (Register 71, No. 41).
2. Amendment filed 6-21-74 as an emergency; designated effective 7-1-74. Certificate of Compliance included (Register 74, No. 25).
3. Editorial correction of Note (Register 82, No. 11).
4. Amendment of subsection (h) filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
5. Change without regulatory effect amending subsection (h) filed 3-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
§60108. Great Basin Valleys Basin.
Note     •     History

(a) All of Alpine County
(b) All of Mono County
(c) All of Inyo County
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. Editorial correction of NOTE (Register 82, No. 11).
§60109. Mojave Desert Air Basin.
Note     •     History

(a) That portion of Riverside County which lies east of a line described as follows:
That segment of the southwestern boundary line of Hydrologic Unit Number 18100100 within Riverside County1, further described as follows:
Beginning at the Riverside-Imperial County boundary and running north along the range line common to R. 17 E. and R. 16 E., San Bernardino Base and Meridian; then northwest along the ridge line of the Chuckwalla Mountains, through T. 8 S., R. 16 E. and T. 7 S., R. 16 E., until the Black Butte Mountain, elev. 4504'; then west and northwest along the ridge line to the southwest corner of T. 5 S., R. 14 E.; then north along the range line common to R. 14 E. and R. 13 E.; then west and northwest along the ridge line to Monument Mountain, elev. 4834'; then southwest and then northwest along the ridge line of the Little San Bernardino Mountains to Quail Mountain, elev. 5814'; then northwest along the ridge line to the Riverside-San Bernardino County line. 
(b) That portion of San Bernardino County east and north of a line described as follows:
Beginning at the San Bernardino-Riverside County boundary and running north along the range line common to R. 3 E and R. 2 E, San Bernardino Base and Meridian; then west along the township line common to T. 3 N and T. 2 N to the San Bernardino-Los Angeles County boundary.
(c) That portion of Los Angeles County which lies north and east of a line described as follows:
Beginning at the Los Angeles-San Bernardino County boundary and running west along the township line common to T. 3 N and T. 2 N, San Bernardino Base and Meridian; then north along the range line common to R. 8 W and R. 9 W; then west along the township line common to T. 4 N and T. 3 N; then north along the range line common to R. 12 W and R. 13 W to the southeast corner of Section 12, T. 5 N, R. 13 W; then west along the south boundaries of Sections 12, 11, 10, 9, 8, 7, T. 5 N, R. 13 W to the boundary of the Angeles National Forest which is collinear with the range line common to R. 13 W and R. 14 W; then north and west along the Angeles National Forest boundary to the point of intersection with the township line common to T. 7 N and T. 6 N (point is at the northwest corner of Section 4 in T. 6 N, R. 14 W); then west along the township line common to T. 7 N and T. 6 N; hen north along the range line common to R. 15 W and R. 16 W to the southeast corner of Section 13, T. 7 N, R. 16 W; then along the south boundaries of Sections 13, 14, 15, 16, 17, 18, T. 7 N, R. 16 W; then north along the range line common to R. 16 W and R. 17 W to the north boundary of the Angeles National Forest (collinear with township line common to T. 8 N and T. 7 N) then west and north along the Angeles National Forest boundary to the point of intersection with the south boundary of the Rancho La Liebre Land Grant; then west and north along this land grant boundary to the Los Angeles-Kern County boundary.
(d) That portion of Kern County east and south of a line described as follows:
Beginning at the Kern-Los Angeles County boundary and running north and east along the northwest boundary of the Rancho La Libre Land Grant to the point of intersection with the range line common to R. 16 W. and R. 17 W., San Bernardino Base and Meridian; north along the range line to the point of intersection with the Rancho El Tejon Land Grant boundary; then southeast, northeast, and northwest along the boundary of the Rancho El Tejon Land Grant to the northwest corner of S. 3, T. 11 N., R. 17 W.; then west 1.2 miles; then north to the Rancho El Tejon Land Grant boundary; then northwest along the Rancho El Tejon line to the southeast corner of S. 34, T. 32 S., R. 30 E., Mount Diablo Base and Meridian; then north to the northwest corner of S. 35, T. 31 S., R. 30 E.; then northeast along the boundary of the Rancho El Tejon Land Grant to the southwest corner of S. 18, T. 31 S., R. 31 E.; then east to the southeast corner of S. 13, T. 31 S., R. 31 E.; then north along the range line common to R. 31 E. and R. 32 E., Mount Diablo Base and Meridian, to the northwest corner of S. 6, T. 29 S., R. 32 E.; then est to the southwest corner of S. 31 T. 28 S., R. 32 E.; then north along the range line common to R. 31 E. and R. 32 E. to the northwest corner of S. 6, T. 28 S., R. 32 E., then west to the southeast corner of S. 36, T. 27 S., R. 31 E., then north along the range line common to R. 31 E. and R. 32 E. to the Kern-Tulare County boundary.

_____________
1Hydrologic Unit Map, 1978, State of California (Southern Half), Department of the Interior, Geological Survey, Reston, Virginia (Reprinted 1987), incorporated by reference herein.
NOTE

Authority cited: Sections 39601 and 39606.1, Health and Safety Code. Reference: Sections 39001, 39606(a) and 39606.1, Health and Safety Code.
HISTORY

1. Amendment filed 10-6-71; effective thirtieth day thereafter (Register 71, No. 41).
2. Repealer of subsection (b) and renumbering of subsections (c), (d), (e) and (f) filed 6-16-77; effective thirtieth day thereafter (Register 77, No. 25).
3. Editorial correction of Note (Register 82, No. 11)
4. Amendment of subsection (e) filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
5. Change without regulatory effect amending subsection (e) filed 3-18-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 12).
6. Amendment of section heading, repealer of subsection (a), subsection relettering, amendment of newly designated subsection (a) and amendment of Note filed 4-8-97; operative 5-8-97 (Register 97, No. 15).
§60110. San Diego Air Basin.
Note     •     History

All of San Diego County.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. Amendment filed 6-16-77; effective thirtieth day thereafter (Register 77, No. 25).
2. Editorial correction of NOTE (Register 82, No. 11).
§60111. Mountain Counties Air Basin:
Note     •     History

(a) All of Plumas County
(b) All of Sierra County
(c) All of Nevada County
(d) All of Amador County
(e) All of Calaveras County
(f) All of Tuolumne County
(g) All of Mariposa County
(h) All of El Dorado County except that portion included in the Lake Tahoe Air Basin, as defined in Section 60113(a).
(i) All of Placer County except that portion included in the Lake Tahoe Air Basin, as defined in Section 60113(b), and that portion included in the Sacramento Valley Air Basin, as defined in Section 60106(k).
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. New section filed 6-21-74 as an emergency; designated effective 7-1-74. Certificate of Compliance included (Register 74, No. 25).
2. Amendment filed 12-30-75; effective thirtieth day thereafter (Register 76, No. 1).
3. Editorial correction of NOTE (Register 82, No 11).
4. Amendment of subsection (i) filed 6-26-86; designated effective 7-1-86 pursuant to Government Code Section 11346.2(d) (Register 86, No. 26).
§60112. Lake County Air Basin.
Note     •     History

All of Lake County.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. New section filed 7-19-74; effective thirtieth day thereafter (Register 74, No. 29).
2. Editorial correction of NOTE (Register 82, No. 11).
§60113. Lake Tahoe Air Basin.
Note     •     History

(a) That portion of El Dorado County within the drainage area naturally tributary to Lake Tahoe including said Lake.
(b) That portion of Placer County within the drainage area naturally tributary to Lake Tahoe including said Lake, plus that area in the vicinity of the head of the Truckee River described as follows: commencing at the point common to the aforementioned drainage area crestline and the line common to Townships 15 North and 16 North, M.D.B. & M., and following that line in a westerly direction to the northwest corner of Section 3, Township 15 North, Range 16 East, M.D.B. & M., thence south along the west line of Sections 3 and 10, Township 15 North, Range 16 East, M.D.B. & M., to the intersection with the said drainage area crestline, thence following the said drainage area boundary in a southeasterly, then northeasterly direction to and along the Lake Tahoe Dam, thence following the said drainage area crestline in a northeasterly, then northwesterly direction to the point of beginning.
The Air Basin defined and described in (a) and(b) above shall be as delineated on the official map thereof which is signed by the Executive Officer of the Air Resources Board; such map shall be on file at the Air Resources Board Headquarters Office.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 39001 and 39606(a), Health and Safety Code.
HISTORY

1. New section filed 12-30-75; effective thirtieth day thereafter (Register 76, No. 1).
2. Editorial correction of NOTE (Register 82, No. 11).
§60114. Salton Sea Air Basin.
Note     •     History

(a) All of Imperial County
(b) That portion of Riverside County which lies east of a line described as follows:
Beginning at the Riverside-San Diego County boundary and running north along the range line common to R. 4 E and R. 3 E; then east along the township line common to T. 8 S and T. 7 S; then north along the range line common to R. 5 E and R. 4 E; then west along the township line common to T. 6 S and T. 7 S to the southwest corner of Section 34, T. 6 S, R. 4 E; then north along the west boundaries of Sections 34, 27, 22, 15, 10, 3, T. 6 S, R. 4 E; then west along the township line common to T. 5 S and T. 6 S; then north along the range line common to R. 4 E and R. 3 E; then west along the south boundaries of Sections 13, 14, 15, 16, 17 and 18, T. 5 S. R. 3 E; then north along the range line common to R. 2 E and R. 3 E to the Riverside-San Bernardino County line;
and west of a line described as follows:
That segment of the southwestern boundary line of Hydrologic Unit Number 18100100 within Riverside County1, further described as follows:
Beginning at the Riverside-Imperial County boundary and running north along the range line common to R. 17 E. and R. 16 E., San Bernardino Base and Meridian; then northwest along the ridge line of the Chuckwalla Mountains, through T. 8 S., R. 16 E. and T. 7 S., R. 16 E., until the Black Butte Mountain, elev. 4504'; then west and northwest along the ridge line to the southwest corner of T. 5 S., R. 14 E.; then north along the range line common to R. 14 E. and R. 13 E.; then west and northwest along the ridge line to Monument Mountain, elev. 4834'; then southwest and then northwest along the ridge line of the Little San Bernardino Mountains to Quail Mountain, elev. 5814'; then northwest along the ridge line to the Riverside-San Bernardino County line. 

_____________
1Hydrologic Unit Map, 1978, State of California (Southern Half), Department of the Interior, Geological Survey, Reston, Virginia (Reprinted 1987), incorporated by reference herein.
NOTE

Authority cited: Sections 39601 and 39606.1, Health and Safety Code. Reference: Sections 39001, 39606(a) and 39606.1, Health and Safety Code.
HISTORY

1. New section filed 4-8-97; operative 5-8-97 (Register 97, No. 15).
Article 1.5. Area Pollutant Designations
§60200. Description of Non-County Areas.
Note     •     History

(a) City of Calexico as defined by the United States Census Bureau, Census 2000 (Place ID #09710).
(b) That portion of San Bernardino County, referred to as the federal Southeast Desert Modified AQMA for Ozone, is described as follows:
That portion of San Bernardino County which lies north and east of a line described as follows: Beginning at the San Bernardino-Riverside County boundary and running north along the range line common to R. 3 E and R. 2 E, San Bernardino Base Meridian; then west along the township line common to T. 3 N and T. 2 N to the San Bernardino-Los Angeles County boundary; and that portion of San Bernardino County which lies south and west of a line described as follows: latitude 35 degrees, 10 minutes north and longitude 115 degrees, 45 minutes west.
(c) That portion of Plumas County, referred to as the Portola Valley, is described as follows:
That portion of Plumas County within Super Planning Watersheds #55183301, #55183302, #55183303, and #55183304, as defined in CalWater, version 2.2, 1999 (http://www.ca.nrcs.usda.gov/features/calwater/index.html).
(d) That portion of Lake County and portion of Sonoma County, referred to as the Geysers Geothermal Area, is described as follows:
Beginning at the northwest corner of T. 12 N, R. 9 W, Mount Diablo Base and Meridian; thence south along the range line common to R. 9 W and R. 10  W  to  the  point  of  intersection  with  the  Mendocino-Lake County border; thence east and south along the Mendocino-Lake County border to the point of intersection with the border of Sonoma County; thence west along the Mendocino-Sonoma County border to the point of intersection with the range line common to R. 10 W and R. 9 W; thence south along the range line common to R. 10 W and R. 9 W to the point of intersection with Big Sulfur Creek; thence southwest along Big Sulfur Creek to its confluence with Little Sulfur Creek; thence southeast, east, and northeast along Little Sulfur Creek to the point of intersection with the township line common to T. 10 N and T. 11 N; thence east along the township line common to T. 10 N and T. 11 N to the northeast corner of T. 10 N, R. 9 W; thence south along the range line common to R. 9 W and R. 8 W to the southwest corner of T. 10 N, R. 8 W; thence east along the township line common to T. 9 N and T. 10 N to the point of intersection with the Sonoma-Napa County border; thence northwest along the Sonoma-Napa County border to the point of intersection with the Lake-Napa County border; thence northeast along the Lake-Napa County border to the point of intersection with State Highway 29 (SH-29); thence north and west along SH-29 to the point of intersection with the township line common to T. 12 N and T. 13 N; thence west along the township line common to T. 12 N and T. 13 N to the northwest corner of T. 12 N, R. 9 W, the point of beginning.
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Repealer of subsection (a) and amendment of subsections (c) and (d) filed 4-29-91; operative 5-29-91 (Register 91, No. 24).
3. Amendment of subsections (c) and (d) filed 6-25-92; operative 7-25-92 (Register 92, No. 26).
4. Editorial correction of printing error in subsections (b) and (c) (Register 92, No. 26).
5. Amendment of subsections (b)-(c) filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
6. Repealer of subsections (b) and (c) filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
7. New subsection (a) filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
8. Amendment of subsection (a) and new subsections (b) and (c) filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
§60201. Table of Area Designations for Ozone.
Note     •     History

Area	Designation
North Coast Air Basin	Attainment
San Francisco Bay Area Air Basin	Nonattainment
North Central Coast Air Basin	Nonattainment
South Central Coast Air Basin	Nonattainment
South Coast Air Basin	Nonattainment
San Diego Air Basin	Nonattainment
Northeast Plateau Air Basin	Attainment
Sacramento Valley Air Basin	
 Colusa, Sutter, and Yuba Counties	Nonattainment-Transitional
 Butte, Glenn, Shasta, and Tehama Counties	Nonattainment
 Placer, Sacramento, Solano, and
  Yolo Counties	Nonattainment
San Joaquin Valley Air Basin	Nonattainment
Great Basin Valleys Air Basin
 Alpine County	Unclassified
 Inyo County	Nonattainment
 Mono County	Nonattainment
Mojave Desert Air Basin	Nonattainment
Salton Sea Air Basin	Nonattainment
Mountain Counties Air Basin
 Amador, Calaveras, El Dorado, Nevada 
 Placer, Mariposa, and Tuolumne Counties	Nonattainment
 Plumas and Sierra Counties	Unclassified
Lake County Air Basin	Attainment
Lake Tahoe Air Basin	Nonattainment-Transitional
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Sections 39608 and 40925.5, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 3).
2. Amendment filed 4-29-91; operative 5-29-91 (Register 91, No. 24). 
3. Editorial correction of printing error (Register 92, No. 26).
4. Amendment filed 11-30-93; operative 12-30-93 (Register 93, No. 49). 
5. Amendment of “North Coast Air Basin” filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
6. Amendment of “Great Basin Valleys Air Basin” and Note filed 6-23-95; operative 6-23-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 25).
7. Amendment filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
8. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
9. Amendment of section and new footnotes 1 and 2 filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
10. Amendment of section, repealer of footnote 2 and amendment of Note filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
11. Amendment of section, repealer of footnote 1 and amendment of Note filed 3-27-2000; operative 4-26-2000 (Register 2000, No. 13).
12. Amendment filed 5-30-2001; operative 6-29-2001 (Register 2001, No. 22).
13. Change without regulatory effect amending table filed 11-7-2001 pursuant to section 100, title 1, California Code of Regulations (Register 2001, No. 45).
14. Change without regulatory effect amending table filed 2-27-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 9).
15. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
16. Amendment filed 6-23-2005; operative 7-23-2005 (Register 2005, No. 25).
17. Change without regulatory effect amending table filed 5-15-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 20).
18. Amendment filed 6-26-2007; operative 7-26-2007 (Register 2007, No. 26).
19. Change without regulatory effect amending table filed 1-11-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 2).
20. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
21. Amendment filed 9-8-2011; operative 10-8-2011 (Register 2011, No. 36).
§60202. Table of Area Designations for Carbon Monoxide.
Note     •     History

Area	Designation

North Coast Air Basin
 Del Norte County	Unclassified
 Humboldt County	Attainment
 Mendocino County 	Attainment
 Sonoma County	Unclassified
 Trinity County	Unclassified
San Francisco Bay Area Air Basin
 Alameda County 	Attainment
 Contra Costa County	Attainment
 Marin County	Attainment
 Napa County	Attainment
 San Francisco County	Attainment
 San Mateo County	Attainment
 Santa Clara County	Attainment
 Solano County	Attainment
 Sonoma County	Attainment
North Central Coast Air Basin
 Monterey County	Attainment
 San Benito County	Unclassified
 Santa Cruz County	Unclassified
South Central Coast Air Basin
 San Luis Obispo County 	Attainment
 Santa Barbara County	Attainment
 Ventura County	Attainment
South Coast Air Basin
 Los Angles County 	Attainment
 Orange County	Attainment
 Riverside County	Attainment
 San Bernardino County	Attainment
San Diego Air Basin	Attainment
Northeast Plateau Air Basin
 Lassen County	Unclassified
 Modoc County	Unclassified
 Siskiyou County	Unclassified
Sacramento Valley Air Basin
 Butte County	Attainment
 Colusa County	Unclassified
 Glenn County	Unclassified
 Placer County	Attainment
 Sacramento County	Attainment
   Shasta County	Unclassified
   Solano County	Attainment
 Sutter County	Attainment
 Tehama County	Unclassified
 Yolo County	Attainment
 Yuba County	Unclassified
San Joaquin Valley Air Basin
 Fresno County	Attainment
 Kern County	Attainment
 Kings County	Unclassified
 Madera County	Unclassified
 Merced County	Unclassified
 San Joaquin County	Attainment
 Stanislaus County	Attainment
 Tulare County	Attainment
Great Basin Valleys Air Basin
 Alpine County	Unclassified
 Inyo County	Attainment
 Mono County	Attainment
Mojave Desert Air Basin	
 Kern County	Unclassified
 Los Angeles County	Attainment
 Riverside County	Unclassified
 San Bernardino County	Attainment
Salton Sea Air Basin
 Imperial County	Attainment
 Riverside County	Attainment
Mountain Counties Air Basin
 Amador County	Unclassified
 Calaveras County	Unclassified
 El Dorado County	Unclassified 
 Mariposa County	Unclassified
 Nevada County	Unclassified
 Placer County	Unclassified
 Plumas County	Attainment
 Sierra County	Unclassified
 Tuolumne County	Attainment
Lake County Air Basin
 Lake County 	Attainment
Lake Tahoe Air Basin 	Attainment

NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 4-29-91; operative 5-29-91 (Register 91, No. 24).
3. Editorial correction of printing errors (Register 92, No. 26).
4. Amendment filed 6-25-92; operative 7-25-92 (Register 92, No. 26).
5. Amendment filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
6. Amendment of “San Francisco Bay Area Basin,” “San Diego Air Basin” and “Sacramento Valley Air Basin” and repealer and new footnote 4 filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
7. Amendment filed 6-23-95; operative 6-23-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 25).
8. Amendment filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
9. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
10. Amendment of section, repealer of footnote 1 and footnote renumbering filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
11. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
12. Amendment filed 6-23-2005; operative 7-23-2005 (Register 2005, No. 25).
13. Amendment filed 6-26-2007; operative 7-26-2007 (Register 2007, No. 26).
§60203. Table of Area Designations for Nitrogen Dioxide.
Note     •     History

Area	Designation

North Coast Air Basin	Attainment
San Francisco Bay Area Air Basin	Attainment
North Central Coast Air Basin	Attainment
South Central Coast Air Basin 	Attainment
South Coast Air Basin	Nonattainment
San Diego Air Basin	Attainment Northeast Plateau Air Basin	Attainment
Sacramento Valley Air Basin	Attainment
San Joaquin Valley Air Basin	Attainment
Great Basin Valleys Air Basin 	Attainment
Mojave Desert Air Basin	Attainment
Salton Sea Air Basin	Attainment
Mountain Counties Air Basin	Attainment
Lake County Air Basin	Attainment
Lake Tahoe Air Basin	Attainment 
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 4-29-91; operative 5-29-91 (Register 91, No. 24).
3. Editorial correction of printing error (Register 92, No. 26).
4. Amendment filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
5. Amendment of “South Coast Air Basin” filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
6. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
7. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§60204. Table of Area Designations for Sulfur Dioxide.
Note     •     History

Area	Designation

North Coast Air Basin	Attainment
San Francisco Bay Area Air Basin

  Alameda County	Attainment
  Contra Costa County	Attainment
  Marin County	Attainment
  Napa County	Attainment
  San Francisco County	Attainment
  San Mateo County	Attainment
  Santa Clara County	Attainment
  Solano County	Attainment
  Sonoma County	Attainment

North Central Coast Air Basin
  Monterey County	Attainment
  San Benito County	Attainment
  Santa Cruz County	Attainment

Area	Designation

South Central Coast Air Basin
  San Luis Obispo County	Attainment
  Santa Barbara County	Attainment
  Ventura County	Attainment

South Coast Air Basin
  Los Angeles County	Attainment
  Orange County	Attainment
  Riverside County	Attainment
  San Bernardino County	Attainment

San Diego Air Basin
  San Diego County	Attainment

Northeast Plateau Air Basin
  Lassen County	Attainment
  Modoc County	Attainment
  Siskiyou County	Attainment

Sacramento Valley Air Basin
  Butte County	Attainment
  Colusa County	Attainment
  Glenn County	Attainment
  Placer County	Attainment
  Sacramento County	Attainment
  Shasta County	Attainment
  Solano County	Attainment
  Sutter County	Attainment

 Tehama County	Attainment
  Yolo County	Attainment
  Yuba County	Attainment

San Joaquin Valley Air Basin
  Fresno County	Attainment
  Kern County	Attainment
  Kings County	Attainment
  Madera County	Attainment
  Merced County	Attainment
  San Joaquin County	Attainment
  Stanislaus County	Attainment
  Tulare County	Attainment

Great Basin Valleys Air Basin
  Alpine County	Attainment
  Inyo County	Attainment
  Mono County	Attainment

Mojave Desert Air Basin
  Kern County	Attainment
  Los Angeles County	Attainment

  Riverside County	Attainment
  San Bernardino County	Attainment
Salton Sea Air Basin
 Imperial County	Attainment
 Riverside County	Attainment

Mountains Counties Air Basin
  Amador County	Attainment
  Calaveras County	Attainment
  El Dorado County	Attainment
  Mariposa County	Attainment
  Nevada County	Attainment
  Placer County	Attainment
  Plumas County	Attainment
  Sierra County	Attainment
  Tuolumne County	Attainment

Lake County Air Basin
  Lake County	Attainment

Lake Tahoe Air Basin
  El Dorado County	Attainment
  Placer County	Attainment
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 4-29-91; operative 5-29-91 (Register 91, No. 24).
3. Editorial correction of printing error (Register 91, No. 30).
4. Editorial correction of printing error (Register 92, No. 26).
5. Amendment of “North Coast Air Basin” filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
6. Amendment of “San Francisco Bay Area Air Basin” and “Southeast Desert Air Basin” filed 6-23-95; operative 6-23-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 25).
7. Amendment of table column headings filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
8. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
§60205. Table of Area Designations for Suspended Particulate Matter (PM10).
Note     •     History

Area	Designation

North Coast Air Basin	
 Sonoma County	Attainment
 Remainder of Air Basin	Nonattainment
San Francisco Bay Area Air Basin	Nonattainment
North Central Coast Air Basin	Nonattainment
South Central Coast Air Basin	Nonattainment
South Coast Air Basin	Nonattainment
San Diego Air Basin	Nonattainment
Northeast Plateau Air Basin	
 Siskiyou County	Attainment
 Remainder of Air Basin	Nonattainment
Sacramento Valley Air Basin	Nonattainment
San Joaquin Valley Air Basin	Nonattainment
Great Basin Valleys Air Basin	Nonattainment
Mojave Desert Air Basin	Nonattainment
Salton Sea Air Basin	Nonattainment
Mountain Counties Air Basin
 El Dorado, Nevada, Placer,
  Plumas, and Sierra Counties	Nonattainment
 Amador County	Unclassified
 Calaveras County	Nonattainment
 Mariposa County Portion of
   Yosemite National Park	Nonattainment
 Remainder of Mariposa and Tuolumne Counties	Unclassified
Lake County Air Basin	Attainment
Lake Tahoe Air Basin	Nonattainment
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 6-25-92; operative 7-25-92 (Register 92, No. 26).
3. Amendment filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
4. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
5. Amendment of section filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
6. Amendment of section and new Note filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
7. Amendment filed 6-23-2005; operative 7-23-2005 (Register 2005, No. 25).
8. Amendment filed 6-26-2007; operative 7-26-2007 (Register 2007, No. 26).
§60206. Table of Area Designations for Sulfates.
Note     •     History

Area 	Designation

North Coast Air Basin	Attainment
San Francisco Bay Area Air Basin	Attainment
North Central Coast Air Basin	Attainment
South Central Coast Air Basin	Attainment
South Coast Air Basin	Attainment
San Diego Air Basin	Attainment
Northeast Plateau Air Basin	Attainment
Sacramento Valley Air Basin	Attainment
San Joaquin Valley Air Basin	Attainment
Great Basin Valleys Air Basin	Attainment
Mojave Desert Air Basin	Attainment
Salton Sea Air Basin	Attainment
Mountain Counties Air Basin	Attainment
Lake County Air Basin	Attainment
Lake Tahoe Air Basin	Attainment
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 6-25-92; operative 7-25-92 (Register 92, No. 26).
3. Amendment of “North Coast Air Basin” filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
4. Amendment of “South Coast Air Basin” filed 6-23-95; operative 6-23-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 25).
5. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
6. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
§60207. Table of Area Designations for Lead (Particulate).
Note     •     History

	Area	Designation

North Coast Air Basin
  Del Norte County	Attainment
  Humboldt County	Attainment
  Mendocino County	Attainment
  Sonoma County	Attainment
  Trinity County	Attainment
San Francisco Bay Area Air Basin
  Alameda County	Attainment
  Contra Costa County	Attainment
  Marin County	Attainment
  Napa County	Attainment
  San Francisco County	Attainment
  San Mateo County	Attainment
  Santa Clara County	Attainment
  Solano County	Attainment
  Sonoma County	Attainment
North Central Coast Air Basin
  Monterey County	Attainment
  San Benito County	Attainment
  Santa Cruz County	Attainment
South Central Coast Air Basin
  San Luis Obispo County	Attainment
  Santa Barbara County	Attainment
  Ventura County	Attainment
South Coast Air Basin
  Los Angeles County	Nonattainment
  Orange County	Attainment
  Riverside County	Attainment
  San Bernardino County	Attainment
San Diego Air Basin 
  San Diego County	Attainment
Northeast Plateau Air Basin
  Lassen County	Attainment
  Modoc County	Attainment
  Siskiyou County	Attainment
Sacramento Valley Air Basin
  Butte County	Attainment
  Colusa County	Attainment
  Glenn County	Attainment
  Placer County	Attainment
  Sacramento County	Attainment
  Shasta County	Attainment
  Solano County	Attainment
  Sutter County	Attainment
  Tehama County	Attainment
  Yolo County	Attainment
  Yuba County	Attainment
San Joaquin Valley Air Basin
  Fresno County	Attainment
  Kern County	Attainment
  Kings County	Attainment
  Madera County	Attainment
  Merced County	Attainment
  San Joaquin County	Attainment
  Stanislaus County	Attainment
  Tulare County	Attainment
Great Basin Valleys Air Basin
  Alpine County	Attainment
  Inyo County	Attainment
  Mono County	Attainment
Mojave Desert Air Basin
  Kern County	Attainment
  Los Angeles County	Attainment
  Riverside County	Attainment
  San Bernardino County	Attainment
Salton Sea Air Basin
 Imperial County	Attainment
 Riverside County	Attainment
Mountain Counties Air Basin
  Amador County	Attainment
  Calaveras County	Attainment
  El Dorado County	Attainment
  Mariposa County	Attainment
  Nevada County	Attainment
  Placer County	Attainment
  Plumas County	Attainment
  Sierra County	Attainment
  Tuolumne County	Attainment
Lake County Air Basin
  Lake County	Attainment
Lake Tahoe Air Basin
   El Dorado County	Attainment
   Placer County	Attainment

NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Editorial correction of printing error (Register 91, No. 30).
3. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
4. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§60208. Table of Area Designations for Hydrogen Sulfide.
Note     •     History

	Area	Designation

North Coast Air Basin
  Del Norte County	Unclassified
  Humboldt County	Attainment
  Mendocino County	Unclassified
  Sonoma County
    Geysers Geothermal Area1	Attainment
    Remainder of County	Unclassified
  Trinity County	Unclassified

San Francisco Bay Area Air Basin
  Alameda County	Unclassified
  Contra Costa County	Unclassified
  Marin County	Unclassified
  Napa County	Unclassified
  San Francisco County	Unclassified
  San Mateo County	Unclassified
  Santa Clara County	Unclassified
  Solano County	Unclassified
  Sonoma County	Unclassified

North Central Coast Air Basin
  Monterey County	Unclassified
  San Benito County	Unclassified
  Santa Cruz County	Unclassified

South Central Coast Air Basin
  San Luis Obispo County	Attainment
  Santa Barbara County	Attainment
  Ventura County	Unclassified

South Coast Air Basin
  Los Angeles County	Unclassified
  Orange County	Unclassified
  Riverside County	Unclassified
  San Bernardino County	Unclassified

San Diego Air Basin
  San Diego County	Unclassified

Northeast Plateau Air Basin
  Lassen County	Unclassified
  Modoc County	Unclassified
  Siskiyou County	Unclassified

Sacramento Valley Air Basin
  Butte County	Unclassified
  Colusa County	Unclassified
  Glenn County	Unclassified
  Placer County	Unclassified
  Sacramento County	Unclassified
  Shasta County	Unclassified
  Solano County	Unclassified
  Sutter County	Unclassified

  Tehama County	Unclassified
  Yolo County	Unclassified
  Yuba County	Unclassified

San Joaquin Valley Air Basin
  Fresno County	Unclassified
  Kern County	Unclassified
  Kings County	Unclassified
  Madera County	Unclassified
  Merced County	Unclassified
  San Joaquin County	Unclassified
  Stanislaus County	Unclassified
  Tulare County	Unclassified

Great Basin Valleys Air Basin
  Alpine County	Unclassified
  Inyo County	Attainment
  Mono County	Attainment

Mojave Desert Air Basin
  Kern County	Unclassified
  Los Angeles County	Unclassified
  Riverside County	Unclassified
  San Bernardino County
    County Portion of Searles Valley Planning Area2	Nonattainment
    Remainder of County	Unclassified

	Area	Designation

Salton Sea Air Basin
 Imperial County	Unclassified
 Riverside County	Unclassified
Mountain Counties Air Basin
  Amador County
    City of Sutter Creek	Nonattainment
    Remainder of County	Unclassified
  Calaveras County	Unclassified
  El Dorado County	Unclassified
  Mariposa County	Unclassified
  Nevada County	Unclassified
  Placer County	Unclassified
  Plumas County	Unclassified
  Sierra County	Unclassified
  Tuolumne County	Unclassified

Lake County Air Basin
  Lake County	Attainment

Lake Tahoe Air Basin
  El Dorado County	Unclassified
  Placer County	Unclassified

1Section 60200(d).

252 Fed. Reg. 29384 (August 7, 1987); U.S. Geological Survey 1974, Hydrologic Unit Map--State of California, Hydrological Unit #18090205.
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 4-29-91; operative 5-29-91 (Register 91, No. 24).
3. Editorial correction of printing error in NOTE (Register 91, No. 30).
4. Editorial correction of printing errors (Register 92, No. 26).
5. Amendment of “North Coast Air Basin,” “South Central Coast Air Basin” and “Southeast Desert Air Basin,” repealer of footnote 1 and footnote renumbering filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
6. Amendment filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
7. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
§60209. Table of Area Designations for Visibility Reducing Particles.
Note     •     History

	Area	Designation

North Coast Air Basin	Unclassified
San Francisco Bay Area Air Basin	Unclassified
North Central Coast Air Basin	Unclassified
South Central Coast Air Basin	Unclassified
South Coast Air Basin	Unclassified
San Diego Air Basin	Unclassified
Northeast Plateau Air Basin	Unclassified
Sacramento Valley Air Basin	Unclassified
San Joaquin Valley Air Basin	Unclassified
Great Basin Valleys Air Basin	Unclassified
Mojave Desert Air Basin	Unclassified
Salton Sea Air Basin	Unclassified
Mountain Counties Air Basin	Unclassified
Lake County Air Basin	Attainment
Lake Tahoe Air Basin	Unclassified
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 4-29-91; operative 5-29-91 (Register 91, No. 24).
3. Editorial correction of printing error in NOTE (Register 91, No. 30).
4. Editorial correction of printing error (Register 92, No. 26).
5. Amendment filed 9-22-97; operative 10-22-97 (Register 97, No. 39).
§60210. Table of Area Designations for Fine Particulate Matter (PM2.5).
Note     •     History

Area 	Designation

North Coast Air Basin	Unclassified
San Francisco Bay Area Air Basin	Nonattainment
North Central Coast Air Basin	Attainment
South Central Coast Air Basin
 San Luis Obispo County	Attainment
 Santa Barbara County	Unclassified
 Ventura County	Nonattainment
South Coast Air Basin	Nonattainment
San Diego Air Basin	Nonattainment
Northeast Plateau Air Basin	Unclassified
Sacramento Valley Air Basin
 Butte County	Nonattainment
 Colusa, Placer, Sutter and Yuba Counties	Attainment
 Sacramento County	Nonattainment
 Shasta County	Attainment
 Remainder of Air Basin	Unclassified
San Joaquin Valley Air Basin	Nonattainment
Great Basin Valleys Air Basin	Attainment
Mojave Desert Air Basin
 San Bernardino County 
  County Portion of federal Southeast Desert
   Modified AQMA for Ozone1	Nonattainment
 Remainder of San Bernardino County and
  Kern, Los Angeles, and Riverside 
   Counties	Unclassified
Salton Sea Air Basin
 Imperial County
  City of Calexico2	Nonattainment
 Remainder of Imperial County and Riverside
  County	Unclassified
Mountain Counties Air Basin
 Plumas County
  Portola Valley3	Nonattainment
 Remainder of Plumas County and Amador,
  Calaveras, El Dorado, Mariposa, Nevada,
  Placer, Sierra, and Tuolumne Counties	Unclassified
Lake County Air Basin	Attainment
Lake Tahoe Air Basin	Attainment
__________
1 section 60200(b).
2 section 60200(a).
3 section 60200(c).
NOTE

Authority cited: Sections 39600, 39601 and 39608, Health and Safety Code. Reference: Section 39608, Health and Safety Code.
HISTORY

1. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
2. Amendment filed 6-23-2005; operative 7-23-2005 (Register 2005, No. 25).
3. Amendment filed 6-26-2007; operative 7-26-2007 (Register 2007, No. 26).
4. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
Article 2. Ambient Air Quality Standards
§70100. Definitions.
Note     •     History

(a) Ambient Air Quality Standards. Ambient air quality standards are specified concentrations and durations of air pollutants which reflect the relationship between the intensity and composition of pollution to undesirable effects.
(b) Most Relevant Effects. “Most Relevant Effects,” shown in the Table of Ambient Air Quality Standards, are the effects which the standards are intended to prevent or abate.
(c) Parts Per Million (ppm). Parts per million is a volumetric unit of gas concentration, which is numerically equal to the volume of a gaseous contaminant present in one million volumes of air.
(d) Micrograms Per Cubic Meter (mg/m3). Micrograms per cubic meter is a unit of concentration which is numerically equal to the mass of a contaminant (in micrograms) present in a one cubic meter sample of air, measured at EPA reference conditions (corrected to 25 degrees Celsius, 760 torr). (40 CFR Part 50.3, November 25, 1971).
(e) Equivalent Method. “Equivalent Method” is any procedure for measuring the concentration of a contaminant, other than that specified in the air quality standard for the contaminant, which can be shown to the satisfaction of the Air Resources Board to give equivalent results at or near the level of the air quality standard.
(f) Visual Range. “Visual Range” is the distance at which a black object on the horizon has a 2 percent contrast with the horizon sky. This dis-- tance can be calculated from a measured light extinction coefficient, Bext., by the formula: Vr = 3.912 divided by Bext.
(g) Carbon Monoxide (CO). Carbon Monoxide is a colorless gas, odorless under atmospheric conditions, having the molecular form CO.
(h) Sulfur Dioxide (SO2). Sulfur dioxide is a colorless, irritating gas under atmospheric conditions, having the molecular form SO2.
(i) Suspended Particulate Matter (PM10). Suspended particulate matter (PM10) refers to atmospheric particles, solid and liquid, except uncombined water as measured by a (PM10) sampler which collects 50 percent of all particles of 10 mm aerodynamic diameter and which collects a declining fraction of particles as their diameter increases and an increasing fraction of particles as their diameter decreases, reflecting the characteristics of lung deposition. 
(j) Fine Suspended Particulate Matter (PM2.5). Fine suspended particulate matter (PM2.5) refers to suspended atmospheric particles solid and liquid, except uncombined water as measured by a PM2.5 sampler which collects 50 percent of all particles of 2.5 mm aerodynamic diameter and which collects a declining fraction of particles as their diameter increases and an increasing fraction of particles as their diameter decreases, reflecting the characteristics of lung deposition. 
(k) Visibility Reducing Particles. Visibility reducing particles are atmospheric particles which significantly scatter or absorb light. The effect of these particles on light extinction is to be determined by instrumental monitoring of light scattering and absorption by ARB Method V, as adopted August 18, 1989, or by an equivalent method.
(l) Hydrogen Sulfide (H2S). Hydrogen sulfide is a colorless gas having the molecular form H2S.
(m) Nitrogen Dioxide (NO2). Nitrogen dioxide is a red-brown gas, odorless under atmospheric conditions, having the molecular form NO2.
(n) Lead (particulate). Lead (particulate) is suspended particulate matter containing lead (Pb).
(o) Sulfates. Sulfates are the water soluble fraction of suspended particulate matter (PM10) containing the sulfate ion (SO42-) including but not limited to strong acids and sulfate salts, as measured by MLD Method 007 (based on high-volume size-selective inlet (SSI) sampling and ion chromatography), dated January 19, 1988.
(p) Vinyl Chloride. Vinyl chloride is a colorless gas with the molecular form CH2-CHCl; chloroethene.
(q) Ozone. Ozone is a colorless gas with a pungent odor, having the molecular form O3.
(r) Extinction Coefficient. The “Extinction Coefficient” of a homogenous air mass is the natural logarithm of the fractional transmission of a beam of light per kilometer along the beam's path.
NOTE

Authority cited: Sections 39600, 39601 and 39606, Health and Safety Code. Reference: Sections 39602 and 39606, Health and Safety Code.
HISTORY

1. New section filed 12-22-69; effective thirtieth day thereafter (Register 69, No. 52).
2. Repealer and new section filed 1-27-71; effective thirtieth day thereafter (Register 71, No. 5).
3. Amendment of NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
4. Amendment of subsection (j) filed 7-20-83; effective thirtieth day thereafter (Register 83, No. 30).
5. Amendment of subsection (i) filed 9-5-84; effective thirtieth day thereafter (Register 84, No. 36).
6. Amendment filed 11-27-85; effective thirtieth day thereafter (Register 85, No. 48).
7. Amendment filed 3-28-86; effective thirtieth day thereafter (Register 86, No. 13).
8. New subsection (r) filed 6-28-88; effective 7-28-88 (Register 88, No. 27).
9. Amendment of subsections (f) and (l) and new subsection (s) filed 9-18-89; operative 10-18-89 (Register 89, No. 39).
10. Amendment of subsection (k) filed 6-29-92; operative 7-29-92 (Register 92, No. 27).
11. Amendment of subsections (d), (j), (k), (p) and (q) and amendment of Note filed 6-5-2003; operative 7-5-2003 (Register 2003, No. 23).
12. Repealer of subsection (g), subsection relettering and amendment of newly designated subsections (i) and (j) filed 4-17-2006; operative 5-17-2006 (Register 2006, No. 16).
§70100.1. Methods, Samplers, and Instruments for Measuring Pollutants.
Note     •     History

(a) PM10 Methods. The method for determining compliance with the PM10 ambient air quality standard shall be the Federal Reference Method for the Determination of Particulate Matter as PM10 in the Atmosphere (40 CFR, Chapter 1, part 50, Appendix M, as published in 62 Fed. Reg., 38753, July 18, 1997). California Approved Samplers for PM10 are set forth in “Air Monitoring Quality Assurance Manual Volume IV, Part A: Monitoring Methods for PM10,” adopted March 10, 2006, which is incorporated by reference herein. Samplers, methods, or instruments determined in writing by the Air Resources Board or the Executive Officer to produce equivalent results for PM10 shall also be California Approved Samplers for PM10. These include those continuous samplers that have been demonstrated to the satisfaction of the Air Resources Board to produce measurements equivalent to the Federal Reference Method.
(b) PM2.5 Methods. The method for determining compliance with the PM2.5 ambient air quality standard shall be the Federal Reference Method for the Determination of Particulate Matter as PM2.5 in the Atmosphere, 40 CFR, Chapter 1, part 50, Appendix L, as published in 62 Fed. Reg., 38714, July 18, 1997 and as amended in 64 Fed. Reg., 19717, April 22, 1999. The samplers listed in the Federal Reference Method must use either the WINS impactor or the U.S. EPA-approved very sharp cut cyclone (67 Fed. Reg., 15566, April 2, 2002) to separate PM2.5 from PM10. California Approved Samplers for PM2.5 are set forth in “Air Monitoring Quality Assurance Manual Volume IV, Part B: Monitoring Methods for PM2.5,” adopted March 10, 2006, which is incorporated by reference herein. Samplers, methods, or instruments determined in writing by the Air Resources Board or the Executive Officer to produce equivalent results for PM2.5 shall also be California Approved Samplers for PM2.5. These include those continuous samplers that have been demonstrated to the satisfaction of the Air Resources Board to produce measurements equivalent to the Federal Reference Method.
(c) Ozone Methods. The method for determining compliance with the ozone ambient air quality standard shall be the Federal Equivalent Method for the Determination of Ozone in the Atmosphere (40 CFR, part 53). California Approved Samplers for ozone are set forth in “Air Monitoring Quality Assurance Manual Volume IV, Part C: Monitoring Methods for Ozone”, as adopted March 10, 2006. Samplers, methods, or instruments determined in writing by the Air Resources Board or the Executive Officer to produce equivalent results for ozone shall also be California Approved Samplers for ozone.
(d) NO2 Methods. The method for determining compliance with the NO2 ambient air quality standard shall be the chemiluminescence Federal Reference Method for the determination of NO2 in the atmosphere (40 CFR, Part 50, Appendix F -- Measurement, as published in 41 Fed.Reg. 52688, Dec. 1, 1976, as amended at 48 Fed.Reg. 2529, Jan. 20, 1983). California Approved Samplers for NO2 are set forth in the Air Monitoring Quality Assurance Manual, Volume IV, Part D: Monitoring Methods for NO2 as adopted on February 22, 2007, which is incorporated by reference herein. Samplers, methods, or instruments determined in writing by the Air Resources Board or the Executive Officer to produce equivalent results for NO2 shall also be California Approved Samplers for NO2.
NOTE

Authority cited: Sections 39600, 39601 and 39606, Health and Safety Code. Reference: Sections 39014, 39606, 39701 and 39703(f), Health and Safety Code.
HISTORY

1. New section filed 6-5-2003; operative 7-5-2003 (Register 2003, No. 23).
2. Amendment filed 4-17-2006; operative 5-17-2006 (Register 2006, No. 16).
3. New subsection (d) filed 2-19-2008; operative 3-20-2008 (Register 2008, No. 8).
§70101. General Statement of Policy and Scope.
Note     •     History

The objective of ambient air quality standards is to provide a basis for preventing or abating the effects of air pollution, including effects on health, esthetics and economy. The standards should not be interpreted as permitting, encouraging, or condoning degradation of present air quality in any air basin which now has an air quality superior to that stipulated in the standards. Pollution levels below those shown in the standards should not ordinarily produce the associated effects.
In determining compliance with the standards through air monitoring, the sites and conditions of air sampling should be so chosen as to realistically represent the exposures of people, animals, vegetation and materials.
Ambient air quality standards shall be reviewed and subject to modification whenever substantial pertinent new information becomes available and at least once every five years. To the extent feasible, review of a standard shall be coordinated with the review of any corresponding federal standard by the Environmental Protection Agency.
NOTE

Authority cited: Sections 39600 and 39601(a), Health and Safety Code. Reference: Sections 39602 and 39606(b), Health and Safety Code. 
HISTORY

1. New section filed 12-22-69; effective thirtieth day thereafter (Register 69, No. 52).
2. Amendment of NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Amendment filed 11-27-85; effective thirtieth day thereafter (Register 85, No. 48).
§70200. Table of Standards ***
Note     •     History

View Graphic

View Graphic
_____________
*The list of California Approved Samplers may be obtained from the Air Resources Board, Monitoring and Laboratory Division, P.O. Box 2815, Sacramento, CA 95814. Any equivalent procedure which can be shown to the satisfaction of the Air Resources Board to give equivalent results at or near the level of the air quality standard may be used.
**These standards are violated when concentrations exceed those set forth in the body of the regulation. All other standards are violated when concentrations equal or exceed those set forth in the body of the regulation.
***Applicable statewide unless otherwise noted.
****These standards are violated when particle concentrations cause measured light extinction values to exceed those set forth in the regulations.
NOTE

Authority cited: Sections 39600, 39601(a) and 39606, Health and Safety Code. Reference: Sections 39014, 39606, 39701 and 39703(f), Health and Safety Code; and Western Oil and Gas Ass'n v. Air Resources Bd. (1984) 37 Cal.3d 502.
HISTORY

1. Amendment filed 9-18-89; operative 10-18-89 (Register 89, No. 39). For prior history, see Register 88, No. 27.
2. Amendment filed 6-29-92; operative 7-29-92 (Register 92, No. 27).
3. Amendment filed 6-5-2003; operative 7-5-2003 (Register 2003, No. 23).
4. Amendment filed 4-17-2006; operative 5-17-2006 (Register 2006, No. 16).
5. Amendment filed 2-19-2008; operative 3-20-2008 (Register 2008, No. 8).
§70200.5. Ambient Air Quality Standards for Hazardous Substances.*
Note     •     History

View Graphic

* Applicable statewide unless otherwise noted.
NOTE

Authority cited: Sections 39600, 39601(a) and 39606(b), Health and Safety Code. Reference: Section 41700, Health and Safety Code.
HISTORY

1. New section filed 6-14-78; effective thirtieth day thereafter (Register 78, No. 24).
2. Amendment filed 11-27-85; effective thirtieth day thereafter (Register 85, No. 48).
§70201. Determination of 24-Hour SO2 Standard. [Repealed]
Note     •     History

NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Section 39606, Health and Safety Code.
HISTORY

1. New section filed 12-2-77; effective thirtieth day thereafter (Register 77, No. 49). For history of former section, see Register 71, No. 5.
2. Repealer filed 6-29-92; operative 7-29-92 (Register 92, No. 27).
Article 3. Criteria for Determining Area Designations
§70300. General Statement of Purpose.
Note     •     History

The objective of these criteria is to guide the Executive Officer or his or her delegate in making designations of areas as attainment, nonattainment, nonattainment-transitional, or unclassified for each of the pollutants for which state ambient air quality standards have been established in Section 70200.
NOTE

Authority cited: Sections 39600, 39601, 39607, 39608 and 40925.5, Health and Safety Code. Reference: Sections 39607, 39608 and 40925.5, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment of section and Note filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
3. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70301. Air Quality Data Used for Designations.
Note     •     History

(a) Except as otherwise provided in this article, designations shall be based on “data for record. ”
(1) Data for record are those data collected by or under the auspices of the state board or the districts for the purpose of measuring ambient air quality, and which the Executive Officer or his or her delegate has determined comply with the siting and quality assurance procedures established in Part 58, Title 40, Code of Federal Regulations or other equivalent procedures. 
(2) Any other data which are provided by a district or by any other person will be data for record if the Executive Officer or his or her delegate determines within 90 days of submittal of complete supporting documentation that the data comply with the siting and quality assurance procedures established in Part 58, Title 40, Code of Federal Regulations or other equivalent procedures. If the Executive Officer or his or her delegate finds there is good cause that 90 days is insufficient time to make a determination, he or she may after notification of the person requesting the data review extend the deadline for completion of the data review.
(b) Except as otherwise provided in this article, designations and reviews of designations will be based on data for record for the three calendar years prior to the year in which the designation is made or the annual review of the designation is conducted.
(c) Data as described in section 70301(a)(1) and (2) become data for record upon completion of the Executive Officer's or his or her delegate's review.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code: Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment of subsection (a) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
3. Amendment of subsection (a) and Note filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
4. Amendment filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
5. Amendment of subsections (a)(1)-(2) and (c) filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70302. Geographic Extent of Designations.
Note     •     History

(a) An air basin will be the area designated for ozone, nitrogen dioxide, suspended particulate matter (PM10), fine suspended particulate matter (PM2.5), sulfates, and visibility reducing particles. Provided, however, if the Executive Officer or his or her delegate finds (based on air quality data, meteorology, topography, or the distribution of population and emissions) that there are areas within an air basin with distinctly different air quality deriving from sources and conditions not affecting the entire air basin, the Executive Officer or his or her delegate may designate an area smaller than an air basin using political boundary lines to the extent practicable. In designating an area smaller than an air basin as nonattainment, the Executive Officer or his or her delegate will include within the area those sources whose emissions contribute to a violation of a state standard for that pollutant. Contiguous areas which would have the same designation within an air basin will be one designated area.
(b) A county or the portion of a county which is located within an air basin will be the area designated for carbon monoxide, sulfur dioxide, lead (particulate), and hydrogen sulfide. Provided, however, if the Executive Officer or his or her delegate finds (based on air quality data, meteorology, topography, or the distribution of population and emissions) that there are areas within the county with distinctly different air quality, it may designate a smaller area. In designating an area smaller than a county as nonattainment, the Executive Officer or his or her delegate will include within the area those sources whose emissions contribute to a violation of a state standard for that pollutant.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code. Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
3. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
4. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70303. Criteria for Designating an Area as Nonattainment.
Note     •     History

(a) The Executive Officer or his or her delegate will designate an area as nonattainment for a pollutant if:
(1) Data for record show at least one violation of a state standard for that pollutant in the area, and the measurement of the violation meets the representativeness criteria set forth in “Criteria for Determining Data Representativeness” contained in Appendix 1 to this article; or
(2) Limited or no air quality data were collected in the area, but the Executive Officer or his or her delegate finds, based on meteorology, topography, and air quality data for an adjacent nonattainment area, that there has been at least one violation of a state standard for that pollutant in the area being designated.
(b) An area will not be designated as nonattainment if the only recorded exceedance(s) of that state standard were based solely on data for record determined to be affected by a highly irregular or infrequent event. Data affected by a highly irregular or infrequent event will be identified as such by the Executive Officer or his or her delegate in accordance with the “Air Resources Board Procedure for Reviewing Air Quality Data Possibly Affected by a Highly Irregular or Infrequent Event,” set forth in Appendix 2 to this article.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code. Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment of subsections (b) and (c) filed 1-2-91; operative 1-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 10).
3. Amendment of subsections (c) and (c)(1), repealer of subsection (c)(2) and subsection renumbering, amendment of newly designated subsection (c)(2), and new subsection (d) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
4. Amendment of subsection (c) and Note filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
5. Amendment of subsections (a)(1), (b) and (c)-(c)(2) filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
6. Amendment of subsections (a) and (b), repealer of subsections (c)-(d) and amendment of Note filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
7. Amendment of subsection (b) filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
8. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70303.1. Criteria for Designating an Area as Nonattainment-Transitional for Pollutants Other than Ozone.
Note     •     History

(a) Nonattainment-transitional is a subcategory of the nonattainment designation. The Executive Officer or his or her delegate will identify that portion of a designated area within the district as nonattainment-transitional for a pollutant other than ozone with a state standard averaging time less than or equal to 24 hours and for which samples are routinely collected every day if it finds that:
(1) Data for record for the previous calendar year are consistent with the criteria established in section 70304(a)(2) and show two or fewer days at each site in the area with violations of a state standard for that pollutant (not including exceedances found to be affected by a highly irregular or infrequent event under the procedure set forth in Appendix 2 to this article);
(2) Evaluation of multi-year air quality, meteorological and emission data indicates that ambient air quality either has stabilized or is improving and that every site in the area is expected to reach attainment within three years; and
(3) The geographic extent of the area is consistent with the criteria established in section 70302.
(b) An area designated as nonattainment-transitional for a pollutant is close to attaining the state standard(s) for that pollutant. The nonattainment-transitional designation provides an opportunity for a district to review and potentially to modify its attainment plan. Any modification to an attainment plan must be consistent with state and federal regulations and statutes.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code. Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. New section filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
2. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
3. Amendment of subsection (a) filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70303.5. Requirements for Ozone Nonattainment-Transitional
Note     •     History

(a) If an area within an air basin is designated as nonattainment for ozone, that area is designated as nonattainment-transitional for ozone if the following conditions are met:
(1) The area is an entire district within an air basin, or the area is the entire portion of a district within an air basin consistent with the criteria established in section 70302(a);
(2) Data for record consistent with the criteria established in section 70304(a)(2) are used to determine the number of exceedances for the previous calendar year at each monitoring location in the area;
(3) All data collected during the previous calendar year are considered in the evaluation, including data possibly affected by a highly irregular or infrequent event under the procedure set forth in Appendix 2 to this article;
(4) Each day with concentration(s) that exceed the state ozone standard is counted as one exceedance day; and
(5) No monitoring location in the area has more than three exceedance days during the previous calendar year.
(b) If an area qualifies for designation as nonattainment-transitional for ozone for the previous calendar year under section 70303.5(a), and the Executive Officer or his or her delegate has determined that data for the current calendar year indicate more than three exceedance days at any one monitoring location, that area is designated as nonattainment.
NOTE

Authority Cited: Sections 39600, 39601, 39607 and 40925.5, Health and Safety Code.  Reference: Sections 39607 and 40925.5, Health and Safety Code.
HISTORY

1. New section filed 11-30-93; operative 12-30-93 (Register 93, No. 49).
2. Amendment of first paragraph and redesignation of subsections (a)-(d) as subsections (1)-(4) filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
3. Amendment filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
4. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
5. Amendment of subsection (b) filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70304. Criteria for Designating an Area as Attainment.
Note     •     History

(a) The Executive Officer or his or her delegate will designate an area as attainment for a pollutant if:
(1) Data for record show that no state standard for that pollutant was violated at any site in the area; and
(2) Data for record meet representativeness and completeness criteria for a location at which the pollutant concentrations are expected to be high based on the spatial distribution of emission sources in the area and the relationship of emissions to air quality. Data representativeness criteria are set forth in “Criteria for Determining Data Representativeness” contained in Appendix 1 to this article. Data completeness criteria are set forth in “Criteria for Determining Data Completeness” contained in Appendix 3 to this article.
(b) Where there are limited or no air quality data for an area, the Executive Officer or his or her delegate will designate the area as attainment for a pollutant it finds that no state standard for that pollutant has been violated in that area based on:
(1) Air quality data collected in the area during the most recent period since 1980 which meet the conditions in (a) above;
(2) Emissions of that pollutant or its precursors in the area have not increased since that period to a level at which the state standard might be exceeded; and
(3) Air quality data collected in the area since the time period in (1) above do not show a violation of the state standard.
(c) If an area is designated as attainment and now has limited or no air quality data for record for carbon monoxide, nitrogen dioxide, sulfur dioxide, sulfates, or lead (particulate), the Executive Officer or his or her delegate shall continue to designate that area attainment for the respective pollutant if:
(1) Emissions of that pollutant or its precursors in the area have not increased since the area was most recently designated as attainment to a level at which the state standard might be exceeded.
(d) A nonattainment area will not be redesignated as attainment for a pollutant if;
(1) Data for record for the monitoring site showing the greatest violation of a state standard for that pollutant no longer are available; and
(2) No other site has been identified as equivalent by the Executive Officer or his or her delegate.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code. Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89; (Register 89, No. 43).
2. New subsection (d) filed 1-2-91; operative 1-2-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 10).
3. Amendment of subsections (b)(1) and (2) and new subsection (b)(3) filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
4. Amendment of subsection (c) filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
5. Amendment of subsections (a), (b), and (d) filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
6. Amendment of subsection (b)(2) filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
7. Amendment of subsections (a), (b) and (c), new subsection (c)(1) and amendment of subsection (d)(2) filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70305. Criteria for Designating an Area as Unclassified.
Note     •     History

The Executive Officer or his or her delegate will designate an area as unclassified for a pollutant if it finds that, except as otherwise provided in this article, the data do not support a designation of attainment or nonattainment.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code. Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89; (Register 89, No. 43). 
2. Amendment of section heading filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
3. Amendment filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
4. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
§70306. Annual Review of Designations.
Note     •     History

(a) The Executive Officer or his or her delegate will conduct annual reviews of all designations and will hold a public hearing if requested pursuant to Government Code section 11346.8(a).
(b) Any request for a change in a designation and any submittal of information for purposes of the Executive Officer's or his or her delegate's consideration in the annual review of a designation shall be provided in writing to the Executive Officer no later than May 1 of each year.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code. Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89; (Register 89, No. 43). 
2. Amendment filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
3. Amendment of subsection (a) filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
4. Amendment filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).

Appendix 1

Criteria for Determining Data Representativeness
This Appendix describes the criteria to be used in determining the representativeness of individual air quality measurements and statistics for the purpose of designating areas as described in this article. Data representativeness, as that term is used herein, relates to the determination of whether the amount of data reflected in an individual air quality measurement or statistic is sufficient to characterize reliably air quality during the respective averaging time of a state standard. The criteria for determining data representativeness are summarized in the accompanying table and discussed further, below.
Air quality measurements and statistics are usually computed from short term observed values. If all the short term values for the statistical time period are available, the calculated statistic is representative. However, because all the short term values for a given period often are not available, a minimum number of observations are needed to provide reasonable assurance that the calculated measurement or statistic is a reliable estimate for the averaging time specified in the state standard. 
In general, air quality measurements and statistics are considered representative if a minimum of 75 percent of all the potential short term values are included and are distributed throughout the entire statistical time period. This 75 percent criteria must be met from the averaging time of the initial measurement, up to and including, the final averaging time reflected by the air quality measurement or statistic. For example, a maximum daily statistic must meet the representativeness criteria specified for a “Day.” Because a daily statistic reflects a single day, it does not need to meet the representativeness criteria for any other level (Month, Quarter, or Year). In evaluating data representativeness, all measurements are considered, including those identified as affected by a highly irregular or infrequent event under the “Air Resources Board Procedure for Reviewing Air Quality Data Possibly Affected by a Highly Irregular or Infrequent Event,” set forth in Appendix 2 to this article.
Individual air quality measurements and statistics used for designating an area as attainment, nonattainment-transitional, or nonattainment must be representative. Furthermore, to ensure that the group of air quality measurements or statistics used for designating an area as attainment or nonattainment-transitional reflect the time of day and the season of expected high concentrations, these data must also be complete under the “Criteria for Determining Data Completeness” set forth in Appendix 3 to this article. In contrast, the air quality measurements or statistics used for designating an area as nonattainment are not required to be complete.

View Graphic
HISTORY

1. Amendment of first two paragraphs filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
2. Amendment of first and third paragraphs filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
3. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).

Appendix 3

Criteria for Determining Data Completeness
This Appendix describes the criteria to be used in determining data completeness for the purpose of designating areas as described in this article. These Criteria for Determining Data Completeness (Completeness Criteria) apply only to air quality data used in designating an area as attainment or nonattainment-transitional. Air quality data used in designating an area as nonattainment do not need to be complete. The purpose of these Completeness Criteria is to specify the minimum amount of data deemed necessary to ensure that sampling occurred at times when a violation is most likely to occur.
After a set or group of air quality measurements or statistics are deemed representative under the Criteria for Determining Data Representativeness set forth in Appendix 1 to this article, they are then evaluated under these Completeness Criteria to ensure that the group of representative measurements or statistics reflect the time of day and the season of the year during which high concentrations are likely to occur.

Complete Data
Data for a site will be complete if there are representative data (as determined in accordance with the Representativeness Criteria in Appendix 1 to this article) during the required hours (see below) of the day during the required months (see below) for the required years (see below).

Required Hours
The hours of potentially high concentration must be included. Unless a detailed evaluation determines different hours to be appropriate for a specific site, these hours are:

Pollutant	Hours (PST)

Ozone	 9 am-5 pm
Carbon Monoxide	 3 pm-9 am (next day)
Nitrogen Dioxide	 8 am-8 pm
Visibility Reducing Particles	10 am-6 pm
Other Pollutants	Throughout day

Required Months
The months of potentially high concentrations must be included. Unless a detailed evaluation determines different months to be appropriate for a specific site, these months are:

Pollutant	Months

Ozone	July-September
Carbon Monoxide	January, November-December
Sulfur Dioxide	September-December
Sulfates	January, June-December
Lead (Particulate)	January, November-December
Other Pollutants	January-December

Required Years for an Attainment Designation
The number of years to be included for an attainment designation is:
(a) Three; or
(b) Two, if during these years the maximum pollutant concentration (not including data found to be affected by a highly irregular or infrequent event under the procedure set forth in Appendix 2 to this article) is less then three-fourths the applicable state ambient air quality standard; or
(c) One, if during this year the maximum pollutant concentration (not including data found to be affected by a highly irregular or infrequent event under the procedure set forth in Appendix 2 to this article) is less than one-half the applicable state ambient air quality standard.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 39608, Health and Safety Code. Reference: Sections 39607 and 39608, Health and Safety Code.
HISTORY

1. Amendment of Appendix 3 to sections 70300-70306 filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
2. Amendment filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
3. Amendment of first and second paragraphs filed 8-26-99; operative 9-25-99 (Register 99, No. 35).
4. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
5. Amendment of paragraph “Required Months” and new Note filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).

Appendix 4 [Repealed]
HISTORY

1. Amendment filed 4-16-93; operative 5-17-93 (Register 93, No. 16).
2. Amendment filed 11-10-94; operative 12-12-94 (Register 94, No. 45).
3. Amendment of first  paragraph filed 8-20-96; operative 9-19-96 (Register 96, No. 34).
4. Repealer filed 8-26-2010; operative 9-25-2010 (Register 2010, No. 35).
Article 5. Transported Air Pollutants
§70500. Transport Identification.
Note     •     History

(a) Purpose. 
This regulation identifies the areas in which transported air pollutants from upwind areas cause or contribute to a violation of the state ambient air quality standard for ozone and the areas of origin of the transported pollutants. All areas identified in the table are air basins except as otherwise specifically described and defined.
(b) Definitions.
(1) “California Coastal Waters” includes the area between the California coastline and a line starting at the California-Oregon border at the Pacific Ocean; thence to 42.0 degrees North, 125.5 degrees West; thence to 41.0 degrees North, 125.5 degrees West; thence to 40.0 degrees North, 125.5 degrees West; thence to 39.0 degrees North, 125.0 degrees West; thence to 38.0 degrees North, 124.5 degrees West; thence to 37.0 degrees North, 123.5 degrees West; thence to 36.0 degrees North, 122.5 degrees West; thence to 35.0 degrees North, 121.5 degrees West; thence to 34.0 degrees North, 120.5 degrees West; thence to 33.0 degrees North, 119.5 degrees West; thence to 32.5 degrees North, 118.5 degrees West; and ending at the California-Mexican border at the Pacific Ocean.
(2) “Upper Sacramento Valley” includes the Colusa, Butte, Glenn, Tehama, and Shasta County Air Pollution Control Districts, and that area of the Feather River Air Quality Management District, which is north of a line connecting the northern border of Yolo County to the southwestern tip of Yuba County, and continuing along the southern Yuba County border to Placer County.
(3) “Broader Sacramento Area” includes the Sacramento Metropolitan Air Quality Management District; the Yolo-Solano Air Pollution Control District; the portions of the El Dorado County Air Pollution Control District included in 1990 U.S. Census Tracts 306.01, 307, 308.01, 308.02, 308.03, 308.04, 309.01, 309.02, 310, 311, 312, 315.01, and 315.02; and the portions of the Placer County Air Pollution Control District included in 1990 U.S. Census Tracts 203, 204, 205, 206.01, 206.02, 206.03, 207.01, 207.02, 207.03, 208, 209, 210.01, 210.02, 211.01, 211.02, 212, 213.01, 213.02, 214, 215.01, 215.02, 216, 218.01, and 218.02; and that area of the Feather River Air Quality Management District which is south of a line connecting the northern border of Yolo County to the southwestern tip of Yuba County, and continuing along the southern Yuba County border to Placer County.
(c) Transport Identification Table

OZONE IMPACTED	 
BY TRANSPORT:	AREAS OF ORIGIN OF TRANSPORT:

1. North Central Coast 	San Francisco Bay Area
	San Joaquin Valley
2. South Central Coast 	South Coast 
	California Coastal Waters
	San Joaquin Valley
	San Francisco Bay Area
3. South Coast 	South Central Coast
4. San Diego 	South Coast
	Mexico

5. Upper Sacramento Valley 	Broader Sacramento Area
6. Broader Sacramento Area 	San Francisco Bay Area 
	San Joaquin Valley
7. San Joaquin Valley 	San Francisco Bay Area 
	Broader Sacramento Area
8. Great Basin Valleys 	San Joaquin Valley
9. Mojave Desert	South Coast 
	San Joaquin Valley
	Mexico
10. San Francisco Bay Area	Broader Sacramento Area
11. Mountain Counties	Broader Sacramento Area
	San Joaquin Valley
	San Francisco Bay Area
12. Salton Sea	South Coast 
	Mexico

13. North Coast	San Francisco Bay Area
NOTE

Authority cited: Sections 39600, 39601 and 39610(a), Health and Safety Code. Reference: Section 39610(a), Health and Safety Code.
HISTORY

1. New section filed 4-9-90; operative 5-9-90 (Register 90, No. 15).
2. Amendment of subsections (b)(2)-(3) filed 5-11-93; operative 6-10-93 (Register 93, No. 20).
3. Amendment of subsection (c) filed 8-8-94; operative 9-7-94 (Register 94, No. 32).
4. Editorial correction of subsection (b)(3) (Register 97, No. 35).
5. Amendment of subsection (c) filed 8-27-97; operative 9-26-97 (Register 97, No. 35).
6. Amendment of subsection (c) filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
7. Editorial correction of subsection (c) (Register 2008, No. 12).
Article 6. Transport Mitigation
§70600. Emission Control Requirements.
Note     •     History

(a) Definitions
For the purpose of sections 70600 and 70601, the following definitions shall apply:
(1) “all feasible measures” means air pollution control measures, including but not limited to emissions standards and limitations, applicable to all air pollution source categories under a district's authority that are based on the maximum degree of reductions achievable for emissions of ozone precursors, taking into account technological, social, environmental, energy and economic factors, including cost-effectiveness.
(2) “ozone precursors” means oxides of nitrogen and reactive organic gases.
(b) Specific Requirements
Districts within the areas of origin of transported air pollutants, as identified in section 70500(c), shall include sufficient emission control measures in their attainment plans for ozone adopted pursuant to part 3, chapter 10 (commencing with section 40910) of division 26 of the Health and Safety Code, to mitigate the impact of pollution sources within their jurisdictions on ozone concentrations in downwind areas commensurate with the level of contribution. An upwind district shall comply with the transport mitigation planning and implementation requirements set forth in this section regardless of its attainment status, unless the upwind district complies with the requirements of section 70601. At a minimum, the attainment/transport mitigation plans for districts within the air basins or areas specified below shall conform to the following requirements:
(1) Broader Sacramento Area (as defined in section 70500(b)(3)) shall:
(A) require the adoption and implementation of all feasible measures as expeditiously as practicable.
(B) require the adoption and implementation of best available retrofit control technology, as defined in Health and Safety Code section 40406, on all existing stationary sources of ozone precursor emissions as expeditiously as practicable.
(C) require the implementation, by December 31, 2004, of a stationary source permitting program designed to achieve no net increase in the emissions of ozone precursors from new or modified stationary sources that emit or have the potential to emit 10 tons or greater per year of an ozone precursor.
(D) include measures sufficient to attain the state ambient air quality standard for ozone by the earliest practicable date within the Upper Sacramento Valley and that portion of the Mountain Counties Air Basin north of the Calaveras-Tuolumne County border and south of the Sierra-Plumas County border, except as provided in Health and Safety Code section 41503(d), during air pollution episodes which the state board has determined meet the following conditions:
(i) are likely to produce a violation of the state ozone standard in the Upper Sacramento Valley or that portion of the Mountain Counties Air Basin north of the Calaveras-Tuolumne County border and south of the Sierra-Plumas County border;
(ii) are dominated by overwhelming pollutant transport from the Broader Sacramento Area; and
(iii) are not measurably affected by emissions of ozone precursors from sources located within the Upper Sacramento Valley or that portion of the Mountain Counties Air Basin north of the Calaveras-Tuolumne  County border and south of the Sierra-Plumas County border.
(2) San Francisco Bay Area Air Basin shall:
(A) require the adoption and implementation of all feasible measures as expeditiously as practicable.
(B) require the adoption and implementation of best available retrofit control technology, as defined in Health and Safety Code section 40406, on all existing stationary sources of ozone precursor emissions as expeditiously as practicable.
(C) require the implementation, by December 31, 2004, of a stationary source permitting program designed to achieve no net increase in the emissions of ozone precursors from new or modified stationary sources that emit or have the potential to emit 10 tons or greater per year of an ozone precursor.
(D) include measures sufficient to attain the state ambient air quality standard for ozone by the earliest practicable date within the North Central Coast Air Basin, that portion of Solano County within the Broader Sacramento Area, that portion of Sonoma County within the North Coast Air Basin, and that portion of Stanislaus County west of Highway 33, except as provided in Health and Safety Code section 41503(d), during air pollution episodes which the state board has determined meet the following conditions:
(i) are likely to produce a violation of the state ozone standard in the North Central Coast Air Basin, or that portion of Solano County within the Broader Sacramento Area, or that portion of Sonoma County within the North Coast Air Basin, or that portion of Stanislaus County west of Highway 33;
(ii) are dominated by overwhelming pollutant transport from the San Francisco Bay Area Air Basin; and
(iii) are not measurably affected by emissions of ozone precursors from sources located within the North Central Coast Air Basin, or that portion of Solano County within the Broader Sacramento Area, or that portion of Sonoma County within the North Coast Air Basin, or that portion of Stanislaus County west of Highway 33.
(3) San Joaquin Valley Air Basin shall:
(A) require the adoption and implementation of all feasible measures as expeditiously as practicable.
(B) require the adoption and implementation of best available retrofit control technology, as defined in Health and Safety Code section 40406, on all existing stationary sources of ozone precursor emissions as expeditiously as practicable.
(C) include measures sufficient to attain the state ambient air quality standard for ozone by the earliest practicable date within the Mojave Desert Air Basin, the Great Basin Valleys Air Basin, and that portion of the Mountain Counties Air Basin south of the Amador-El Dorado County border, except as provided in Health and Safety Code section 41503(d), during air pollution episodes which the state board has determined meet the following conditions:
(i) are likely to produce a violation of the state ozone standard in the Mojave Desert Air Basin or the Great Basin Valleys Air Basin, or that portion of the Mountain Counties Air Basin south of the Amador-El Dorado County border;
(ii) are dominated by overwhelming pollutant transport from the San Joaquin Valley Air Basin; and
(iii) are not measurably affected by emissions of ozone precursors from sources located within the Mojave Desert Air Basin or the Great Basin Valleys Air Basin, or that portion of the Mountain Counties Air Basin south of the Amador-El Dorado County border.
(4) South Central Coast Air Basin south of the Santa Barbara-San Luis Obispo County border shall, for sources located in that portion of the Basin:
(A) require the adoption and implementation of all feasible measures as expeditiously as practicable.
(B) require the adoption and implementation of best available retrofit control technology, as defined in Health and Safety Code section 40406, on all existing stationary sources of ozone precursor emissions as expeditiously as practicable.
(5) South Coast Air Basin shall:
(A) require the adoption and implementation of all feasible measures as expeditiously as practicable.
(B) require the adoption and implementation of best available retrofit control technology, as defined in Health and Safety Code section 40406, on all existing stationary sources of ozone precursor emissions as expeditiously as practicable.
(C) include measures sufficient to attain the state ambient air quality standard for ozone by the earliest practicable date within the South Central Coast Air Basin south of the Santa Barbara-San Luis Obispo County border, the San Diego Air Basin, the Mojave Desert Air Basin, and the Salton Sea Air Basin, except as provided in Health and Safety Code section 41503(d), during air pollution episodes which the state board has determined meet the following conditions:
(i) are likely to produce a violation of the state ozone standard in the South Central Coast Air Basin south of the Santa Barbara-San Luis Obispo County border, or in the San Diego Air Basin, or in the Mojave Desert Air Basin, or in the Salton Sea Air Basin;
(ii) are dominated by overwhelming pollutant transport from the South Coast Air Basin; and
(iii) are not measurably affected by emissions of ozone precursors from sources located within the South Central Coast Air Basin south of the Santa Barbara--San Luis Obispo County border, or the San Diego Air Basin, or the Mojave Desert Air Basin, or the Salton Sea Air Basin.
(c) Implementation
(1) Prior to revising its attainment/transport mitigation plan pursuant to section 40925 of the Health and Safety Code, each district subject to the requirements set forth in section 70600(b) shall, in consultation with the downwind districts, review the list of control measures in its most recently approved attainment plan and make a finding as to whether the list of control measures meets the requirements of section 70600(b). The district shall include the finding in its proposed triennial plan revision.
(2) If the ARB determines that a district's plan does not satisfy the requirements of section 40912 of the Health and Safety Code and this regulation, the Board and the district shall follow the procedures specified in section 41503.2 of the Health and Safety Code for addressing plan deficiencies.
NOTE

Authority cited: Sections 39600, 39601 and 39610(b), Health and Safety Code. References: Sections 39610, 40912, 40913, 40921, 40924, 40925 and 41503, Health and Safety Code.
HISTORY

1. New section filed 12-20-90; operative 12-20-90 (Register 91, No. 6).
2. Repealer of subsection 1(b), 2(b), 3(b), 4(b) and 5(b), redesignation of subsections and amendment of newly designated subsections (e)(2)(A) and (e)(2)(C) and Note filed 10-27-93; operative 10-27-93 (Register 93, No. 44).
3. Amendment of subsections (a)(2)-(a)(2)(A), (a)(2)(C), (b)(2)-(b)(2)(C), (c)(2)-(c)(2)(A), (c)(2)(C) and (e)(2)(A)  filed 8-8-94; operative 9-7-94 (Register 94, No. 32).
4. Amendment filed 8-27-97; operative 9-26-97 (Register 97, No. 35).
5. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
6. Amendment of section and Note filed 12-4-2003; operative 1-3-2004 (Register 2003, No. 49).
§70601. Procedure for Limiting the Application of All Feasible Measures and Best Available Retrofit Control Technology.
Note     •     History

A district may exclude one or more sources from the requirement to apply all feasible measures, best available retrofit control technology, or both, as transport mitigation pursuant to section 70600 provided that the district plan prepared pursuant to part 3, chapter 10 (commencing with section 40910) of division 26 of the Health and Safety Code and approved by the Board pursuant to part 4, chapter 1 (commencing with section 41500) of division 26 of the Health and Safety Code demonstrates that:
(a) emissions from the source, because of its location, do not contribute to ozone violations in any downwind area; or
(b) emissions reductions from the source are not needed to attain the ozone standard in any downwind area; or
(c) the district is implementing an alternative emissions reduction strategy pursuant to section 40914 of the Health and Safety Code and demonstrates, based on the best available scientific evidence, including but not limited to air quality modeling analyses, that the strategy will be at least as effective and as expeditious as the transport mitigation requirements specified in section 70600; or
(d) the most recent transport assessment demonstrates that the district's transport impact is inconsequential.
NOTE

Authority cited: Sections 39600, 39601 and 39610(b), Health and Safety Code. Reference: Sections 39610, 40912, 40913, 40921, 40924, 40925 and 41503, Health and Safety Code.
HISTORY

1. New section filed 12-20-90; operative 12-20-90 (Register 91, No. 6).
2. Amendment of Note filed 10-27-93; operative 10-27-93 (Register 93, No. 44).
3. Amendment of section heading, section and Note filed 12-4-2003; operative 1-3-2004 (Register 2003, No. 49).
Article 1. Emission Accounting Procedure
§70700. Applicability.
Note     •     History

This subchapter shall apply to districts which have been designated nonattainment for the state ozone, carbon monoxide, nitrogen dioxide or sulfur dioxide standard under title 17, subchapter 1.5, article 3 of the California Code of Regulations, and which are subject to the attainment planning requirements set forth in sections 40910 et seq. of the California Health and Safety Code, and which must therefore account for emission reductions in their plans pursuant to section 40914. For the purposes of this subchapter, the following precursor relationships will be recognized: ozone (reactive organic gases and oxides of nitrogen); sulfur dioxide (oxides of sulfur); nitrogen dioxide (oxides of nitrogen).
NOTE

Authority cited: Sections 39600, 39601, 39605 and 39611, Health and Safety Code. Reference: Sections 40913, 40914, 40916 and 40925, Health and Safety Code.
HISTORY

1. New section filed 2-13-91; operative 2-13-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12). 
2. Change without regulatory effect amending Note filed 8-11-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 33).
§70701. Definitions.
Note     •     History

(a) Actual Emissions: The estimated discharge of pollutants or pollutant precursors into the air, expressed in tons per day.
(b) Anthropogenic Emissions: Emissions originating from human activity or contrivances.
(c) Backcasting: The use of current emissions data and estimation methods to produce emission inventories for previous years.
(d) Baseline Emission Inventory Forecast: The estimated actual, anthropogenic emission inventory for every third year after 1991 (1994, 1997, 2000, et cetera) for each nonattainment pollutant or precursor, as determined by the state board in consultation with the district. Such forecasts shall be based upon the baseline emission inventory and shall take into consideration growth projections and control factors for all adopted emission control measures.
(e) Baseline Emission Inventory: The estimated actual, anthropogenic emissions of each nonattainment pollutant or its precursors, which occurred during calendar year 1987, adjusted for temporal variations in emission rates that result from differences in emission producing activities or climatic factors, as determined by the state board in consultation with the district. 
(f) Calculated Emission Inventory Target: The baseline emission inventory for each nonattainment pollutant or precursor, minus the product of the baseline emission inventory times five percent (0.05) times the number of years since 1987, expressed in tons per day; i.e. Baseline - [Baseline x 0.05 (year - 1987)].
(g) Carrying Capacity: The estimated quantity of nonattainment pollutant emissions or nonattainment precursor emissions that may be emitted daily without causing an exceedence of a state ambient air quality standard in the district, and without causing or contributing to a violation of the state ozone standard in a downwind area.
(h) Credited Emission Reductions: The projected reductions in actual, anthropogenic emissions attributable to the district plan, as compared to the baseline emission inventory forecast for each reporting interval.
(i) Emission Changes: Any increase or decrease in actual emissions from the baseline emission inventory, expressed in tons per day.
(j) Reporting Intervals: The seven year period from 1988 through 1994 and each consecutive three year period thereafter (1995-1997; 1998-2000, 2001-2003; et cetera).
NOTE

Authority cited: Sections 39600, 39601, 39605 and 39611, Health and Safety Code. Reference: Sections 40913, 40914, 40916 and 40925, Health and Safety Code.
HISTORY

1. New section filed 2-13-91; operative 2-13-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12). 
2. Change without regulatory effect amending Note filed 8-11-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 33).
§70702. Required Information.
Note     •     History

Each district plan prepared pursuant to Health and Safety Code section 40910 et seq. shall include an analysis of emission changes from 1987 through at least the year 2000. The analysis shall include all of the following:
(a) Consistent with Health and Safety Code section 40914(c), each district plan shall include the baseline emission inventory for each nonattainment pollutant or precursor.
(b) Consistent with Health and Safety Code subsections 40913(a)(4), (6) and (7), each district plan shall include the baseline emission inventory forecast for the last year of each reporting interval, for each nonattainment pollutant or precursor, through at least the year 2000.
(c) Consistent with Health and Safety Code section 40914, each district plan shall identify calculated emission inventory targets unless the Board has approved an alternative emission reduction strategy pursuant to section 40914, or the Board has approved an air-quality related indicator for use by the district pursuant to section 39607. Calculated emission inventory targets shall be provided for the last year of each reporting interval, through at least the year 2000, unless the district will reach its carrying capacity before that date, in which case the calculated emission inventory targets shall be provided up until the date carrying capacity will be reached.
(d) Consistent with Health and Safety Code subsections 40913(a)(6) and (7), each district plan shall identify the credited emission reductions for each reporting interval.
(e) Pursuant to Health and Safety Code section 40913(a)(6) and (7), for each control measure in the plan anticipated to be implemented within ten years of district plan adoption, the district shall specify the date of measure adoption, total emissions reduced by the measure, and to the extent available information permits, the date of implementation and the reporting interval(s) within which the emission reductions will occur. This subdivision shall not apply to any control measure included in the baseline emission inventory forecast.
NOTE

Authority cited: Sections 39600, 39601, 39605 and 39611, Health and Safety Code. Reference: Sections 40913, 40914, 40916 and 40925, Health and Safety Code.
HISTORY

1. New section filed 2-13-91; operative 2-13-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12). 
2. Change without regulatory effect amending Note filed 8-11-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 33).
§70703. Emission Inventory Changes.
Note     •     History

Districts may estimate emission changes on the basis of new emissions data or new estimation methods, provided that:
(1) the baseline emission inventory has first been backcast with those data and estimation methods, and
(2) the baseline emission inventory forecast has been revised to reflect the new, backcasted baseline emission inventory.
All changes to baseline emission inventories and baseline emission inventory forecasts are subject to approval by the board's Executive Officer.
NOTE

Authority cited: Sections 39600, 39601, 39605 and 39611, Health and Safety Code. Reference: Sections 40913, 40914, 40916 and 40925, Health and Safety Code.
HISTORY

1. New section filed 2-13-91; operative 2-13-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12). 
2. Change without regulatory effect amending Note filed 8-11-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 33).
§70704. Consistency in Assumptions.
Note     •     History

Where two or more local plans are incorporated, cited, or appended to a district plan, the district shall ensure that assumptions for population, employment, industrial growth, transportation activities, energy use and other critical factors are consistent throughout the plans. Local plans include, but are not limited to regional mobility plans, congestion management plans, transportation improvement plans, and general plans.
NOTE

Authority cited: Sections 39600, 39601, 39605 and 39611, Health and Safety Code. Reference: Sections 40913, 40914, 40916 and 40925, Health and Safety Code.
HISTORY

1. New section filed 2-13-91; operative 2-13-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 12). 
2. Change without regulatory effect amending Note filed 8-11-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 33).
Subchapter 1.6. Local Air Pollution Control District Regulations [Repealed]
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Section 11385, Government Code, Sections 40001, 41500-41507, Health and Safety Code.
HISTORY

1. New Subchapter 1.6 (Sections 70300 and 70301) filed 1-23-79; effective thirtieth day thereafter (Register 79, No. 4).
2. Repealer of Subchapter 1.6 (Sections 70300 and 70301) filed 5-18-84; effective thirtieth day thereafter (Register 84, No. 20). For prior history, see Register 81, No. 10.
Subchapter 2. Smoke Management Guidelines for Agricultural and Prescribed Burning
Article 1. General Provisions
§80100. Purpose.
Note     •     History

The Smoke Management Guidelines for Agricultural and Prescribed Burning, henceforward referred to as Guidelines, are to provide direction to air pollution control and air quality management districts (air districts) in the regulation and control of agricultural burning, including prescribed burning, in California. The Guidelines are intended to provide for the continuation of agricultural burning, including prescribed burning, as a resource management tool, and provide increased opportunities for prescribed burning and agricultural burning, while minimizing smoke impacts on the public. The regulatory actions called for are intended to assure that each air district has a program that meets air district and regional needs. 
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 39011, 39053, 41850, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Repealer of Subchapter 2 (Sections 80100-80180) and new Subchapter 2 (Sections 80100-80320) filed 1-10-80 as an emergency; effective upon filing. Certificate of Compliance included (Register 80, No. 2). For prior history, see Registers 78, No. 19, 76, No. 52, 76, No. 10, 75, No. 21, 71, No. 2, and 71, No. 13.
2. Repealer of Subchapter 2 (Articles 1-3, Sections 80100-80320, not consecutive) and new Subchapter 2 (Articles 1-3, Section 80100-80330, not consecutive) filed 11-3-82; effective thirtieth day thereafter (Register 82, No. 45). For prior history, see Register 81, No. 48.
3. Amendment of subsections (a), (c), (e) and (g), and new subsections (l) and (m) filed 4-8-87; operative 5-4-87 pursuant to Government Code section 11346.2(d) (Register 87, No. 16).
4. Amendment of subchapter heading, amendment of section heading, repealer and new section, and amendment of Note filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80101. Definitions.
Note     •     History

(a) “Agricultural burning” is defined in Health and Safety Code section 39011 as follows: 
(1) “Agricultural burning” means open outdoor fires used in agricultural operations in the growing of crops or raising of fowl or animals, or open outdoor fires used in forest management, range improvement, or the improvement of land for wildlife and game habitat, or disease or pest prevention. 
(2) “Agricultural burning” also means open outdoor fires used in the operation or maintenance of a system for the delivery of water for the purposes specified in paragraph (1). 
(3) “Agricultural burning” also means open outdoor fires used in wildland vegetation management burning. Wildland vegetation management burning is the use of prescribed burning conducted by a public agency, or through a cooperative agreement or contract involving a public agency, to burn land predominantly covered with chaparral, trees, grass, or standing brush. Prescribed burning is the planned application of fire to vegetation to achieve any specific objective on lands selected in advance of that application. The planned application of fire may also include natural or accidental ignition. 
(b) “Air Pollution Control District” (APCD), “Air Quality Management District” (AQMD), “air district,” or “district” means an air pollution control district or an air quality management district created or continued in existence pursuant to provisions of Health and Safety Code section 40000 et seq. 
(c) “Air quality” means the characteristics of the ambient air as indicated by state ambient air quality standards which have been adopted by the state board pursuant to section 39606 of the Health and Safety Code and by National Ambient Air Quality Standards which have been established pursuant to sections 108 and 109 of the federal Clean Air Act pertaining to criteria pollutants and section 169A of the federal Clean Air Act pertaining to visibility. 
(d) “Ambient air” means that portion of the atmosphere, external to buildings, to which the general public has access. 
(e) “ARB” or “state board” means the Air Resources Board. 
(f) “Basinwide air quality factor” means an air quality factor which equals the 4:00 am to 6:00 am two hour average soiling index (COH*10) ending at 6:00 am PST. The basinwide council may use other particulate matter measurements as an indicator of air quality if appropriate for its program. 
(g) “Biased Inspection Site” means an inspection site chosen, at the discretion of a field inspector, based upon the presence or anticipated presence of disease symptoms.1 
(h) “Burn plan” means an operational plan for managing a specific fire to achieve resource benefits and specific management objectives. The plan includes, at a minimum, the project objectives, contingency responses for when the fire is out of prescription with the smoke management plan, the fire prescription (including smoke management components), and a description of the personnel, organization, and equipment. 
(i) “Burn project” means an active or planned prescribed burn or a naturally ignited wildland fire managed for resource benefits. 
(j) “Class I Area” means a mandatory visibility protection area designated pursuant to section 169A of the federal Clean Air Act. 
(k) “Conditional Rice Straw Burn Permit” means a permit issued pursuant to sections 41865(f) and (h) of the Health and Safety Code by an Air Pollution Control Officer (APCO) to conduct one burn, on one field, within one year or shorter time period, as specified. 
(l) “Conditional Rice Straw Burn Permit Applicant” means the individual (or his/her agent) with control over the property containing the rice fields proposed for burning. 
(m) “Designated agency” means any agency designated by the Air Resources Board as having authority to issue agricultural burning, including prescribed burning, permits. An air district may request such a designation for an agency. The U.S. Department of Agricultural (USDA) Forest Service and the California Department of Forestry and Fire Protection (CDF) are so designated within their respective areas of jurisdiction. 
(n) “Disease Significance Threshold” means an estimated amount (expressed as a percentage of diseased stems) of a qualifying disease expected to result in significant decreased grain production (during the current or next growing season). 
(o) “Fire protection agency” means any agency with the responsibility and authority to protect people, property, and the environment from fire, and having jurisdiction within a district or region. 
(p) “Forty-eight hour forecast” means a prediction of the meteorological and air quality conditions that are expected to exist for a specific prescribed burn in a specific area 48 hours from the day of the prediction. The prediction shall indicate a degree of confidence. 
(q) “Growing Season” means the period of time from seedbed preparation through crop harvest. 
(r) “Land manager” means any federal, state, local, or private entity that administers, directs, oversees, or controls the use of public or private land, including the application of fire to the land. 
(s) “Marginal burn day” means a day when limited amounts of agricultural burning, including prescribed burning, for individual projects in specific areas for limited times is not prohibited by the state board and burning is authorized by the district consistent with these Guidelines. 
(t) “National Ambient Air Quality Standards (NAAQS)” mean standards promulgated by the United States Environmental Protection Agency that specify the maximum acceptable concentrations of pollutants in the ambient air to protect public health with an adequate margin of safety, and to protect public welfare from any known or anticipated adverse effects of such pollutants (e.g., visibility impairment, soiling, harm to wildlife or vegetation, materials damage, etc.) in the ambient air. 
(u) “Ninety-six hour trend” means a prediction of the meteorological and air quality conditions that are expected to exist for a specific prescribed burn in a specific area 96 hours from the day of the prediction. 
(v) “No-burn day” means any day on which agricultural burning, including prescribed burning, is prohibited by the state board or the air district in which the burning will occur. 
(w) “Open burning in agricultural operations in the growing of crops or raising of fowl or animals” means: 
(1) The burning in the open of materials produced wholly from operations in the growing and harvesting of crops or raising of fowl or animals for the primary purpose of making a profit, of providing a livelihood, or of conducting agricultural research or instruction by an educational institution. 
(2) In connection with operations qualifying under paragraph (1): 
(A) The burning of grass and weeds in or adjacent to fields in cultivation or being prepared for cultivation. 
(B) The burning of materials not produced wholly from such operations, but which are intimately related to the growing or harvesting of crops and which are used in the field, except as prohibited by district regulations. Examples are trays for drying raisins, date palm protection paper, and fertilizer and pesticide sacks or containers, where the sacks or containers are emptied in the field. 
(x) “Particulate matter (PM)” means any airborne finely divided material, except uncombined water, which exists as a solid or liquid at standard conditions (e.g., dust, smoke, mist, fumes or smog).
“PM2.5” means particles with an aerodynamic diameter less than or equal to a nominal 2.5 micrometers.
“PM10” means particles with an aerodynamic diameter less than or equal to a nominal 10 micrometers (including PM2.5). 
(y) “Permissive-burn day,” or “burn day” means any day on which agricultural burning, including prescribed burning, is not prohibited by the state board and burning is authorized by the district consistent with these Guidelines. 
(z) “Pre-fire fuel treatment” means techniques which can reasonably be employed prior to prescribed burning in order to reduce the emissions that would otherwise be produced in a prescribed fire. 
(aa) “Prescribed burning” - see (a) (3). Tule burning in wildlands or wildland/urban interface is considered to be prescribed burning. 
(bb) “Prescribed fire” means any fire ignited by management actions to meet specific objectives, and includes naturally-ignited wildland fires managed for resource benefits. 
(cc) “Qualified Rice Disease Inspector” means any person certified in accordance with the provisions of section 81057 of this regulation, other than agricultural commissioner staff, who conducts rice disease inspections on behalf of rice growers. 
(dd) “Qualifying Disease” means a rice disease that may cause significant yield loss and which the Secretary for the California Department of Food & Agriculture (CDFA) finds is controlled or effectively managed by the burning of straw, provided the ARB and CDFA have not determined, in accordance with section 41865(h) of the Health and Safety Code, that there are other economically and technically feasible alternative means of elimination that are not substantially more costly to the conditional rice straw burn permit applicant. 
(ee) “Range improvement burning” means the use of open fires to remove vegetation for a wildlife, game, or livestock habitat or for the initial establishment of an agricultural practice on previously uncultivated land. 
(ff) “Region” means two or more air districts within an air basin or adjoining air basins that sign a memorandum of understanding to implement a coordinated regional smoke management program pursuant to the requirements of Article 2 of this regulation. 
(gg) “Residential burning” means an open outdoor fire for the disposal of the combustible or flammable solid waste of a single-or two-family dwelling on its premises. Residential burning is not considered to be prescribed burning. 
(hh) “Seventy-two hour outlook” means a prediction of the meteorological and air quality conditions that are expected to exist for a specific prescribed burn in a specific area 72 hours from the day of the prediction. 
(ii) “Smoke Management Plan” means a document prepared for each fire by land managers or fire managers that provides the information and procedures required in section 80160. 
(jj) “Smoke management prescription” means measurable criteria that define conditions under which a prescribed fire may be ignited, guide selection of appropriate management responses, and indicate other required actions. Prescription criteria may include, but are not limited to, minimizing smoke impacts, and safety, economic, public health, environmental, geographic, administrative, social, or legal considerations such as complying with Health and Safety Code section 41700, public nuisance statute. 
(kk) “Smoke Management Program” means the program defined in these Guidelines. 
(ll) “Smoke sensitive areas” are populated areas and other areas where a district determines that smoke and air pollutants can adversely affect public health or welfare. Such areas can include, but are not limited to, towns and villages, campgrounds, trails, populated recreational areas, hospitals, nursing homes, schools, roads, airports, public events, shopping centers, and mandatory Class I areas. 
(mm) “State ambient air quality standards” means specified concentrations and durations of air pollutants which reflect the relationship between the intensity and composition of air pollution to undesirable effects, as established by the state board pursuant to Health and Safety Code section 39606. 
(nn) “Unbiased Inspection Site” means an inspection site at a specific location prescribed by a method that does not consider the location or anticipated location of disease symptoms. 
(oo) “Wildfire” means an unwanted wildland fire. 
(pp) “Wildland” means an area where development is generally limited to roads, railroads, power lines, and widely scattered structures. Such land is not cultivated (i.e., the soil is disturbed less frequently than once in 10 years), is not fallow, and is not in the United States Department of Agriculture (USDA) Conservation Reserve Program. The land may be neglected altogether or managed for such purposes as wood or forage production, wildlife, recreation, wetlands, or protective plant cover. 
For CDF only, “Wildland” as specified in California Public Resources Code (PRC) section 4464(a) means any land that is classified as a state responsibility area pursuant to article 3 (commencing with section 4125) of chapter 1, part 2 of division 4 and includes any such land having a plant cover consisting principally of grasses, forbs, or shrubs that are valuable for forage. “Wildland” also means any lands that are contiguous to lands classified as a state responsibility area if wildland fuel accumulation is such that a wildland fire occurring on these lands would pose a threat to the adjacent state responsibility area. 
(qq) “Wildland fire” means any non-structural fire, other than prescribed fire, that occurs in the wildland. 
For CDF only, “wildland fire” as specified in PRC section 4464(c) means any uncontrolled fire burning on wildland. 
(rr) “Wildland/urban interface” means the line, area, or zone where structures and other human development meet or intermingle with the wildland. 

____________
1 The terms “biased inspection site” and “unbiased inspection site” refer to inspection sites selected solely upon their biological characteristics. They could also be called “biologically biased inspection site” and “biologically unbiased inspection site” for this reason. 
NOTE

Authority cited: Sections 39600, 39601, 41856, 41859 and 41865, Health and Safety Code. Reference: Sections 39011, 39025, 39053, 41850, 41852, 41853, 41854, 41855, 41856, 41857, 41858, 41859, 41861, 41862, 41863 and 41865, Health and Safety Code.
HISTORY

1. Amendment of section heading, repealer and new section, and amendment of Note filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
2. New subsections (g), (k), (l), (n), (q), (cc), (dd) and (nn), subsection relettering and amendment of Note filed 8-20-2001; operative 8-20-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
§80102. Scope and Applicability.
Note     •     History

(a) These Guidelines apply to the Air Resources Board and all air districts in California, and regulate agricultural burning, including prescribed burning. These Guidelines are intended to provide flexibility to districts in the development and implementation of their smoke management programs. Such programs shall be developed in consultation with the ARB and focus on minimizing any significant impacts that agricultural or prescribed burning may have on air quality or public health. These Guidelines are also intended to assure adequate state oversight, including initial program approval and periodic program assessment. 
(b) Although any local or regional authority may establish stricter standards for the control and the regulation of agricultural burning, including prescribed burning, than those set forth in these Guidelines, no local or regional authority may ban agricultural or prescribed burning. 
(c) These Guidelines are not intended to permit open burning on days when such burning is prohibited by public fire protection agencies for purposes of fire control or prevention. 
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41856, 41857, 41858 and 41859, Health and Safety Code.
HISTORY

1. Editorial correction of subsection (b) filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
2. Amendment of section heading, repealer and new section, and amendment of Note filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80110. Permissive-Burn, Marginal Burn, or No-Burn Days.
Note     •     History

(a) The ARB shall specify each day of the year as a permissive burn day, or a no-burn day for each air basin or other specified area. 
(b) The ARB shall announce by 3:00 p.m. every day for each of the state's air basins or other specified areas whether the following day is a permissive burn day or a no-burn day, or whether the decision will be announced the following day. If conditions preclude a forecast until the next day, the decision shall be announced by 7:45 a.m. Such notices shall be based on the Meteorological Criteria for Regulating Agricultural Burning and Prescribed Burning, set forth in sections 80179 through 80330 of these Guidelines. 
(c) The ARB may declare a marginal burn day if meteorological conditions approach the criteria contained in sections 80179 through 80311 for permissive burn days, and smoke impacts are not expected. A marginal burn day allows a district to authorize limited amounts of burning for individual projects in an air basin or other specified area if the air district demonstrates that smoke impacts to smoke sensitive areas are not expected as a result of that burning. The ARB shall announce by 3:00 p.m. every day for each of the state's air basins or other specified areas whether the following day is a marginal burn day, or whether the decision will be announced the following day. If conditions preclude a forecast until the next day, the decision shall be announced by 7:45 a.m. 
(d) Agricultural burning, including prescribed burning, is prohibited on no-burn days, except as specified in section 80120(e), section 80145(n), and section 80160(h). 
(e) A district and the ARB may develop mutually agreeable procedures to allow a district to demonstrate that a given day is a marginal burn day or a burn day through its own analysis of the expected meteorological conditions in the air basin and a comparison to the meteorological criteria in Article 3. 
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41855, 41856, 41857, 41858, 41861 and 41862, Health and Safety Code.
HISTORY

1. Amendment of subsections (a), (c) and (d), and new subsections (l) and (m) filed 4-8-87; operative 5-4-87 pursuant to Government Code section 11346.2(d) (Register 87, No. 16).
2. Amendment of section heading and repealer and new section filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80120. Burning Permits.
Note     •     History

(a) No person shall knowingly set or allow agricultural or prescribed burning unless he or she has a valid permit from a district or designated agency. No burning shall be conducted pursuant to such permit without specific district approval consistent with these Guidelines. Burning conducted pursuant to each permit must comply with all conditions specified on the permit. A violation of this subsection is a violation of section 41852 of the California Health and Safety Code. 
(b) The form of burning permits shall be prepared by the air districts in consultation with the designated agencies.
(c) The form of the permit shall contain the following words or words of similar import: “This permit is valid only on those days during which agricultural burning, including prescribed burning, is not prohibited by the State Air Resources Board or by an air district pursuant to section 41855 of the Health and Safety Code, and when burning on the lands identified herein has been approved by the air district.” 
(d) Each air district shall provide the designated agencies within the district with a copy of these Guidelines, related information on state laws, air district rules and regulations, and other information as appropriate.
(e) An air district may, by special permit, authorize agricultural burning, including prescribed burning, on days designated by the ARB as no-burn days if the denial of such permit would threaten imminent and substantial economic loss. In authorizing such burning, a district shall limit the amount of material which can be burned in any one day and only authorize burning which is not likely to cause or contribute to exceedences of air quality standards or result in smoke impacts to smoke sensitive areas. 
(f) Permits issued by designated agencies shall be subject to these Guidelines and to the rules and regulations of the district. Designated agencies shall submit to the air districts information as specified by the air district.
(g) Each applicant for a permit shall provide information required by the designated agency for fire protection purposes.
(h) Each applicant for a permit shall provide information requested by the district.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41852, 41853, 41854, 41855, 41856, 41857, 41858, 41859, 41861, 41862 and 41863, Health and Safety Code.
HISTORY

1. Amendment filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80130. Burning Report.
Note     •     History

(a) A report of agricultural burning, including prescribed burning, conducted pursuant to these Guidelines during each calendar year shall be submitted to the ARB by each air district within 45 days of the end of each calendar year. The report shall include the estimated tonnage or acreage of each waste type burned from open burning in agricultural operations and the estimated tonnage of waste from prescribed burning, and the county where the burning was performed.
(b) A report of special permits issued pursuant to subsection (e) of section 80120 during each calendar year shall be submitted to the ARB by each air district within 45 days of the end of the calendar year. The report shall include the number of such permits issued, the date of issuance of each permit, the person or persons to whom the permit was issued, an estimate of the amount of wastes burned pursuant to the permit, and a summary of the reasons why denial of each permit would have threatened imminent and substantial economic loss, including the nature and dollar amounts of such loss. 
(c) The ARB Executive Officer may, on a district-by-district basis, alter the frequency or contents of the reports required pursuant to subsections (a) and (b) of this section, based on information needed to conduct or evaluate smoke management programs. The Executive Officer shall provide a justification and reasonable schedule for implementing any revisions. 
NOTE

Authority cited: Sections 39515, 39516, 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 39515, 39516, 41852, 41853, 41854, 41856, 41857, 41858, 41859 and 41862, Health and Safety Code.
HISTORY

1. Amendment of subsections (a) and (e) filed 9-2-92; operative 9-2-92 (Register 92, No. 36).
2. Amendment filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
Article 2. District Smoke Management Program
§80140. General.
Note     •     History

(a) Each air district shall adopt, implement and enforce a smoke management program consistent with these Guidelines. Each air district or region shall develop its smoke management program in coordination with the ARB, the appropriate fire protection agencies, the land managers having jurisdiction within the district, any other affected parties, and the public. 
(b) Two or more districts choosing to implement a regional smoke management program shall meet the following additional requirements: 
(1) Execute a signed memorandum of understanding with participating districts that sets forth procedures for the coordination, implementation, and enforcement of shared responsibilities to comply with state smoke management program requirements. 
(2) Describe the regional smoke management program requirements, including the following elements, in the memorandum of understanding: a list of district and region boundaries; participating federal and/or state land managers, and other local entities within the region; the decision-making structure of the regional smoke management program; and the joint workplan for implementing the regional smoke management program. 
(3) The regional smoke management program will include compliance provisions for each participating air district. 
(4) Each participating air district shall implement its responsibilities under the smoke management program in coordination with other regional air districts/burn entities. 
(c) The smoke management program of the Sacramento Valley is designated as a regional smoke management program. 
(d) Districts shall adopt the elements of their smoke management program according to the following schedule: 
(1) Upon the effective date of this regulation, all air districts shall implement the prescribed burning elements of their programs, including the provisions of section 80160, unless exempted pursuant to section 80170. 
(2) By July 1, 2001, all air districts shall adopt smoke management programs that meet all applicable requirements of this regulation. 
(3) The ARB may extend the scheduled dates by up to six months if an air district demonstrates that, for good cause, additional time is needed. 
(e) The ARB shall either approve or indicate its intent to disapprove any program, portion of a program, or amendment of a program within 120 days after submittal.
(f) Prior to disapproval, the ARB Executive Officer shall confer with the air district regarding the reasons for the proposed disapproval. Following such conference, a decision to approve or disapprove the program, portion of a program, or amendment of a program shall be made by the ARB Executive Officer. 
(g) The air district may appeal the decision to the ARB. At the request of an air district or, in the case of a regional program, the districts in that region, the Air Resources Board itself, and not the ARB executive officer, shall hold a public hearing on the matter in the district or region affected.
(h) If a program is disapproved, the ARB shall return the program to the air district(s) for amendment. The air district(s) shall amend the program to address ARB concerns within 180 days. 
(i) If the program or amendment of such program is disapproved, or if a program or amendment is not submitted by the specified date, the ARB, after a public hearing in the basin affected, shall adopt an alternative program. 
(j) The program approved pursuant to subsection (e) or adopted pursuant to subsection (i) shall be enforced by the air district(s). 
(k) After an air district smoke management program is approved by the ARB, amendments to the program shall be submitted to the ARB for approval, and shall not be effective until approved. Each program or amendment shall be submitted to the ARB for approval within 30 days after adoption by the district. 
(l) After an air district smoke management program is approved by the ARB and the ARB finds that changes are necessary, the ARB shall discuss the findings with the air district and, in consultation with the district, establish an appropriate schedule for revising the smoke management program. 
NOTE

Authority cited: Sections 39515, 39516, 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 39515, 39516, 41856, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of subsections (b), (e), (f), (g) and (i), and new subsections (l) and (m) filed 4-8-87; operative 5-4-87 pursuant to Government Code section 11346.2(d) (Register 87, No. 16).
2. Amendment of article heading and amendment of section and Note filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80145. Program Elements and Requirements.
Note     •     History

The district smoke management programs shall include all of the elements in section 80145. Procedures and other requirements contained in subsections 80145(a) through (n) of this section shall be approved by district board resolutions or adopted as rules and regulations: 
(a) A daily burn authorization system that regulates agricultural burning, including prescribed burning, in order to minimize smoke impacts on smoke sensitive areas, avoid cumulative smoke impacts, and prevent public nuisance. The burn authorization system shall not allow more burning on a daily basis than is appropriate for the meteorological or air quality conditions. The daily burn authorization system shall specify the amount, timing and location of each burn event. The burn authorization system shall be developed by the air district in consultation with the ARB, shall be commensurate with the air quality impacts from burning, and shall consider the following factors as necessary: 
(1) air quality; 
(2) meteorological conditions expected during burning, including wind speeds and directions at the surface and aloft, and atmospheric stability; 
(3) types and amounts of materials to be burned; 
(4) location and timing of materials to be burned; 
(5) locations of smoke sensitive areas; and 
(6) smoke from all burning activities, including burning in neighboring air districts or regions which may affect the district or region. 
(b) If requested in writing by a district, the Executive Officer may approve an alternative burn authorization system for agricultural burning (excluding prescribed burning), provided the Executive Officer determines that the alternative system is likely to achieve the objectives of the daily burn authorization system. In making such determination, the Executive Officer shall consider the rules and regulations of the district relating to agricultural burning, historical data on the amount, types, location, and impacts of agricultural burning in the district (excluding prescribed burning), and the effectiveness of the smoke management program in place in the district, and other documentation provided by the district. The decision, along with the reasons for the decision, shall be in writing. 
(c) A description of the meteorological and air quality monitoring data to be used to provide data for determining the basinwide meteorological and air quality conditions. 
(d) A description of the personnel resources for meteorological support and burn coordination that will be used to operate the burn program. 
(e) Procedures for issuing notice of permissive-burn, marginal burn or no-burn days. Air districts shall coordinate these procedures with fire protection agencies. A no-burn day notice shall be issued for agricultural burning, including prescribed burning, by the air district when open burning is prohibited by fire protection agencies for fire control or prevention. 
(f) Procedures for issuing 48-hour forecasts, 72-hour outlooks, and 96-hour trends for specific prescribed burns. The air district may request that the ARB provide these forecasts for specific prescribed burns. 
(g) Procedures for authorizing burning, including a procedure for authorizing individual prescribed burns 24 hours prior to ignition of the fire, recognizing that any burn decision made 24 hours in advance is always subject to change if meteorological conditions or conditions affecting smoke dispersion are different from those anticipated. 
(h) Procedures for acquiring information on amounts of material burned on each day, on planned and unplanned wildland fires, and other information needed to establish the burn authorization for the following day, as specified in subsection (a). 
(i) Procedures for addressing cross-jurisdictional smoke impacts by coordinating with neighboring air districts, regions, or states. 
(j) The form of permit(s) required by subsection (c) of section 80120 and the form of the information required by subsection (f) of section 80120. 
(k) Procedures for enforcement. 
(l) Plans to provide for an analysis and periodic assessment of actions that are undertaken to minimize smoke through the use of pre-fire fuel treatment practices and non-burn alternatives. 
(m) If necessary, procedures for prioritizing agricultural burning, including prescribed burning, that districts can use to minimize smoke impacts. In considering priorities, districts shall consider the public benefits of burn projects, including safety, public health, forest health and wildfire prevention, ecological needs, economic concerns, and disease and pest prevention. Efforts to reduce smoke emissions, such as removal of excess material, shall also be considered. 
(n) As applicable, each district shall consider additional provisions with respect to permitting, on no-burn days, the burning of empty sacks or containers which contained pesticides or other toxic substances, providing the sacks or containers are within the definition of “open burning in agricultural operations in the growing of crops or raising of fowl or animals,” as specified in section 80101(r); 
(o) Rules and regulations or, until April 1, 2003, other enforceable mechanisms that: 
(1) Require the material to be burned to be free of material that is not produced on the property or in an agricultural or prescribed burning operation. Material not to be burned includes, but is not limited to, tires, rubbish, plastic, treated wood, construction/demolition debris, or material containing asbestos. 
(2) Require the material to be arranged so that it will burn with a minimum of smoke, when feasible. 
(3) Require material to be reasonably free of dirt, soil and visible surface moisture. 
(4) Require the material to be dried for minimum periods with separate specifications for the following: (A) trees and large branches, (B) prunings and small branches, (C) wastes from field crops that are cut in a green condition, and (D) other materials. 
(5) Regulate hours of ignition and burning. 
(6) Limit the ignition of fires to approved ignition devices. 
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 40702, 41850, 41854, 41856, 41857, 41858, 41859, 41862 and 41863, Health and Safety Code.
HISTORY

1. New section filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80150. Special Requirements for Open Burning in Agricultural Operations in the Growing of Crops or Raising of Fowl or Animals.
Note     •     History

(a) The district smoke management program shall include rules and regulations or, until April 1, 2003, other enforceable mechanisms that: 
(1) Require rice, barley, oat, and wheat straw to be ignited only by stripfiring into the wind or by backfiring, except under a special permit of the district issued when and where extreme fire hazards are declared by a public fire protection agency to exist, or where crops are determined by the district not to lend themselves to these techniques. 
(2) Require burning hours to be set so that no field crop burning shall commence before 10:00 a.m. or after 5:00 p.m. of any day, unless local conditions indicate that other hours are appropriate. 
(b) A district with no agricultural operations in the growing of crops or raising of fowl or animals within its jurisdiction may request to be exempted from the requirements of this section. 
(c) Rice Straw Burning Requirements. Districts within the boundaries of the Sacramento Valley Air Basin and the San Joaquin Valley Air Basin shall also include in the program rules and regulations that: 
(1) Require all rice harvesting to employ a mechanical straw spreader to ensure even distribution of the straw, except that rice straw may be left in rows, provided it meets drying time criterion prior to a burn as described in paragraph (2) below. Rice straw may also be left standing provided it is dried and meets the crackle test criteria described below prior to burning. 
(2) Require that after harvest no spread rice straw shall be burned prior to a three-day drying period, and no rowed rice straw shall be burned prior to a ten-day drying period, unless the rice straw makes an audible crackle when tested just prior to burning with the following testing method: When checking the field for moisture, a composite sample of straw from under the mat, in the center of the mat, and from different areas of the field shall be taken to ensure a representative sample. A handful of straw from each area will give a good indication. Rice straw is dry enough to burn if a handful of straw selected as described above crackles when it is bent sharply. 
(3) Require that after a rain exceeding 0.15 inch (fifteen hundredths of an inch), rice straw shall not be burned unless the straw makes an audible crackle when tested just prior to burning with the testing method described in paragraph (2), above. 
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 40702, 41850, 41856, 41857, 41858, 41859, 41863 and 41865, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-83; effective thirtieth day thereafter (Register 83, No. 40).
2. Amendment of subsections (d), (e) and (f) filed 9-2-92; operative 9-2-92 (Register 92, No. 36).
3. Amendment of section heading, repealer of subsections (a)-(d)(4) and (f)(1)-(f)(2)(D), renumbering of former subsections (e)-(e)(5) as section 80155, new subsections (a)-(c)(3) and new Note filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80155. Sacramento Valley Basinwide Program.
Note     •     History

The Sacramento Valley Basinwide Air Pollution Control Council (Basinwide Council) shall submit a smoke management program to the ARB for review and approval. The smoke management program shall apply to all areas of the Sacramento Valley Air Basin. In addition to all other applicable requirements, it shall contain: 
(a) A daily basinwide acreage equation establishing a theoretical maximum daily allocation which includes a basinwide meteorological factor (B.M.F.--determined from Tables 4 and 5 of section 80320) and a basinwide air quality factor. 
(b) Procedures for refining the theoretical maximum allocation in order to establish an initial actual allocation, including consultation between the ARB duty meteorologist and the basin coordinator and considering additional real-time air quality and meteorological information. 
(c) Procedures for distributing acreage allocations to each air district. The total acreage distributed shall not exceed the initial actual allocation determined by the ARB in consultation with the basin coordinator. The program may specify procedures to update the initial actual allocation, based on real-time meteorological information and the progress of burning the initial actual allocation. 
(d) The hours to be permitted for burning. 
(e) A description of the meteorological and air quality monitoring networks to be used to provide data for determining the basinwide meteorological and air quality factors. 
(f) Other clarifying details mutually agreed upon by the Basinwide Council and the ARB. 
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41856, 41857, 41858, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of section heading, repealer of former section 80155, and renumbering of former section 80150(e)-(e)(5) as new section 80155 filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80156. Conditional Rice Straw Burning Permit Program for the Sacramento Valley Air Basin.
Note     •     History

(a) The Sacramento Valley Basinwide Air Pollution Control Council (Basinwide Council) shall, by February 15, 2001, develop and submit to the state board a proposed rice straw burning permit program (program) for the issuance of conditional rice straw burning permits (permit) by the APCOs in the Sacramento Valley Air Basin. The program shall be adopted at a noticed public hearing of the Basinwide Council and shall implement and ensure compliance with the following requirements established by subdivisions (b) through (h). 
(b) The APCOs in the Sacramento Valley Air Basin may grant conditional rice straw burning permits only after the county agricultural commissioner has completed the following: 
(1) Independently determined the significant presence of a pathogen located in the field proposed for burning in the county of his/her jurisdiction in an amount sufficient to constitute a rice disease during the growing season. 
(2) Made a written finding, based upon the inspection results of methods specified in subdivision (e), that the existence of the pathogen will likely cause a significant, quantifiable reduction in yield in the field proposed for burning during the current or next growing season. 
(3) Documented each applicant's compliance with the following terms and conditions: 
(A) The fields proposed for burning are specifically described. 
(B) The applicant has not violated any provision of section 41865 of the Health and Safety Code within the previous three years. 
(c) In making the finding and determinations described in subdivisions (b)(1) through (b)(3), the county agricultural commissioner may accept inspection reports from qualified rice disease inspectors. Prior to making the finding, the agricultural commissioner must review and evaluate the accuracy of all inspection reports prepared by qualified rice disease inspectors and conduct field inspections to confirm results on a minimum of five (5) percent of all inspection reports. 
(d) Until May 31, 2003, the Basinwide Council's program shall require the county agricultural commissioners, in determining disease significance pursuant to subdivision (b)(2), to base their determinations upon the following disease significance thresholds: 
(1) For stem rot (Sclerotium oryzae), the disease significance threshold shall be 15 percent of the total stems sampled. 
(2) For aggregate sheathspot (Rhizoctonia oryzae-sativae), the disease significance threshold shall be 15 percent of the total stems sampled. 
(3) For neck blast (Pyricularia grisea), the disease significance threshold shall be 1.8 percent of the total stems sampled. 
(4) The disease significance thresholds shall be compared against inspection results averaged over the field proposed for burning, in accordance with subdivision (e). If no disease significance threshold has been specified for the disease impact being evaluated by a county agricultural commissioner, the county agricultural commissioner shall utilize professional judgement in determining the significance of disease. Beginning June 1, 2003, the Basinwide Council's program may propose alternative methods for evaluating the severity of qualifying diseases in an applicant's field. 
(e) The Basinwide Council shall develop detailed procedures for each inspection method proposed for adoption. Such inspection methods shall be based upon sound field sampling principles. Biased or unbiased methods, or combinations thereof, may be considered. Until May 31, 2003, the Basinwide Council's program shall comply with the requirements of paragraphs (1) through (4), below. Beginning June 1, 2003, the Basinwide Council's program may propose alternative methods for approving fields for burning based upon the presence of qualifying diseases in accordance with paragraph (4), below. 
(1) Stem sampling inspection procedures that combine biased and unbiased inspection sites shall include, but shall not be limited to, the following provisions: 
(A) Use a maximum of one (1) biased inspection site per field. 
(B) Collect a minimum of fifty (50) stem samples at all inspection sites. 
(C) Maintain a minimum ratio of biased to unbiased sampling sites of one (1) to three (3) in fields of 50 acres or less, and one (1) to five (5) in fields of greater than 50 acres. 
(D) Determine the percentage of diseased stems at each inspection site. 
(E) Sum the percentage values from paragraph (1)(D), above, and divide the sum by the total number of inspection sites to estimate the average percentage of diseased plants in the field proposed for burning. 
(F) Allow for a field inspector to cease sampling at any time after the first biased site if the results indicate that the field qualifies for burning even with the remaining unsampled sites assumed to equal zero percent. 
(G) If the field inspector elects to qualify the field using only one biased sampling site, the inspector must collect a minimum of one hundred (100) stem samples at that site. In all other sampling scenarios, the inspector shall collect a minimum of fifty samples per site. 
(2) Visual assessment inspection procedures shall be limited to fields with readily apparent macro disease symptoms and shall include, but shall not be limited to, the following provisions: 
(A) Assess and map the entire field for macro disease symptoms. 
(B) Inspect for micro disease symptoms at a minimum of one (1) biased site. 
(C) Require that a minimum of five (5) groups of at least twenty (20) plants be inspected for micro disease symptoms at each site. 
(D) Estimate the average percentage of diseased stems at each focussed site. 
(3) Soil sampling inspection procedures that combine biased and unbiased inspection sites shall be restricted to assessment of stem rot and shall include, but shall not be limited to, the following provisions: 
(A) Use a maximum of two (2) biased inspection sites per field. 
(B) Collect a minimum of eight (8) soil samples per field, each at different locations. 
(C) Maintain a minimum ratio of biased to unbiased sampling sites of one (1) to three (3). 
(D) Determine the level of disease (in terms of average viable stem rot sclerotia per gram of soil) at each inspection site. 
(E) Conduct the procedure in accordance with Webster's soil inoculum potential protocol for stem rot (Krause, R.A. & R.K. Webster, 1972, Mycologia 64:1333-1337). 
(4) Each procedure shall include, but is not limited to, the following information: 
(A) Protocol for selecting inspection sites. 
(B) Number of required inspection sites. 
(C) Methods of plant/soil collection. 
(D) Methods of collection, counting, and scoring of rice plants. 
(E) Methods of collection, storage, and analysis of soil samples. 
(F) Procedures for calculating percentage of disease, if required, at specific inspection sites and use of this information to estimate average percentage of disease in a total field. 
(f) The applicant shall submit an application form to the county agricultural commissioner to request the findings of terms and conditions specified in subdivision (b). The applications shall be available for public inspection for a period of three years. Each application form shall include, but shall not be limited to, the following information: 
(1) Applicant's name. 
(2) Applicant's identification number. 
(3) Mailing address (property address, city, state, and zip code). 
(4) Business telephone and fax number. 
(5) Total planted rice acres. 
(6) Site identification, location, and field acres proposed for burning. 
(7) Description of diseases (type and indication of severity). 
(8) A statement that inspection reports are required as an attachment to the application before it can be considered complete. 
(9) A statement authorizing the county agricultural commissioner to inspect the sites for rice disease. 
(10) Signature of the applicant. 
(11) A place for the signature of the agricultural commissioner verifying compliance with required findings and determinations described in subdivision (b). 
(g) Qualified rice disease inspectors shall complete a field inspection reporting form for each inspection method and the grower shall submit the reporting form, with an application, to the county agricultural commissioner. The county agricultural commissioner must review and approve the submittal in accordance with the provisions of subdivisions (b), (c) and (d). Completed forms shall be filed in the county agricultural commissioner's office and made available for public inspection for at least three years. Each inspection form shall include, but shall not be limited to, the following information: 
(1) Applicant's name. 
(2) Applicant's identification number. 
(3) Mailing address (property address, city, state, and zip code). 
(4) Business telephone and fax number. 
(5) Location and description of inspected fields. 
(6) Acreage of area proposed for burning. 
(7) Description of diseases (type and indication of severity). 
(8) Estimated average disease infection level in the total area proposed for burning, if required. 
(9) Total planted rice acres. 
(10) Name, title, and signature of inspector. 
(11) Qualified rice disease inspector's certification number, if applicable. 
(h) Enforcement provisions shall be included to discourage false reporting. Inspectors who perform fraudulent inspections are subject to permanent revocation of certification and other penalties provided by law. Growers who file false reports shall be deemed in noncompliance with Health and Safety Code sections 41865 and 42402.2(b), and subject to penalties provided by law. 
NOTE

Authority cited: Sections 39600, 39601, 41856, 41859 and 41865, Health and Safety Code. Reference: Sections 41850, 41852, 41853, 41857, 41858, 41863 and 41865, Health and Safety Code. 
HISTORY

1. New section filed 8-20-2001; operative 8-20-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
§80157. Inspection Training Requirements for Conditional Rice Straw Burning Permit Program for the Sacramento Valley Air Basin.
Note     •     History

(a) The Basinwide Council, in consultation with CDFA and ARB, shall establish a program to train and certify rice disease inspectors. The training program shall be implemented through an accredited agricultural educational facility, such as, but not limited to, the University of California Cooperative Extension. Successful completion of the training course shall be a prerequisite to certification. Trainers shall be experienced agricultural professionals with extensive in-field pest inspection and identification experience. Any individual, other than agricultural commissioners and their staff, performing inspections must be trained and certified. Agricultural commissioner staff shall be encouraged, though not required, to be trained through the program. The Basinwide Council may establish minimum criteria for entrance into the training program. 
(b) The certifications shall be issued by the training facility, Basinwide Council, or agricultural commissioner and shall be revocable by the issuer for cause. Issuance of certification shall be based upon evidence of completion of the training program and demonstrated knowledge of the following subject matter: 
(1) Commonly occurring qualifying and nonqualifying rice diseases. 
(2) Life cycle or etiology of rice diseases. 
(3) Inspection methods and their statistical limitations. 
(4) Techniques of prioritizing suitable test methods based upon field and disease characteristics. 
(5) Penalties associated with fraudulent inspections and/or related documentation. 
(6) Estimation of acreage of fields, acreage of inspection areas, and acreage of disease infected areas. 
(7) Webster's stem rot disease severity quantification protocol (Krause, R.A. & R.K. Webster, 1973, Phytopathology 63: 518-523). 
(8) Webster's soil inoculum potential protocol for stem rot (Krause, R.A. & R.K. Webster, 1972, Mycologia 64:1333-1337). 
(9) Disease survey and detection techniques. 
(10) Visual inspection indicators, if available, that meet the disease significance thresholds defined in section 80101. 
NOTE

Authority cited: Sections 39600, 39601, 41856, 41859 and 41865, Health and Safety Code. Reference: Sections 41850, 41852, 41853, 41857, 41858, 41863 and 41865, Health and Safety Code. 
HISTORY

1. New section filed 8-20-2001; operative 8-20-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
§80158. Annual Reporting Requirements for Conditional Rice Straw Burning Permit Program for the Sacramento Valley Air Basin.
Note     •     History

(a) Beginning in 2002 and annually thereafter, the Basinwide Council shall submit to the ARB and CDFA, by July 15, a report on program implementation. The report shall include, but shall not be limited to, the following information, by county: 
(1) General assessment of program operation. 
(2) Total acres requested to be burned. 
(3) Total acres determined by county agricultural commissioners to meet the terms and conditions for burning. 
(4) Total acres approved for burning by the APCOs. 
(5) Total acres burned. 
(6) Total amount of planted acreage in the previous year. 
(7) Total amount of planted acreage in the current year. 
(8) Number of enforcement actions initiated for fraudulent inspections, and resolution of each. 
(9) Total amount of fees charged by each county agricultural commissioner. 
NOTE

Authority cited: Sections 39600, 39601, 41856, 41859 and 41865, Health and Safety Code. Reference: Sections 41850, 41852, 41853, 41857, 41858, 41863 and 41865, Health and Safety Code. 
HISTORY

1. New section filed 8-20-2001; operative 8-20-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
§80159. State Approval Procedures for Conditional Rice Straw Burning Permit Program for the Sacramento Valley Air Basin.
Note     •     History

(a) The Executive Officer shall approve, approve with conditions, disapprove, or indicate intent to disapprove any program, portion of a program, or amendment of a program within 90 days after submittal by the Basinwide Council. Reasons for disapproval, conditional approval, or intent to disapprove shall be provided to the Basinwide Council in writing. The Basinwide Council shall resubmit an amended plan addressing the ARB's concerns within 90 days of the ARB's communication of disapproval, conditional approval, or intent for disapproval. 
(b) If the Basinwide Council does not submit a program by March 1, 2001, or if the Executive Officer has not approved a program submitted by the Basinwide Council by July 15, 2001, the Air Resources Board shall develop and adopt an alternative program. An alternative program shall be adopted by the Board at a public meeting in the Sacramento Valley Air Basin. 
(c) An approved program may be amended by the Executive Officer with 90 days' prior written notice to, and in consultation with, the Basinwide Council. The Basinwide Council may submit proposed program amendments to the Executive Officer for approval. The Executive Officer may request the submittal of program amendments from the Basinwide Council. No program, amendments, or portion thereof shall be implemented until approved in writing by the Executive Officer. 
NOTE

Authority cited: Sections 39600, 39601, 41856, 41859 and 41865, Health and Safety Code. Reference: Sections 41850, 41852, 41853, 41857, 41858, 41863 and 41865, Health and Safety Code. 
HISTORY

1. New section filed 8-20-2001; operative 8-20-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 34).
§80160. Special Requirements for Prescribed Burning and Prescribed Fires in Wildland and Wildland/Urban Interface Areas.
Note     •     History

The district smoke management programs shall include rules and regulations or, until April 1, 2003, other enforceable mechanisms that: 
(a) Require registration of all planned burn projects annually or seasonally, including areas considered for potential naturally-ignited wildland fires managed for resource benefits, with updates as they occur. 
(b) Require the submittal of smoke management plans for all burn projects greater than 10 acres in size or estimated to produce more than 1 ton of particulate matter. Smoke management plans must contain, at a minimum, the following information: 
(1) Location, types, and amounts of material to be burned; 
(2) Expected duration of the fire from ignition to extinction; 
(3) Identification of responsible personnel, including telephone contacts; and 
(4) Identification and location of all smoke sensitive areas. 
(c) Require that smoke management plans for burn projects greater than 100 acres in size or estimated to produce more than 10 tons of particulate matter contain, at a minimum, the information contained in subsection (b) and the following additional information: 
(1) Identification of meteorological conditions necessary for burning. 
(2) The smoke management criteria the land manager or his/her designee will use for making burn ignition decisions. 
(3) Projections, including a map, of where the smoke from burns are expected to travel, both day and night. 
(4) Specific contingency actions (such as fire suppression or containment) that will be taken if smoke impacts occur or meteorological conditions deviate from those specified in the smoke management plan. 
(5) An evaluation of alternatives to burning considered; if an analysis of alternatives has been prepared as part of the environmental documentation required for the burn project pursuant to the National Environmental Policy Act (NEPA) or the California Environmental Quality Act (CEQA), as applicable, the analysis shall be attached to the smoke management plan in satisfaction of this requirement. 
(6) Discussion of public notification procedures. 
(d) If smoke may impact smoke sensitive areas, require smoke management plans to include appropriate monitoring, which may include visual monitoring, ambient particulate matter monitoring or other monitoring approved by the district, as required by the district for the following burn projects: 
(1) projects greater than 250 acres; 
(2) projects that will continue burning or producing smoke overnight; 
(3) projects conducted near smoke sensitive areas; or 
(4) as otherwise required by the district. 
(e) Require, as appropriate, daily coordination between the land manager or his/her designee and the air district or the ARB for multi-day burns which may impact smoke sensitive areas, to affirm that the burn project remains within the conditions specified in the smoke management plan, or whether contingency actions are necessary. 
(f) Alternate thresholds to those specified in sections (b), (c), and (d) may be specified by a district consistent with the intent of this section. 
(g) Require district review and approval of smoke management plans. Districts shall provide notice to the ARB of large or multi-day burns as specified in (d) or (e) and consult with the ARB on procedures for ARB review and approval of large or multi-day burns as specified in (d) and (e). 
(h) Require that when a natural ignition occurs on a no-burn day, the initial “go/no-go” decision to manage the fire for resource benefit will be a “no-go” unless: 
(1) After consultation with the district, the district decides, for smoke management purposes, that the burn can be managed for resource benefit; or 
(2) For periods of less than 24 hours, a reasonable effort has been made to contact the district, or if the district is not available, the ARB. 
(3) After 24 hours, the district has been contacted, or if the district is not available, the ARB has been contacted and concurs that the burn can be managed for resource benefit. 
A “no-go” decision does not necessarily mean that the fire must be extinguished, but that the fire cannot be considered as a prescribed fire. 
(i) Require submittal of smoke management plans within 72 hours of the start of the fire for naturally-ignited wildland fires managed for resource benefits that are expected to exceed 10 acres in size. 
(j) Require the land manager or his/her designee conducting a prescribed burn to ensure that all conditions and requirements stated in the smoke management plan are met on the day of the burn event and prior to ignition. 
(k) Require a post-burn smoke management evaluation by the burner for fires greater than 250 acres. 
(l) Require procedures for public notification and education, including appropriate signage at burn sites, and for reporting of public smoke complaints. 
(m) Require vegetation to be in a condition that will minimize the smoke emitted during combustion when feasible, considering fire safety and other factors.
(n) Require material to be burned to be piled where possible, unless good silvicultural practices or ecological goals dictate otherwise. 
(o) Require piled material to be burned to be prepared so that it will burn with a minimum of smoke. 
(p) Require the permit applicant to file with the district a statement from the Department of Fish and Game certifying that the burn is desirable and proper if the burn is to be done primarily for improvement of land for wildlife and game habitat. The Department of Fish and Game may specify the amount of brush treatment required, along with any other conditions it deems appropriate.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41850, 41853, 41854, 41855, 41856, 41857, 41858, 41859, 41861, 41862 and 41863, Health and Safety Code.
HISTORY

1. Amendment of section heading, repealer and new section, and amendment of Note filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80170. Exemptions.
Note     •     History

A district with no prescribed burning in wildlands or urban interfaces within its jurisdiction may request to be exempted from the requirements of section 80160. A district may exclude specific range improvement burns for livestock habitat or the initial establishment of an agricultural practice on previously uncultivated land from the provisions of section 80160 of these Guidelines provided the air district determines that smoke impacts are not expected in smoke sensitive areas. 
NOTE

Authority cited: Sections 39600, 39601, 41852.5, 41856 and 41859, Health and Safety Code. Reference: Sections 41850, 41852.5, 41856, 41857, 41858, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of section heading, repealer and new section, and amendment of Note filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80175. Wildland Vegetation Management Burning.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41856, 41857, 41858, 41859 and 41863, Health and Safety Code.
HISTORY

1. New section filed 4-8-87; operative 5-4-87 pursuant to Government Code Section 11346.2(d) (Register 87, No. 16).
2. Editorial correction of printing error of section heading (Register 88, No. 52).
3. Repealer filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
Article 3. Meteorological Criteria for Regulating Agricultural and Prescribed Burning
§80179. General.
Note     •     History

The ARB may use, on a test basis in cooperation with the air basin affected, for three years for developing new criteria, alternate criteria to those specified in this article to establish burn days, no-burn days, and marginal burn days. 
NOTE

Authority cited: Sections 39600, 39601, 41855, 41856 and 41859, Health and Safety Code. Reference: Sections 40702, 41850, 41855, 41856, 41857, 41858, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of article heading and new section filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80180. North Coast Air Basin.
Note     •     History

(a) Above 3,000 feet mean sea level* (msl), a permissive-burn day will be declared when the following criteria are met:
(1) Near 4:00 a.m., the mean 500 millibar (mb) height over the Basin is less than the limiting mean height given in Table 1 of section 80320.
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 1 of section 80320.
(b) Below 3,000 feet msl*, a permissive-burn day will be declared when at least 3 of the following criteria are met:
(1) Near the time of day when the surface temperature is at a minimum, the temperature at 3,000 feet above the surface is not warmer than the surface temperature by more than 10 degrees Fahrenheit, except that during July through November it is not warmer by more than 18 degrees Fahrenheit.
(2) The expected daytime temperature at 3,000 feet above the surface is colder than the expected surface temperature by at least 11 degrees Fahrenheit for 4 hours.
(3) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour.
(4) The expected daytime wind direction in the mixing layer has a component from the east and a speed of 12 miles per hour or less.

--------
* In place of the standard 3,000 feet msl level, the elevation may be specified in increments of 500 feet on a day-to-day basis as determined from vertical temperature soundings.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)-(b), repealer of subsection (c) and new footnote filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80190. San Francisco Bay Area Air Basin.
Note

(a) The North Section of this basin includes Marin and Napa Counties, the San Francisco Bay Area Air Basin portions of Sonoma and Solano Counties, and that portion of Contra Costa County lying north and east of a line beginning at the intersection of Vasco Road and the Alameda County line; then north along the eastern side of Vasco Road to the intersection of Camino Diablo Road and Walnut Boulevard; then continuing north along the eastern side of Walnut Boulevard to the intersection of Marsh Creek Road; then west along the northern side of Marsh Creek Road to the intersection of Deer Valley Road; then north along the eastern side of Deer Valley Road to intersection of Lone Tree Way; then west and north along the eastern side of Lone Tree Way until it becomes “A” Street; then continuing north along the eastern side of “A” Street and its northern extension to the Sacramento County line.
(b) A permissive-burn day will be declared in the North Section when the following criteria are met:
(1) Near the time of day when the surface temperature is at a minimum, the temperature at 2,500 feet above the surface is not warmer than the surface temperature by more than 13 degrees Fahrenheit except that during May through September it is not warmer by more than 18 degrees Fahrenheit.
(2) The expected daytime temperature at 2,500 feet above the surface is colder than the expected surface temperature by at least 10 degrees Fahrenheit for 4 hours.
(3) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour.
(c) The South Section of this basin includes San Francisco, San Mateo, Santa Clara and Alameda Counties, and that portion of Contra Costa County lying south and west of a line beginning at the intersection of Vasco Road and the Alameda County line; then north along the eastern side of Vasco Road to the intersection of Camino Diablo Road and Walnut Boulevard; then continuing north along the eastern side of Walnut Boulevard to the intersection of Marsh Creek Road; then west along the northern side of Marsh Creek Road to the intersection of Deer Valley Road; then north along the eastern side of Deer Valley Road to the intersection of Lone Tree Way; then west and north along the eastern side of Lone Tree Way until it becomes “A” Street; then continuing north along the eastern side of “A” Street and its northern extension to the Sacramento County Line.
(d) A permissive-burn day will be declared in the South Section when the following criteria are met:
(1) Near the time of day when the surface temperature is at a minimum, the temperature at 2,500 feet above the surface is not warmer than the surface temperature by more than 11 degrees Fahrenheit except that during May through September it is not warmer by more than 16 degrees Fahrenheit.
(2) The expected daytime temperature at 2,500 feet above the surface is colder than the expected surface temperature by at least 10 degrees Fahrenheit for 4 hours. 
(3) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
§80200. North Central Coast Air Basin.
Note     •     History

(a) Above 3,000 feet msl *, a permissive-burn day will be declared when the following criteria are met:
(1) Near 4:00 a.m., the mean 500 mb (mb is millibar (mb) height over the Basin is less than the limiting mean height given in Table 2 of section 80320. 
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 2 of section 80320. 
(b) Below 3,000 feet msl * in the Northwest Section of this Basin (including Santa Cruz County and that portion of San Benito and Monterey Counties north and west of a line beginning at the intersection of Highway 156 and the Santa Clara/San Benito Counties line; then continuing southerly along Highway 156 to the intersection of Fairview Road; then southerly along Fairview Road to the intersection of Highway 25; then southwesterly to Fremont Peak; then southeasterly along the crest of the Gabilan Range to McPhails Peak; then southwesterly through the middle of Chualar Canyon into the Salinas Valley, along Chualar Canyon Road, and continuing to Mt. Toro; then southeasterly along the crest of the Sierra de Salinas to Arroyo Seco Road; then west southwesterly along Arroyo Seco Road to Arroyo Center; from there westerly to Pfeiffer Point on the Pacific Ocean), a permissive-burn day will be declared when the following criteria are met:
(1) The maximum mixing depth is expected to be at least 1,500 feet msl.
(2) The expected daytime resultant wind speed in the mixing layer is at least five miles per hour.
(c) Below 3,000 feet msl * in the Southeast Section of this Basin (including that portion of San Benito and Monterey Counties south and east of a line beginning at the intersection of Highway 156 and the Santa Clara/San Benito Counties line; then continuing southerly along Highway 156 to the intersection of Fairview Road; then southerly along Fairview Road to the intersection of Highway 25; then southwesterly to Fremont Peak; then southeasterly along the crest of the Gabilan Range to McPhails Peak; then southwesterly through the middle of Chualar Canyon into the Salinas Valley, along Chualar Canyon Road, and continuing to Mt. Toro; then southeasterly along the crest of the Sierra de Salinas to Arroyo Seco Road; then west southwesterly along Arroyo Seco Road to Arroyo Center; from there westerly to Pfeiffer Point on the Pacific Ocean), a permissive-burn day will be declared when the following criteria are met:
(1) The maximum mixing depth is expected to be at least 1,500 feet msl.
(2) The expected daytime resultant wind speed in the mixing layer is at least five miles per hour. 

--------
* In place of the standard 3,000 feet msl level, the elevation may be specified in increments of 500 feet on a day-to-day basis as determined from vertical temperature soundings.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Repealer and new section filed 1-14-83; effective thirtieth day thereafter (Register 83, No. 3).
2. Change without regulatory effect filed 9-19-88; operative 10-19-88 (Register 88, No. 39).
3. Amendment of subsections (a)(1)-(2) and repealer of subsection (d) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80210. South Central Coast Air Basin.
Note     •     History

(a) Above 3,000 feet mean sea level* (msl), a permissive-burn day will be declared when both of the following criteria are met:
(1) Near 4:00 a.m., the mean 500 millibar (mb) height over the Basin is less than the limiting mean height given in Table 2 of section 80320. 
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 2 of section 80320. 
(b) Below 3,000 feet msl* in Ventura County and that portion of Santa Barbara County south of a line described as follows: Beginning at the Pacific Ocean outfall of Jalama Creek and running east and north along Ja- lama Creek to a point of intersection with the west boundary of the San Julian Land Grant; then south along the San Julian Land Grant boundary to its southwest corner; then east along the south boundary of the San Julian Land Grant to the northeast corner of partial Section 20, T. 5 N, R. 32 W, San Bernardino Base and Meridian; then south and east along the boundary of the Las Cruces Land Grant to the southwest corner of partial Section 22, T. 5 N, R. 32 W; then northeast along the Las Cruces Land Grant boundary; then east along the north boundaries of Section 13, T. 5 N, R. 32 W, and Sections 18, 17, 16, 15, 14, 13, T. 5 N, R. 31 W, and Sections 18, 17, 16, 15, 14, 13, T. 5 N, R. 30 W, and Sections 18, 17, 16, 15, T. 5 N, R. 29 W; then south along the east boundary of Section 15, T. 5 N, R. 29 W; then east along the north boundaries of Sections 23 and 24, T. 5 N, R. 29 W, and Sections 19, 20, 21, 22, 23, 24, T. 5 N, R. 28 W, and Sections 19 and 20, T. 5 N, R. 27 W; then south along the east boundary of Section 20, T. 5 N, R. 27 W; then east along the north boundaries of Sections 28, 27, 26, 25, T. 5 N, R. 27 W and Section 30, T. 5 N, R. 26 W; then south along the east boundary of Section 30, T. 5 N, R. 26 W; then east along the north boundaries of Sections 32, 33, 34, 35, T. 5 N, R. 26 W; then south along the east boundary of Section 35, T. 5 N, R. 26 W to the township line common to T. 4 N and T. 5 N; then east along this township line to the Santa Barbara-Ventura County boundary; a permissive burn day will be declared when both of the following criteria are met:
(1) The maximum mixing depth is expected to be at least 1,500 feet msl.
(2) The expected afternoon onshore airflow is expected to be at least five miles per hour. 
(c) Below 3,000 feet msl* in San Luis Obispo County and that portion of Santa Barbara County north of the line described in (b) above, a permissive burn day will be declared when both of the following criteria are met:
(1) The maximum mixing depth is expected to be at least 1,500 feet msl.
(2) The expected afternoon onshore airflow is expected to be at least five miles per hour.

--------
* In place of the standard 3,000 feet msl level, the elevation may be specified in increments of 500 feet on a day-to-day basis as determined from vertical temperature soundings.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41850, 41854, 41855, 41856, 41857, 41858, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment filed 7-20-88; operative 8-19-88 (Register 88, No. 30).
2. Amendment of subsections (a)(1)-(2) and repealer of subsection (d) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80220. South Coast Air Basin.
Note

(a) A permissive-burn day will be declared when at least one of the following criteria is met:
(1) The expected height of the inversion base, if any, near 6:00 a.m. at Los Angeles International Airport is 1,500 feet msl or higher.
(2) The expected maximum mixing height during the day is above 3,500 feet above the surface.
(3) The expected mean surface wind between 6:00 a.m. and noon is greater than five miles per hour.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
§80230. San Diego Air Basin.
Note     •     History

Except that portion which lies east of a line beginning at the U.S.-Mexico border and running north along the range line common to R. 7 E and R. 6 E, San Bernardino Base and Meridian; to the southeast corner of T. 16 S, and R. 6 E; then west along the township line common to T. 16 S and T. 17 S to the southwest corner of T. 16 S, R. 6 E; then north along the range line common to R. 6 E and R. 5 E to the southeast corner of T. 14 S, R. 5 E; then west along the township line common to T. 14 S and T. 15 S to the point of intersection with the east boundary of Cuyamaca Park; then north along the east boundary of Cuyamaca Park to the point of intersection with the range line common to R. 5 E and R. 4 E; then north along this range line to the point of intersection with the south boundary of the San Felipe Land Grant; then east and north along the land grant boundary to the eastern most corner; then continuing west and north along the land grant boundary to the point of intersection with the range line common to R. 5 E and R. 4 E; then north along this range line to the point of intersection with the township line common to T. 10 S and T. 9 S; then west along this township line to the point of intersection with the range line common to R. 4 E and R. 3 E; then north along this range line to the San Diego-Riverside County boundary. Criteria for this portion are those of the Salton Sea Air Basin.
(a) A permissive-burn day will be declared when the following criteria are met:
(1) Above 3,000 feet msl *:
(A) Near 4:00 a.m., the inversion top is less than 3,000 feet msl or the temperature difference through the inversion is less than seven degrees Fahrenheit.
(B) The expected daytime resultant wind speed between 3,000 and 6,000 feet msl is at least 5 miles per hour.
(2) Below 3,000 feet msl *:
(A) The maximum mixing depth is expected to be at least 1,500 feet msl.
(B) The expected daytime resultant wind direction in the marine layer has a westerly component.
(C) The expected daytime resultant wind speed in the marine layer is at least five miles per hour.

--------
* In place of the standard 3,000 feet msl level, the elevation may be specified in increments of 500 feet on a day-to-day basis as determined from vertical temperature soundings. 
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of first paragraph and repealer of subsection (b) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80240. Northeast Plateau Air Basin.
Note     •     History

(a) A permissive-burn day will be declared when the following criteria are met:
(1) Near 4:00 a.m., the mean 500 mb height over the Basin is less than the limiting mean height given in Table 1 of section 80320. 
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 1 of section 80320.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(1)-(2) and repealer of subsection (b) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80250. Sacramento Valley Air Basin.
Note     •     History

(a) Above 3,000 feet msl*, a permissive-burn day will be declared when the following criteria are met:
(1) Near 4:00 a.m., the mean 500 mb height over the Basin is less than the limiting mean height given in Table 1 of section 80320.
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 1 of section 80320.
(b) Below 3,000 feet msl*, a permissive-burn day will be declared when the daily basinwide acreage allocation is greater than zero acreage. This allocation shall be determined daily by the state board and will vary with the existing and projected meteorology and air quality. The basinwide allocation shall be calculated from the basinwide acreage allocation equation contained in the approved approved Smoke Management Program required in section 80155.
(c) Special situations in the Basin are:
(1) If, when a no-burn day decision is declared, the state ambient air quality standard for ozone, carbon monoxide,  suspended particulate matter (PM10), or  visibility  is expected to be exceeded during the valid period, a note to this effect shall be appended to the announcement.
(2) A permissive-burn or no-burn day decision that has been announced may be changed by the Air Resources Board at any time prior to 10:00 a.m. if the meteorological and air quality situation that actually unfolds so warrants it.

---------
*In place of the standard 3,000 feet msl level, the elevation may be specified in increments of 500 feet on a day-to-day basis as determined from vertical temperature soundings.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-83; effective thirtieth day thereafter (Register 83, No. 40). 
2. Amendment of section heading and subsections (b) and (c)(2) filed 9-2-92; operative 9-2-92 (Register 92, No. 36).
3. Amendment of subsections (a)-(b), repealer of subsection (c)(1) and subsection renumbering filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80260. San Joaquin Valley Air Basin.
Note     •     History

(a) The North Section of this basin includes San Joaquin, Stanislaus, and Merced Counties.
(b) A permissive-burn day will be declared in the North Section when the following criteria are met:
(1) Near the time of day when the surface temperature is at a minimum, the temperature at 3,000 feet above the surface is not warmer than the surface temperature by more than 13 degrees Fahrenheit.
(2) The expected daytime temperature at 3,000 feet above the surface is colder than the expected surface temperature by at least 11 degrees Fahrenheit for 4 hours.
(3) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour.
(c) The South Section of this basin includes Madera, Fresno, Kings, and Tulare Counties, and the San Joaquin Valley Air Basin portion of Kern County. 
(d) A permissive-burn day will be declared in the South Section when the following criteria are met: 
(1) Above 3,000 feet msl*:
(A) Near 4:00 a.m., the mean 500 mb height over the Basin is less than the limiting mean height given in Table 2 of section 80320.
(B) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 2 of section 80320.
(2) Below 3,000 feet msl*:
(A) Near the time of day when the surface temperature is at a minimum, the temperature at 3,000 feet above the surface is not warmer than the surface temperature by more than 13 degrees Fahrenheit.
(B) The expected daytime temperature at 3,000 feet above the surface is colder than the expected surface temperature by at least 11 degrees Fahrenheit for 4 hours.
(C) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour.
(e) Special situations in the Basin are:
(1) If, when a no-burn day decision is declared, the state ambient air quality standard for ozone, carbon monoxide, suspended particulate matter (PM10) or  visibility is expected to be exceeded during the valid period, a note to this effect shall be appended to the announcement.
(2) A permissive-burn or no-burn day decision that has been announced may be changed by the Air Resources Board at any time prior to 10:00 a.m. if the meteorological and air quality situation that actually unfolds so warrants it.
(3) A conditional permissive-burn day may be declared in the North Section of the Air Basin during the months of November through February for the burning of almond and walnut prunings (from not more than 300 acres of orchard in each county) following three or more consecutive no-burn days, provided that two of the three criteria set forth in section 80260(b) for permissive-burn days are met, and provided further that the state board determines that under expected meteorological conditions the burning of such prunings will not have an adverse effect on air quality.

---------
*In place of the standard 3,000 feet msl level, the elevation may be specified in increments of 500 feet on a day-to-day basis as determined from vertical temperature soundings.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of subsection (e)(3) filed 9-2-92; operative 9-2-92 (Register 92, No. 36).
2. Amendment of subsections (c) and (d)(1)(A)-(B), repealer of subsections (e)(1)-(2), subsection renumbering, and amendment of newly designated subsection (e)(3) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80270. Great Basin Valleys Air Basin.
Note     •     History

(a) A permissive-burn day will be declared when the following criteria are met:
(1) Near 4:00 a.m., the mean 500 mb height over the Basin is less than the limiting mean height given in Table 2 of section 80320. 
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 2 of section 80320.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(1)-(2) and repealer of subsection (b) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80280. Salton Sea Air Basin.
Note     •     History

(a) For the Salton Sea Air Basin and that portion of the San Diego Air Basin which lies east of a line beginning at the U.S.-Mexico border and running north along the range line common to R. 7 E and R. 6 E, San Bernardino Base and Meridian; to the southeast corner of T. 16 S, R. 6 E; then west along the township line common to T. 16 S and T. 17 S to the southwest corner of T. 16 S, R. 6 E; then north along the range line common to R. 6 E and R. 5 E to the southeast corner of T. 14 S, R. 5 E; then west along the township line common to T. 14 S and T. 15 S to the point of intersection with the east boundary of Cuyamaca Park; then north along the east boundary of Cuyamaca Park to the point of intersection with the range line common to R. 5 E and R. 4 E; then north along this range line to the point of intersection with the south boundary of the San Felipe Land Grant; then east and north along the land grant boundary to the easternmost corner; then continuing west and north along the land grant boundary to the point of intersection with the range line common to R. 5 E and R 4 E; then north along this range line to the point of intersection with the township line common to T. 10 S and T. 9 S; then west along this township line to the point of intersection with the range line common to R. 4 E and R. 3 E; then north along this range line to the San Diego-Riverside County boundary.
(b) A permissive-burn day will be declared when at least three of the following criteria are met:
(1) Near the time of day when the surface temperature is at a minimum, the temperature at 3,000 feet above the surface is not warmer than the surface temperature by more than 13 degrees Fahrenheit.
(2) The expected temperature at 3,000 feet above the surface is colder than the expected surface temperature by at least 11 degrees Fahrenheit for 4 hours.
(3) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour. 
(4) The expected daytime wind direction in the mixing layer is not southeasterly.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of section heading filed 4-8-97; operative 5-8-97 (Register 97, No. 15).
2. Amendment filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80290. Mountain Counties Air Basin.
Note     •     History

(a) A permissive-burn day will be declared when the following criteria are met:
(1) Near 4:00 a.m., the mean 500 mb height over the Basin is less than the limiting mean height given in Table 1 of section 80320.
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 1 of section 80320.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Repealer of first paragraph filed 9-2-92; operative 9-2-92 (Register 92, No. 36).
2. Amendment of subsections (a)(1)-(2) and repealer of subsection (b) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80300. Lake County Air Basin.
Note     •     History

(a) A permissive-burn day will be declared when the following criteria are met:
(1) Near the time of day when the surface temperature is at a minimum, the temperature at 3,000 feet above the surface is not warmer than the surface temperature by more than 10 degrees Fahrenheit, except that during July through November it is not warmer by more than 18 degrees Fahrenheit.
(2) The expected daytime temperature at 3,000 feet above the surface is colder than the expected surface temperature by at least 11 degrees Fahrenheit for 4 hours.
(3) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Repealer of subsection (b) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80310. Lake Tahoe Air Basin.
Note     •     History

(a) A permissive-burn day will be declared when the following criteria are met:
(1) Near 4:00 a.m., the mean 500 mb height over the Basin is less than the limiting mean height given in Table 3 of section 80320.
(2) The expected 4:00 p.m. mean 500 mb height over the Basin is less than the limiting mean height given in Table 3 of section 80320.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of subsections (a)(1)-(2) and repealer of subsection (b) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80311. Mojave Desert Air Basin.
Note     •     History

(a) A permissive-burn day will be declared when the following criteria are met:
(1) Near the time of day when the surface temperature is at a minimum, the temperature at 3,000 feet above the surface is not warmer than the surface temperature by more than 13 degrees Fahrenheit.
(2) The expected temperature at 3,000 feet above the surface is colder than the expected surface temperature by at least 11 degrees Fahrenheit for 4 hours.
(3) The expected daytime wind speed at 3,000 feet above the surface is at least 5 miles per hour.
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. New section filed 4-8-97; operative 5-8-97 (Register 97, No. 15).
2. Repealer of subsection (b) filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80320. Tables Referred to in Articles 2 and 3.
Note     •     History

Limiting Mean 500-Millibar Heights* by Month

Month	Table 1*	Table 2*	Table 3* 

January	 5710*	 5750*	 5630*

February	5710	5740	5620

March	5710	5740	5630

April	5720	5760	5660

May	5770	5800	5710

June	5820 	5850 	5780

July 	5850 	5880 	5830

August 	5870 	5880 	5840

September 	5850 	5870 	5810

October 	5820 	5850 	5760

November 	5770 	5810 	5700

December 	5730 	5780 	5630
* All heights in meters. 

Agricultural Burn Meteorological Factors 

(Sacramento Valley Air Basin)

	Table 4	Table 5

	A.M. STABILITY	WIND SPEED

oF	M.F.	MPH	M.F.

.17	0.0	0 to 2	0.0

15 or 16	0.1	3	0.1

13 or 14	0.2	4	0.2

	Table 4	Table 5

	A.M. STABILITY	WIND SPEED

11 or 12	0.3	5	0.3

9 or 10	0.4	6	0.4

7 or 8	0.5	7	0.5

5 or 6	0.6	8	0.6

3 or 4	0.7	9	0.7

1 or 2	0.8	10	0.8

0 or (-1)	0.9	11	0.9

v(-2)	1.0	.12	1.0
The basinwide meteorological factor (B.M.F.) is equal to the arithmetic mean of the meteorological factors (M.F.) from Tables 4 and 5.
A.M. Stability: 3,000-foot temperature (a.m.) (oF) minus surface minimum temperature (oF).
Wind Speed: Surface to 3,000 feet average wind speed (mph).
NOTE

Authority cited: Sections 39600, 39601, 41856 and 41859, Health and Safety Code. Reference: Sections 41855, 41856, 41857 and 41859, Health and Safety Code.
HISTORY

1. Amendment filed 9-30-83; effective thirtieth day thereafter (Register 83, No. 40).
2. Amendment filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
§80330. General Criteria for Announcement of Permissive Burn, Marginal Burn or No-Burn Day.
Note     •     History

Notwithstanding the criteria listed in the preceding for each air basin, the Air Resources Board may announce permissive-burn, marginal burn, or no-burn days based on expected meteorological conditions and on the estimated effect on air quality of the agricultural burning and prescribed burning. 
NOTE

Authority cited: Sections 39600, 41856 and 41859, Health and Safety Code. Reference: Sections 41854, 41855, 41856, 41857, 41859 and 41863, Health and Safety Code.
HISTORY

1. Amendment of section heading and section filed 3-14-2001; operative 3-14-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 11).
Subchapter 2.5. Compliance Schedule Regarding Visible Emissions from Specified Vessels
§85000. Compliance Schedule for United States Navy Vessels.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 41704.5, Health and Safety Code. Reference: Sections 41701, 41704(j), 41704(k) and 41704.5, Health and Safety Code.
HISTORY

1. New subchapter 2.5 (Section 85000) filed 3-1-84; effective thirtieth day thereafter (Register 84, No. 9).
2. Change without regulatory effect repealing subchapter 2.5 (section 85000) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Subchapter 2.6 Air Pollution Control District Rules
§86000. Amendments to New and Modified Stationary Source Review Rules for San Joaquin, Stanislaus, Merced, Madera, Fresno, Tulare, Kings and Kern County Air Pollution Control Districts.
Note     •     History

NOTE

Authority cited: Sections 39002, 29600, 39601, 41502 and 40504, Health and Safety Code. Reference: Sections 40001, 41500, 40504 and 41505, Health  and Safety Code; and Avco Community Developers, Inc. v. South Coast Regional Com. (1976) 17 Cal.3d 785.
HISTORY

1. New section filed 10-10-89 as an emergency; operative 10-10-89 (Register 89, No. 43). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 2-7-90.
2. Certificate of Compliance filed 10-23-89 (Register 89, No. 43).
3. Change without regulatory effect repealing subchapter 2.6 (section 86000) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Subchapter 2.7. Large Confined Animal Facilities
§86500. Large Confined Animal Facility.
Note     •     History

A large confined animal facility shall mean:
(a) In any area designated as a federal ozone nonattainment area as of January 1, 2004, any confined animal facility that maintains on any one day:
(1) 1,000 or more milk-producing dairy cows;
(2) 3,500 or more beef cattle;
(3) 7,500 or more calves, heifers, or other cattle;
(4) 100,000 or more turkeys;
(5) 650,000 or more chickens other than laying hens
(6) 650,000 or more laying hens 
(7) 3,000 or more swine;
(8) 15,000 or more sheep, lambs, or goats;
(9) 2,500 or more horses;
(10) 650,000 or more ducks; or
(11) 30,000 or more rabbits or other animals.
(b) In any area other than an area described in subsection (a) above, any confined animal facility that maintains on any one day:
(1) 2,000 or more milk-producing dairy cows;
(2) 7,000 or more beef cattle;
(3) 15,000 or more calves, heifers, or other cattle;
(4) 200,000 or more turkeys;
(5) 1,300,000 or more chickens other than laying hens
(6) 1,300,000 or more laying hens
(7) 6,000 or more swine;
(8) 30,000 or more sheep, lambs, or goats;
(9) 5,000 or more horses;
(10) 1,300,000 or more ducks; or
(11) 60,000 or more rabbits or other animals.
NOTE

Authority cited: Sections 39600, 39601 and 40724.6, Health and Safety Code. Reference: Sections 39011.5 and 40724.6, Health and Safety Code.
HISTORY

1. New subchapter 2.7 (sections 86500-86501) section filed 5-22-2006; operative 6-21-2006 (Register 2006, No. 21).
§86501. Recordkeeping and Reporting Requirements.
Note     •     History

Beginning July 1, 2006, the owner or operator of a large confined animal facility under Section 86500 shall be required to keep records that specify the numbers of animals maintained daily and such other information as may be required by air pollution control district or air quality management district rules. Such records shall be maintained at a central place of business for a period of not less than three years and shall be made available upon request to the Executive Officer or Air Pollution Control Officer or their representative.
NOTE

Authority cited: Sections 39600, 39601 and 40724.6, Health and Safety Code. Reference: Sections 39011.5 and 40724.6, Health and Safety Code.
HISTORY

1. New section filed 5-22-2006; operative 6-21-2006 (Register 2006, No. 21).
Subchapter 3. Subventions
Article 1. General Provisions
§90050. Scope and Purpose.
Note     •     History

The regulations set forth in this subchapter shall supplement provisions in the Mulford-Carrell Air Resources Act (Division 26 of the Health and Safety Code), particularly Part 2, Chapter 5 (Sections 39800 et seq. ) and Part 1, Chapter 2 (Sections 39010 et seq., “Definitions”) with regard to the air pollution control subvention program.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39801-39804, Health and Safety Code.
HISTORY

1. Repealer of Subchapter 3 (Articles 1-5, Sections 90100-90500, not consecutive) and new Subchapter 3 (Articles 1-4, Sections 90050-90500, not consecutive) filed 2-16-83; effective thirtieth day thereafter (Register 83, No. 8). For prior history, see Registers 81, No. 29; 80, No. 39; 80, No. 18; 77, No. 13 and 74, No. 47.
§90100. Definitions.
Note

(a) “Air pollution control program” means the aggregate of all of the activities within a district or in support of a district's effort to control air pollution and to fulfill its obligations under the law.
(b) “Basinwide air pollution control plan” means the plan prepared and submitted by the control council of each air basin, or, where one district includes an entire air basin, by such district, as approved by the Air Resources Board pursuant to Section 41500, 41600, or 41602 of the Health and Safety Code.
(c) “Control Council” means a basinwide air pollution control council established pursuant to Section 40900 of the Health and Safety Code.
(d) “Dollars budgeted” means monies derived from revenue sources within a district for use in the district's air pollution control program as shown in the district's adopted budget and subvention application.
(e) “Executive Officer” means the executive officer of the Air Resources Board, or his or her delegate.
(f) “Fiscal year” means the 12-month period from July 1 of one year through June 30 of the following year.
(g) “Implementation program” means a district's program to implement the basinwide air pollution control plan.
(h) “Quarter” means any three month period ending March 31, June 30, September 30, or December 31.
(i) “Quorum” means
(1) more than one-half of the total membership; or
(2) one-half of the total membership if all the districts in the basin have agreed by formal resolution to abide by the actions of such a quorum; such resolutions may specify that such actions must be unanimous.
(j) “Subvention year” means the fiscal year for which a subvention is to apply.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39516, 39800 and 39801, Health and Safety Code.
§90110. Types of Subventions.
Note     •     History

(a) “Coordinated subvention” means a subvention authorized by Section 39802 of the Health and Safety Code. Such a subvention may be granted to a district participating in a coordinated basinwide program. A district satisfying either of the following conditions will be considered to be participating in a coordinated basinwide program, provided that when a district lies in more than one air basin, only the portion(s) of the district which satisfies either of these conditions shall be considered to be participating in such a program.
(1) A district which includes an entire air basin.
(2) Two or more districts which together include an entire air basin, and which meet the following requirements:
(A) The rules and regulations except for administrative procedures are uniform among all districts and are consistent with the approved nonattainment plan for each district's area. For any air basin where the control council has determined that identical rules and regulations throughout the entire air basin are not necessary for uniformity, the control council may divide the air basin into zones within which equivalent rules and regulations will be required. For the purposes of this subsection, equivalent rules and regulations means rules and regulations which effect the same degree of control. In establishing such zones, the control council shall consider topography, meteorology, population distribution, and air quality;
(B) The control council shall meet as often as necessary for the transaction of business, but not less than once per quarter except as provided for below. The control council of any air basin consisting solely of districts in the rural category may establish an equivalent procedure for basinwide consideration of policy matters and shall meet within 30 days after it has been requested to meet by the executive officer or by a member of the council. For the purposes of this Subdivision a quorum must be present in order to constitute a meeting. Copies of the minutes of each meeting shall be submitted to the executive officer within 30 days after the date of the meeting; and
(C) The districts shall be parties to one joint powers agreement or other enforceable agreement acceptable to the executive officer. The agreement shall specifically provide for the following:
1. The sharing of qualified air pollution personnel and equipment in a manner which results in the effective use of the basin wide resources and ensures that all districts in the air basin will maintain a program satisfying the applicable evaluation criteria. Such sharing shall be subject to a method for compensation for the cost of shared personnel and equipment mutually agreed on by the districts. Nothing in this subchapter shall preclude the payment by a district of subvention funds as compensation to other districts to cover costs of shared personnel or equipment use. Subvention funds received by a district under such agreements or contracts, however, may not be counted as matching funds in computing the district's subvention;
2. Interdistrict coordination of activities including enforcement; air monitoring; engineering; and, if required by the State Implementation Plan, traffic and land use planning; and
3. Implementation of the State Air Pollution Emergency plan, where applicable.
(b) “Individual subvention” means a subvention authorized by Section 39803 of the Health and Safety Code. 
(c) “Special subvention” means a subvention authorized by Section 39804 of the Health and Safety Code. Such a subvention may be granted to a district participating in a coordinated basinwide program as described in subsection (a) of this section and lying in an air basin whose population is less than 98,000. If the funding limit specified in Section 39804 of the Health and Safety Code is increased pursuant to Section 39805 of the Health and Safety Code, the per capita funds budgeted by each district necessary to qualify for a special subvention shall be increased by the same proportion. The sum of the special subventions for which the districts in an air basin shall be eligible shall not exceed the amount equal to the difference between (1) the current maximum special subvention funding limit, established by Section 39804 of the Health and Safety Code or pursuant to Section 39805 of the Health and Safety Code, and (2) the current special subvention per capita rate, established by Section 39804 of the Health and Safety Code or pursuant to this subsection, multiplied by the basin population. The sum of the special subventions in an air basin shall be prorated according to population among the districts in the air basin.
(d) “Supplemental subvention” means a subvention authorized by Section 39810 of the Health and Safety Code. Dollars budgeted by the district which are needed to qualify for a coordinated, individual, or special subvention, may not be used to qualify for a supplemental subvention. A supplemental subvention shall not be approved for any district which has not, for the same fiscal year, been granted a coordinated, individual, or special subvention.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39801-39804 and 39810, Health and Safety Code.
HISTORY

1. Amendment of Subsection (c) filed 9-8-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 37).
§90115. Evaluation Criteria.
Note     •     History

The state board staff shall develop in cooperation with the districts and the state board shall adopt evaluation criteria for each category established in Section 90120 which are appropriate to determine, in accordance with Section 39806 of the Health and Safety Code, whether districts are engaged in the reduction of air contaminants pursuant to the basinwide air pollution control plan and related implementation programs. The evaluation criteria are set forth in the Air Resources Board's “Evaluation Criteria for Air Pollution Control Districts Participating in the Subvention Program,” adopted on April 23, 1981, and amended May 27, 1983. Revisions to the evaluation criteria shall be considered by the state board when the state board or the executive officer determines that revisions are appropriate, or when an air basin control council or a district which includes an entire air basin makes a request for revisions to the state board. When such a request is made by a basin control council or district, the state board shall hold a public hearing not later than April of the next calendar year to consider the proposed revisions to the evaluation criteria.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39801 and 39806, Health and Safety Code.
HISTORY

1. New section filed 2-16-83; effective thirtieth day thereafter (Register 83, No. 8). For prior history, see Register 81, No. 29.
2. Amendment filed 9-8-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 37).
3. Amendment filed 6-1-84; effective thirtieth day thereafter (Register 84, No. 22).
§90120. District Categories.
Note     •     History

The state board shall classify districts by the following categories for the purpose of establishing evaluation criteria based on the factors set forth in Section 39806(b) of the Health and Safety Code.
(a) “Large urban districts”;
(b) “Small urban districts”;
(c) “Rural resource districts”;
(d) “Rural agricultural districts.”
The district classifications by category are set forth in the Air Resources Board's “District Subvention Categories” adopted July 26, 1982, as last amended on May 24, 1984, and shall be reviewed by the Board only upon petition of a district, ARB staff, or interested person.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39801 and 39806, Health and Safety Code.
HISTORY

1. Amendment filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
Article 2. Application Procedures
§90200. Subvention Application.
Note

(a) An application for a coordinated, individual, or special subvention shall be submitted to the executive officer on forms approved by the executive officer, in accordance with this subsection.
(1) An application shall include a copy of the district's adopted budget.
(2) Estimates of the subvention to which the district is entitled shall be based on population data, as of January 1 of the fiscal year preceding the subvention year, compiled by the Department of Finance in compliance with Section 2227 of the Revenue and Taxation Code.
(3) The application must be received by the Air Resources Board or postmarked between May 1 of the preceding subvention year and September 30.
(4) A district may revise or amend its application at any time prior to June 30 of the subvention year.
(5) A district submitting an application for a coordinated or a special subvention shall, when such a district is in an air basin comprising two or more districts, submit a copy of its application to the control council.
(b) An application for a supplemental subvention shall be submitted to the executive officer on forms approved by the executive officer and shall contain the following information:
(1) The proposed expenditures related to the supplemental subvention;
(2) A detailed explanation of the purpose of the requested supplemental subvention, and the benefits which are expected to result; and
(3) The length of time required to complete the work proposed, and the total cost of the project.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39801-39804, 39806 and 39810, Health and Safety Code.
Article 3. Application Processing, Disbursements, and Reports
§90300. Application Processing.
Note

(a) The executive officer shall acknowledge receipt of all subvention applications, including revisions, within 30 days.
(b) The executive officer shall approve or disapprove all complete applications by November 15. Approval shall only be granted insofar as funds are available.
(c) Application approval shall be based on the district's adopted budget and program.
(d) A district's application may be disapproved by the executive officer if after consulting with the district it is found that:
(1) The district does not propose a program sufficient to meet the applicable evaluation criteria adopted pursuant to Section 90115; or 
(2) The district is not operating a program sufficient to meet the applicable evaluation criteria adopted pursuant to Section 90115.
(e) If an application is disapproved, the executive officer shall state the reason(s) in writing to the district within 15 days of the disapproval.
(f) The executive officer shall not approve an application for a special subvention unless the joint powers agreement or other enforceable agreement required pursuant to Section 90110(a)(2)(c) has been received.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39801-39804, 39806 and 39810, Health and Safety Code.
§90360. Disbursement of Funds.
Note

Each subvention is to be disbursed in accordance with the following:
(a) Upon annual appropriation by the Legislature the executive officer shall request the State Controller to disburse one half (1/2) of the appropriate subvention as estimated by the executive officer.
(b) Districts which are unable to submit a complete subvention application to the executive officer by June 30 of a given year may submit a disbursement request on a form approved by the executive officer by June 30 of the same year. Upon approval of the executive officer, he or she shall request disbursement as described in Section 90360(a).
(c) Six months after Legislative appropriation the executive officer shall request the State Controller to disburse the remainder of the approved subvention unless, after review of the district's program, the executive officer finds that the district is not engaged in a program to meet the applicable evaluation criteria adopted pursuant to Section 90115, for reasons that are not expected to be easily resolved, and invokes the provisions of Health and Safety Code Sections 39806 and 39806.5, or the executive director invokes the provisions of Health and Safety Code Section 39608 or Section 90380 of this article.
(d) All subvention funds not expended or encumbered by the district during the subvention year shall be returned to the Air Resources Board and such funds shall revert to the State General Fund.
(e) A county district shall maintain a separate account for receipts, expenditures, and funding of the district in accordance with accounting procedures acceptable to the State Controller's Office.
(f) In the event that the subventions requested exceed the total allocation that is available, the executive officer shall prorate available funds among all the districts.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39801, 39806 and 39811, Health and Safety Code.
§90370. District Reporting Requirements.
Note

A district receiving a subvention shall:
(a) Notify the executive officer when the district determines that it will be unable to accomplish the applicable evaluation criteria set forth in Section 90115. The notification shall be in writing within 30 days after the district makes such determination.
(b) Submit by August 15 following the subvention year, a final report to the executive officer on forms approved by the executive officer covering the subvention year.
(c) If applicable, submit a supplemental subvention final report to the executive officer on forms approved by the executive officer covering the period for which the supplemental subvention has been approved.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39605, 39801 and 39806, Health and Safety Code.
§90380. Reduction of Coordinated or Special Subvention.
Note     •     History

The executive officer may reduce a coordinated subvention or a special subvention to an individual subvention if it is found that the provisions of Section 90110(a) for a coordinated basinwide program are no longer being carried out.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39605, 39801, 39806, 39806.5 and 39808, Health and Safety Code.
HISTORY

1. Editorial correction filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
Article 4. Appeals
§90500. Appeal Procedures.
Note

(a) Review of any decision of the executive officer made pursuant to the provisions of this Subchapter may be requested by filing a petition with the state board within thirty (30) days of the date upon which the district was notified of such decision.
(b) The state board shall hold a public hearing at its first regularly scheduled board meeting at least 60 days after receiving a petition as provided for by subdivision (a) of this section.
(c) Notification of the public hearing shall be given to the district and to the appropriate control council at least forty-five (45) days before such a public hearing.
(d) The executive officer, district representatives, and any interested persons may comment on the district's appeal at such a public hearing.
NOTE

Authority cited: Sections 39600, 39601 and 39801, Health and Safety Code. Reference: Sections 39515, 39605, 39801, 39806.5 and 39808, Health and Safety Code.
Subchapter 3.5. Acid Deposition Fee Program
Article 1. Fee Program to Be Implemented by Air Pollution Control Districts and Air Quality Management Districts for Fiscal Year 1983-1984
§90600. General Requirements.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New Subchapter 3.5 (Article 1, Sections 90600-90603) filed 10-27-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 44).
2. Change without regulatory effect repealing subchapter 3.5, article1 (sections 90600-90603) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90601. Fee Revenues.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90602. Administrative Costs and Billing Information.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90603. Exemption.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Article 2. Fee Program to Be Implemented by Air Pollution Control Districts and Air Quality Management Districts for Fiscal Year 1984-1985
§90604. General Requirements.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New Article 2 (Sections 90604-90607) filed 11-21-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 47).
2. Change without regulatory effect repealing article 2 (sections 90604-90607) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90605. Fee Revenues.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90606. Administrative Costs and Billing Information.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90607. Exemption.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Article 3. Fee Program to Be Implemented by Air Pollution Control Districts and Air Quality Management Districts for Fiscal Year 1985-1986
§90608. General Requirements.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New Article 3 (Sections 90608-90611) filed 11-18-85; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 85, No. 47).
2. Change without regulatory effect repealing article 3 (sections 90608-90611) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90609. Fee Revenues.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90610. Administrative Costs and Billing Information.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90611. Exemption.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Article 4. Fee Program to Be Implemented by Air Pollution Control Districts and Air Quality Management Districts for Fiscal Year 1986-1987
§90612. General Requirements.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New Article 4 (Sections 90612-90615) filed 10-29-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 44).
2. Change without regulatory effect repealing article 4 (sections 90612-90615) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90613. Fee Revenues.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New section filed 10-29-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 44).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90614. Administrative Costs and Billing Information:
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New section filed 10-29-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 44).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90615. Exemption.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New section filed 10-29-86; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 86, No. 44).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Article 5. Fee Program to Be Implemented by Air Pollution Control Districts and Air Quality Management Districts for Fiscal Year 1987-88
§90616. General Requirements.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New section filed 12-11-87; operative 12-11-87 (Register 87, No. 51).
2. Change without regulatory effect repealing article 5 (sections 90616-90619) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90617. Fee Revenues.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New section filed 12-11-87; operative 12-11-87 (Register 87, No. 51).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90618. Administrative Costs and Billing Information.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New section filed 12-11-87; operative 12-11-87 (Register 87, No. 51).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90619. Exemption.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39910, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39910-39914, Health and Safety Code.
HISTORY

1. New section filed 12-11-87; operative 12-11-87 (Register 87, No. 51).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Article 6. Fee Requirements to Be Implemented by Air Pollution Control Districts and Air Quality Management Districts for the Atmospheric Acidity Protection Act Program
§90620. General Requirements.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed 12-7-89; operative 12-7-89 (Register 89, No. 51).
2. Amendment filed 3-6-91; operative 3-6-91 (Register 91, No. 14).
3. Amendment filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
4. Change without regulatory effect repealing article 6 (sections 90620-90623) and section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90621. Fee Revenues for Fiscal Year 1989-90.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed 12-7-89; operative 12-7-89 (Register 89, No. 51).
2. Amendment filed 3-6-91; operative 3-6-91 (Register 91, No. 14).
3. Editorial correction of printing error in subsections (a)(1) and (a)(13) (Register 91, No. 30).
4. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90621.1. Fee Requirements for Fiscal Year 1990-91.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600, and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed 3-6-91; operative 3-6-91 (Register 91, No. 14).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90621.2. Fee Requirements for Fiscal Year 1991-92.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90621.3. Fee Requirements for Fiscal Year 1992-93.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed 9-10-92; operative 9-10-92 (Register 92, No. 37).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90621.4. Fee Requirements for Fiscal Year 1993-94.
Note     •     History

NOTE

Authority cited: Section 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600, and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed  7-8-93; operative 7-8-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 28).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90622. Fee Payment and Collection.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed 12-7-89; operative 12-7-89 (Register 89, No. 51). 
2. Amendment of section heading and new subsections (c), (d) and (e) filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
3. Editorial correction of printing error in subsection (a) (Register 92, No. 12).
4. Repealer of subsection (e) filed 7-8-93; operative 7-8-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 28).
5. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90623. Exemption.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39904 and 39906, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39904-39910, Health and Safety Code.
HISTORY

1. New section filed 12-7-89; operative 12-7-89 (Register 89, No. 51).
2. Amendment filed 3-6-91; operative 3-6-91 (Register 91, No. 14).
3. Editorial correction of printing error (Register 91, No. 32).
4. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
Subchapter 3.6. Air Toxics “Hot Spots” Fee Regulation
Article 1. General
§90700. Purpose and Mandate.
Note     •     History

(a) This regulation provides for the establishment of fees to pay for the cost of implementing and administering the Air Toxics “Hot Spots” Information and Assessment Act of 1987 (the “Act”; Stats 1987 ch 1252; Health and Safety Code Section 44300 et seq.).
(b) Each district with jurisdiction over facilities meeting the criteria set forth in Section 90702(a) shall annually collect from the operator of each such facility, and each operator shall pay, fees which shall provide for the following:
(1) Recovery of anticipated costs to be incurred by the State Board and the Office to implement and administer the Act, as set forth in Table 1 of this regulation for fiscal year 2001-2002, and as determined by the Executive Officer for subsequent fiscal years, and any costs incurred by the Office or its independent contractor for review of facility risk assessments submitted to the State after March 31, 1995 under Health and Safety Code Section 44361(c).
(2) Recovery of anticipated costs to be incurred by the district to implement and administer the Act, including but not limited to the cost incurred to: review emission inventory plans, review emission inventory data, review risk assessments, verify plans and data, and administer this regulation and the Air Toxics “Hot Spots” program.
(c) Beginning in fiscal year 2002-2003, the ARB staff will prepare an annual status report that will summarize the State program costs, the Board activities supported by the fees, and the district costs. This report will be sent to the members of the Air Resources Board and the air pollution control and air quality management districts and will be made available to the public 90 days after the Executive Officer has determined the fees for the applicable fiscal year.
NOTE

Authority cited: Sections 39600, 39601 and 44380, Health and Safety Code. Reference: Sections 44320, 44361, and 44380, Health and Safety Code.
HISTORY

1. New section filed 12-15-88; operative 12-15-88 (Register 88, No. 52).
2. Amendment of section heading, subsection (a), and NOTE and adoption of subsection (b) filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
3. Amendment of subsections (a), (b)(1)-(2) and Note filed 6-28-94; operative 6-28-94 (Register 94, No. 26).
4. Amendment of subsection (a) filed 6-6-95; operative 6-6-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 23).
5. Amendment of subsection (b)(1) and Note filed 6-28-96; operative 6-28-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 26).
6. Amendment of subsection (b) filed 4-22-97; operative 4-22-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 17).
7. Amendment of subsection (b)(1) and new subsection (c) filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).
§90701. Definitions.
Note     •     History

(a) “Air pollution control district” or “district” has the same meaning as defined in Section 39025 of the Health and Safety Code.
(b) “Criteria pollutant” means, for purposes of this regulation, total organic gases, particulate matter, nitrogen oxides or sulfur oxides.
(c) “District Update Facility” means a facility
(1) that has been prioritized by its district in accordance with Health and Safety Code Section 44360(a) using procedures that have undergone public review and that are consistent with the procedures presented in the California Air Pollution Control Officers Association (CAPCOA) “Air Toxics `Hot Spots' Program Facility Prioritization Guidelines, July 1990”, which has been approved by the State Board and which is incorporated by reference herein, and
(2) that is required by the district to submit a quadrennial emissions inventory update pursuant to Health and Safety Code Section 44344 during the applicable fiscal year, and
(3) whose prioritization scores for cancer and non-cancer health effects are both greater than 1.0 and equal to or less than 10.0.
(d) “Facility” has the same meaning as defined in Section 44304 of the Health and Safety Code.
(e) “Facility Data List” means a list of facilities, including the information set forth in Section 90704(f)(3).
(f) “Facility Program Category” means a grouping of facilities meeting the definitions in Sections 90701(k), (l), (m), (n), (o), (p), (q), (r), (s), (t), (u), (v), (w), (x), (y), (z), (ae), (ah), (ai), (aj), (ak), (al), (am), (an), or (ao).
(g) “Guidelines Report” (Air Toxics Hot Spots Emission Inventory Criteria and Guidelines Report) is the report incorporated by reference under Section 93300.5 of this title that contains regulatory requirements for the Air Toxics Hot Spots Emission Inventory Program.
(h) “Industrywide Facility” means a facility that qualifies to be included in an industrywide emission inventory prepared by an air pollution control district pursuant to Health and Safety Code Section 44323, or an individual facility which emits less than 10 tons per year of each criteria pollutant, falls within a class composed of primarily small businesses, and whose emissions inventory report was prepared by the air pollution control district.
(i) “Office” means the Office of Environmental Health Hazard Assessment.
(j) “Operator” has the same meaning as defined in Section 44307 of the Health and Safety Code.
(k) “Prioritization Score Greater Than Ten (10.0) Facility” means a facility that does not have an approved health risk assessment and has been prioritized by its district in accordance with Health and Safety Code Section 44360(a) using procedures that have undergone public review and that are consistent with the procedures presented in the California Air Pollution Control Officers Association (CAPCOA) “Air Toxics `Hot Spots' Program Facility Prioritization Guidelines, July 1990”, which has been approved by the State Board and is incorporated by reference herein, and the greater of the facility's prioritization scores for cancer and non-cancer effects is greater than 10.0.
(l) “Prioritization Score Greater Than Ten (10.0) Facility (Complex)” means a facility that meets the criteria set forth in Section 90701(k), and has more than five processes as determined by six-digit Source Classification Codes (SCC).
(m) “Prioritization Score Greater Than Ten (10.0) Facility (Medium)” means a facility that meets the criteria set forth in Section 90701(k), and has three to five processes as determined by six-digit SCC.
(n) “Prioritization Score Greater Than Ten (10.0) Facility (Simple)” means a facility that meets the criteria set forth in Section 90701(k), and has one or two processes as determined by six-digit SCC.
(o) “Risk of 10.0 to Less Than 50.0 Per Million Facility” means a facility that has had its health risk assessment approved by the district in accordance with Health and Safety Code Section 44362 and whose risk assessment results meet either of the following criteria:
(1) a total potential cancer risk, summed across all pathways of exposure and all compounds, of greater than or equal to 10.0 but less than 50.0 cases per million persons or,
(2) a total hazard index for each toxicological endpoint, either acute or chronic, of greater than 1.0 and a total potential cancer risk, summed across all pathways of exposure and all compounds, of less than 50.0.
(p) “Risk of 10.0 to Less Than 50.0 Per Million Facility (Complex)” means a facility that meets the criteria set forth in Section 90701(o), and has more than five processes as determined by six-digit Source Classification Codes (SCC).
(q) “Risk of 10.0 to Less Than 50.0 Per Million Facility (Medium)” means a facility that meets the criteria set forth in Section 90701(o), and has three to five processes as determined by six-digit SCC.
(r) “Risk of 10.0 to Less Than 50.0 Per Million Facility (Simple)” means a facility that meets the criteria set forth in Section 90701(o), and has one or two processes as determined by six-digit SCC.
(s) “Risk of 50.0 to Less Than 100.0 Per Million Facility” means a facility that has had its health risk assessment approved by the district in accordance with Health and Safety Code Section 44362 and whose risk assessment results show a total potential cancer risk across all pathways of exposure and all compounds, of greater than or equal to 50.0, but less than 100.0 cases per million persons.
(t) “Risk of 50.0 to Less Than 100.0 Per Million Facility (Complex)” means a facility that meets the criteria set forth in Section 90701(s), and has more than five processes as determined by six-digit Source Classification Codes (SCC).
(u) “Risk of 50.0 to Less Than 100.0 Per Million Facility (Medium)” means a facility that meets the criteria set forth in Section 90701(s), and has three to five processes as determined by six-digit SCC.
(v) “Risk of 50.0 to Less Than 100.0 Per Million Facility (Simple)” means a facility that meets the criteria set forth in Section 90701(s), and has one or two processes as determined by six-digit SCC.
(w) “Risk of 100.0 Per Million or Greater Facility” means a facility that has had its health risk assessment approved by the district in accordance with Health and Safety Code Section 44362 and whose risk assessment results show a total potential cancer risk, summed across all pathways of exposure and all compounds, of greater than or equal to 100.0 cases per million persons.
(x) “Risk of 100.0 Per Million or Greater Facility (Complex)” means a facility that meets the criteria set forth in Section 90701(w), and has more than five processes as determined by six-digit Source Classification Codes (SCC).
(y) “Risk of 100.0 Per Million or Greater Facility (Medium)” means a facility that meets the criteria set forth in Section 90701(w), and has three to five processes as determined by six-digit SCC.
(z) “Risk of 100.0 Per Million or Greater Facility (Simple)” means a facility that meets the criteria set forth in Section 90701(w), and has one or two processes as determined by six-digit SCC.
(aa) “Small Business” for the purposes of Section 90704(h)(2) means a facility which is independently owned and operated and has met all of the following criteria in the preceding year: 1) the facility has 10 or fewer (annual full-time equivalence) employees; 2) the facility's total annual gross receipts are less than $1,000,000; and 3) the total annual gross receipts for the California operations the facility is part of are less than $5,000,000. All oil producers in the San Joaquin Valley Unified Air Pollution Control District will be judged by the criteria of San Joaquin Valley Unified Air Pollution Control District Rule 2201, subsections 3.29.1 - 3.29.3 (Operative June 15, 1995) to determine overall facility size and boundaries for purposes of qualifying as a small business.
(ab) “Source Classification Codes” or “SCC” means number codes created by the United States Environmental Protection Agency used to identify processes associated with point sources that contribute emissions to the atmosphere.
(ac) “Standard Industrial Classification Code” or “SIC Code” means the Standard Industrial Classification Code which classifies establishments by the type of business activity in which they are engaged, as defined by the Standard Industrial Classification Manual, 1987, published by the Executive Office of the President, Office of Management and Budget, 1987, which is incorporated by reference herein.
(ad) “State costs” means the reasonable anticipated cost which will be incurred by the State Board and the Office to implement and administer the Act, as shown in Table 1 of this part.
(ae) “State Industrywide Facility” means a facility that (1) qualifies to be included in an industrywide emission inventory prepared by an air pollution control or air quality management district pursuant to Health and Safety Code Section 44323, (2) releases, or has the potential to release, less than ten tons per year of each criteria pollutant, and (3) is either of the following:
(A) a facility in one of the following four classes of facilities: autobody shops, as described by SIC Codes 5511-5521 or 7532; gasoline stations, as described by SIC Code 5541; dry cleaners, as described by SIC Code 7216; and printing and publishing, as described by SIC Codes 2711-2771 or 2782; or
(B) a facility that has not prepared an Individual Plan and Report in accordance with Sections 44340, 44341, and 44344 of the Health and Safety Code and for which the district submits documentation for approval by the Executive Officer of the State Board, verifying that the facility meets the requirements of Health and Safety Code Section 44323(a)-(d).
(af) “Supplemental Fee” means the fee charged to cover the costs of the district to review a health risk assessment containing supplemental information which was prepared in accordance with the provisions of Section 44360(b)(3) of the Health and Safety Code.
(ag) “Total organic gases” or “TOG” means all gases containing carbon, except carbon monoxide, carbon dioxide, carbonic acid, metallic carbides or carbonates, and ammonium carbonate.
(ah) “Tracking Facility” means a facility that has been prioritized by its district in accordance with Health and Safety Code Section 44360(a) using procedures that have undergone public review and that are consistent with the procedures presented in the California Air Pollution Control Officers Association (CAPCOA) “Air Toxics `Hot Spots' Program Facility Prioritization Guidelines, July 1990”, which has been approved by the State Board and which is incorporated by reference herein, and the greater of the facility's prioritization scores for cancer and non-cancer health effects is greater than 10.0, and meets either one of the following criteria:
(1) the facility has had its health risk assessment approved by the district in accordance with Health and Safety Code Section 44362 and the risk assessment results show a total potential cancer risk, summed across all pathways of exposure and all compounds, of equal to or greater than 1.0 and less than ten (10) cases per million persons and a total hazard index for each toxicological endpoint, both acute and chronic, of less than or equal to 1.0, or
(2) the facility has had its health risk assessment approved by the district in accordance with Health and Safety Code Section 44362 and the risk assessment results show a total hazard index for each toxicological endpoint, either acute or chronic, of greater than or equal to 0.1, but less than or equal to 1.0, and a total potential cancer risk, summed across all pathways of exposure and all compounds, of less than ten (10) cases per million persons.
(ai) “Tracking Facility (Complex)” means a facility that meets the criteria set forth in Section 90701(ah), and has more than five processes as determined by six-digit Source Classification Codes (SCC).
(aj) “Tracking Facility (Medium)” means a facility that meets the criteria set forth in Section 90701(ah), and has three to five processes as determined by six-digit SCC.
(ak) “Tracking Facility (Simple)” means a facility that meets the criteria set forth in Section 90701(ah), and has one or two processes as determined by six-digit SCC.
(al) “Unprioritized Facility” means a facility that has not been prioritized by its district in accordance with Health and Safety Code Section 44360(a) using procedures that have undergone public review and that are consistent with the procedures presented in the California Air Pollution Control Officers Association (CAPCOA) “Air Toxics `Hot Spots' Program Facility Prioritization Guidelines, July 1990”, which has been approved by the State Board and is incorporated by reference herein.
(am) “Unprioritized Facility (Complex)” means a facility that meets the criteria set forth in Section 90701(al), and has more than five processes as determined by six-digit Source Classification Codes (SCC).
(an) “Unprioritized Facility (Medium)” means a facility that meets the criteria set forth in Section 90701(al), and has three to five processes as determined by six-digit SCC.
(ao) “Unprioritized Facility (Simple)” means a facility that meets the criteria set forth in Section 90701(al), and has one or two processes as determined by six-digit SCC.
(ap) “Executive Officer” means the Executive Officer of the California Air Resources Board.
(aq) “State Facility Fee Rate” means the dollar value of the State fee assessed for each facility in a particular Facility Program Category.
NOTE

Authority cited: Sections 39600, 39601, 44380 and 44380.5, Health and Safety Code. Reference: Sections 44320, 44344.4, 44380 and 44380.5, Health and Safety Code.
HISTORY

1. New section filed 12-15-88; operative 12-15-88 (Register 88, No. 52).
2. Amendment of subsections (c) and (j), and new subsections (k) and (l) filed 3-26-90; operative 4-25-90 (Register 90, No. 17).
3. Amendment of subsection (i) and NOTE and repealer of subsections (k) and (l) filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
4. Amendment of subsection (c) filed 6-23-93; operative 6-23-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 26).
5. Amendment of section and Note filed 6-28-94; operative 6-28-94 (Register 94, No. 26).
6. Amendment filed 6-6-95; operative 6-6-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 23).
7. Amendment of subsections (h), (i), (x), and (ab), new subsections (ad) and (af) and subsection relettering 6-28-96; operative 6-28-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 26).
8. Amendment of section and Note filed 4-22-97; operative 4-22-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 17).
9. Amendment filed 4-17-98; operative 4-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
10. Amendment of subsections (e), (v) and (aa) and new subsections (ap) and (aq) filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).
Article 2. Applicability
§90702. Facilities Covered.
Note     •     History

(a) Except for facilities exempted by Health and Safety Code Section 44324, 44344.4(a), or 44380.1 this regulation applies to any facility which:
(1) manufactures, formulates, uses, or releases any of the substances listed by the State Board pursuant to Health and Safety Code Section 44321 and contained in Appendix A of the Guidelines Report, or any other substance which reacts to form a substance so listed, and releases 10 tons per year or greater of any criteria pollutant, or
(2) is listed in any current toxics use or toxics air emission survey, inventory, or report released or compiled by an air pollution control district and referenced in Appendix A, or
(3) manufactures, formulates, uses or releases any listed substance or any other substance which reacts to form any listed substance, and which releases less than 10 tons per year of each criteria pollutant and falls in any class listed in Appendix E of the Guidelines Report, or
(4) is reinstated under Health and Safety Code Section 44344.7.
(b) On or before July 1 for fiscal year 2001-2002, and September 1 for subsequent fiscal years, each district shall provide to the State Board a list of facilities meeting any one or more of the criteria specified in subdivision (c) and (d) of this section. The list of facilities shall include the facility's name, identification number, and documentation of the exemption or exemptions any facility qualifies for under this section.
(c) A facility shall be excluded from the calculation of the distribution of the State's cost specified in Section 90703(a) if by July 1 for fiscal year 2001-2002, and September 1 for subsequent fiscal years, any one or more of the following criteria is met:
(1) the facility has been prioritized by its district in accordance with Health and Safety Code Section 44360(a) using procedures that have undergone public review and that are consistent with the procedures presented in the California Air Pollution Control Officers Association (CAPCOA) “Air Toxics `Hot Spots' Program Facility Prioritization Guidelines, July 1990”, which has been approved by the State Board and which is incorporated by reference herein, and the facility's prioritization score is less than or equal to 10.0 for cancer health effects and is less than or equal to 10.0 for non-cancer health effects.
(2) the facility has had its health risk assessment approved by the district in accordance with Health and Safety Code Section 44362 and the risk assessment results show a total potential cancer risk, summed across all pathways of exposure and all compounds, of less than one case per one million persons and a total hazard index for each toxicological endpoint, both acute and chronic, of less than 0.1. Some appropriate procedures for determining potential cancer risk and total hazard index are presented in the CAPCOA “Air Toxics `Hot Spots' Program Revised 1992 Risk Assessment Guidelines, October 1993”, which is incorporated by reference herein.
(3) the facility primarily performs printing as described by SIC Codes 2711 through 2771 or 2782, and the facility uses an annualized average of two gallons per day or less (or 17 pounds per day or less) of all graphic arts materials (deducting the amount of any water or acetone) unless a district required a health risk assessment and results show the facility would not qualify under Section 90702(c)(2).
(4) the facility is a wastewater treatment plant as described by SIC Code 4952, the facility does not have a sludge incinerator and the maximum throughput at the facility does not exceed 10,000,000 gallons per day unless a district required a health risk assessment and results show the facility would not qualify under Section 90702(c)(2).
(5) the facility is a crematorium for humans, animals, or pets as described by SIC Code 7261 or any SIC Code that describes a facility using an incinerator to burn biomedical waste (animals), the facility uses propane or natural gas as fuel, and the facility annually cremates no more than 300 cases (human) or 43,200 pounds (human or animal) unless a district required a health risk assessment and results show the facility would not qualify under Section 90702(c)(2). Facilities using incinerators that burn biomedical waste other than cremating animals do not qualify for this exemption.
(6) the facility is primarily a boat building and repair facility or primarily a ship building and repair facility as described by SIC Codes 3731 or 3732, and the facility uses 20 gallons per year or less of coatings or is a coating operation using hand held nonrefillable aerosol cans only unless a district required a health risk assessment and results show the facility would not qualify under Section 90702(c)(2).
(7) the facility is a hospital or veterinary clinic building that is in compliance with the control requirements specified in the Ethylene Oxide Control Measure for Sterilizers and Aerators, section 93108 of this title, and has an annual usage of ethylene oxide of less than 100 pounds per year if it is housed in a single story building, or has an annual usage of ethylene oxide of less than 600 pounds per year if it is housed in a multi-story building unless a district required a health risk assessment and results show the facility would not qualify under Section 90702(c)(2).
(8) the facility was not required to conduct a risk assessment under Health and Safety Code Section 44360(b), and the district, or the facility with the concurrence of the district, has conducted a worst-case, health conservative risk assessment using screening air dispersion modeling criteria set forth in Appendix F of the Guidelines Report and has demonstrated to the satisfaction of the district that the facility's screening risk levels meet the criteria set forth in Section 90702(c)(2).
(d) For fiscal year 2001-2002, a facility shall be excluded from the fee schedule calculated in accordance with Section 90704(e)-(h) and from the fee schedule set forth in Table 3 if (1) it qualifies for exclusion pursuant to subdivision (c) of this section, (2) it is located in a district which has met the requirements of section 90704(b) and (3) the district has requested State Board adoption of a fee schedule. Exclusion from fee schedules under this subdivision does not exempt a facility from any other applicable requirement under this title.
(e) Commencing July 1, 2002, a facility shall be excluded from the fee schedule calculated in accordance with Section 90704(e)-(h) if it qualifies for exclusion pursuant to subdivision (c) of this section as of September 1 of the applicable year, and is located in a district that is recovering district costs pursuant to Section 90704(e)(5).
NOTE

Authority cited: Sections 39600, 39601, 44321, 44344.4, 44344.7 and 44380, Health and Safety Code. Reference: Sections 44320, 44321, 44322, 44344.4, 44344.7 and 44380, Health and Safety Code.
HISTORY

1. New section filed 12-15-88; operative 12-15-88 (Register 88, No. 52).
2. Amendment, including revisions to Appendices A and B referenced in subsection (a), filed 3-26-90; operative 4-25-90 (Register 90, No. 17).
3. Amendment of Appendix A filed 3-25-91; operative 3-25-91 (Register 91, No. 23).
4. New subsection (a)(3) and amendment of Appendix B filed 3-28-91 as an emergency; operative 3-28-91 (Register 91, No. 23). A Certificate of Compliance must be transmitted to OAL by 7-26-91 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 3-28-91 order transmitted to OAL 7-25-91 and filed 8-26-91 (Register 92, No. 9).
6. Amendment of subsections (a), (a)(1), (a)(3) and NOTE and repealer of subsection (b) filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
7. Amendment of subsections (a)(1)-(2) filed 6-28-94; operative 6-28-94 (Register 94, No. 26).
8. Amendment of subsection (a)(3) filed 6-6-95; operative 6-6-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 23).
9. New subsections (b)-(d) filed 6-28-96; operative 6-28-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 26).
10. Amendment of section and Note filed 4-22-97; operative 4-22-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 17).
11. Amendment filed 4-17-98; operative 4-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
12. Amendment of subsections (b), (c) and (d) and new subsection (e) filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).
Article 3. Fees
§90703. District Board Adoption of Fees.
Note     •     History

Except for the districts that have fulfilled all of the requirements specified in Section 90704(b) and (e)(5), every district shall annually adopt a rule or regulation which recovers the costs specified in 90700(b), unless the district rule or regulation contains a specific provision for automatic readoption of the rule or regulation annually by operation of law.
(a) Except as specified in subdivision (b) of this section, or in Section 90702(c) and (d), the State Board shall calculate each district's share of state costs on the basis of the number of facilities in Facility Program Categories as defined in Sections 90701(k), (l), (m), (n), (o), (p), (q), (r), (s), (t), (u), (v), (w), (x), (y), (z), (ae), (ah), (ai), (aj), (ak), (al), (am), (an), and (ao).
(1) For the purposes of subdivision (a) of this section, the district shall set forth the facilities that are in the described program categories on or before July 1 for fiscal year 2001-2002, and September 1 for subsequent fiscal years.
(b) For purposes of calculation of a district's share of State costs under subdivision (a) of this section, the number of facilities in the State Industrywide Facility Program Category will be based on the provisions of Section 90704(d)(2).
(c) Districts shall reimburse the State in accordance with Health and Safety Code Section 44361(c) for review of facility risk assessments submitted to the State after March 31, 1995.
NOTE

Authority cited: Sections 39600, 39601, 44321 and 44380, Health and Safety Code. Reference: Sections 44320, 44321, 44322, 44361 and 44380, Health and Safety Code.
HISTORY

1. New section filed 12-15-88; operative 12-15-88 (Register 88, No. 52).
2. Amendment, including revisions to Appendices A and B referenced in subsection(a), filed 3-26-90; operative 4-25-90 (Register 90, No. 17).
3. Amendment of Appendix A filed 3-25-91; operative 3-25-91 (Register 91, No. 23).
4. Amendment of subsections (a)-(f), Appendix B, Tables 1-10 and new subsections (d)(3), (e)(4), (f)(3) and (f)(4) filed 3-28-91 as an emergency; operative 3-28-91 (Register 91, No. 23). A Certificate of Compliance must be transmitted to OAL by 7-26-91 or emergency language will be repealed by operation on the following day.
5. Certificate of Compliance as to 3-28-91 order transmitted to OAL 7-25-91 and filed 8-26-91 (Register 92, No. 9).
6. Repealer and new section filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
7. Amendment filed 6-28-94; operative 6-28-94 (Register 94, No. 26).
8. Amendment filed 6-6-95; operative 6-6-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 23).
9. Amendment of subsection (a) and new subsections (a)(1), (b) and (c) filed 6-28-96; operative 6-28-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 26).
10. Amendment of subsections (a)-(b) filed 4-22-97; operative 4-22-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 17).
11. Amendment of subsections (a) and (a)(1) filed 4-17-98; operative 4-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
12. Amendment of first paragraph and subsections (a) and (a)(1) filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).
§90704. State Board Adoption of Fees.
Note     •     History

(a) The State Board shall adopt a regulation for fiscal year 2001-2002 which meets the requirements of Health and Safety Code Section 44380(a). Districts whose fee schedules are included in this regulation under Section 90704(b) are subject to the provisions of subdivisions (d)-(i) of this section.
(b) The State Board may annually adopt a fee schedule which assesses a fee upon the operators of facilities subject to this regulation, and which identifies and provides for the recovery of state costs for the applicable fiscal year and district costs for fiscal year 2001-2002 to administer and implement the Act pursuant to Section 90700(b), for facilities located in districts that have completed all of the following requirements:
(1) The district board has approved, and adopted by resolution, the cost of implementing and administering the Act for the fiscal year 2001-2002 as specified in Section 90700(b)(2);
(2) The district has submitted a written request specifying the amount to be collected for fiscal year 2001-2002, through fees established by the State Board regulation, as calculated pursuant to Section 90704(d), (e), (f), (g), (h), and (i) and including documentation of the costs;
(3) The district has submitted the resolution, request and documentation specified in subsections (1) and (2) to the State Board by April 1, 2001 preceding the applicable fiscal year.
(c) Any district whose fee schedule is included in this regulation pursuant to Section 90704(b)(1)-(3) may, as a substitute for this regulation, adopt a district fee rule for fiscal year 2001-2002 that meets the requirements of Section 90700(b), provided that the district informs the Executive Officer of the State Board in writing.
(d) Beginning in fiscal year 2002-2003, the Executive Officer will annually develop a fee schedule by applying the applicable State Facility Fee Rate contained in Table 3, or the $35 flat fee for Industrywide facilities, to each facility subject to the Fee Regulation in the Facility Data List provided by the districts pursuant to Section 90702. Districts whose fee schedules are included in this regulation under Section 90704(e)(5) are subject to the provisions (d)-(i) of this section.
(e) Calculation of Fees.
(1) The State Board shall establish the fee applicable to each facility for the recovery of state and district costs and shall notify each district in writing of the amount to be collected from each facility and of the amount of revenue which the district must remit to the State Board for reimbursement of state costs, as set forth in Table 1. When calculating the fees, the State Board shall use the State costs in Table 1 and the district costs in Table 2 for fiscal year 2001-2002, and shall take into account and allow for the unanticipated closing of businesses, nonpayment of fees, and other circumstances which would result in a shortfall in anticipated revenue.
(2) Beginning in fiscal year 2002-2003, the Executive Officer will annually develop a fee schedule by applying the applicable State Facility Fee Rate contained in Table 3, or the $35 flat fee for Industrywide facilities, to each facility subject to the Fee Regulation in the Facility Data List provided by the districts pursuant to Section 90702, and shall notify each district in writing of the amount to be collected from each facility and the amount of revenue which the district must remit to the State Board for reimbursement of the State costs.
(3) The State Board shall calculate fees on the basis of the Facility Data List as set forth by the district by July 1 for fiscal year 2001-2002, except for facilities excluded under Section 90702(c) or  covered by Section 90704(g) and (h). For purposes of calculation of a district's share of State costs under this subdivision and under Section 90703(a), the number of State Industrywide facilities shall be used instead of the number of Industrywide facilities. Facilities that meet the Industrywide Facility definition but do not meet the State Industrywide Facility definition shall be placed in the appropriate Facility Program Category for purposes of calculation of a district's share of the State's costs. Districts may still assess facilities that meet the Industrywide definition but not the State Industrywide definition the fees listed in Table 4 for fiscal year 2001-2002.
(4) Beginning in fiscal year 2002-2003, the Executive Officer shall make an annual determination of the fees on the basis of the Facility Data List set forth by the district by September 1 of the applicable fiscal year, except for facilities excluded under Section 90702(c) or covered by Section 90704(g) and (h). For purposes of calculation of a district's share of State costs under this subdivision and under Section 90703(a), the number of State Industrywide facilities shall be used instead of the number of Industrywide facilities. Facilities that meet the Industrywide Facility definition but do not meet the State Industrywide Facility definition shall be placed in the appropriate Facility Program Category for purposes of calculation of a district's share of the State's costs.
(5) Beginning in fiscal year 2002-2003 and for subsequent fiscal years, districts that do not have a locally adopted fee regulation are authorized to collect fees to recover local program costs up to, but not to exceed, the amount of the State Facility Fee Rate on a per-facility basis. Districts making use of this provision shall provide a summary of the district program costs to ARB by September 1 of the applicable fiscal year.
(6) No later than December 1 of the applicable fiscal year, beginning in December of fiscal year 2002-2003, the Executive Officer shall make a final determination of the State Program fee amounts and the apportionment of those amounts to the districts, as calculated based on the State Facility Fee Rate and Facility Data List.
(f) Fees Based on Facility Program Category.
(1) The State Board shall provide a flat fee per facility based on the facility program category of the facility as set forth in the State Facility Fee Rate in Table 3 for all applicable fiscal years, and Table 4 for fiscal year 2001-2002. For fiscal year 2002-2003 and beyond, the fee for the Industrywide category shall be $35. The Facility Program Categories for Table 3 are Prioritization Score Greater Than Ten (10.0) (Complex); Prioritization Score Greater Ten (10.0) (Medium); Prioritization Score Greater Than Ten (10.0) (Simple); Risk of 10.0 to Less Than 50.0 Per Million (Complex); Risk of 10.0 to Less Than 50.0 Per Million (Medium); Risk of 10.0 to Less Than 50.0 Per Million (Simple); Risk of 50.0 to Less Than 100.0 Per Million (Complex); Risk of 50.0 to Less Than 100.0 Per Million (Medium); Risk of 50.0 to Less Than 100.0 Per Million (Simple); Risk of 100.0 Per Million, or Greater (Complex); Risk of 100.0 Per Million, or Greater (Medium); Risk of 100.0 Per Million, or Greater (Simple); Tracking (Complex); Tracking (Medium); Tracking (Simple); Unprioritized (Complex); Unprioritized (Medium); and Unprioritized (Simple). The Facility Program Category for Table 4 is State Industrywide.
(2) A facility that becomes subject to the Act after State Board adoption of the Fee Regulation, and is required to prepare an Inventory Plan and Report during the applicable fiscal year in accordance with Sections 44340, 44341, and 44344 of the Health and Safety Code, shall pay the appropriate Unprioritized (Complex, Medium, or Simple) fee for that fiscal year.
(3) A district shall provide to the State Board, by July 1, 2001, and for subsequent fiscal years by September 1 of the applicable fiscal year, a Facility Data List. The Facility Data List shall contain the following information: (a) the district abbreviation, (b) the county ID, (c) the name and facility identification number, (d) the Standard Industrial Classification Code of the facility, (e) the number of Source Classification Codes, (f) complexity (Simple, Medium, Complex), (g) prioritization score, (h) health risk assessment results, (i) whether or not the health risk assessment has been reviewed by OEHHA, (j) whether or not a screening risk assessment was performed, (k) reason excluded from calculation of the State's cost under the previously applicable fiscal year's  Air Toxics Hot Spots Fee Regulation, (l) whether or not the facility is a state industrywide facility, (m) whether or not the facility is a small business as defined under Section 90701(aa), (n) whether or not the facility is a District Update Facility as defined under Section 90701(c), and (o) former Facility Program Category for the previously applicable fiscal year. The district shall provide the SIC Code for facilities being added to the State Industrywide Facility category.
(g) Specified Flat Fees.
(1) An Industrywide Facility shall be assessed the flat fee specified in Table 4 for fiscal year 2001-2002, and $35 per Industrywide facility for subsequent fiscal years. If a facility was previously assessed, and has paid, a fee pursuant to the Facility Program Categories specified for Table 4, subsequent fees pursuant to Table 4 shall be waived by the district, if the district determines that there are insignificant costs with respect to said facility under the Act.
(2) A facility in the State Industrywide Facility Program Category, as defined by Section 90701(ae), shall be assessed the flat fee specified in Table 4 for fiscal year 2001-2002, and $35 per industrywide facility for subsequent fiscal years.
(h) Other Flat Fees.
(1) Pursuant to the provisions of Section 44380.5 of the Health and Safety Code, the supplemental fee which may be assessed upon the operator of a facility, to cover the direct costs to the district to review the information supplied, shall be no higher than $2,000.
(2) The maximum fee that a small business, as defined in Section 90701(aa), shall pay will be $300. 
(3) If in the judgment of a district the action will not result in a shortfall in revenue, a district may request the fee for the Unprioritized (Simple) category be set at no more than $800.
(4) Pursuant to the provisions of Section 44344.4(b) of the Health and Safety Code, the operator of an Update Facility may be assessed a fee of no higher than $125 to cover the direct cost to the district to review the facility's quadrennial emission inventory update submitted under Health and Safety Code Section 44344. Beginning with Fiscal Year 1997-98, a district may assess a higher fee to review quadrennial emission inventory updates if it adopts written findings that the costs of processing the emission inventory update exceed $125 and submits those findings to the State Board by June 30 preceding the applicable fiscal year. The fee adopted shall be no higher than that supported by the written findings.
(i) For fiscal year 2001-2002, costs to be recovered by the regulation adopted by the State Board pursuant to subdivision (b) of this section shall be calculated as follows: Each district board shall approve its anticipated costs to implement and administer the Act. The Air Resources Board will subtract from this amount anticipated revenues from collection of the flat fee specified in Section 90704(g); and any excess revenues obtained by the district pursuant to Section 90705(c). When submitting board-approved program costs to the State Board, the district shall include a breakdown of how the collected fees will be used.
(j) Districts shall reimburse the State in accordance with Health and Safety Code Section 44361(c) for review of facility risk assessments submitted to the State after March 31, 1995.
NOTE

Authority cited: Sections 39600, 39601, 44344.4 and 44380, Health and Safety Code. Reference: Sections 44320, 44322, 44344.4, 44380 and 44380.5, Health and Safety Code.
HISTORY

1. New section filed 12-15-88; operative 12-15-88 (Register 88, No. 52).
2. Amendment filed 3-26-90; operative 4-25-90 (Register 90, No. 17).
3. Amendment of Tables 1 through 10, Appendices A and B filed 3-28-91 as an emergency; operative 3-28-91 (Register 91, No. 23). A Certificate of Compliance must be transmitted to OAL by 7-26-91 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance, including amendments to Appendix B, as to 3-28-91 order transmitted to OAL 7-25-91 and filed 8-26-91 (Register 92, No. 9).
5. Renumbering and amendment of former section 90704 to section 90705 filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
6. New subsections (a)(1)-(3) and incorporation and amendment of subsections (c)-(f) from section 90703 filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
7. Amendment of subsections (c)(2), (c)(4), (d)(1)-(3), new subsections (d)(4) and (d)(5) and subsection relettering filed 6-23-93; operative 6-23-93 pursuant to Government Code section 113462(d) (Register 93, No. 26).
8. Amendment of section and Note filed 6-28-94; operative 6-28-94 (Register 94, No. 26).
9. Amendment of section and Note filed 6-6-95; operative 6-6-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 23).
10. Amendment of subsections (a), (b)(2) and (d)(1)-(d)(3), new subsection (e)(3), amendment of subsection (h) and repealer and new subsection (i) filed 6-28-96; operative 6-28-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 26).
11. Amendment of section and Note filed 4-22-97; operative 4-22-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 17).
12. Amendment of subsections (b)(2), (d)(1)-(2), (e)(3), (f)(2), (g)(2) and (g)(4) filed 4-17-98; operative 4-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
13. Amendment filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).
§90705. Fee Payment and Collection.
Note     •     History

(a) Each district shall notify and assess the operator of each facility subject to this regulation in writing of the fee due. Except as provided in Sections 90702(c) and (d), 90703, 90704(g), and 90704(h), each district shall use the facility program category as the basis for billing. The operator shall remit the fee to the district within 60 days after the receipt of the fee assessment notice or the fee will be considered past due. If an operator fails to pay the fee within 60 days of this notice, the district shall assess a penalty of not more than 100 percent of the assessed fee, but in an amount sufficient, in the district's determination, to pay the district's additional expenses incurred by the operator's non-compliance. If an operator fails to pay the fee within 120 days after receipt of this notice, the district may initiate permit revocation proceedings. If any permit is revoked it shall be reinstated only upon full payment of the overdue fee plus any late penalty, and a reinstatement fee to cover administrative costs of reinstating the permit.
(1) The invoices sent by the districts to the facilities shall contain, but not be limited to, the following information: name and address of the facility; name, address, and phone number contact of the district sending the bill, invoice number, fiscal year for which the bill is being sent, where to send the remittance, an indication of whether or not a small business cap is applicable, and the following statement: “The California Health and Safety Code Section 44380 requires the collection of fees from facilities subject to the requirements of the Air Toxics Hot Spots Information and Assessment Act of 1987.”
(b) Each district shall collect the fees assessed by or required to be assessed by this regulation. After deducting the costs to the district to implement and administer the program, each district shall transmit to the State Board the amount the district is required to collect for recovery of state costs pursuant to Section 90700(b)(1), as set forth in Table 1, within 180 days of the receipt of an invoice from the State Board. Checks shall be made payable to the State Air Resources Board. The State Board shall forward the revenues to the State Controller for deposit in the Air Toxics Inventory and Assessment Account.
(c) Any fee revenues received by a district for which fees have been adopted pursuant to Section 90704(b) that exceed district and state costs shall be reported to the State Board and shall be retained by the district for expenditure in the next two fiscal years.
(d) If a district does not collect sufficient revenues to cover the portion of the state costs that the district is required to remit to the State Board for a particular fiscal year due to circumstances beyond the control of the district, the district shall notify the Executive Officer of the State Board prior to June 30 of the year following the applicable fiscal year and may for demonstrated good cause be relieved by the Executive Officer from an appropriate portion of the fees the district is required to collect and remit to the state.
Circumstances beyond the control of the district may include but are not limited to plant closure or refusal of the facility operator to pay despite permit revocation or other enforcement action. Documentation of the circumstances resulting in the shortfall shall be submitted to the ARB upon request. Nothing herein shall relieve the operator from any obligation to pay any fees assessed pursuant to this regulation.
(1) A district for which the State Board has adopted a fee schedule pursuant to Section 90704(b) in fiscal year 2001-2002, or Section 90704(d) in subsequent years, may, upon notifying the Executive Officer of the State Board, carry over all or a portion of such shortfall in revenue from one to four fiscal years after the shortfall was discovered and add the shortfall amount to its program costs for each such subsequent fiscal year.
NOTE

Authority cited: Sections 39600, 39601 and 44380, Health and Safety Code. Reference: Section 44380, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 90704 to section 90705 filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
2. Amendment of Tables 1-8 and Appendix A, repealer and new Table 9 and repealer of Table 10 filed 1-30-92; operative 1-30-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
3. Editorial correction restoring inadvertently omitted Appendix B (Register 92, No. 32).
4. Amendment of Tables 1-9 and Appendix B filed 6-23-93; operative 6-23-93 pursuant to Government Code section 113462(d) (Register 93, No. 26).
5. Amendment of subsection (a) and Tables 1-3, renumbering and amendment of Table 9 to Table 4, repealer of Tables 3-8 and Appendix A, and redesignation and amendment of former Appendix B to Appendix A  filed 6-28-94; operative 6-28-94 (Register 94, No. 26).
6. Amendment of subsection (a), new subsection (a)(1), and amendment of subsection (d)(1), Tables 1-4 and Appendix A filed 6-6-95; operative 6-6-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 23).
7. Amendment of subsections (a), (c) and (d)(1), and amendment of Table 1, Table 2, newly designated Tables 3a, 3b and 3c, Table 4 and Appendix A filed 6-28-96; operative 6-28-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 26).
8. Amendment of subsections (a), (c) and (d) amendment of Tables 1 and 2, repealer and new Tables 3a-3c, and amendment of Table 4 and Appendix A filed 4-22-97; operative 4-22-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 17).
9. Amendment of subsections (a) and (b), Tables 1-4 and Appendix A filed 4-17-98; operative 4-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
10. Amendment of Tables 1-4 and Appendix A filed 2-4-99; operative 2-4-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 6).
11. Amendment of Tables 1-4 filed 4-18-2000; operative 4-18-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 16).
12. Amendment of Tables 1-4 filed 5-30-2001; operative 5-30-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 22). 
13. Amendment of subsections (a), (d) and (d)(1) and amendment of tables 1-4 filed 6-10-2002; operative 7-10-2002 (Register 2002, No. 24).

Table 1
Revenues to be Remitted to Cover State Costs by District

		Revenues
	District	to Be Remitted

	Amador	$	105
	Antelope Valley		8,248
	Bay Area		121,307
	Butte		4,433
	Calaveras		0
	Colusa		0
	El Dorado		6,441
	Feather River		535
	Glenn		140
	Great Basin		5,004
	Imperial		9,620
	Kern		694
	Lake		70
	Lassen		3,129
	Mariposa		507
	Mendocino		7,555
	Modoc		0
	Mojave Desert		22,015
	Monterey		4,109
	North Coast		1,607
	Northern Sierra		805
	Northern Sonoma		70
	Placer		10,945
	Sacramento		19,647
	San Diego		113,949
	San Joaquin Valley 		45,435
	San Luis Obispo		560
	Santa Barbara		28,688
	Shasta		9,088
	Siskiyou		5,069
	South Coast		478,158
	Tehama		1,257
	Tuolumne		700
	Ventura		29,934
	Yolo-Solano		5,978
			
	Total 		$945,802

Table 2
District Costs to be Recovered Through the Fee Regulation

		Anticipated
	District	District Costs*

	Antelope Valley		12,570
	Great Basin		3,570
	Lassen		2,489
	Mojave Desert		31,985
	Santa Barbara		50,000
			
	Total 		$100,614

----------
*These amounts may reflect adjustments for excess or insufficient revenues under sections 90705(c) and (d)(1).

Table 3a

Cost per Facility by District and Facility Program Category

		Unprioritized	Unprioritized	Unprioritized	Tracking	Tracking	Tracking
	District	(Simple)	(Medium)	(Complex)	(Simple)	(Medium)	(Complex)
	
	State Facility 	402	603	804	67	100	134
	 Fee Rate
	
	Total Fee
	(State Portion + District Portion)
	Antelope Valley
	Great Basin	780	1,170	1,560
	Lassen
	Mojave Desert	800	4,143		460	690	921
	Santa Barbara				344	516	688

	Table 3b
	
	Cost per Facility by District and Facility Program Category

					Risk	Risk	Risk
		Score >10	Score >10	Score >10	>=10 < 50	>=10 < 50	>=10 < 50
	District	(Simple)	(Medium)	(Complex)	(Simple)	(Medium)	(Complex)
	
	State Facility 	1,674	2,009	2,344	3,014	3,349	3,684
	 Fee Rate
	
	Total Fee
	(State Portion + District Portion)
	Antelope Valley		7,113				10,150
	Great Basin	2,555
	Lassen		4,498
	Mojave Desert					10,428	11,157
	Santa Barbara				7,725	8,337	8,949

Table 3c

Cost per Facility by District and Facility Program Category

		Risk	Risk	Risk	Risk	Risk	Risk
		>= 50 < 100	>= 50 < 100	>= 50 < 100	> = 100 	> = 100	> = 100 
	District	(Simple)	(Medium)	(Complex)	(Simple)	(Medium)	(Complex)
	
	State Facility 	4,353	4,688	5,023	5,693	6,028	6,363
	 Fee Rate
	
	Total Fee
	(State Portion + District Portion)
	Antelope Valley
	Great Basin
	Lassen
	Mojave Desert			13,676
	Santa Barbara		10,507	

Table 4*
District Fees for Industrywide and District Update Facilities

	Industrywide	District Update
District	Facilities	Facilities	

Antelope Valley	0	125
Great Basin	 25	250
Lassen	0	0
Mojave Desert	0	125
Santa Barbara	 60	125

-----------
*State cost per facility is consistent statewide as follows:
State Industrywide facilities: $35

Appendix A

Air Pollution Control District
Air Toxic Inventories, Reports or Surveys
1. San Diego County Air Pollution Control District “List of Semiconductor Manufacturers Using Toxic Gases (Arsine or Phosphine). May 1988.”
2. San Joaquin Valley Unified Air Pollution Control District “San Joaquin Valley Unified APCD Toxics List. February 25, 1994.”
3. Santa Barbara County Air Pollution Control District “Current Santa Barbara County Air Pollution Control District List of Air Toxic Sources. July 14, 1997.”
Subchapter 3.8. Nonvehicular Source, Consumer Products, and Architectural Coatings Fee Regulations
§90800. Fee Requirements for FIscal Year 1989-90.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39612, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment to title filed 3-6-91; operative 3-6-91 pursuant to Government Code section 11346.2 (Register 91, No. 14).
3. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
4. Amendment of subchapter heading filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
§90800.1. Fee Requirements for Fiscal Year 1990-91.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39612, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 3-6-91; operative 3-6-91 pursuant to Government Code section 11346.2 (Register 91, No. 14).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90800.2. Fee Requirements for Fiscal Year 1991-92.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39612, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 9-18-91; operative 10-18-91 (Register 92, No. 2).
2. Editorial correction of subsection (a) (Register 95, No. 49).
3. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90800.3. Fee Requirements for Fiscal Year 1992-93.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39612, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 8-11-92; operative 9-10-92 (Register 92, No 33).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90800.4. Fee Requirements for Fiscal Year 1993-94.
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 39612, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 6-15-93; operative 7-1-93 (Register 93, No. 25).
2. Change without regulatory effect repealing section filed 3-18-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 12).
§90800.5. Fee Requirements for Fiscal Year 1994-95.
Note     •     History

(a) No later than 180 days after the operative date of this section, each district identified below shall transmit the dollar amount specified below to the Board for deposit into the Air Pollution Control Fund. The amount transmitted shall be collected from facilities which are the holders of permits for sources which emitted 500 tons or more per year of any nonattainment pollutant or precursors during the period from January 1, 1992, through December 31, 1992, inclusive. The fees shall be in addition to permit and other fees already authorized to be collected from such sources. The fee to be charged shall be fifteen dollars and eighty-three cents ($15.83) per ton.
(1) Bay Area Air Quality Management District: nine hundred seventy-four thousand two hundred thirty-one dollars ($974,231);
(2) Imperial County Air Pollution Control District: twenty-five thousand seven dollars ($25,007);
(3) Kern County Air Pollution Control District (SEDAB): one hundred two thousand eighty-four dollars ($102,084);
(4) Mojave Desert Air Quality Management District: three hundred forty-three thousand eight hundred seventy-three dollars ($343,873);
(5) Monterey Bay Unified Air Pollution Control District: one hundred twenty-one thousand three hundred forty-six dollars ($121,346);
(6) Sacramento Metropolitan Air Quality Management District: forty thousand three hundred fifty-nine dollars ($40,359);
(7) San Diego County Air Pollution Control District: eighty-one thousand three hundred thirty-five dollars ($81,335);
(8) San Joaquin Valley Unified Air Pollution Control District: four hundred five thousand ninety-two dollars ($405,092);
(9) San Luis Obispo County Air Pollution Control District: one hundred thirteen thousand five hundred ninety dollars ($113,590);
(10) South Coast Air Quality Management District: four hundred eighty thousand one dollars ($480,001);
(11) Ventura County Air Pollution Control District: thirty-one thousand nine hundred fifty-five dollars ($31,955);
(12) Amador County Air Pollution Control District, Butte County Air Pollution Control District, Calaveras County Air Pollution Control District, Colusa County Air Pollution Control District, El Dorado County Air Pollution Control District, Feather River Air Quality Management District, Glenn County Air Pollution Control District, Great Basin Unified Air Pollution Control District, Mariposa County Air Pollution Control District, Mendocino County Air Pollution Control District, Modoc County Air Pollution Control District, North Coast Unified Air Quality Management District, Northern Sierra Air Quality Management District, Northern Sonoma County Air Pollution Control District, Placer County Air Pollution Control District, Santa Barbara County Air Pollution Control District, Shasta County Air Quality Management District, Siskiyou County Air Pollution Control District, Tehama County Air Pollution Control District, Tuolumne County Air Pollution Control District, Yolo-Solano Air Pollution Control District: zero dollars ($0). 
(b) Emissions from facilities identified by the Air Resources Board on or before April 14, 1994, as having emitted 500 tons or more per year of any nonattainment pollutant or precursors during the period January 1, 1992, through December 31, 1992, shall be used to determine compliance with these regulations. Emissions from a facility are excluded from compliance with these regulations if the emissions from the facility would be subject to these regulations solely because the facility is in a district which is designated in section 60201 as not having attained the state ambient air quality standard for ozone solely as a result of ozone transport identified in section 70500, Title 17, California Code of Regulations.
(c) In addition to the amount cited in subsection (a) above, a district shall, for any facility identified after April 14, 1994, as having emitted 500 tons or more per year of any nonattainment pollutant or its precursors during the period from January 1, 1992, through December 31, 1992, transmit to the Board for deposit into the Air Pollution Control Fund fifteen dollars and eighty-three cents ($15.83) per ton of such pollutant or precursor.
NOTE

Authority cited: Section 39600, 39601 and 39612, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 11-28-94; operative 12-28-94 (Register 94, No. 48).
§90800.6. Fee Requirements for Fiscal Year 1995-96.
Note     •     History

(a) No later than 180 days after the operative date of this section, each district identified below shall transmit the dollar amount specified below to the Board for deposit into the Air Pollution Control Fund. The amount transmitted shall be collected from facilities which are the holders of permits for sources which emitted 500 tons or more per year of any nonattainment pollutant or precursors during the period from January 1, 1993, through December 31, 1993, inclusive. The fees shall be in addition to permit and other fees already authorized to be collected from such sources. The fee to be charged shall be $17.75 per ton.
(1) Bay Area Air Quality Management District: nine hundred eighty-three thousand two hundred ninety-seven dollars ($983,297);
(2) Imperial County Air Pollution Control District: twenty-three thousand twenty-two dollars ($23,022);
(3) Kern County Air Pollution Control District (SEDAB): one hundred twelve thousand seven hundred forty-eight dollars ($112,748);
(4) Mojave Desert Air Quality Management District: three hundred twenty-two thousand six hundred seventy-seven dollars ($322,677);
(5) Monterey Bay Unified Air Pollution Control District: one hundred five thousand eight hundred seventy-nine dollars ($105,879);
(6) Sacramento Metropolitan Air Quality Management District: twenty-five thousand four hundred seventy-one dollars ($25,471);
(7) San Diego County Air Pollution Control District: one hundred thirteen thousand seven hundred ninety-five dollars ($113,795);
(8) San Joaquin Valley Unified Air Pollution Control District: three hundred eighty-five thousand eight hundred fifty dollars ($385,850);
(9) San Luis Obispo County Air Pollution Control District: ninety-one thousand five hundred fifty-five dollars ($91,555);
(10) Santa Barbara Air Pollution Control District: nine thousand two hundred eighty-three dollars ($9,283);
(11) South Coast Air Quality Management District: five hundred thirteen thousand six hundred fifty dollars ($513,650);
(12) Ventura County Air Pollution Control District: thirty-nine thousand six hundred eighty-nine dollars ($39,689);
(13) Amador County Air Pollution Control District. 
Butte County Air Pollution Control District. 
Calaveras County Air Pollution Control District. 
Colusa County Air Pollution Control District. 
El Dorado County Air Pollution Control District. 
Feather River Air Quality Management District. 
Glenn County Air Pollution Control District.
Great Basin Unified Air Pollution Control District.
Mariposa County Air Pollution Control District.
Mendocino County Air Pollution Control District.
Modoc County Air Pollution Control District.
North Coast Unified Air Quality Management District.
Northern Sierra Air Quality Management District.
Northern Sonoma County Air Pollution Control District.
Placer County Air Pollution Control District.
Shasta County Air Quality Management District.
Siskiyou County Air Pollution Control District.
Tehama County Air Pollution Control District.
Tuolumne County Air Pollution Control District.
Yolo-Solano Air Pollution Control District: zero dollars ($0).
(b) Emissions from facilities identified by the Air Resources Board on or before April 27, 1995, as having emitted 500 tons or more per year of any nonattainment pollutant or precursors during the period January 1, 1993, through December 31, 1993, shall be used to determine compliance with this regulation. Emissions from a facility are excluded from compliance with this regulation if the emissions from the facility would be subject to this regulation solely because the facility is in a district which is designated in section 60201 as not having attained the state ambient air quality standard for ozone solely as a result of ozone transport identified in section 70500, Title 17, California Code of Regulations.
(c) In addition to the amount cited in subsection (a) above, a district shall, for any facility identified after April 27, 1995, as having emitted 500 tons or more per year of any nonattainment pollutant or its precursors during the period from January 1, 1993, through December 31, 1993, transmit to the Board for deposit into the Air Pollution Control Fund seventeen dollars and seventy-five cents ($17.75) per ton of such pollutant or precursor.
NOTE

Authority cited: Sections 39600, 39601 and 39612, Health ands Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 1-10-96; operative 2-9-96 (Register 96, No. 2).
§90800.7. Fee Requirements for Fiscal Year 1996-97.
Note     •     History

(a) No later than 180 days after the operative date of this section, each district identified below shall transmit the dollar amount specified below to the Board for deposit into the Air Pollution Control Fund. The amount transmitted shall be collected from facilities which are the holders of permits for sources which emitted 500 tons or more per year of any nonattainment pollutant or precursors during the period from January 1, 1994, through December 31, 1994, inclusive. The fees shall be in addition to permit and other fees already authorized to be collected from such sources. The fee to be charged shall be $18.78 per ton.
(1) Bay Area Air Quality Management District: one million one hundred sixty-eight thousand three hundred ninety-eight dollars ($1,168,398);
(2) Imperial County Air Pollution Control District: nine thousand four hundred forty-six dollars ($9,446);
(3) Kern County Air Pollution Control District: eighty-seven thousand seven hundred forty dollars ($87,740);
(4) Mojave Desert Air Quality Management District: three hundred sixty-seven thousand three hundred thirty-seven dollars ($367,337);
(5) Monterey Bay Unified Air Pollution Control District: two hundred six thousand two hundred four dollars ($206,204);
(6) San Diego County Air Pollution Control District: eighty-two thousand seven hundred eighty-two dollars ($82,782);
(7) San Joaquin Valley Unified Air Pollution Control District: three hundred eighteen thousand ninety-six dollars ($318,096);
(8) San Luis Obispo County Air Pollution Control District: eighty-five thousand six hundred seventy-four dollars ($85,674);
(9) South Coast Air Quality Management District: four hundred seventy-five thousand two hundred eighty-four dollars ($475,284);
(10) Ventura County Air Pollution Control District: twenty-eight thousand six hundred two dollars ($28,602);
(11) Amador County Air Pollution Control District, Butte County Air Quality Management District, Calaveras County Air Pollution Control District, Colusa County Air Pollution Control District, El Dorado County Air Pollution Control District, Feather River Air Quality Management District, Glenn County Air Pollution Control District, Great Basin Unified Air Pollution Control District, Lake County Air Quality Management District, Lassen County Air Pollution Control District, Mariposa County Air Pollution Control District, Mendocino County Air Quality Management District, Modoc County Air Pollution Control District, North Coast Unified Air Quality Management District, Northern Sierra Air Quality Management District, Northern Sonoma County Air Pollution Control District, Placer County Air Pollution Control District, Sacramento Metropolitan Air Quality Management District, Santa Barbara County Air Pollution Control District, Shasta County Air Quality Management District, Siskiyou County Air Pollution Control District, Tehama County Air Pollution Control District, Tuolumne County Air Pollution Control District, Yolo/Solano Air Quality Management District: zero dollars ($0).
(b) Emissions from facilities identified by the Air Resources Board on or before April 25, 1996, as having emitted 500 tons or more per year of any nonattainment pollutant or precursors during the period January 1, 1994, through December 31, 1994, shall be used to determine compliance with this regulation. Emissions from a facility are excluded from compliance with this regulation if the emissions from the facility would be subject to this regulation solely because the facility is in a district which is designated in section 60201 as not having attained the state ambient air quality standard for ozone solely as a result of ozone transport identified in section 70500, Title 17, California Code of Regulations.
(c) In addition to the amount cited in subsection (a) above, a district shall, for any facility identified after April 25, 1996, as having emitted 500 tons or more per year of any nonattainment pollutant or its precursors during the period from January 1, 1994, through December 31, 1994, transmit to the Board for deposit into the Air Pollution Control Fund eighteen dollars and seventy-eight cents ($18.78) per ton of such pollutant or precursor.
NOTE

Authority cited: Sections 39600, 39601 and 39612, Health and Safety Code. Reference: Sections 39002, 39500, 39600 and 39612, Health and Safety Code.
HISTORY

1. New section filed 11-22-96; operative 12-22-96 (Register 96, No. 47).
§90800.8. Fee Requirements for the 2003-2004 and Subsequent Fiscal Years.
Note     •     History

(a) Applicability.
(1) This subchapter applies to: 
(A) Any facility that emits 250 tons or more annually of any nonattainment pollutant or precursor, as provided in section 90800.8(c)(4), and 
(B) Any consumer products or architectural coatings manufacturer for which the total sales of the manufacturer's consumer products or architectural coatings resulted in VOC emissions of 250 tons or more during a calendar year, as provided in section 90800.8(c)(5). 
(2) 2003-2004 Fiscal Year.
(A) Notification to Districts, Facilities, Consumer Products Manufacturers, and Architectural Coatings Manufacturers. No later than 30 days after the operative date of this section, the Executive Officer shall provide written notice to each district, facility operator, consumer products manufacturer, and architectural coatings manufacturer of his/her 2003-2004 fiscal year fee determinations, as of July 24, 2003, for all of the items in section (c)(1) through (c)(7). The written notices may reflect modifications to the determinations based on information received by the Executive Officer after July 24, 2003, in which case the notices shall include a brief explanation of the modifications.
(B) Transmittal of the Fees to the State Board. Each facility operator, consumer products manufacturer, and architectural coatings manufacturer that is notified by the Executive Officer that it must remit a specified dollar amount to the state board for the 2003-2004 fiscal year shall transmit that dollar amount to the state board for deposit into the Air Pollution Control Fund within 60 days after receipt by the operator or manufacturer of the fee determination notice. The fees shall be in addition to permit and other fees already authorized to be collected from such sources.
(3) 2004-2005 and Subsequent Fiscal Years. Sections (b) through (e) apply for the 2004-2005 fiscal year and for any subsequent fiscal year in which the state board is authorized by state law to impose fees on nonvehicular sources, consumer products manufacturers, and architectural coatings manufacturers.
(4) Expenditure of Fees. The fees collected from facilities are to be expended by the state board only for the purposes of recovering costs of additional state programs related to nonvehicular sources. The fees collected from consumer products manufacturers and architectural coatings manufacturers are to be expended by the state board solely to mitigate or reduce air pollution in the state created by consumer products and architectural coatings. 
(b) Submittal of Information by Districts. No later than April 1 of the preceding fiscal year, each district shall submit all of the information identified in section (c)(4) to the Executive Officer in writing.
(c) Preliminary Determination of Fees to be Assessed. No later than May 1 of the preceding fiscal year, the Executive Officer shall make preliminary determinations of all of the items in sections 90800.8(c)(1) through (c)(7) and 90805(b), and shall provide written notice of the preliminary determinations to each district and to each facility operator, consumer products manufacturer, and architectural coatings manufacturer identified in accordance with section (c)(4) or (c)(5). The notice shall state that written comments regarding the preliminary determinations received by the Executive Officer by July 1 of the fiscal year will be considered by the Executive Officer in reaching final determinations.
(1) Needed Revenues. Except as provided in section 90805, the revenues needed to recover the costs of the state board for additional state programs related to nonvehicular sources, consumer products, and architectural coatings in the fiscal year. The revenues shall not exceed the amount authorized by state law for any fiscal year, and for the 2003-2004 fiscal years shall not exceed the amount specified in subdivision (f)(1) of Health and Safety Code section 39612 or such other amount as specified by the State Legislature. For fiscal year 2004-2005 and subsequent fiscal years, the total revenues collected from facilities may include a percentage increase in revenues by an amount not to exceed the annual percentage change in the California Consumer Price Index, as provided in Health and Safety Code section 39612(f)(2), if such an increase is necessary to collect the revenues authorized by the State Legislature for any fiscal year. 
(2) Adjustment Amount. An additional adjustment amount, not to exceed 3 percent of the needed revenues, designed to recover unforeseen reductions in collections due to unexpected business closures and bankruptcies.
(3) Carry-over Balance. The amount collected in the previous fiscal year in excess of or less than the needed revenues for that fiscal year.
(4)(A) Emissions of Facilities Subject to Fees.  Except as otherwise provided in subsections (c)(4)(B) and (c)(4)(C), for each district, (1.) the name and address of each permitted facility that emitted 250 tons or more of any nonattainment pollutant or precursor during the most recent calendar year for which emission estimates are available for all affected districts and (2.) the total tons of each identified facility's emissions during the referenced calendar year of all nonattainment pollutants or precursors that were individually emitted by the facility in an amount of 250 tons or more in the year. 
(B) For the South Coast Air Quality Management District (SCAQMD) only, the amount of each facility's emissions specified in subsection (c)(4)(A) shall be determined on a fiscal year instead of a calendar year basis. Emissions from facilities in the SCAQMD shall be determined for the fiscal year that begins during the most recent calendar year for which emission estimates are available for all affected districts. For example, if the 2001 calendar year is the most recent calendar year for which emission estimates are available for all affected districts, then all districts except the SCAQMD would identify facilities and submit facility emissions for the 2001 calendar year, and the SCAQMD would identify facilities and submit facility emissions for the 2001-2002 fiscal year. 
(C) A facility shall not be included if its emissions would otherwise be included solely because the facility is in a district which is designated in section 60201 as not having attained the state ambient air quality standard for ozone solely as a result of ozone transport identified in section 70500, title 17, California Code of Regulations.
(5) Consumer Products Manufacturers and Architectural Coatings Manufacturers Subject to Fees. Any consumer products or architectural coatings manufacturer for which the total sales of the manufacturer's consumer products or architectural coatings resulted in VOC emissions in the State of 250 tons or more during the same calendar year identified for facilities pursuant to section 90800.8(c)(4)(A). 
(6) Fee per ton. The fee per ton for the fiscal year, calculated in accordance with the following formula:

View Graphic
Where
R = The needed revenues identified in accordance with section (c)(1)
A = The adjustment amount identified in accordance with section (c)(2)
C = Carry-over balance determined in accordance with section (c)(3)
E = The total tons of nonattainment pollutants or precursors individually emitted in annual amounts of 250 tons or more from all permitted facilities in the state identified in accordance with section (c)(4), plus the total tons of VOCs emitted in annual amounts of 250 tons or more from consumer products and architectural coatings sold in the state as identified in accordance with section (c)(5). 
(7) Amount to be Remitted From Each Facility Operator, Consumer Products Manufacturer, or Architectural Coatings Manufacturer. The dollar amount to be transmitted to the state board, calculated in accordance with the following formula:
Amount to be transmitted = F * D
Where
F = Fee per ton as calculated in accordance with section (c)(6)
D = The tons of nonattainment pollutants or precursors individually emitted in annual amounts of 250 tons or more from a permitted facility identified in accordance with section (c)(4), or the tons of VOCs emitted in annual amounts of 250 tons or more for a manufacturer, as identified in accordance with section (c)(5)
(d) Final Determination of Fees to be Assessed. No later than August 1 of the fiscal year, after considering any comments submitted by July 1 of the fiscal year, the Executive Officer shall make final determinations of all of the items in section (c)(1) through (c)(7), and shall provide a written fee determination notice to each district and to each facility operator, consumer products manufacturer, and architectural coatings manufacturer identified in accordance with section (c)(4) or (c)(5).
(e) Transmittal of the Fees to the State Board.
(1) Each facility operator, consumer products manufacturer, and architectural coatings manufacturer that is notified pursuant to section (d) that it must remit a specified dollar amount to the state board shall transmit that dollar amount to the state board for deposit into the Air Pollution Control Fund within 60 days after receipt of the fee determination notice as specified in section 90802(a). The amount transmitted shall be collected by the state board from the facilities and manufacturers identified in the Executive Officer's final determination as meeting the criteria in section (c)(4) or (c)(5). The fees shall be in addition to permit and other fees already authorized to be collected from such sources.
(2)(A) Newly Identified Facilities: In addition to the amount transmitted in accordance with section (e)(1), the Executive Officer shall, for any facility identified by the Executive Officer as meeting the criteria in section (c)(4) after the Executive Officer's notification under section (d), notify the facility operator and collect for deposit into the Air Pollution Control Fund the dollar amount equal to the fee per ton calculated using the formula in section (c)(6) multiplied by the total tons of the facility's emissions, during the year used to determine emissions in accordance with section (c)(4), of all nonattainment pollutants or precursors that were individually emitted by the facility in an amount of 250 tons or more in the year. The operator of each newly identified facility shall transmit the assessed dollar amount to the state board within 60 days after receipt of the fee determination notice from the Executive Officer. The amount collected by the state board from the newly identified facility shall be in addition to permit and other fees already authorized to be collected from the facility.
(B) Newly Identified Manufacturers. The Executive Officer shall, for any consumer products manufacturer or architectural coatings manufacturer identified by the Executive Officer as meeting the criteria in section (c)(5) after the Executive Officer's notification under section (d), notify the consumer products manufacturer or architectural coatings manufacturer and collect for deposit into the Air Pollution Control Fund the dollar amount equal to the fee per ton calculated using the formula in section (c)(6) multiplied by the total tons of VOCs emitted from consumer products or architectural coatings sold by such manufacturer during the calendar year used to determine emissions in accordance with section (c)(5). Each newly identified manufacturer shall transmit the assessed dollar amount to the state board within 60 days after receipt of the fee determination notice from the Executive Officer. The amount collected by the state board from the newly identified manufacturer shall be in addition to permit and other fees already authorized to be collected from the manufacturer. 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
2. Amendment of section heading, section and Note filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
3. Amendment of subsections (c)-(c)(1) filed 3-3-2005; operative 3-3-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 9). 
§90800.75. Operative Date.
Note     •     History

The amendments to this subchapter filed with the Secretary of State on February 5, 2004 are operative on February 5, 2004. 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code. 
HISTORY

1. New section filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
§90800.8. Fee Requirements for the 2003-2004 and Subsequent Fiscal Years.
Note     •     History

(a) Applicability.
(1) This subchapter applies to: 
(A) Any facility that emits 250 tons or more annually of any nonattainment pollutant or precursor, as provided in section 90800.8(c)(4), and 
(B) Any consumer products or architectural coatings manufacturer for which the total sales of the manufacturer's consumer products or architectural coatings resulted in VOC emissions of 250 tons or more during a calendar year, as provided in section 90800.8(c)(5). 
(2) 2003-2004 Fiscal Year.
(A) Notification to Districts, Facilities, Consumer Products Manufacturers, and Architectural Coatings Manufacturers. No later than 30 days after the operative date of this section, the Executive Officer shall provide written notice to each district, facility operator, consumer products manufacturer, and architectural coatings manufacturer of his/her 2003-2004 fiscal year fee determinations, as of July 24, 2003, for all of the items in section (c)(1) through (c)(7). The written notices may reflect modifications to the determinations based on information received by the Executive Officer after July 24, 2003, in which case the notices shall include a brief explanation of the modifications.
(B) Transmittal of the Fees to the State Board. Each facility operator, consumer products manufacturer, and architectural coatings manufacturer that is notified by the Executive Officer that it must remit a specified dollar amount to the state board for the 2003-2004 fiscal year shall transmit that dollar amount to the state board for deposit into the Air Pollution Control Fund within 60 days after receipt by the operator or manufacturer of the fee determination notice. The fees shall be in addition to permit and other fees already authorized to be collected from such sources.
(3) 2004-2005 and Subsequent Fiscal Years. Sections (b) through (e) apply for the 2004-2005 fiscal year and for any subsequent fiscal year in which the state board is authorized by state law to impose fees on nonvehicular sources, consumer products manufacturers, and architectural coatings manufacturers.
(4) Expenditure of Fees. The fees collected from facilities are to be expended by the state board only for the purposes of recovering costs of additional state programs related to nonvehicular sources. The fees collected from consumer products manufacturers and architectural coatings manufacturers are to be expended by the state board solely to mitigate or reduce air pollution in the state created by consumer products and architectural coatings. 
(b) Submittal of Information by Districts. No later than April 1 of the preceding fiscal year, each district shall submit all of the information identified in section (c)(4) to the Executive Officer in writing.
(c) Preliminary Determination of Fees to be Assessed. No later than May 1 of the preceding fiscal year, the Executive Officer shall make preliminary determinations of all of the items in section (c)(1) through (c)(7), and shall provide written notice of the preliminary determinations to each district and to each facility operator, consumer products manufacturer, and architectural coatings manufacturer identified in accordance with section (c)(4) or (c)(5). The notice shall state that written comments regarding the preliminary determinations received by the Executive Officer by July 1 of the fiscal year will be considered by the Executive Officer in reaching final determinations.
(1) Needed Revenues. The revenues needed to recover the costs of the state board for additional state programs related to nonvehicular sources, consumer products, and architectural coatings in the fiscal year. The revenues shall not exceed the amount authorized by state law for any fiscal year, and for the 2003-2004 fiscal years shall not exceed the amount specified in subdivision (f)(1) of Health and Safety Code section 39612 or such other amount as specified by the State Legislature. For fiscal year 2004-2005 and subsequent fiscal years, the total revenues collected from facilities may include a percentage increase in revenues by an amount not to exceed the annual percentage change in the California Consumer Price Index, as provided in Health and Safety Code section 39612(f)(2), if such an increase is necessary to collect the revenues authorized by the State Legislature for any fiscal year. 
(2) Adjustment Amount. An additional adjustment amount, not to exceed 3 percent of the needed revenues, designed to recover unforeseen reductions in collections due to unexpected business closures and bankruptcies.
(3) Carry-over Balance. The amount collected in the previous fiscal year in excess of or less than the needed revenues for that fiscal year.
(4)(A) Emissions of Facilities Subject to Fees.  Except as otherwise provided in subsections (c)(4)(B) and (c)(4)(C), for each district, (1.) the name and address of each permitted facility that emitted 250 tons or more of any nonattainment pollutant or precursor during the most recent calendar year for which emission estimates are available for all affected districts and (2.) the total tons of each identified facility's emissions during the referenced calendar year of all nonattainment pollutants or precursors that were individually emitted by the facility in an amount of 250 tons or more in the year. 
(B) For the South Coast Air Quality Management District (SCAQMD) only, the amount of each facility's emissions specified in subsection (c)(4)(A) shall be determined on a fiscal year instead of a calendar year basis. Emissions from facilities in the SCAQMD shall be determined for the fiscal year that begins during the most recent calendar year for which emission estimates are available for all affected districts. For example, if the 2001 calendar year is the most recent calendar year for which emission estimates are available for all affected districts, then all districts except the SCAQMD would identify facilities and submit facility emissions for the 2001 calendar year, and the SCAQMD would identify facilities and submit facility emissions for the 2001-2002 fiscal year. 
(C) A facility shall not be included if its emissions would otherwise be included solely because the facility is in a district which is designated in section 60201 as not having attained the state ambient air quality standard for ozone solely as a result of ozone transport identified in section 70500, title 17, California Code of Regulations.
(5) Consumer Products Manufacturers and Architectural Coatings Manufacturers Subject to Fees. Any consumer products or architectural coatings manufacturer for which the total sales of the manufacturer's consumer products or architectural coatings resulted in VOC emissions in the State of 250 tons or more during the same calendar year identified for facilities pursuant to section 90800.8(c)(4)(A). 
(6) Fee per ton. The fee per ton for the fiscal year, calculated in accordance with the following formula:
Fee per ton = R + A -C
         E
Where
R = The needed revenues identified in accordance with section (c)(1)
A = The adjustment amount identified in accordance with section (c)(2)
C = Carry-over balance determined in accordance with section (c)(3)
E = The total tons of nonattainment pollutants or precursors individually emitted in annual amounts of 250 tons or more from all permitted facilities in the state identified in accordance with section (c)(4), plus the total tons of VOCs emitted in annual amounts of 250 tons or more from consumer products and architectural coatings sold in the state as identified in accordance with section (c)(5). 
(7) Amount to be Remitted From Each Facility Operator, Consumer Products Manufacturer, or Architectural Coatings Manufacturer. The dollar amount to be transmitted to the state board, calculated in accordance with the following formula:
Amount to be transmitted = F * D
Where
F = Fee per ton as calculated in accordance with section (c)(6)
D = The tons of nonattainment pollutants or precursors individually emitted in annual amounts of 250 tons or more from a permitted facility identified in accordance with section (c)(4), or the tons of VOCs emitted in annual amounts of 250 tons or more for a manufacturer, as identified in accordance with section (c)(5)
(d) Final Determination of Fees to be Assessed. No later than August 1 of the fiscal year, after considering any comments submitted by July 1 of the fiscal year, the Executive Officer shall make final determinations of all of the items in section (c)(1) through (c)(7), and shall provide a written fee determination notice to each district and to each facility operator, consumer products manufacturer, and architectural coatings manufacturer identified in accordance with section (c)(4) or (c)(5).
(e) Transmittal of the Fees to the State Board.
(1) Each facility operator, consumer products manufacturer, and architectural coatings manufacturer that is notified pursuant to section (d) that it must remit a specified dollar amount to the state board shall transmit that dollar amount to the state board for deposit into the Air Pollution Control Fund within 60 days after receipt of the fee determination notice as specified in section 90802(a). The amount transmitted shall be collected by the state board from the facilities and manufacturers identified in the Executive Officer's final determination as meeting the criteria in section (c)(4) or (c)(5). The fees shall be in addition to permit and other fees already authorized to be collected from such sources.
(2)(A) Newly Identified Facilities: In addition to the amount transmitted in accordance with section (e)(1), the Executive Officer shall, for any facility identified by the Executive Officer as meeting the criteria in section (c)(4) after the Executive Officer's notification under section (d), notify the facility operator and collect for deposit into the Air Pollution Control Fund the dollar amount equal to the fee per ton calculated using the formula in section (c)(6) multiplied by the total tons of the facility's emissions, during the year used to determine emissions in accordance with section (c)(4), of all nonattainment pollutants or precursors that were individually emitted by the facility in an amount of 250 tons or more in the year. The operator of each newly identified facility shall transmit the assessed dollar amount to the state board within 60 days after receipt of the fee determination notice from the Executive Officer. The amount collected by the state board from the newly identified facility shall be in addition to permit and other fees already authorized to be collected from the facility.
(B) Newly Identified Manufacturers. The Executive Officer shall, for any consumer products manufacturer or architectural coatings manufacturer identified by the Executive Officer as meeting the criteria in section (c)(5) after the Executive Officer's notification under section (d), notify the consumer products manufacturer or architectural coatings manufacturer and collect for deposit into the Air Pollution Control Fund the dollar amount equal to the fee per ton calculated using the formula in section (c)(6) multiplied by the total tons of VOCs emitted from consumer products or architectural coatings sold by such manufacturer during the calendar year used to determine emissions in accordance with section (c)(5). Each newly identified manufacturer shall transmit the assessed dollar amount to the state board within 60 days after receipt of the fee determination notice from the Executive Officer. The amount collected by the state board from the newly identified manufacturer shall be in addition to permit and other fees already authorized to be collected from the manufacturer. 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
2. Amendment of section heading, section and Note filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
§90800.9. Optional Process for Districts to Collect Fees from Facilities.
Note     •     History

(a) Notwithstanding the provisions of sections 90800.8 and 90802, each district shall have the option for any fiscal year to collect fees from facilities within the district instead of having the state board collect the fees. A district that chooses to collect fees from facilities pursuant to this section shall follow the process set forth below in section 90800.9(b) or (c). For districts that do not choose to collect fees from facilities, the Executive Officer shall follow the process specified in sections 90800.8 and 90802. Districts shall not have the option to collect fees from consumer products manufacturers and architectural coatings manufacturers. 
(b) 2003-2004 Fiscal Year. 
(1) Notification. A district that chooses to collect fees from facilities for the 2003-2004 fiscal year shall notify the Executive Officer no later than 10 days after the operative date of this section. No later than 30 days after the operative date of this section, the Executive Officer shall provide written notice to each district and facility operator, as specified in section 90800.8(a)(2)(A). 
(2) Collection and Transmittal of Fees to the State Board. Each facility operator notified under section 90800.8(a)(2)(A) shall transmit the specified dollar amount to the district within 60 days of notification. No later than 90 days after notification under section 90800.8(a)(2)(A), each district shall transmit the fees to the state board for deposit in the Air Pollution Control Fund. The amount transmitted shall be collected by the district from all facilities in the district that are identified in the Executive Officer's notification. The fees shall be in addition to permit and other fees already authorized to be collected from such sources. Districts shall assess late fees and may recover administrative costs for the 2003-2004 fiscal year as provided in sections 90800.9 (c)(3) and (c)(4). 
(c) 2004-2005 and Subsequent Fiscal Years. A district that chooses to collect fees on facilities for the 2004-2005 fiscal year or any subsequent fiscal year shall notify the Executive Officer on or before April 1 of the preceding fiscal year, and the district and the Executive Officer shall follow the process set forth below in subsections (c)(1) through (c)(5). 
(1) Notification to Districts by the Executive Officer. No later than May 1 of the preceding fiscal year, the Executive Officer shall notify the district of the preliminary determination of fees to be assessed on each facility as provided in section 90800.8(c). No later than August 1, of the fiscal year, the Executive Officer shall notify the district of the final determination of fees to be assessed on each facility as provided in section 90800.8(d). 
(2) Notification to Facilities by the District. Each district shall notify and assess the operator of each facility subject to permit fees, as provided for in this subchapter, in writing of the fee due. The fee shall be past due 60 days after receipt by the operator of the fee determination notice. 
(3) Late Fees. Each district shall assess an additional fee on operators failing to pay the fee within 60 days of receipt of the fee determination notice. The district shall set the late fee in an amount sufficient to pay the district's additional expenses incurred by the operator's untimely payment. 
(4) Recovery of Administrative Costs. Each district may recover administrative costs to the district of collecting the fees pursuant to this subchapter. At the request of the Executive Officer, a district shall provide to the Executive Officer, within 30 days of the request, substantiation of administrative costs. 
(5) Collection and Transmittal of Fees to the State Board. Each district that is notified pursuant to section 90800.9(c)(1) that it must remit a specified dollar amount to the state board shall transmit that dollar amount to the state board by January 1 of the fiscal year for deposit into the Air Pollution Control Fund. The amount transmitted shall be collected by the district from the facilities in the district that are identified in the Executive Officer's final fee determination as meeting the criteria in section 90800.8(c)(4). The fees shall be in addition to permit and other fees already authorized to be collected from such sources. 
(d) Newly Identified Facilities. In addition to the amounts transmitted in accordance with section 90800.9(b)(2) and (c)(5), a district shall, for any facility identified by the Executive Officer as meeting the criteria in section 90800.8(c)(4) after the Executive Officer's notification under section 90800.8(a)(2)(A) or 90800.8(d), transmit to the state board for deposit into the Air Pollution Control Fund the dollar amount equal to the fee per ton calculated using the formula in section 90800.8(c)(6) multiplied by the total tons of the facility's emissions, during the year used to determine emissions in accordance with section 90800.8(c)(4), of all nonattainment pollutants or precursors that were individually emitted by the facility in an amount of 250 tons or more in the year. The operator of each newly identified facility shall transmit the assessed dollar amount to the district within 60 days after receipt of the fee determination notice from the Executive Officer. The amount transmitted shall be collected by the district from the newly identified facility, and shall be in addition to permit and other fees already authorized to be collected from the facility. The district shall transmit any fees received from the facility to the state board by January 1 of the fiscal year, or, for fees received by the district on or after December 31, within 30 days after receiving the fees from the facility. 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code. 
HISTORY

1. New section filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
§90801. Definitions.
Note     •     History

For the purposes of this subchapter, the following definitions apply: 
(a) “Architectural Coating” means a coating to be applied to stationary structures or their appurtenances at the site of installation, to portable buildings at the site of installation, to pavements, or to curbs. Coatings applied in shop applications or to non-stationary structures such as airplanes, ships, boats, railcars, and automobiles, and adhesives are not considered architectural coatings for the purposes of this subchapter. 
(b) “Architectural Coatings Manufacturer” means: (1) any company or person that imports, manufactures, produces, packages, or repackages architectural coatings for sale or distribution in the State of California; and (2) for an architectural coatings manufacturer under the control of a holding or parent company, the holding or parent company. 
(c) “Company” means any firm, association, partnership, business trust, corporation, joint-stock company, limited liability company, or similar organization. 
(d) “Consumer Product” means a chemically formulated product used by household and institutional consumers including, but not limited to, detergents; cleaning compounds; polishes; floor finishes; cosmetics; personal care products; home, lawn, and garden products; disinfectants; sanitizers; aerosol paints; and automotive specialty products; but does not include other paint products, furniture coatings, or architectural coatings. As used in this subchapter, the term “consumer product” shall also refer to aerosol adhesives, including aerosol adhesives used for consumer, industrial, and commercial uses. 
(e) “Consumer Products Manufacturer” means: (1) any company, firm, or establishment which is listed on a consumer product's label; if the label lists two companies, firms, or establishments, the consumer products manufacturer is the party which the product was “manufactured for” or “distributed by”, as noted on the label; and (2) for a consumer products manufacturer under the control of a holding or parent company, the holding or parent company. 
(f) “District” means an air pollution control district or an air quality management district created or continued in existence pursuant to Part 3 (commencing with section 40000), Division 26, Health and Safety Code. 
(g) “Executive Officer” means the Executive Officer of the state board or his or her delegate. 
(h) “Facility” means any nonvehicular source which requires a permit from the district.
(i) “Holding or parent company” means any company that has control over another company. For the purposes of this subchapter, a company has control over another company if: 
(1) the company directly or indirectly or acting through one or more other persons owns, controls, or has power to vote more than 50 percent of the voting securities of the other company; or 
(2) the company controls in any manner the election of a majority of the directors or trustees or individuals exercising similar functions of the other company; or 
(3) the company has the power to exercise, directly or indirectly, a controlling influence over the management or policies of the other company. 
(j) “Nonattainment pollutant” means any substance for which an area is designated in Sections 60200-60209 as not having attained a state ambient air quality standard listed in section 70200, Title 17, California Code of Regulations, as of July 1 of the fiscal year for which fees are being collected.
(k) “Nonattainment pollutants and precursors” shall be defined as follows:

             Substance
(as listed in Section 70200,	        nonattainment
         Title 17, CCR):	   pollutant/precursor:

 Ozone	reactive organic gases
	oxides of nitrogen
 Sulfur Dioxide	oxides of sulfur
 Sulfates	oxides of sulfur
 Nitrogen Dioxide	oxides of nitrogen
 Carbon Monoxide	carbon monoxide

 Suspended Particulate	suspended particulate
      Matter (PM 10)	matter (PM10),
	oxides of nitrogen,
	oxides of sulfur
	reactive organic gases

 Visibility Reducing	suspended particulate matter (PM10),
      Particles	oxides of nitrogen, oxides of sulfur
	reactive organic gases
 Hydrogen Sulfide	hydrogen sulfide
 Lead	lead

(l) “Nonattainment precursor” means any substance which reacts in the atmosphere to contribute to the production of a nonattainment pollutant or pollutants in an area designated in sections 60200-60209 as not having attained a state ambient air quality standard listed in section 70200, Title 17, California Code of Regulations, as of July 1 of the fiscal year for which fees are being collected.
(m) “Operator” means the person who owns or operates a facility or part of a facility.
(n) “Volatile Organic Compound” or “VOC” means any compound containing at least one atom of carbon, excluding carbon monoxide, carbon dioxide, carbonic acid, metallic carbides or carbonates, and ammonium carbonate, and excluding the following: 
(1) methane, methylene chloride (dichloromethane), 1,1,1-trichloroethane (methyl chloroform), trichlorofluoromethane (CFC-11), dichlorodifluoromethane (CFC-12), 1,1,2-trichloro-1,2,2-trifluoroethane (CFC-113), 1,2-dichloro-1,1,2,2-tetrafluoroethane (CFC-114), chloropentafluoroethane (CFC-115), chlorodifluoromethane (HCFC-22), 1,1,1-trifluoro-2,2-dichloroethane (HCFC-123), 1,1-dichloro-1-fluoroethane (HCFC-141b), 1-chloro-1,1-difluoroethane (HCFC-142b), 2-chloro-1,1,1,2-tetrafluoroethane (HCFC-124), trifluoromethane (HFC-23), 1,1,2,2-tetrafluoroethane (HFC-134), 1,1,1,2-tetrafluoroethane (HFC-134a), pentafluoroethane (HFC-125), 1,1,1-trifluoroethane (HFC-143a), 1,1-difluoroethane (HFC-152a), cyclic, branched, or linear completely methylated siloxanes, the following classes of perfluorocarbons: 
(A) cyclic, branched, or linear, completely fluorinated alkanes; 
(B) cyclic, branched, or linear, completely fluorinated ethers with no unsaturations; 
(C) cyclic, branched, or linear, completely fluorinated tertiary amines with no unsaturations; and 
(D) sulfur-containing perfluorocarbons with no unsaturations and with the sulfur bonds to carbon and fluorine; and 
(2) the following low-reactive organic compounds which have been exempted by the U.S. EPA: acetone, ethane, methyl acetate, parachlorobenzotrifluoride (1-chloro-4-trifluoromethyl benzene), and perchloroethylene (tetrachloroethylene). 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment of subsections (b), (c) and (d) filed 9-18-91; operative 10-18-91 (Register 92, No. 2).
3. Editorial correction of printing error in subsection (d) (Register 92, No. 2).
4. Amendment of subsection (d) and new subsection (f) filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
5. Amendment of section and Note filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
§90802. Fee Payment and Collection.
Note     •     History

(a) The Executive Officer shall notify and assess the operator of each facility, each consumer products manufacturer, and each architectural coatings manufacturer subject to fees, in writing of the fee due as provided in subsections (a)(2), (c), (d), and (e)(2) of section 90800.8. At the request of a holding or parent company, the Executive Officer shall provide separate written notice of their individual fee determinations to each consumer products or architectural coatings manufacturer within the holding or parent company. The fee shall be past due 60 days after receipt by the operator or manufacturer of the fee determination notice.
(b) Late Fees. The Executive Officer shall assess an additional fee on operators, consumer products manufacturers, and architectural coatings manufacturers failing to pay the fee within 60 days of receipt of the fee determination notice. The Executive Officer shall set the late fee in an amount sufficient to pay the state board's additional expenses incurred by the operator's or manufacturer's untimely payment.
(c) Any fees submitted to the state which exceed or are less than the costs to the state of additional state programs authorized or required by the State Legislature shall be carried over by the state for adjustments to the fees assessed in the subsequent fiscal year.
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment to subsections (c) and (d) filed 3-6-91; operative 3-6-91 pursuant to Government Code section 11346.2 (Register 91, No. 14).
3. Editorial correction of printing error in subsection (a) (Register 92, No. 2).
4. Amendment of section and Note filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
§90803. Failure of Facility to Pay Fees.
Note     •     History

For districts exercising the option to collect fees as provided in sections 90800.9 or 90805, in the event any district is unable to collect the assessed fee from any source due to circumstances beyond the control of the district, including but not limited to facility closure, emission qualification errors, or refusal of the operator to pay despite permit revocation and/or other enforcement action, such district shall notify the Executive Officer. For demonstrated good cause, the district may be relieved from that portion of the fees the district is required to collect and remit to the state as set forth in sections 90800.8 and 90800.9. Nothing herein shall relieve the operator from any obligation to pay any fees assessed pursuant to these regulations.
NOTE

Authority cited: Section 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code.
HISTORY

1. New section filed 10-6-89; operative 11-5-89 (Register 89, No. 43).
2. Amendment filed 3-6-91; operative 3-6-91 pursuant to Government Code section 11346.2 (Register 91, No. 14).
3. Amendment  filed 9-18-91; operative 10-18-91 (Register 92, No. 2).
4. Amendment filed 8-11-92; operative 9-10-92 (Register 92, No. 33).
5. Amendment filed 6-15-93; operative 7-1-93 (Register 93, No. 25).
6. Amendment filed 11-28-94; operative 12-28-94 (Register 94, No. 48).
7. Amendment filed 1-10-96; operative 2-9-96 (Register 96, No. 2).
8. Amendment filed 11-22-96; operative 12-22-96 (Register 96, No. 47).
9. Amendment filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
10. Amendment of section and Note filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
11. Amendment filed 3-3-2005; operative 3-3-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 9). 
§90804. Severability.
Note     •     History

Each part of this subchapter is deemed severable, and in the event that any part of this subchapter is held to be invalid, the remainder of this subchapter shall continue in full force and effect. 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code.
HISTORY

1. New section filed 2-5-2004; operative 2-5-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 6). 
§90805. Supplemental Fee Assessments for Facilities.
Note     •     History

(a) Applicability. This section applies in any fiscal year in which the State Legislature has authorized the state board to collect fees in excess of $17.4 million to recover the costs of additional state programs related to nonvehicular sources, consumer products, and architectural coatings. 
(b) Determination of Supplemental Fees to be Assessed 
(1) Needed Supplemental Fees. The Executive Officer shall determine the needed revenues as specified in section 90800.8(c)(1). If the needed revenues are equal to or less than $17.4 million, the revenues shall be collected from facilities, consumer products manufacturers, and architectural coatings manufacturers as provided in sections 90800.8 to 90803. If the needed revenues are in excess of $17.4 million, the amount in excess of $17.4 million shall be collected as supplemental fees from facilities, as provided in the following subsections. The total revenues collected from facilities pursuant to this subchapter: 
(A) shall not exceed the amount authorized by Health and Safety Code section 39612(f) or other provisions of State law, and 
(B) may include a percentage increase in revenues by an amount not to exceed the annual percentage change in the California Consumer Price Index, as provided in Health and Safety Code section 39612(f)(2), if such an increase is necessary to collect the revenues authorized by the State Legislature for any fiscal year. 
(2) Adjustment Amount. An additional adjustment amount, not to exceed 3 percent of the needed supplemental fee revenues, designed to recover unforeseen reductions in collections due to unexpected business closures and bankruptcies. 
(3) Carry-over Balance. The amount of supplemental fees collected in the previous fiscal year in excess of or less than the needed supplemental fee revenues for that fiscal year. 
(4) Emissions of Facilities Subject to Supplemental Fees. Any facility identified in section 90800.8(c)(4) is subject to the supplemental fee. The total emissions of each facility subject to the fee shall be determined as provided in section 90800.8(c)(4). 
(5) Supplemental Fee per ton. The supplemental fee per ton for the fiscal year shall be calculated in accordance with the following formula:

View Graphic
Where 
S = The needed supplemental fee revenues identified in accordance with section 90805(b)(1). 
SE = The total tons of nonattainment pollutants or precursors individually emitted in annual amounts of 250 tons or more from all permitted facilities in the state identified in accordance with section 90800.8(c)(4). 
A = The adjustment amount identified in accordance with 
section (b)(2). 
C = Carry-over balance determined in accordance with 
section (b)(3). 
(6) Supplemental Fee Amount to be Remitted from each Facility Operator. The dollar amount to be transmitted to the state board, in addition to the amount remitted under section 90800.8(c)(7), shall be calculated in accordance with the following formula: 
Amount to be transmitted = SF * SD 
Where 
SF = Fee per ton as calculated in accordance with 
section 90805(b)(5). 
SD = The tons of nonattainment pollutants or precursors individually emitted in annual amounts of 250 tons or more from a permitted facility identified in accordance with section 90800.8(c)(4). 
(c) Preliminary and Final Determination of Supplemental Fees to be Assessed. 
(1) The Executive Officer shall make a preliminary determination of the supplemental fees to be assessed as specified in section 90800.8(c). 
(2) The Executive Officer shall make a final determination of the supplemental fees to be assessed as specified in section 90805(b), and shall provide a written final fee determination notice to each district and to each facility operator identified in accordance with section 90800.8(c)(4). 
(3) The Executive Officer may include the preliminary and final supplemental fee determinations in the written notices provided under sections 90800.8(c) and 90800.8(d), or may use separate notices for the supplemental fees. 
(4) For the 2004-2005 fiscal year, the Executive Officer is not required to provide a preliminary determination notice for the supplemental fees, and the final supplemental fee determination notice shall be provided no later than 30 days after the operative date of this section. For the 2005-2006 and subsequent fiscal years, the fee determination notices shall be provided within the time periods specified in sections 90800.8(c) and 90800.8(d), or as soon thereafter as practicable. 
(d) Transmittal of the Supplemental Fees to the State Board 
(1) Each facility operator that is notified pursuant to section 90805(c) that it must remit a specified dollar amount to the state board shall transmit that dollar amount to the state board for deposit into the Air Pollution Control Fund within 60 days after receipt of the fee determination notice. The supplemental fees shall be in addition to any other fees already authorized to be collected from such sources, including the fees collected pursuant to sections 90800.8 and 90802. 
(2) Newly Identified Facilities. Newly identified facilities are subject to the supplemental fees in the same manner that they are subject to the fees collected pursuant to sections 90800.8(e)(2)(A) and 90802. The Executive Officer shall collect the supplemental fees using the process for newly identified facilities specified in section 90800.8(e)(2)(A). The operator of each newly identified facility shall transmit the assessed dollar amount to the state board within 60 days after receipt of the fee determination notice from the Executive Officer. 
(e) Optional Process for Districts to Collect Supplemental Fees from Facilities 
(1) 2004-2005 Fiscal Year. Districts shall not have the option to collect supplemental fees from facilities for the 2004-2005 fiscal year. 
(2) 2005-2006 and Subsequent Fiscal Years. Beginning with the 2005-2006 fiscal year, each district shall have the option for any fiscal year to collect supplemental fees from facilities instead of having the state board collect the fees. A district that chooses to collect the supplemental fees shall follow the process specified in section 90800.9(c) and (d) for fees collected pursuant to sections 90800.8 and 90802. 
(f) Fee Payment and Collection. 
(1) The Executive Officer shall notify and assess the operator of each facility subject to the supplemental fees in writing of the fee due as provided in this section. The fee shall be past due 60 days after receipt by the operator of the fee determination notice. 
(2) Late Fees. The Executive Officer shall assess an additional fee on operators failing to pay the supplemental fee within 60 days of receipt of the fee determination notice. The Executive Officer shall set the late fee in an amount sufficient to pay the state board's additional expenses incurred by the operator's untimely payment. 
(3) Any supplemental fees submitted to the state which exceed or are less than the costs to the state of additional state programs authorized or required by the State Legislature shall be carried over by the state for adjustment to the supplemental fees assessed in the subsequent fiscal year. 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code. 
HISTORY

1. New section filed 3-3-2005; operative 3-3-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 9). 
§90806. Compliance with State Legislature Modifications.
Note     •     History

(a) If the State Legislature in any fiscal year specifies particular amounts or percentages that are to be collected from the categories of nonvehicular sources, consumer products, or architectural coatings, the Executive Officer shall comply with the Legislature's direction notwithstanding the provisions of this subchapter. 
(b) If the State Legislature modifies the 250 tons per year threshold specified in section 39612(d) or section 39613 of the Health and Safety Code, the modified threshold for nonvehicular sources, consumer products, or architectural coatings that is specified by the State Legislature shall be used in this subchapter instead of the existing 250 tons per year threshold. 
NOTE

Authority cited: Sections 39600, 39601, 39612 and 39613, Health and Safety Code. Reference: Sections 39002, 39500, 39600, 39612 and 39613, Health and Safety Code.
HISTORY

1. New section filed 3-3-2005; operative 3-3-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 9). 
Subchapter 4. Disclosure of Public Records
Article 1. General
§91000. Scope and Purpose.
Note     •     History

This subchapter shall apply to all requests to the state board under the California Public Records Act (Government Code Sections 6250 et seq.) for the disclosure of public records or for maintaining the confidentiality of data received by the state board. Written guidelines shall govern the internal review of such requests.
NOTE

Authority cited: Sections 39600 and 39601(a), Health and Safety Code. Reference: California Public Records Act, Chapter 3.5 (commencing with Section 6250), Division 7, Government Code.
HISTORY

1. New Subchapter 4 (Sections 91000 through 91022, not consecutive) filed 1-26-73; effective thirtieth day thereafter (Register 73, No. 4).
2. Amendment filed 9-28-73; effective thirtieth day thereafter (Register 73, No. 39).
3. Amendment of NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
4. Repealer and new section filed 10-5-82; effective thirtieth day thereafter (Register 82, No. 41).
§91001. Disclosure Policy.
Note     •     History

It is the policy of the state board that all records not exempted from disclosure by state law shall be open for public inspection with the least possible delay and expense to the requesting party.
NOTE

Authority cited: Sections 39600 and 39601(a), Health and Safety Code. Reference: Section 6253, Government Code; Black Panther Party v. Kehoe (1974) 42 Cal.App.3d 645.
HISTORY

1. Amendment filed 9-28-73; effective thirtieth day thereafter (Register 73, No. 39).
2. Amendment and new NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Repealer and new section filed 10-5-82; effective thirtieth day thereafter (Register 82, No. 41).
Article 2. Board's Requests for Information
§91010. Request Procedure.
Note     •     History

The state board shall give notice to any person from whom it requests information that the information provided may be released (1) to the public upon request, except trade secrets which are not emission data or other information which is exempt from disclosure or the disclosure of which is prohibited by law, and (2) to the federal Environmental Protection Agency, which protects trade secrets as provided in Section 114(c) of the Clean Air Act and amendments thereto (42 USC 7401 et seq.) and in federal regulations.
NOTE

Authority cited: Sections 39600, 39601 and 39602, Health and Safety Code. Reference: Sections 39701, 41510, 41511, 41512 and 42705, Health and Safety Code; and Section 6253, Government Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 9-28-73; effective thirtieth day thereafter (Register 73, No. 39).
2. Amendment of subsection (a), (b) and (c), and new NOTE, filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Amendment filed 10-5-82; effective thirtieth day thereafter (Register 82, No. 41).
4. Editorial correction filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
§91011. Submissions of Confidential Data.
Note     •     History

Any person submitting to the state board any records containing data claimed to be “trade secret” or otherwise exempt from disclosure under Government Code Section 6254 or 6254.7 or under other applicable provisions of law shall, at the time of submission, identify in writing the portions of the records containing such data as “confidential” and shall provide the name, address and telephone number of the individual to be contacted if the state board receives a request for disclosure of or seeks to disclose the data claimed to be confidential. Emission data shall not be identified as confidential. The state board shall not disclose data identified as confidential, except in accordance with the requirements of this subchapter or Section 39660(e) of the Health and Safety Code.
NOTE

Authority cited: Sections 39600 and 39601, Heath and Safety Code. Reference: Sections 39660, 39701, 41500, 41511, 41512 and 42705, Health and Safety Code; Sections 6253, 6254 and 6254.7, Government Code; Natural Resources Defense Council v. EPA, 489 F.2d 390 (5th Cir. 1974) (6 ERC 1248); Northern California Police Practices Project v. Craig (1979) 90 Cal.App.3d 116; Uribe v. Howie (1971) 19 Cal.App.3d 194.
HISTORY

1. New section filed 10-5-82; effective thirtieth day thereafter (Register 82, No. 41). For history of former section, see Register 73, No. 39.
2. Amendment filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
Article 3. Inspection of Public Records
§91020. Disclosure Policy.
History

HISTORY

1. Repealer filed 10-5-82; effective thirtieth day thereafter (Register 82, No. 41).
§91021. Disclosure Procedure.
Note     •     History

NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 6253-6257, Government Code.
HISTORY

1. Amendment of subsections (c) and (d)(3) filed 9-28-73; effective thirtieth day thereafter (Register 73, No. 39).
2. Amendment and new NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Repealer filed 10-5-82; effective thirtieth day thereafter (Register 82, No. 41).
§91022. Disclosure of Confidential Data.
Note     •     History

(a) This section shall apply to all data in the custody of the state board
(1) designated “trade secret” prior to the adoption of this subchapter,
(2) considered by the state board or identified by the person who submitted the data as confidential pursuant to this subchapter, or
(3) received from a federal, state or local agency, including an air pollution control district, with a confidential designation, subject to the following exceptions:
(A) Except for the time limits specifically provided in subsection (b), only subsections (c) and (d) of this section shall apply to information submitted pursuant to Health and Safety Code Section 39660(e).
(B) Appropriate portions of an application for approval, accreditation, or certification of a motor vehicle emission control device or system shall be kept confidential until such time as the approval, accreditation, or certification is granted, at which time the application (except for trade secret data) shall become a public record, except that estimates of sales volume of new model vehicles contained in an application shall be kept confidential for the model year, and then shall become public records. If an application is denied, it shall continue to be confidential but shall be subject to the provisions of this section.
(C) If disclosure of data obtained after August 9, 1984 from a state or local agency subject to the provisions of the Public Records Act is sought, the state board shall request that the agency which provided the data determine whether it is confidential. The state board shall request that it be notified of the agency's determination within ten days. The state board shall not release the data if the agency determines that it is confidential and so notifies the state board; provided, however, that the data may be released with the consent of the person who submitted it to the agency from which it was obtained by the state board.
(b) Upon receipt of a request from a member of the public that the state board disclose data claimed to be confidential or if the state board itself seeks to disclose such data, the state board shall inform the individual designated pursuant to Section 91011 by telephone and by mail that disclosure of the data is sought. The person claiming confidentiality shall file with the state board documentation in support of the claim of confidentiality. The documentation must be received within five (5) days from the date of the telephone contact or of receipt of the mailed notice, whichever first occurs. In the case of information submitted pursuant to Health and Safety Code Section 39660(e), the documentation must be received within 30 days of the date notice was mailed pursuant to that section. The deadlines for filing the documentation may be extended by the state board upon a showing of good cause made within the deadline specified for receipt of the documentation.
(c) The documentation submitted in support of the claim of confidentiality shall include the following information:
(1) the statutory provision(s) under which the claim of confidentiality is asserted;
(2) a specific description of the data claimed to be entitled to confidential treatment;
(3) the period of time for which confidential treatment is requested;
(4) the extent to which the data has been disclosed to others and whether its confidentiality has been maintained or its release restricted;
(5) confidentiality determinations, if any, made by other public agencies as to all or part of the data and a copy of any such determinations, if available; and
(6) whether it is asserted that the data is used to fabricate, produce, or compound an article of trade or to provide a service and that the disclosure of the data would result in harmful effects on the person's competitive position, and, if so, the nature and extent of such anticipated harmful effects.
(d) Documentation, as specified in subsection (c), in support of a claim of confidentiality may be submitted to the state board prior to the time disclosure is sought.
(e) The state board shall, within ten (10) days of the date it sought to disclose the data or received the request for disclosure, or within 20 days of that date if the state board determines that there are unusual circumstances as defined in Government Code Section 6256.1, review the request, if any, and supporting documentation, if received within the time limits specified in subsection (b) above, including any extension granted, and determine whether the data is entitled to confidential treatment pursuant to Government Code Section 6254, 6255 or 6254.7 or other applicable provisions of law and shall either:
(1) decline to disclose the data and, if a request was received, provide to the person making the request and to the person claiming the data is confidential a justification for the determination pursuant to Government Code Section 6255; or
(2) provide written notice to the person claiming the data is confidential and, if a request was received, to the person requesting the data that it has determined that the data is subject to disclosure, that it proposes to disclose the data, and that the data shall be released 21 days after receipt of the notice by the person claiming confidentiality, unless the state board is restrained from so doing by a court of competent jurisdiction. The state board shall release the data in accordance with the terms of the notice unless so restrained.
(f) Should judicial review be sought of a determination issued in accordance with subsection (e), either the person requesting data or the person claiming confidentiality, as appropriate, may be made a party to the litigation to justify the determination.
NOTE

Authority cited: Section 39601, Health and Safety Code. Reference: Sections 6253, 6254, 6254.7, 6255, 6256, 6256.1, 6258 and 6259, Government Code.
HISTORY

1. Amendment of subsections (a) and (b) filed 9-28-73; effective thirtieth day thereafter (Register 73, No. 39).
2. Amendment and new NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Amendment filed 10-5-82; effective thirtieth day thereafter (Register 82, No. 41).
4. Editorial correction of subsection (a) filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
5. Amendment filed 7-10-84; effective thirtieth day thereafter (Register 84, No. 28).
Subchapter 5. Emission Data, Sampling, and Credentials for Entry
Article 1. Determination of Emissions
§91100. Emission Data and Sampling Access.
Note     •     History

The Executive Officer of the Air Resources Board (State Board) or his or her authorized representative may, upon reasonable written notice, require the owner or operator of any substance, article, machine, equipment, or other contrivance, the use of which may cause the issuance of air contaminants, or the use of which may eliminate, reduce or control the issuance of air contaminants, to:
(a) Provide the State Board with descriptions of basic equipment, control equipment and rates of emissions. Where this information does not provide sufficient data for the State Board to carry out the purposes of Division 26 of the Health and Safety Code, or where such information is in question, the Executive Officer or his or her authorized representative may require such other additional information as may be necessary, including process and production data, techniques and flow diagrams.
(b) Provide sampling platforms, sampling ports, and means of access to sampling locations.
(c) Provide and maintain sampling and monitoring apparatus to measure emissions or air contaminants when the Executive Officer or his or her authorized representative has determined that such apparatus is available and should be installed.
NOTE

Authority cited: Sections 39515, 39516, 39600, 39601 and 41511, Health and Safety Code. Reference: Section 41511, Health and Safety Code.
HISTORY

1. New Subchapter 5 (Sections 91100 and 91105) filed 7-6-73; effective thirtieth day thereafter (Register 73, No. 27).
2. Amendment of section and NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Designation of Sections 91100 and 91105 as Article 1 filed 8-15-78; designated effective 10-1-78 (Register 78, No. 33).
4. Amendment filed 8-25-82; effective thirtieth day thereafter (Register 82, No. 35).
§91105. Credentials for Entry.
Note     •     History

NOTE

Authority cited: Section 39601(a), Health and Safety Code. Reference: Section 41510, Health and Safety Code.
HISTORY

1. Amendment and new NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
2. Repealer filed 8-25-82; effective thirtieth day thereafter (Register 82, No. 35).
Article 2. Source Testing
§91200. Scope and Policy; Definition.
Note     •     History

(a) The fee schedules in this Subchapter shall not supersede or preempt any rule or regulation of any air pollution control district governing fees for source testing.
(b) The following definitions apply for the purposes of this subchapter only.
(1) “Source” means (i) any permit unit, article, machine, equipment or other contrivance which may cause the issuance of air contaminants; or (ii) any substance, such as fuel or an architectural coating, the content, characteristics, manufacture, sale, distribution or use of which is restricted by any State or local law, rule, regulation or order relating to air pollution.
(2) “Responsible party” means (i) in reference to sources defined in subsection (b)(1)(i) of this section, the owner, operator, or user of a source; or (ii) in reference to sources defined in subsection (b)(1)(ii) of this section, the manufacturer who produced the substance in its entirety, the user of the substance, or any seller or offer or for sale of the substance.
(3) “Independent tester” means a person, other than an employee of the State Board, who engages in the testing of sources to determine compliance with State or local laws or regulations relating to air pollution.
(4) “Executive Officer” means the Executive Officer of the State Board or his or her authorized representative.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
HISTORY

1. New Article 2 (Sections 91200-91206) filed 8-15-78; designated effective 10-1-78 (Register 78, No. 33).
2. Repealer of Article 2 (Sections 91200-91206) and new Article 2 (Sections 91200-91220) filed 7-17-81; effective thirtieth day thereafter (Register 81, No. 29).
§91201. Source Testing Fee Schedule.
Note

(a) Whenever the Executive Officer finds that it is necessary to determine compliance of any source with permit conditions or with any State or local law, order, rule, or regulation relating to air pollution, including confirmation of the reliability, accuracy and precision of any in-stack monitoring equipment, he or she may require the testing of such source by qualified personnel of the State Board, by an independent contractor to the State Board, or by an independent tester specified by the responsible party upon approval by the Executive Officer.
(b) For testing conducted by the State Board's personnel or an independent contractor to the Board, the responsible party shall pay a fee in accordance with the following schedule to cover the cost of planning, preliminary evaluation, sampling, sample analysis, calculations, and report preparation with respect to samples of emissions secured from the source. The fees listed in the schedule shall be the maximum fees and shall be reduced by the Executive Officer if the actual cost to conduct a specific test is less. Fees for any compliance test not listed in the schedule shall be determined by the Executive Officer based on the cost to conduct the test.
Estimated Costs to Perform Source Tests and Other Special Tests1

              Type of Test	Fee    
  
Continuous Analyzer Gaseous Emissions Test 1 with
	Van 	 $1,620.00 plus $55.00/hour
Non-continuous Emission Testing 1 	 1,230.00 plus specific sample
		fee listed below
	Particulate Matter Test 	 230.00/sample
	Sulfur Dioxide Test 	 145.00/sample
	Sulfuric Acid Mist (including sulfur trioxide) and
	Sulfur Dioxide Test.	 205.00/sample
	Oxides of Nitrogen Test 	 90.00/sample
	Hydrogen Sulfide Test 	 120.00/sample
	Fluorides Test 	 400.00/sample
	Carbon Monoxide Test 	 70.00/sample
	Total Hydrocarbon Test 	 60.00/sample
	Gas Chromatographic Analysis of Unknown Pollutants 	 110.00/sample
	Vinyl Chloride Test 	 100.00/sample
Reid Vapor Pressure Test 	 45.00/test
Ambient Vinyl Chloride Test 	 100.00/sample
Visible Emission Evaluation Test 	 450.00/evaluation
Particulate Fallout Testing 	 75.00/sample
Floating Roof Tank Inspection 	 185.00/inspection
Vapor Recovery System Inspection 	 70.00-2,170.00/inspection
Valve and Flange Leak Test 	 1.75/test
Laboratory Fuel Analysis
	Carbon, Hydrogen, Nitrogen and Sulfur 	 30.00/sample
	Ash 	 75.00/sample
	Density 	 60.00/sample
	Heat Content 	 180.00/sample
	Water 	 75.00/sample
	Asphaltenes 	 75.00/sample
	Distillation 	 50.00/sample
	Metals 	 295.00/sample
	Bromine Number 	 50.00/sample
	Lead 	 15.00/sample
Other Laboratory Analysis
	Water, Volatile Organic Compounds and Density (paints) 	 50.00/sample
	Methane 	40.00/sample
	Total Hydrocarbon 	 30.00/sample
	Hydrocarbons (with one to nine carbons) 	 55.00/sample
	Molecular Weight Determination of Vapor Hydrocarbons 	 75.00/sample
	Molecular Weight Determination of Liquid Hydrocarbons 	 50.00/sample
	Hydrogen Sulfide 	 30.00/sample
	Percent Water 	 30.00/sample
	Asbestos (air filter sample) 	 444.00/sample
	Particle Size Distribution Optical Microscopy 	 148.00/sample
	Particle Size Distribution Electron Microscopy 	 . 296.00/sample

Notes:1. Source test fees may also include additional cost of laboratory analysis as required.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91202. Additional Testing.
Note

(a) Where test results indicate that a source is in compliance with permit conditions or with any State or local law, order, rule or regulation relating to air pollution, the responsible party shall be assessed the applicable fees in Section 91201 only once per each 12-month period. This limitation shall not restrict the State Board from conducting additional testing at its own expense. The Executive Officer may assess fees for multiple testing, or for multiple samples, where the same is necessary to determine compliance.
(b) If the test results indicate that the specific source tested is not in compliance with permit conditions or with any State or local law, order, rule, or regulation relating to air pollution, the Executive Officer may require such additional source tests as may be necessary and may also exclude use of an independent tester for such additional tests. In such event, the responsible party shall pay for each additional test in accordance with the schedule of fees set forth in Section 91201 until compliance is achieved and confirmed.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91203. Fee Payment.
Note

(a) After completion of testing conducted by the State Board directly or by a contractor to the State Board, the responsible party shall be notified by the Accounting Office of the State Board, in writing, of the fees to be paid for such tests and of preliminary results. The failure to pay any such fee within 30 days of the receipt of the notice shall constitute grounds for the revocation or suspension of the permit to operate the equipment tested. The Executive Officer may request the district air pollution control officer to revoke or suspend any permit until the required fees are paid, in accordance with Health and Safety Code Sections 42304-42309.
(b) The responsible party shall be entitled to receive a copy of the source test results, if the testing was conducted by the State Board or an independent contractor to the State Board, as soon as such test results have been verified and finalized.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91204. Financial Hardship Exemption.
Note

(a) The responsible party may petition the Executive Officer, no later than 30 days after receipt of the fee notice described in Section 91203, to be excused from payment of fees, or a portion of such fees, on the grounds that payment of such fees would cause a demonstrable financial hardship.
(b) For the purposes of this Section, a demonstrable financial hardship shall consist of such evidence as is capable of demonstrating that full payment will prevent the responsible party from meeting other financial obligations as they come due, or will cause the taking of property or the practical closing and eliminating of a lawful business.
(c) Based on the evidence provided, the Executive Officer may exempt the responsible party from payment of all or a portion of the fees otherwise required under Section 91203.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91205. Small Business.
Note

(a) A small business shall not be required to pay any fees otherwise applicable under Section 91201. A “small business,” for the purposes of this section, shall be as defined in subsection (1), Section 1896, Title 2 of the California Administrative Code.
(b) Any responsible party who desires to establish eligibility for non-payment of fees pursuant to subsection (a) shall do so by filing a written statement, under penalty of perjury, that the business is a small business, as defined.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91206. Request for Independent Tester.
Note

(a) By August 1, 1981, or by June 1 of any year thereafter, any responsible party who seeks to have compliance testing performed by an independent tester for the following fiscal year shall inform the Executive Officer in writing of this desire. If no such request is made, then compliance testing for the fiscal year may be conducted by the Executive Officer or by an independent contractor to the State Board.
(b) All requests for an independent tester shall include the name(s) of the independent testers, the type of source or sources to be tested, the type of test or tests to be performed, and a statement by the responsible party that it will comply with the requirements of Sections 91208-91212 of this subchapter and that the designated independent tester has agreed to perform any necessary source testing.
(c) Independent testers shall in all cases be subject to approval by the Executive Officer.
(d) At any time a responsible party which has previously designated an approved independent tester pursuant to subsection (a) of this section may apply for the substitution, addition or removal of a designation of an independent tester. No such change shall be effective for at least 60 days following the application.
(e) The Executive Officer may compliance test any source and charge a fee to the responsible party for the cost of such test, notwithstanding a request for an independent tester, if any of the following conditions prevail:
(1) The responsible party has not designated an independent tester to the Executive Officer by August 1, 1981 or by June 1 for any year thereafter.
(2) The Executive Officer has found the designated independent tester(s) non-approvable.
(3) The designated independent tester has not timely submitted information requested by the Executive Officer pursuant to Section 91207(a).
(4) A violation has been found by the most recent source test conducted within a year prior to the proposed current source test; provided, however, that such restriction shall only apply for the specific source found in violation.
(5) The Executive Officer has determined that other good cause exists to deny the request.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91207. Approval of Independent Testers.
Note

(a) Independent testers may be approved for performing any of the tests listed in Section 91201 of this subchapter or such other tests as deemed appropriate by the Executive Officer to determine compliance of a source with applicable laws and rules. Such approval can be accomplished by a potential tester's writing the Executive Officer and specifying the test(s) for which approval is sought. The potential tester shall then provide any necessary data requested by the Executive Officer which can substantiate the potential tester's qualifications for performing the noted test(s).
(b) Approval of an independent tester may be withdrawn at any time if the approved tester fails to comply with the requirements specified in Sections 91215-91218 of this subchapter or fails to provide the type and quality of data required by the Executive Officer.
(c) Upon disapproval or withdrawal of approval of an independent tester, the Executive Officer shall send by certified mail a written statement of the reasons for such action to the independent tester, and to any responsible party requesting or using such tester.
(d) An independent tester may request reconsideration of the decision of the Executive Officer to disapprove or withdraw approval of such tester. The request must be received by the Executive Officer within 30 days after mailing the written statement described in subsection (c), and shall contain all evidence the independent tester asserts justifies reconsideration. The Executive Officer may rescind the disapproval or withdrawal if he or she determines that the independent tester satisfies the applicable requirements of this subchapter. A written statement of the reasons for the Executive Officer's decision shall be transmitted in accordance with subsection (c) of this section.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91208. Conflict of Interest.
Note

(a) An independent tester shall not be allowed to conduct a compliance source test pursuant to this subchapter if:
(1) It is owned in whole or in part by the responsible party of the source; or
(2) In the 12 months preceding the test, the independent tester has received gross income from the responsible party, other than as a result of source test contracts entered into pursuant to this subchapter, in excess of $100,000, or in excess of ten percent of the independent tester's gross annualized revenues; provided that for the purpose of this subsection, “independent tester” and “responsible party” shall include any entity under common ownership with such tester or party; or
(3) The independent tester manufactured or installed any emission control device or monitor utilized in connection with the specific source to be tested.
(b) An independent tester shall not utilize in a compliance test pursuant to this subchapter any employee or agent who holds a direct or indirect investment in the responsible party of the source of $1,000 or more, or who has directly received in the previous 12 months income in excess of $250 from the responsible party of the source, or who is a director, officer, partner, employee, trustee, or holds any position of management in the responsible party of the source.
(c) If the Executive Officer determines that a compliance source test administered pursuant to this subchapter was not conducted in accordance with the provisions of this section, he or she may invalidate the results of the test and the tester may be subject to disqualification from further testing on the Board's behalf.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91209. Pretest Inspection Right of Entry.
Note

The responsible party which has requested testing by an independent tester must allow entry to both authorized representatives of the independent tester and authorized representatives of the Executive Officer for the purpose of conducting a pretest inspection.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91210. Right of Entry During Independent Testing.
Note

When a responsible party requests to be tested by an independent tester, the responsible party shall grant entry to the actual test site, without prior notice, to both the tester's authorized personnel and the Executive Officer's authorized personnel.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91211. Oversight.
Note

All testing requested by the Executive Officer and conducted by an independent tester may be observed by an authorized representative of the Executive Officer.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91212. Audit Testing of Independent Testers.
Note

Without prior notice the responsible party must allow personnel and equipment authorized by the Executive Officer entry for the purpose of testing the capability of the independent tester during the performance of a test.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91213. Availability of Independent Tester.
Note

The responsible party must notify the designated independent tester that he or she may be called upon to perform testing with at least 24 hours advance notice from the Executive Officer. If the tester cannot respond within the required time, then the Executive Officer may conduct the required testing. In such cases the responsible party will be charged for the testing in accordance with Section 91201, Title 17, California Administrative Code.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91214. Fee and Payment for Testing by Independent Testers.
Note

Fees and payment for testing conducted by independent testers shall be arranged by agreement between the independent tester and the responsible party. In no case will the State Board be responsible for collection of fees for any independent tester.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91215. Confidentiality of Test Information.
Note

Without prior approval of the Executive Officer, the independent tester shall not disclose to the responsible party or the responsible party's personnel in advance of the test the dates, locations, or times of testing. The independent tester shall not disclose to the responsible party the results of the test prior to disclosure to the Air Resources Board. Failure to keep such information confidential for such a period may result in indefinite disqualification of the tester.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91216. Records and Reports.
Note

All original records made during testing requested by the State Board shall become the property of the State Board. All or part of such records may be requested by the Executive Officer at any time during or after the test period. All original records and the report of results from the tester should be provided to the Executive Officer no later than 30 days after the testing is complete. Failure to provide the required records or reports may result in disqualification of the tester for further testing required by the State Board.
NOTE

Authority cited: Sections 39600, 39601, and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91217. Conformity During Testing.
Note

An independent tester shall conform to reasonable requests made by the Executive Officer during the test period. Failure to conform as such may result in disqualification from testing as required by the State Board.
NOTE

Authority cited: Sections 39600, 39601, and 41512, Health and Safety Code. Reference: Sections 41510 41511 and 41512, Health and Safety Code.
§91218. Testimony.
Note

When requested by the Executive Officer, the independent tester shall provide testimony in court or other prosecutional assistance related to violations discovered as a result of the independent tester's compliance source test. Charges of the independent tester to the State Board for such services shall not exceed the actual travel costs, the per diem rate for state employees applicable at the time of the services, and remuneration for personal services on an hourly basis not to exceed the hourly cost to the State of an employee of the State Board whose job functions are mostly closely equivalent to the functions of the representative of the independent tester rendering the personal services.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91219. Validity of Independent Tester's Compliance Test Data.
Note

Test data produced during compliance testing of a source by an independent tester will be reviewed by the Executive Officer to determine its validity. If such data is determined after consultation with the independent tester and the responsible party to be invalid, the Executive Officer may require a repeat compliance test of the source.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
§91220. Unannounced Testing.
Note

When there is reasonable cause to believe that a violation has occurred, is occurring, or will occur, the Executive Officer may test directly without prior notice and without allowing such testing to be conducted by an independent tester.
NOTE

Authority cited: Sections 39600, 39601 and 41512, Health and Safety Code. Reference: Sections 41510, 41511 and 41512, Health and Safety Code.
Subchapter 5.5. 
Article 1. 
§91400. Equipment and Process Precertification.
Note     •     History

The Executive Officer may precertify simple, commonly used equipment and processes in accordance with the Air Resources Board's “Criteria for Equipment and Process Precertification” which is incorporated by reference herein. (Adopted: June 14, 1996). The “Criteria for Equipment and Process Precertification” is available upon request from the Air Resources Board's Business Assistance Center, 2020 L Street, Sacramento, California, 95814, telephone 1-800-ARB-HLP2. The Air Resources Board may also be contacted via its Internet home page at: http://www.arb.ca.gov.
NOTE

Authority cited: Sections 39600, 39601 and 39620, Health and Safety Code. Reference: Sections 39000, 39001, 39002, 39003, 39010, 39500, 39515, 39516, 39620, 41511, 41512, 42322 and 57001, Health and Safety Code.
HISTORY

1. New subchapter 5.5 (article 1), article 1 (section 91400) and section filed 10-31-96; operative 11-30-96 (Register 96, No. 44).
Subchapter 5.6. Interchangeable Air Pollution Emission Reduction Credits
Article 1. Scope and Policy; Definitions
§91500. Purpose.
Note     •     History

This regulation establishes a statewide methodology for use by air pollution control and air quality management districts (Districts) when calculating the value of emission reduction credits from stationary, mobile, or area sources. As such, this regulation (1) provides a uniform exchange mechanism for stationary, mobile, and area source credits; and (2) provides for the use of credits as a compliance alternative for meeting specified District control requirements. The regulation is intended to ensure that interchangeable credits represent verified emission reductions that are real, permanent, quantifiable, enforceable, and surplus to those emission reductions which are needed to comply with existing requirements and with District air quality plans.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39605, 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New subchapter 5.6 (articles 1-3), article 1 (sections 91500-91501) and section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
§91501. Definitions.
Note     •     History

The following definitions shall apply in this sub-chapter.
(a) “Air quality plan” includes, but is not limited to, attainment, rate-of-progress, and maintenance plans adopted by Districts pursuant to State requirements specified in Chapter 10 (commencing with section 40910) of Part 3 of Division 26 of the Health & Safety Code (the California Clean Air Act), and federal requirements specified in the Clean Air Act governing the State Implementation Plan (SIP).
(b) “Certified” means an interchangeable credit has been evaluated by the air pollution control officer of the affected District pursuant to the requirements of this sub-chapter and found to comply with all applicable District, state, and federal requirements.
(c) “Credit generation period” means the period of time, specified by year, in which interchangeable credits are generated.
(d) “Emission reduction duration” means the length of time during which the action generating the emission reduction credit results in verifiable and surplus emission reductions.
(e) “Hazard Index” means the ratio of the concentration of a toxic pollutant with non-cancer health effects and the reference exposure level for that pollutant.
(f) “Interchangeable credit” means an emission reduction credit generated from a stationary, mobile, or area source that can be used, traded, or banked among programs and/or source categories as specified in this regulation and in accordance with state and federal law.
(g) “Reference Exposure Level” means a concentration level at or below which no adverse health effects are anticipated.
(h) “Registered” means that an interchangeable credit has been deposited, withdrawn, or transferred through the act of recording a transaction in a District's banking register.
(i) “Surplus” means that the reduction is not required or assumed throughout the time of the emission reduction duration by any local, state or federal permit, rule, regulation, law, ordinance or the most recent locally approved air quality plan, or control measure implementation date. If the control efficiency or emission standard in the most recent locally approved air quality plan is less stringent than the control efficiency or emission standard in the applicable SIP for a specific source category, then the federally approved SIP will be used for purposes of determining surplus reductions.
(j) “Total Hazard Index” means the sum of hazard indices for pollutants with non-cancer health effects that have same or similar adverse health effects.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
Article 2. Credit Exchange Function
§91502. Certified Credits.
Note     •     History

District certified credits that are generated pursuant to relevant district, state, and federal requirements and calculation protocols can be used interchangeably among programs and/or source categories to meet applicable district requirements to the extent provided by district rules.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New article 2 (sections 91502-91504) and section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
§91503. Credit Denomination.
Note     •     History

Credits that are used interchangeably shall be certified and registered as pounds of pollutant in one year increments.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
§91504. Banking.
Note     •     History

(a) Interchangeable credits shall comply with the requirements set forth in Health and Safety Code sections 40709 through 40714.5, and applicable federal requirements governing the creation, banking, and use of credits. Emission reductions proposed to offset simultaneous emissions increases within the same stationary source need not be banked prior to use as offsets, pursuant to section 40709(c).
(b) The District shall specify the earliest year in which an interchangeable credit can be used.
(c) An interchangeable credit cannot be used prior to its certification and registration, or in any instances in which the District determines such use would not comply with section 91506(d).
(d) Credits can be used interchangeably within the time period specified by the District or ARB, consistent with the air quality plan, applicable state and federal requirements and section 91507(b)(6).
(e) While banked, a certified and registered credit will retain its full value. At the time of use, credits will be subject to prevailing federal, state, and district requirements.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
Article 3. Criteria and Methodology for Generation and Use of Interchangeable Credits
§91505. Applicability.
Note     •     History

(a) The provisions set forth in this subchapter shall apply to any District which adopts, implements, or amends a rule or regulation which provides for the generation and use of interchangeable credits from stationary, mobile, or area sources.
(b) Districts with existing interchangeable credit and trading rules and regulations shall make amendments as necessary to comply with this regulation within nine months of its effective date, unless the District can demonstrate to the satisfaction of the Executive Officer that more time, not to exceed one year total, is necessary.
(c) Districts with market incentive programs authorized by Health and Safety Code sections 39616 and 40440.1 that propose to expand such programs to allow the use of interchangeable credits shall ensure compliance with the criteria set forth in section 39616(c), and this sub-chapter.
(d) Districts may maintain a separate account of emission reduction credits for new source review offset purposes consistent with sections 40709 et seq. and 40918 through 40920.5 of the Health and Safety Code without complying with the provisions of this sub-chapter.
(e) Credits that are used interchangeably must meet all applicable federal, state, and district requirements, including but not limited to the provisions of this subchapter, the adopted air quality plan, and those pertaining to the generation and use of emission reduction credits.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New article 3 (sections 91505-91508) and section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
§91506. Generation and Use.
Note     •     History

(a) Districts shall adopt rules which, at a minimum, comply with the provisions of this subchapter and with sections 40920.6(c) & (d) and 40709-40714.5 of the Health and Safety Code prior to allowing the use of interchangeable credits to meet District requirements other than the offset provisions of their new source review programs.
(b) Interchangeable credits must be certified by the District in which the generation occurs and registered in that District's emission reduction credit bank prior to use. Districts within the same nonattainment area may establish a multi-district banking program.
(c) Districts, in consultation with the Air Resources Board, shall adopt enforceable technical protocols that define how emission reductions will be calculated for purposes of certifying them as interchangeable credits.
(d) Use of interchangeable credits must, in the aggregate, result in no greater annual pollutant-specific emissions than would have occurred in lieu of trading, consistent with the District's portion of the air quality plan. The assessment of equivalency shall take into account the exceedance season for each affected nonattainment pollutant.
(e) Districts shall ensure compliance with federal, state and District requirements governing credit generation and use through permit conditions or other enforceable instruments.
(f) Districts shall not allow the use of emission reduction credits to comply with the “best available control technology” requirements of sections 40405 and 40918-40920.5 of the Health and Safety Code, or with any technology-based requirements of sections 111, 169, 171 and 173 of the federal Clean Air Act (42 U.S.C. 7411, 7479, 7501, 7503).
(g) Districts may authorize the use of interchangeable credits consistent with any federal, state, or local requirements applicable to toxic air contaminants, only if allowed by regulations established pursuant to section 39665 et seq. of the Health and Safety Code, and section 112 of the federal Clean Air Act (42 U.S.C. 7412).
(h) Surplus emission reductions that meet the requirements of Health and Safety Code section 40714.5 can be used to create interchangeable credits. If not already accounted for in District air quality plans, baseline emissions from qualifying sources must be included and accounted for in the next update to the plan.
(i) Emission reduction credits from permitted stationary sources that were certified and banked solely for use in a District's new source review program must be included and accounted for in the air quality plan prior to use in a interchangeable credit trading program.
(j) Emission reduction credits or market-based trading instruments generated under programs authorized by Health and Safety Code sections 39616 and 40440.1 may be used interchangeably outside the market incentive program only upon a determination by the District, based upon a study conducted by the District that, in the aggregate, such credits represent real reductions, and provided that:
(1) The District submits its request and the above study to the ARB at least 120 days prior to the intended interchangeable use of those credits outside of the original market incentive program.
(2) ARB concurs in writing that the District's submittal regarding the interchangeable use of such credits complies with all applicable requirements including the criteria in Health and Safety Code section 39616(c); as it pertains to this program. ARB shall provide a written response containing its finding within 90 days of receipt of the District's submittal.
(k) District rules shall provide for assessment and consideration of potential localized impacts that use of interchangeable credits may have on the public's exposure to air pollution.
(l) In no case shall the generation and use of credits result in a total facility-wide health risk from toxic air contaminants identified pursuant to Health and Safety code section 39657 that exceeds a district established significance threshold applicable to emissions trading. Health risk shall be assessed using cancer potency values and reference exposure levels established by the Office of Environmental Health Hazard Assessment, pursuant to section 44360(b)(2) of the Health & Safety Code. District programs shall provide for public disclosure of any increase in emissions of toxic air contaminants which results in a total facility-wide cancer health risk above ten in one million or a total facility hazard index greater than 1.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
§91507. Calculation Methodology.
Note     •     History

(a) Interchangeable credits shall be calculated based on a District's adoption calculation protocol. The calculation protocol shall include the elements specified in subparagraph (b) and shall be consistent with the following criteria:
(1) Emission reductions used to generate interchangeable credits shall be real, permanent for the term of credit generation, enforceable, surplus, and quantifiable.
(2) Emission reductions shall be calculated using the most stringent of historic actual emissions, applicable requirements, the District's air quality plan, the federally approved SIP, or, where applicable, other more stringent levels as established in an implementing rule or regulation.
(b) Districts shall provide for enforceable credit calculation protocols and procedures that contain the following elements:
(1) Calculation methods to determine the amount of reductions being generated as credits, including formulae accounting for emissions rate, operating period, activity level, and technical uncertainty.
(2) Procedures for calculating, certifying, and registering credits in one year increments when credits are generated from multi-year emission reductions.
(3) Procedures for certifying that emission reductions are surplus and available for use as interchangeable credits.
(4) Procedures to incorporate emission inventory updates and changes in source category baselines, air quality plans, and applicable regulatory requirements into the credit calculation protocols.
(5) Methodologies used to determine the time period in which a banked credit is available for use, consistent with the air quality plan.
(6) Provisions for the use of ARB calculation methodologies, emission factors, certification standards, emission baseline data, and timeframes for credit use for mobile sources and for products under ARB regulatory authority.
(7) Provisions for monitoring, recordkeeping, and reporting requirements to verify and enforce credit generation at the specified value over the full generation period.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
§91508. Program Reporting.
Note     •     History

(a) Districts shall prepare an annual report on their interchangeable credit trading programs that document the following:
(1) Quantity of interchangeable credits generated and used, by pollutant;
(2) Extent to which emission reduction credits were used, by rule and source category, to comply with Best Available Retrofit Control Technology and how they were accounted for in the air quality plan;
(3) Summary of changes made affecting the calculation methodology elements defined in section 91507(b); and,
(4) Actions taken to comply with applicable credit generation and use requirements contained in section 91506.
(5) A finding as to whether use of interchangeable credits complied with section 91506(d) requirements.
(b) As part of the triennial progress assessment of the air quality plan, Districts with interchangeable credit trading programs shall evaluate the performance of the program as an alternative compliance approach to meet applicable District requirements. The evaluation shall include the results of the annual reports and identify what, if any, changes were incorporated into the emission inventory update as a result of program implementation.
NOTE

Authority cited: Sections 39600, 39601 and 39607.5(a), Health and Safety Code. Reference: Sections 39607.5(b), 40709-40714.5 and 40920.6(c), Health and Safety Code.
HISTORY

1. New section filed 4-14-98; operative 4-14-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 16).
Subchapter 6. Abrasive Blasting
Article 1. General Provisions
§92000. Definitions.
Note     •     History

For the purposes of this subchapter:
(a) “Abrasives” means any material used in abrasive blasting operations including but not limited to sand, slag, steel shot, garnet or walnut shells.
(b) “Abrasive blasting” means the operation of cleaning or preparing a surface by forcibly propelling a stream of abrasive material against the surface.
(c) “Abrasive blasting equipment” means any equipment utilized in abrasive blasting operations.
(d) “Air contaminant” includes smoke, charred paper, dust, soot, grime, carbon, fumes, gases, odors, particulate matter, acids or any combination thereof.
(e) “Certified abrasive” means an abrasive which has been certified by the Air Resources Board (ARB) in accordance with section 92530.
(f) “Cut-point for fineness” means the smallest United States Standard Sieve size through which no more than one percent by weight of abrasive material will pass before blasting when tested in accordance with California Test method No. 202-G, dated July 1, 1982.
(g) “Hydroblasting” means any abrasive blasting using high pressure liquid as the propelling force.
(h) “Multiple nozzles” means more than one nozzle being used to abrasive blast the same surface in such close proximity that their separate plumes are indistinguishable.
(i) “Permanent building” means a building which is used, in whole or in part, for sandblasting operations.
(j) “Person” means any individual, firm, association, organization, partnership, business trust, corporation, company, contractor, supplier, installer, user or owner, or any state or local governmental agency or public district or any officer or employee thereof. “Person” also means the United States Government or its agencies to the extent authorized by federal law.
(k) “Sandblasting” means abrasive blasting.
(l) “Source” means the impact surface from any single abrasive blasting nozzle.
(m) “Steel or iron shot/grit” means abrasives which meet either the Society of Automotive Engineers (SAE) recommended practices J827 and J444 or Steel Founders' Society of America Standards 21-68 or 20T-66, as those practices and standards existed on 2-24-84.
(n) “Sweep abrasive blasting” means a method of cleanup performed in order to achieve surface uniformity or impurity removal after wet blasting, hydroblasting, or vacuum blasting operations.
(o) “Vacuum blasting” means any abrasive blasting in which the spent abrasive, surface material, and dust are immediately collected by a vacuum device.
(p) “Wet abrasive blasting” means any abrasive blasting using compressed air as the propelling force, which in the judgment of the air pollution control officer uses an amount of water adequate to minimize the plume.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. New subchapter 6 (sections 92000-92520, not consecutive) filed 8-23-74; effective thirtieth day thereafter (Register 74, No. 34).
2. Amendment filed 3-11-76; effective thirtieth day thereafter (Register 76, No. 11).
3. Amendment of NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
4. Amendment of NOTE filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
5. Amendment filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
6. Repealer of subsections (e), (f), (g), (j) and (o); new subsections (e), (f), (i) and (n); renumbering of subsections (h)-(i) to (g)-(h), (k)-(n) to (j)-(m), and subsection (p) to subsection (o); and amendment and renumbering of subsection (q) to (p) filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
§92100. Scope and Policy.
Note     •     History

These standards in this subchapter are not intended to prohibit air pollution control districts from enforcing their permit regulations as they apply to abrasive blasting equipment.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. Amendment of subsection (d) filed 3-14-75 as an emergency; effective upon filing (Register 75, No. 11).
2. Amendment filed 7-10-75 as procedural and organizational; effective upon filing (Register 75, No. 28).
3. Amendment and new NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
4. Amendment filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
Article 2. Prohibitions
§92200. Visible Emission Standards.
Note     •     History

(a) No person shall, discharge into the atmosphere from any abrasive blasting which is conducted outside a permanent building any air contaminant for a period or periods aggregating more than three minutes in any one hour which is:
(1) As dark or darker in shade as that designated as No. 2 on the Ringelmann Chart, as published by the United States Bureau of Mines, or
(2) Of such opacity as to obscure an observer's view to a degree equal to or greater than does smoke described in subdivision (a)(1).
(b) No person shall, discharge into the atmosphere from any abrasive blasting which is conducted within any permanent building any air contaminant for a period or periods aggregating more than three minutes in any one hour which is:
(1) As dark or darker in shade as that designated as No. 1 on the Ringelmann Chart, as published by the United States Bureau of Mines, or
(2) Of such opacity as to obscure an observer's view to a degree equal to or greater than does smoke described in subdivision (b)(1).
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. New NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
2. Amendment of NOTE filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
3. Amendment filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
4. Amendment of subsections (a) and (b) filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
§92210. Nuisance Prohibition.
Note     •     History

Compliance with all rules and regulations in this subchapter does not exempt any person from complying with Section 41700 of the Health and Safety Code, nor from complying with any state statutory or common law nuisance prohibition.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. Amendment filed 3-11-76; effective thirtieth day thereafter (Register 76, No. 11).
2. New NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
3. Amendment of NOTE filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
§92220. Compliance with Performance Standards.
Note     •     History

No person shall conduct any abrasive blasting operation without complying with the performance standards described in article 4.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. New section filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
Article 3. Source Evaluation
§92400. Visible Emission Evaluation Techniques.
Note     •     History

Visible emission evaluation of abrasive blasting operations shall be conducted in accordance with the following provisions:
(a) Emissions shall be read in opacities and recorded in percentages.
(b) The light source should be at the rear of observer during daylight hours.
(c) The light source should be behind the emission during hours of darkness.
(d) Observer position should be at approximately right angles to wind direction, and at a distance no less than twice the height of the source but not more than one quarter of a mile from the base of the source.
(e) Emissions from blasting which is conducted outside a permanent building shall be read at a point in the emissions which is
(1) twenty-five feet from the source; or
(2) at the densest point of the emission after a major portion of the spent abrasive has fallen out, whichever is greater; provided, however, that emissions may be read from a greater distance than either (1) or (2), if the observer reasonably determines that the greater distance will not significantly affect the reading.
(f) Where an owner or operator demonstrates that the presence of uncombined water is the only reason for a failure to meet the limitations of section 92200, that section shall not apply.
(g) Emissions from blasting which is conducted outside a permanent building and which employs multiple nozzles shall be judged as a single source unless it can be demonstrated by the owner or operator that each nozzle, evaluated separately, meets the emission and performance standards provided for in this subchapter. The owner or operator shall be offered the opportunity to make such a demonstration.
(h) Emissions from blasting which is conducted within a permanent building shall be read at the densest point after the air contaminant leaves the building.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. New NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
2. Repealer of article 3 (section 92300) and renumbering of article 4 (section 92400) to article 3 and amendment of NOTE filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
3. Amendment of subsections (e) and (g) filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
4. Repealer and new subsections (e) and (f), and amendment of subsections (g) and (h) filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
Article 4. Performance Standards
§92500. General Provisions.
Note     •     History

(a) Except as provided in subdivision (b), all abrasive blasting operations shall be conducted within a permanent building.
(b) An abrasive blasting operation conducted under one or more of the following conditions is not required to be conducted within a permanent building:
(1) Steel or iron shot/grit is used exclusively;
(2) The item to be blasted exceeds 8 feet in any dimensions; or
(3) The surface being blasted is situated at its permanent location or not further away from its permanent location than is necessary to allow the surface to be blasted.
(c) Except for testing conducted in accordance with section 92530(b)(1)(B) and as otherwise provided in section 92510 or 92520, any abrasive blasting operation conducted in accordance with subsections (b)(2) and (b)(3) outside a permanent building must use exclusively:
(1) Wet abrasive blasting;
(2) Hydroblasting;
(3) Vacuum blasting; or
(4) Abrasives certified for permissible dry outdoor blasting.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. Amendment filed 1-2-76; effective thirtieth day thereafter (Register 76, No. 1).
2. Renumbering of article 4 (section 92400) to article 3 and renumbering of article 5 (sections 92500-92520, not consecutive) to article 4 and amendment of NOTE filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
3. Amendment filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
4. Repealer and new subsections (a), (b) and (c) filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
§92510. Pavement Marking.
Note     •     History

Surface preparation for raised traffic delineating markers and pavement marking removal using abrasive blasting shall comply with at least one of the following performance standards:
(a) Wet abrasive blasting, hydroblasting, or vacuum blasting shall be used;
(b) Dry abrasive blasting for removal or surface preparation for immediate application of pavement markings of less than 1,000 square feet or for surface preparation for raised traffic delineating markers shall use certified abrasives.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. Amendment filed 1-2-76; effective thirtieth day thereafter (Register 76, No. 1).
2. Amendment of NOTE filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
3. Amendment of subsection (b) filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
§92520. Stucco and Concrete.
Note     •     History

Abrasive blasting of stucco and concrete shall be performed by wet blasting, hydroblasting, or vacuum blasting with the following exceptions:
Dry blasting with a certified abrasive may be used for:
(a) Window and door returns and frames;
(b) Eaves, overhangs and ceilings;
(c) Sweep abrasive blasting except for stucco surfaces;
(d) Completely shrouded structures and blast areas that effectively control emissions;
(e) Abrasive cleaning operations other than aggregate exposure or paint removal related to new concrete construction or repair activity if such operations are performed onsite.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904, and 41905, Health and Safety Code.
HISTORY

1. Amendment filed 1-2-76; effective thirtieth day thereafter (Register 76, No. 1).
2. Amendment filed 3-11-76; effective thirtieth day thereafter (Register 76, No. 11).
3. Amendment of NOTE filed 10-18-82; effective thirtieth day thereafter (Register 82, No. 43).
4. Amendment filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
5. Repealer and former section 92520 and renumbering and amendment of former section 92540 to section 92520 filed 5-1-91; operative 5-31-91 (Register 91, No. 24). 
§92530. Certified Abrasives.
Note     •     History

(a) The ARB shall certify abrasives which comply with the performance standards set forth in subdivision (b) below. Any person who desires certification of an abrasive shall furnish to the ARB an adequate test sample, together with fees to defray the cost of testing. Each certification of an abrasive shall include the ARB's determination of the original cut-point for fineness of the abrasive. The ARB shall maintain an up-to-date list of certified abrasives. Certification shall not be effective for more than two years. Abrasive materials which are certified on the effective date of this section shall remain certified until September 1, 1992.
(b) Performance Standards.
(1) (A) Before blasting the abrasive shall not contain more than one percent by weight material passing a #70 U.S. Standard sieve when tested in accordance with “Method of Test for Abrasive Media Evaluation,” Test Method No. California 371-A, dated May 15, 1975.
(B) If the abrasive does not meet the requirements of subdivision (b)(1)(A), the person who desires certification of the abrasive may as an alternative demonstrate within the State of California to the satisfaction of the ARB that the abrasive meets a 20 percent opacity emission limit when tested in accordance with the “Visible Emission Evaluation Test Method for Selected Abrasives listed in Permissible Dry Outdoor Blasting,” as adopted by the ARB on April 1, 1991, and incorporated herein by reference. The person who desires certification of the abrasive shall be solely responsible for conducting the demonstration.
(2) After blasting, the abrasive shall not contain morn than 1.8 percent by weight material 5 microns or smaller when tested in accordance with “Method of Test for Abrasive Media Evaluation,” Test Method No. California 371-A, dated May 15, 1975.
(c) A used certified abrasive shall not be considered certified for reuse unless the abrasive conforms to its original cut-point for fineness.
(d) A blend of certified abrasives shall be considered certified for purposes of section 92530(a), unless found not to meet the requirements of section 92530(b) pursuant to testing initiated by the ARB.
(e) All manufacturers and suppliers of certified abrasives shall legibly and permanently label the invoice, bill of lading and abrasive packaging or container with each of the following:
(1) The manufacturer's name or identification trade name;
(2) The grade, weight proportion of components in abrasive blends, brand name of the abrasive or brand names and grades of components of abrasive blends; and
(3) The statement “ARB certified for permissible dry outdoor blasting.”
(4) This subsection shall become effective six months after April 1, 1991.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. New section filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
2. Repealer and new section filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
3. Editorial correction of subsection (d) (Register 2003, No. 16).
§92540. Stucco and Concrete.
Note     •     History

NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code. Reference: Sections 41900, 41902, 41904 and 41905, Health and Safety Code.
HISTORY

1. New section filed 8-30-84; effective thirtieth day thereafter (Register 84, No. 35).
2. Renumbering and amendment of former section 92540 to section 92520 filed 5-1-91; operative 5-31-91 (Register 91, No. 24).
Subchapter 7. Toxic Air Contaminants
§93000. Substances Identified As Toxic Air Contaminants.
Note     •     History

Each substance identified in this section has been determined by the State Board to be a toxic air contaminant as defined in Health and Safety Code section 39655. If the State Board has found there to be a threshold exposure level below which no significant adverse health effects are anticipated from exposure to the identified substance, that level is specified as the threshold determination. If the Board has found there to be no threshold exposure level below which no significant adverse health effects are anticipated from exposure to the identified substance, a determination of “no threshold” is specified. If the Board has found that there is not sufficient available scientific evidence to support the identification of a threshold exposure level, the “Threshold” column specifies “None identified.”

Substance	Threshold Determination

Benzene (C6H6)	None identified

Ethylene Dibromide	None identified
(BrCH2CH2Br; 1,2-dibromoethane)

Ethylene Dichloride	None identified
(ClCH2CH2Cl; 1,2-dichloroethane)

Hexavalent chromium (Cr (VI))	None identified

Asbestos [asbestiform varieties of serpentine	None identified
 (chrysotile), riebeckite (crocidolite),
 cummingtonite-grunerite (amosite), tremolite,
 actinolite, and anthophyllite]

Dibenzo-p-dioxins and Dibenzofurans	None identified
 chlorinated in the 2,3,7 and 8 positions and
 containing 4,5,6 or 7 chlorine atoms

Cadmium (metallic cadmium and cadmium	None identified
 compounds)

Carbon Tetrachloride	None identified
(CCl4; tetrachloromethane)

Ethylene Oxide (1,2-epoxyethane)	None identified

Methylene Chloride	None identified
(CH2Cl2; Dichloromethane)

Trichloroethylene	None identified
(CCl2CHCl; Trichloroethene)

Chloroform (CHCl3)	None identified

Vinyl chloride	None identified
(C2H3Cl; Chloroethylene)

Inorganic Arsenic	None identified

Nickel (metallic nickel	None identified
and inorganic nickel compounds)

Perchloroethylene	None identified
(C2Cl4; Tetrachloroethylene)

Formaldehyde	None identified
(HCHO)

1,3-Butadiene	None identified
(C4H6)

Inorganic Lead	None identified

Particulate Emissions from Diesel-Fueled Engines	None identified

Environmental Tobacco Smoke	None identified
NOTE

Authority cited: Sections 39600, 39601 and 39662, Health and Safety Code. Reference: Sections 39650, 39660, 39661 and 39662, Health and Safety Code.
HISTORY

1. New section filed 9-23-85; effective thirtieth day thereafter (Register 85, No. 39). For history of former subchapter 7, see Registers 84, No. 10; 83, No. 2; 81, No. 48; 77, No. 12; and 74, No. 47.
2. Amendment filed 1-14-86; effective thirtieth day thereafter (Register 86, No. 3).
3. Amendment filed 2-10-86; effective thirtieth day thereafter (Register 86, No. 7).
4. Amendment filed 10-9-86; effective thirtieth day thereafter (Register 86, No. 43).
5. Amendment filed 11-25-86; effective thirtieth day thereafter (Register 86, No. 48).
6. Amendment filed 2-23-87; effective thirtieth day thereafter (Register 87, No. 9).
7. Amendment filed 10-8-87; operative 11-7-87 (Register 87, No. 43).
8. Amendment filed 3-15-88; operative 4-14-88 (Register 88, No. 13).
9. Amendment filed 7-22-88; operative 8-21-88 (Register 88, No. 31).
10. Amendment adding Methylene Chloride filed 6-7-90; operative 7-7-90 (Register 90, No. 30).
11. Amendment adding Trichloroethylene filed 2-27-91; operative 3-29-91 (Register 91, No. 13).
12. Amendment adding Vinyl chloride filed 5-10-91; operative 6-9-91 (Register 91, No. 25).
13. Editorial correction, including removal of Inorganic arsenic (Register 91, No. 25).
14. Amendment adding Chloroform filed 5-10-91; operative 6-9-91 (Register 91, No. 25).
15. Amendment adding Inorganic Arsenic filed 6-6-91; operative 7-6-91 (Register 91, No. 26).
16. Change without regulatory effect amending Trichloroethylene and adding Nickel filed 7-14-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 29).
17. Amendment adding Perchloroethylene filed 10-2-92; operative 11-1-92 (Register 92, No. 40).
18. Amendment adding Formaldehyde filed 3-2-93; operative 4-1-93 (Register 93, No. 10).
19. Amendment adding 1,3-Butadiene filed 4-14-93; operative 5-14-93 (Register 93, No. 16).
20. Editorial correction (Register 98, No. 16).
21. Amendment adding inorganic lead filed 4-14-98; operative 5-14-98 (Register 98, No. 16).
22. Amendment adding “Particulate Emissions from Diesel-Fueled Engines” filed 7-21-99; operative 8-20-99 (Register 99, No. 30).
23. Amendment adding “Environmental Tobacco Smoke” filed 1-9-2007; operative 2-8-2007 (Register 2007, No. 2).
§93001. Hazardous Air Pollutants Identified as Toxic Air Contaminants.
Note     •     History

Each substance listed in this section has been identified as a hazardous air pollutant pursuant to subsection (b) of Section 112 of the federal Clean Air Act (42 U.S.C. Section 7412(b)) and has been designated by the State Board to be a toxic air contaminant pursuant to Health and Safety Code Section 39657.

Substance

Acetaldehyde

Acetamide

Acetonitrile

Acetophenone

2-Acetylaminofluorene

Acrolein

Acrylamide

Acrylic acid

Acrylonitrile

Allyl chloride

4-Aminobiphenyl

Aniline

o-Anisidine

Asbestos

Benzene (including benzene from gasoline)

Benzidine

Benzotrichloride

Benzyl chloride

Biphenyl

Bis (2-ethylhexyl) phthalate (DEHP)

Bis (chloromethyl) ether

Bromoform

1,3-Butadiene

Calcium cyanamide

Caprolactam

Captan

Carbaryl

Carbon disulfide

Carbon tetrachloride

Carbonyl sulfide

Catechol

Chloramben

Chlordane

Chlorine

Chloroacetic acid

2-Chloroacetophenone

Chlorobenzene

Chlorobenzilate

Chloroform

Chloromethyl methyl ether

Chloroprene

Cresols/Cresylic acid (isomers and mixture)

o-Cresol

m-Cresol

p-Cresol

Cumene

2,4-D, salts and esters

DDE

Diazomethane

Dibenzofurans

1,2-Dibromo-3-chloropropane

Dibutylphthalate

1,4-Dichlorobenzene (p)

3,3-Dichlorobenzidene

Dichloroethyl ether (Bis (2-chloroethyl) ether)

1,3-Dichloropropene

Dichlorvos

Diethanolamine

N.N-Diethyl aniline (N.N-Dimethylaniline)

Diethyl sulfate

3,3-Dimethoxybenzidine

Dimethyl aminoazobenzene

3,3-Dimethyl benzidine

Dimethyl carbamoyl chloride

Dimethyl formamide

1,1-Dimethyl hydrazine

Dimethyl phthalate

Dimethyl sulfate

4,6-Dinitro-o-cresol, and salts

2,4-Dinitrophenol

2,4-Dinitrotoluene

1,4-Dioxane (1,4-Diethyleneoxide)

1,2-Diphenylhydrazine

Epichlorohydrin (1-Chloro-2,3-epoxypropane)

1,2-Epoxybutane

Ethyl acrylate

Ethyl benzene

Ethyl carbamate (Urethane)

Ethyl chloride (Chloroethane)

Ethylene dibromide (Dibromoethane)

Ethylene dichloride (1,2-Dichloroethane)

Ethylene glycol

Ethylene imine (Aziridine)

Ethylene oxide

Ethylene thiourea

Ethylidene dichloride (1,1-Dichloroethane)

Formaldehyde

Heptachlor

Hexachlorobenzene

Hexachlorobutadiene

Hexachlorocyclopentadiene

Hexachloroethane

Hexamethylene-1,6-diisocyanate

Hexamethylphosphoramide

Hexane

Hydrazine

Hydrochloric acid

Hydrogen fluoride (Hydrofluoric acid)

Hydroquinone

Isophorone

Lindane (all isomers)

Maleic anhydride

Methanol

Methoxychlor

Methyl bromide (Bromomethane)

Methyl chloride (Chloromethane)

Methyl chloroform (1,1,1-Trichloroethane)

Methyl ethyl ketone (2-Butanone)

Methyl hydrazine

Methyl iodide (Iodomethane)

Methyl isobutyl ketone (Hexone)

Methyl isocyanate

Methyl methacrylate

Methyl tert butyl ether

4,4-Methylene bis(2-chloroaniline)

Methylene chloride (Dichloromethane)

Methylene diphenyl diisocyanate (MDI)

4,4-Methylenedianiline

Naphthalene

Nitrobenzene

4-Nitrobiphenyl

4-Nitrophenol

2-Nitropropane

N-Nitroso-N-methylurea

N-Nitrosodimethylamine

N-Nitrosomorpholine

Parathion

Pentachloronitrobenzene (Quintobenzene) 

Pentachlorophenol

Phenol

p-Phenylenediamine

Phosgene

Phosphine

Phosphorus

Phthalic anhydride

Polychlorinated biphenyls (Aroclors)

1,3-Propane sultone

beta-Propiolactone

Propionaldehyde

Propoxur (Baygon)

Prophylene dichloride (1,2-Dichloropropane)

Propylene oxide

1,2-Propylenimine (2-Methylaziridine)

Quinoline

Quinone

Styrene

Styrene oxide

2,3,7,8-Tetrachlorodibenzo-p-dioxin

1,1,2,2-Tetrachloroethane

Tetrachloroethylene (Perchloroethylene)

Titanium tetrachloride

Toluene

2,4-Toluene diamine

2,4-Toluene diisocyanate

o-Toluidine

Toxaphene (chlorinated camphene)

1,2,4-Trichlorobenzene

1,1,2-Trichloroethane

Trichloroethylene

2,4,5-Trichlorophenol

2,4,6-Trichlorophenol

Triethylamine

Trifluralin

2,2,4-Trimethylpentane

Vinyl acetate

Vinyl bromide

Vinyl chloride

Vinylidene chloride (1,1-Dichloroethylene)

Xylenes (isomers and mixture)

o-Xylenes

m-Xylenes

p-Xylenes

Antimony Compounds

Arsenic Compounds (inorganic including arsine)

Beryllium Compounds

Cadmium Compounds

Chromium Compounds

Cobalt Compounds

Coke Oven Emissions

Cyanide Compounds1

Glycol ethers2

Lead Compounds

Manganese Compounds

Mercury Compounds

Fine mineral fibers3

Nickel Compounds

Polycyclic Organic Matter4

Radionuclides (including radon)5

Selenium Compounds
For all listing above which contain the word “compounds” and for glycol ethers, the following applies: Unless otherwise specified, these listings are defined as including any unique chemical substance that contains the named chemical (i.e., antimony, arsenic, etc) as part of that chemical's infrastructure.

1X1CN where X=HN1 or any other group where a formal dissociation may occur. For example KCN or Ca(CN)2

2includes mono- and di-ethers of ethylene glycol, diethylene glycol, and triethylene glycol (R(OCH2CH2)n-OR1 where

n = 1,2 or 3

R = alkyl or aryl groups

R1 = R, H, or groups which, when removed, yield glycol ethers with the structure; R(OCH2CH)n-OH.  Polymers are excluded from the glycol category.

3 includes mineral fiber emissions from facilities manufacturing or processing glass, rock, or slag fibers (or other mineral derived fibers) of average diameter 1 micrometer or less.

4includes organic compounds with more than one benzene ring, and which have a boiling point greater than or equal to 100oC.

5a type of atom which spontaneously undergoes radioactive decay.
NOTE

Authority cited: Sections 39657, 39600, 39601 and 39662, Health and Safety Code.  Reference: Sections 39650, 39655, 39656, 39657, 39658, 39659, 39660, 39661 and 39662, Health and Safety Code.
HISTORY

1. New section filed 3-9-94; operative 4-8-94. Submitted to OAL for printing only (Register 94, No. 10).
Subchapter 7.5. Airborne Toxic  Control  Measures
§93100. Nonvehicular Airborne Toxic Control Measures.
Note     •     History

The nonvehicular airborne toxic control measures contained in this subchapter have been adopted by the state board and shall be implemented by adoption of regulations by local air pollution control and air quality management districts pursuant to Health and Safety Code Section 39666.
NOTE

Authority cited: Sections 39600, 39601, 39650 and 39666, Health and Safety Code. Reference: Sections 39650 and 39666, Health and Safety Code.
HISTORY

1. New section filed 6-16-88; operative 7-16-88 (Register 88, No. 26).
§93101. Benzene Airborne Toxic Control Measure--Retail Service Stations.
Note     •     History

(a) Definitions. For the purposes of this section, the following definitions shall apply:
(1) “ARB-certified vapor recovery system” means a vapor recovery system which has been certified by the state board pursuant to Section 41954 of the Health and Safety Code.
(2) “Excavation” means exposure to view by digging.
(3) “Gasoline” means any organic liquid (including petroleum distillates and methanol) having a Reid vapor pressure of four pounds or greater and used as a motor vehicle fuel or any fuel which is commonly or commercially known or sold as gasoline.
(4) “Motor vehicle” has the same meaning as defined in Section 415 of the Vehicle Code.
(5) “Owner or operator” means an owner or operator of a retail service station.
(6) “Phase I vapor recovery system” means a gasoline vapor recovery system which recovers vapors during the transfer of gasoline from delivery tanks into stationary storage tanks.
(7) “Phase II vapor recovery system” means a gasoline vapor recovery system which recovers vapors during the fueling of motor vehicles from stationary storage tanks.
(8) “Retail service station” means any new or existing motor vehicle fueling service station subject to payment of California sales tax on gasoline sales.
(9) “Existing retail service station” means any retail service station operating, constructed, or under construction as of the date of district adoption of regulations implementing this control measure.
(10) “New retail service station” means any retail service station which is not constructed or under construction as of the date of district adoption of regulations implementing this control measure.
(11) “Tank replacement” means replacement of one or more stationary storage tanks at an existing retail service station or excavation of 50 percent or more of an existing retail service station's total underground liquid piping from the stationary storage tanks to the gasoline dispensers.
(12) “Throughput” means the volume of gasoline dispensed at a retail service station.
(b) Phase I Vapor Recovery System Requirements.
(1) No owner or operator shall transfer, permit the transfer, or provide equipment for the transfer of gasoline, and no other person shall transfer gasoline from a gasoline delivery tank equipped with a vapor recovery system into a stationary storage tank at a retail service station unless an ARB-certified Phase I vapor recovery system is installed on the stationary storage tank and used during the transfer.
(2) The provisions of subdivision (b)(1) shall not apply to:
(A) A transfer to a stationary storage tank with a capacity of less than 1.0 cubic meter (260 gallons).
(B) A transfer to a stationary storage tank used the majority of the time for the fueling of implements of husbandry as defined in Division 16, Chapter 1, of the Vehicle Code.
(C) A transfer to a stationary storage tank used exclusively to fuel motor vehicles with a fuel capacity of five gallons or less.
(D) An existing retail service station with an annual station gasoline throughput from tanks other than those described in subdivisions (b)(2)(A), (b)(2)(B) and (b)(2)(C) of 480,000 or fewer gallons during the calendar year prior to district adoption of the measure. If during any calendar year thereafter the gasoline throughput from such tanks at the existing retail service station exceeds 480,000 gallons, this exemption shall cease to apply commencing with the first day of the following calendar year.
(E) A transfer to a stationary storage tank at an existing retail service station which receives gasoline exclusively from delivery tanks that are not required to be equipped with vapor recovery systems.
(3) Notwithstanding (b)(2)(D), at the time of tank replacement at an existing retail service station, ARB-certified Phase I vapor recovery systems shall be installed and used thereafter on all of the station facilities, except those which are exempt from the Phase I requirement by (b)(2)(A), (b)(2)(B), (b)(2)(C) or (b)(2)(E).
(c) Phase II Vapor Recovery System Requirements.
(1) No owner or operator shall transfer, permit the transfer or provide equipment for the transfer of gasoline from a stationary storage tank at a retail service station into a motor vehicle fuel tank unless an ARB-certified Phase II vapor recovery system is installed and used during the transfer.
(2) The provisions of subdivision (c)(1) shall not apply to:
(A) A transfer of gasoline from a stationary storage tank which is exempt from Phase I requirements under subdivision (b)(2)(A), (b)(2)(B), or (b)(2)(C).
(B) An existing retail service station which is exempt from Phase I requirements under subdivision (b)(2)(D).
(3) Notwithstanding (c)(2)(B), at the time of tank replacement at an existing retail service station, ARB-certified Phase II vapor recovery systems shall be installed and used thereafter on all of the station facilities, except those which are exempt from the Phase II requirement by (c)(2)(A).
(d) Correction of Defects. No owner or operator shall use or permit the use of any Phase II system or any component thereof containing a defect identified in Title 17, California Code of Regulations, Section 94006 until it has been repaired, replaced, or adjusted, as necessary to remove the defect, and, if required under Health and Safety Code Section 41960.2, district personnel have reinspected the system or have authorized its use pending reinspection. Nothing in this subdivision shall excuse compliance with subdivision (c)(1).
(e) Compliance Schedule. For purposes of this section, the following compliance schedule shall apply:
(1) The owner or operator of any new retail service station subject to this section shall comply with the provisions of this section at the time gasoline is first sold from the station.
(2) The owner or operator of any existing retail service station without ARB-certified Phase I and II vapor recovery systems shall notify the air pollution control officer in writing in advance of an intended tank replacement and shall secure all necessary permits and other approvals for the installation of Phase I and II vapor recovery systems. The owner or operator of an existing retail service station shall comply with the provisions of this section upon completion of the tank replacement.
(3) The owner or operator of an existing retail service station subject to this section, who has not earlier complied in accordance with (e)(2), shall within 15 months after district adoption of the regulations implementing this control measure secure all permits and other approvals necessary for installation of the equipment required by this section. The owner or operator shall comply with the provisions of this section within 24 months after district adoption of regulations implementing this control measure.
(4) Excluding those existing retail service stations subject to this section as a result of tank replacement, the owner or operator of a previously exempt stationary storage tank or retail service station where the operation or annual throughput has changed such that the exemption from either the Phase I or II requirements or both is no longer applicable, shall comply with the section's provisions in accordance with (e)(3) above, provided that the first day the retail station or stationary storage tank is no longer exempt shall be considered as the date of district adoption of regulations implementing this control measure.
NOTE

Authority cited: Sections 39600, 39601, 39650 and 39666, Health and Safety Code. Reference: Sections 39650 and 39666, Health and Safety Code.
HISTORY

1. New section filed 6-16-88; operative 7-16-88 (Register 88, No. 26).
§93101.5. Airborne Toxic Control Measure to Reduce Emissions of Hexavalent Chromium and Nickel from Thermal Spraying.

(a) Applicability 
This Airborne Toxic Control Measure (ATCM) shall apply to each thermal spraying operation at a stationary source that uses materials containing chromium, chromium compounds, nickel, or nickel compounds. This ATCM does not apply to portable thermal spraying operations. 
(b) Definitions 
For the purposes of this section, the following definitions shall apply: 
(1) “Air Pollution Control System” means equipment that is installed for the purpose of collecting and containing emissions of airborne particles from thermal spraying processes. “Air Pollution Control System” includes, but is not limited to, enclosures, exhaust hoods, ductwork, fans/blowers, particulate control devices, and exhaust stacks/vents. 
(2) “Control Device” means a device that reduces emissions of particulate matter. “Control Device” includes, but is not limited to, dry filter cartridges, HEPA filters, water curtains, cyclones, baghouses, and scrubbers. 
(3) “Detonation Gun Spraying” means a thermal spraying process in which the coating material is heated and accelerated to the workpiece by a series of detonations or explosions from oxygen-fuel gas mixtures. 
(4) “Dry Filter System” means a dry particulate filter control system that uses filter media to remove particulate emissions from the exhaust air stream. 
(5) “Enclosure” means a structure, such as a booth, that surrounds a thermal spraying process and captures and contains particulate emissions and vents them to a control device. Enclosures may have permanent or temporary coverings on open faces. 
(6) “Existing Thermal Spraying Operation” means a thermal spraying operation that is in operation before January 1, 2005. 
(7) “Flame Spraying” means a thermal spraying process in which an oxygen/fuel gas flame is the source of heat for melting the surfacing material. 
(8) “High Efficiency Particulate Air (HEPA) Filter” means a disposable, dry filter that has a minimum particle collection efficiency of 99.97 percent when tested with a mono-disperse 0.3 um test aerosol. 
(9) “Hexavalent chromium” means the form of chromium with a valence state of +6. 
(10) “High-Velocity Oxy-Fuel (HVOF) Spraying” means a thermal spray process in which particles are injected into a high-velocity jet formed by the combustion of oxygen and fuel. 
(11) “Independent Tester” means a person who engages in the testing of stationary sources to determine compliance with air pollution laws or regulations and who meets all of the following criteria: 
(A) The independent tester is not owned in whole or in part by the owner/operator of the thermal spraying operation; and 
(B) The independent tester has not received gross income from the owner/operator of the thermal spraying operation in excess of $100,000 or in excess of 10% of the tester's annual revenues, other than as a result of source test contracts; and 
(C) The independent tester has not manufactured or installed any emission control device or monitor used in connection with the specific source to be tested; and 
(D) When conducting the compliance test, the independent tester does not use any employee or agent who: 
1. holds a direct or indirect investment of $1,000 or more in the owner/operator of the thermal spraying operation; or 
2. has directly received income in excess of $250 from the owner/operator of the thermal spraying operation in the previous 12 months; or 
3. is a director, officer, partner, employee, trustee, or holds any position of management in the owner/operator of the thermal spraying operation. 
(12) “Initial Startup” means the first time a new thermal spraying operation begins production or the first time additional or modified thermal spraying operations begin operating at a modified source. If such production or operation occurs prior to the operative date of this section, “Initial Startup” means the operative date of this section. “Initial Startup” does not include operation solely for testing of equipment or subsequent startup of permit units following malfunction or shutdown. 
(13) “Intake Area” means the area of the opening(s) in an enclosure from which make-up air is drawn from outside the enclosure during normal operations. 
(14) “Inward Face Velocity” means the airflow into an enclosure that prevents escape of contaminated air from the enclosure. Inward face velocity is measured in feet per minute, in accordance with Appendix 2. 
(15) “Leak” means the release of any particulate matter from any opening in the emission collection system/device other than the intended exhaust or emission point of that emission control system/device. 
(16) “Location” means one or more contiguous or adjacent properties. Contiguous or adjacent properties are properties with two or more parcels of land in actual physical contact, or separated solely by a public roadway or other public right-of-way. 
(17) “Modification” means: 
(A) any existing thermal spraying operation that did not use materials containing chromium, chromium compounds, nickel or nickel compounds before January 1, 2005, but begins using any of these materials on or after January 1, 2005; or 
(B) any physical change in, change in the method of operation of, or addition to an existing permit unit that requires an application for an authority to construct and/or a permit to operate issued by the permitting agency. Routine maintenance and/or repair is not considered a physical change. A “change in the method of operation” of equipment, unless previously limited by an enforceable permit condition, shall not include: 
1. an increase in the production rate, unless such increase will result in an increase in emissions that causes a move from a lower tier to a higher tier in subsection (c)(1)(A) Table 1 or Table 2 of this regulation; or 
2. an increase in the hours of operation; or 
3. a change in ownership of a source; or 
(C) the replacement of components for which the fixed capital cost exceeds 50 percent of the fixed capital cost that would be required to construct a comparable new source. 
(18) “Modified Thermal Spraying Operation” means any thermal spraying operation which has undergone a modification. 
(19) “New Thermal Spraying Operation” means any thermal spraying operation that begins initial operations on or after January 1, 2005. “New Thermal Spraying Operation” does not include the installation of a new permit unit at an existing thermal spraying operation or the modification of an existing thermal spraying operation. 
(20) “Operating Parameter” means a parameter established for a control device or process parameter which, if achieved by itself or in combination with one or more other operating parameter values, determines that an owner or operator is in compliance with the applicable emission limitation or standard. 
(21) “Permit Unit” means any article, machine, piece of equipment, device, process, or combination thereof, which may cause or control the release of air emissions of hexavalent chromium or nickel from a thermal spraying operation and which requires a permit to operate issued by a permitting agency. 
(22) “Permitting Agency” means the local air pollution control or air quality management district. 
(23) “Plasma Spraying” means a thermal spraying process in which an electric arc is used to ionize a gas and produce a plasma jet that melts and propels the coating material to the workpiece. 
(24) “Point Source” means a permit unit that releases air pollutants through an intended opening such as, but not limited to, a stack, chimney, or vent. 
(25) “Portable Thermal Spraying Operation” means a thermal spraying operation that is temporarily used for field applications at offsite locations. A thermal spraying operation is not a “Portable Thermal Spraying Operation” if the thermal spraying operation or its replacement resides at the same location for more than 30 consecutive days. 
(26) “Potential to Emit” means the maximum capacity of a stationary source to emit a regulated air pollutant based on its physical and operational design. Any physical or operational limitation on the capacity of the stationary source to emit a pollutant, including air pollution control equipment and restrictions on hours of operation or on the type or amount of material combusted, stored, or processed, shall be treated as part of its design only if the limitations are listed as enforceable conditions in an air permit issued by the permitting agency. 
(27) “Sensitive Receptor” means any residence including private homes, condominiums, apartments, and living quarters; education resources such as preschools and kindergarten through grade twelve (k-12) schools; daycare centers; and health care facilities such as hospitals or retirement and nursing homes. A sensitive receptor includes individuals housed in long term care hospitals, prisons, and dormitories or similar live-in housing. 
(28) “Stationary Source” means any building, structure, facility or installation which emits any affected pollutant directly or as a fugitive emission. “Building, structure, facility, or installation” includes all pollutant emitting activities which meet all of the following criteria: 
(A) are under the same ownership or operation, or which are owned or operated by entities which are under common control; and 
(B) belong to the same industrial grouping either by virtue of falling within the same two-digit standard industrial classification code or by virtue of being part of a common industrial process, manufacturing process, or connected process involving a common raw material; and 
(C) are located on one or more contiguous or adjacent properties. 
(29) “Substantial Use” of an Authority to Construct means one or more of the following: (A) the equipment that constitutes the source has been purchased or acquired; (B) construction activities, other than grading or installation of utilities or foundations, have begun and are continuing; or (C) a contract to complete construction of the source within one year has been entered into. 
(30) “Thermal Spraying Operation” means one or more of several processes in which metallic or nonmetallic surfacing materials are deposited in a molten or semi-molten condition on a substrate to form a coating. The surfacing material may originate in the form of powder, rod, or wire before it is heated, prior to spraying and deposition. Thermal spraying processes include: detonation gun spraying, flame spraying, high-velocity oxy-fuel spraying, plasma spraying, and twin-wire electric arc spraying. For the purposes of this section, “Thermal Spraying Operation” includes only those operations that are conducted at stationary sources and use materials containing chromium, chromium compounds, nickel, or nickel compounds. “Thermal Spraying Operation” does not include portable thermal spraying operations. 
(31) “Twin-Wire Electric Arc Spraying” means a thermal spraying process where two electrically conducting wires are brought close together to create an electric arc. The molten material formed in the arc is then projected by a compressed gas stream towards a work piece on which it forms a coating. 
(32) “Volume Source” means a permit unit, either controlled or uncontrolled, from which air pollutants undergo initial dispersion within a building or structure prior to their release into the outdoor ambient air. “Volume Source” also includes a thermal spraying process that is conducted outside of a building or structure and releases pollutants directly into the outdoor ambient air. 
(33) “Water Curtain” means a particulate control system that utilizes flowing water (i.e., a conventional water curtain) or a pumpless system to remove particulate emissions from the exhaust air stream. 
(c) Standards 
(1) Standards for Existing Thermal Spraying Operations 
Effective January 1, 2006, each owner or operator of an existing thermal spraying operation must control hexavalent chromium and nickel emissions by complying with the control efficiency requirements specified in subsection (c)(1)(A), the enclosure standards specified in subsection (c)(1)(B), and the ventilation system standards specified in subsection (c)(1)(C). Annual hexavalent chromium and nickel emissions and maximum hourly nickel emissions must be determined in accordance with the emission calculation methods in Appendix 1 or may be based on the results of an emissions source test. The use of data from an emissions source test must be approved by the permitting agency and the test must be conducted by an independent tester. 
(A) Control Efficiency Requirements for Existing Thermal Spraying Operations 
All existing thermal spraying operations must control hexavalent chromium and nickel emissions as follows: 
1. All hexavalent chromium and nickel emissions from thermal spraying operations must be routed through an air pollution control system that meets the enclosure and ventilation standards in subsections (c)(1)(B) and (c)(1)(C). 
2. For point sources, maximum hourly emissions of nickel from all thermal spraying operations at a stationary source must not exceed 0.1 lb. For volume sources, maximum hourly emissions of nickel from all thermal spraying operations must not exceed 0.01 lb. 
3. For point sources, the air pollution control system must include a control device that is certified by its manufacturer to meet the minimum control efficiency requirements specified in Table 1 of this subsection (c)(1)(A). For volume sources, the air pollution control system must include a control device that is certified by its manufacturer to meet the minimum control efficiency requirements specified in Table 2 of subsection (c)(1)(A). Emissions of hexavalent chromium and/or nickel from all thermal spraying operations at a stationary source must be included when determining the annual emissions from thermal spraying under subsection (c)(1)(A). If an existing control device meets the minimum control efficiency requirements specified in subsection (c)(1)(A), no additional controls are required by this regulation, but the owner or operator must still comply with the enclosure standards in subsection (c)(1)(B), and the ventilation system standards in subsection (c)(1)(C). If a thermal spraying operation has an air permit that limits the use of chromium and nickel to specific thermal spraying permit units, the control efficiency requirements, enclosure standards, and ventilation system standards only apply to those specific thermal spraying permit units. 
4. All thermal spraying operations that are subject to more than one minimum control efficiency requirement under subsection (c)(1)(A) must comply with the most stringent applicable requirement. 
Table 1: Point Sources -- Control Efficiency Requirements for Existing Thermal Spraying Operations 

View Graphic
Table 2: Volume Sources -- Control Efficiency Requirements for Existing Thermal Spraying Operations 

View Graphic
(B) Enclosure Standards 
All existing thermal spraying operations that are subject to subsection (c)(1)(A) must use air pollution control systems that meet the following criteria by January 1, 2006. All modified or new thermal spraying operations that are subject to subsection (c)(2)(A)2. or (c)(3)(A)1., respectively, must use air pollution control systems that meet the following criteria upon initial startup. 
1. Enclosures must be exhaust ventilated such that a continuous inward flow of air is maintained from all designed make-up air openings during thermal spraying operations. 
2. To ensure good capture of airborne pollutants, the average inward face velocity of air through the enclosure must either be: 
a. a minimum of 100 feet per minute; or 
b. the minimum velocity for metal spraying facilities as established in “Industrial Ventilation, A Manual of Recommended Practice”, 25th Edition, published by the American Conference of Governmental Industrial Hygienists, which is incorporated by reference herein. 
The inward face velocity must be confirmed by a velocity measuring device approved by the permitting agency (e.g., a pitot tube or anemometer.) Measurement of inward face velocity must be performed in accordance with the methods set forth in Appendix 2 or an alternative method approved by the permitting agency. This subsection does not require the use of an independent tester to measure inward face velocity. 
3. When thermal spraying is being performed, all air inlets and access openings must be covered to prevent the escape of dust or mist contaminants into areas outside the enclosure. This requirement does not apply to any designed or intended make-up air vents or openings. Coverings can be permanent (e.g., a door) or temporary (e.g., plastic flaps). Temporary coverings must be approved by the permitting agency. 
4. Before the enclosure is opened, thermal spraying must cease and the exhaust system must be run for a sufficient period of time, as determined by the permitting agency, to remove contaminated air within the enclosure. A minimum of three air exchanges must be exhausted from the booth after thermal spraying ceases. 
5. For the purposes of thermal spraying equipment calibration or research and development activities, permitting agencies may allow operators to open the enclosure door during thermal spraying operations, if all of the following conditions are met: 
a. The enclosure must be a four-sided booth equipped with a permanent door. 
b. The enclosure must be under negative pressure, as demonstrated in accordance with subsection (d)(1)(C). 
c. The owner or operator must verify that the average inward face velocity of air through the enclosure is at least 100 feet per minute while the door is open, in accordance with Appendix 2. 
d. The owner or operator must obtain approval from the permitting agency before beginning operations pursuant to this subsection. 
(C) Ventilation System Standards 
1. Installation of Ventilation System for Existing, New, and Modified Thermal Spraying Operations 
For existing thermal spraying operations, the exhaust gas stream from the air pollution control system required by subsection (c)(1)(B) must be ducted to a particulate matter control device meeting the applicable control efficiency requirements of subsection (c)(1)(A) by January 1, 2006. 
For modified or new thermal spraying operations, the exhaust gas stream from the air pollution control collection system required by subsection (c)(1)(B) must be ducted to a particulate matter control device meeting the applicable control efficiency requirements of subsection (c)(2)(A)2. or (c)(3)(A)1., respectively, upon initial startup. 
2. Operating Requirements for Ventilation Systems at Existing, New, and Modified Thermal Spraying Operations 
a. The ventilation system and control device must be properly maintained and kept in good operating condition at all times. Any leak, as determined by a visual leak inspection conducted in accordance with Appendix 3, is a violation of this section. 
b. Material collected by a particulate matter control system must be discharged into closed containers or an enclosed system that is completely sealed to prevent dust emissions. 
c. Dust collectors for control devices must be maintained in a manner that prevents emissions of particulate matter into the ambient air. 
(D) Permit Requirements for Existing Thermal Spraying Operations 
All unpermitted existing thermal spraying operations must submit a permit application to the permitting agency no later than October 1, 2005. This permitting requirement applies only to existing thermal spraying operations that use materials containing chromium, chromium compounds, nickel, or nickel compounds. 
(E) Standards for Remotely Located Existing Thermal Spraying Operations 
1. The requirements of subsections (c)(1)(A), (c)(1)(B), and (c)(1)(C) do not apply to existing thermal spraying operations that meet all of the following criteria: 
a. The thermal spraying operation is located at least 1,640 feet from a sensitive receptor, as determined by the permitting agency; and 
b. Annual emissions of hexavalent chromium from all thermal spraying operations do not exceed 0.5 lb; and 
c. The thermal spraying operation uses an air pollution control system that achieves a minimum control efficiency of 90 percent; and 
d. The thermal spraying operation complies with the permitting requirements of subsection (c)(1)(D); and 
e. The owner or operator of the thermal spraying operation has submitted an annual report to the permitting agency by March 1st of each calendar year, that quantifies emissions of hexavalent chromium and nickel from all thermal spraying operations during the previous calendar year; and 
f. The thermal spraying operation has undergone a site specific analysis from the permitting agency to ensure public health protection. 
2. Thermal spraying operations that qualify for this standard must undergo an annual evaluation by the permitting agency to ensure that the thermal spraying operation still complies with the conditions of this standard. This standard shall cease to apply if the permitting agency determines that the thermal spraying operation no longer meets all of the criteria in subsection (c)(1)(E)1. If the permitting agency determines that the standard ceases to apply, the owner or operator of the thermal spraying operation must submit a permit application to the permitting agency within 3 months of receipt of the permitting agency's determination. The owner or operator must achieve compliance with the requirements of this section within 9 months of receipt of the permitting agency's determination. 
(F) Exemption for Existing Thermal Spraying Operations with Low Emission Levels 
1. The requirements in subsections (c)(1)(A), (c)(1)(B), and (c)(1)(C) shall not apply to existing thermal spraying operations that meet all of the following criteria: 
a. For point sources, annual emissions of hexavalent chromium are less than 0.004 lb and annual emissions of nickel are less than 2.1 lbs. For volume sources, annual emissions of hexavalent chromium are less than 0.001 lb and annual emissions of nickel are less than 0.3 lb; and 
b. For point sources, maximum hourly emissions of nickel from all thermal spraying operations at a stationary source do not exceed 0.1 lb. For volume sources, maximum hourly emissions of nickel from all thermal spraying operations at a stationary source do not exceed 0.01 lb; and 
c. The thermal spraying operation complies with the permitting requirements of subsection (c)(1)(D); and 
d. The owner or operator of the thermal spraying operation has submitted an annual report to the permitting agency by March 1st of each calendar year, that quantifies emissions of hexavalent chromium and nickel from all thermal spraying operations during the previous calendar year. 
(2) Standards for Modified Thermal Spraying Operations 
(A) Upon initial startup, each owner or operator of a modified thermal spraying operation must comply with all of the following requirements: 
1. Modified thermal spraying operations must control hexavalent chromium and nickel emissions by complying with the control efficiency requirements specified in subsection (c)(2)(A)2. 
2. All thermal spraying operations that undergo a modification on or after January 1, 2005, must use a control device that is certified by the manufacturer to achieve 99.97 percent control efficiency for particles that are 0.3 micron in diameter. These thermal spraying operations must also comply with the enclosure standards specified in subsection (c)(1)(B) and the ventilation standards specified in subsection (c)(1)(C). 
3. For point sources, the maximum hourly emissions of nickel from all thermal spraying operations at a stationary source must not exceed 0.1 lb. For volume sources, the maximum hourly emissions of nickel from all thermal spraying operations at a stationary source must not exceed 0.01 lb. Maximum hourly nickel emissions must be determined in accordance with the emission calculation methods specified in Appendix 1 or may be based on the results of an emissions source test. The use of source test data must be approved by the permitting agency and the test must be conducted by an independent tester. 
4. All thermal spraying operations that undergo a modification on or after January 1, 2005, must submit a permit modification application to the permitting agency, in accordance with permitting agency requirements. This permitting requirement only applies to thermal spraying operations that use materials containing chromium, chromium compounds, nickel, or nickel compounds. 
(3) Standards for New Thermal Spraying Operations 
(A) 1. No person may operate a new thermal spraying operation unless it is located outside of an area that is zoned for residential or mixed use and is located at least 500 feet from the boundary of any area that is zoned for residential or mixed use. 
2. A new thermal spraying operation shall be deemed to meet the standard specified above in subsection (c)(3)(A)1. if one of the following criteria are met, even if the operation does not meet the standard at the time of initial startup (e.g., because of a zoning change that occurs after the authority to construct is issued): 
a. A new thermal spraying operation shall be deemed to meet the standard specified above if it meets the standard at the time it is issued an authority to construct by the permitting agency, and substantial use of the authority to construct takes place within one year after it is issued, or 
b. A new thermal spraying operation shall be deemed to meet the standard specified above if it meets the standard at the time it is issued an authority to construct by the permitting agency, and substantial use of the authority to construct takes place before any zoning change occurs that affects the operation's ability to meet the standard at the time of initial start-up. 
3. Prior to initial startup of a new thermal spraying operation, the owner or operator must demonstrate to the permitting agency that the operation either meets the standard specified above in subsection (c)(3)(A)1., or meets one of the criteria specified above in subsection (c)(3)(A)2. 
(B) On and after initial startup, the new thermal spraying operation must use a control device that is certified by the manufacturer to achieve 99.97 percent control efficiency for particles that are 0.3 micron in diameter. These operations must also comply with the enclosure standards specified in subsection (c)(1)(B) and the ventilation standards specified in subsection (c)(1)(C). 
(C) The maximum hourly emissions of nickel from all thermal spraying operations at a stationary source must not exceed 0.1 lb. Maximum hourly nickel emissions must be determined in accordance with the emission calculation methods specified in Appendix 1 or may be based on the results of an emissions source test. The use of source test data must be approved by the permitting agency and the test must be conducted by an independent tester. 
(D) Prior to initial startup, the thermal spraying operation must undergo a site specific analysis from the permitting agency to ensure public health protection. 
(E) Permit Requirements for New Thermal Spraying Operations 
All new thermal spraying operations must submit a permit application to the permitting agency prior to initial startup, in accordance with permitting agency requirements. This permitting requirement only applies to new thermal spraying operations that use materials containing chromium, chromium compounds, nickel, or nickel compounds. 
(d) Test Requirements and Test Methods 
(1) Testing to Demonstrate Compliance with Enclosure and Ventilation Standards 
(A) The owner or operator of an existing thermal spraying operation subject to the control efficiency requirements in subsection (c)(1)(A), must conduct a test to demonstrate compliance with the enclosure and ventilation standards specified in subsections (c)(1)(B) and (c)(1)(C). The test must include measurement of the inward face velocity (in accordance with Appendix 2) and a visual leak inspection (in accordance with Appendix 3.) This test must be conducted within 60 days of the operative date of this section. The owner or operator must notify the permitting agency at least 30 days prior to conducting a test. Although 60 days are allowed to conduct the test, all thermal spraying operations must comply with specified control efficiency requirements, enclosure standards, and ventilation standards by January 1, 2006, as specified in subsection (c)(1). 
(B) The owner or operator of a modified or new thermal spraying operation subject to the control efficiency requirements in subsections (c)(2)(A)2. or (c)(3)(A)1., respectively, must conduct a test to demonstrate compliance with the enclosure and ventilation standards in subsections (c)(1)(B) and (c)(1)(C). The test must include measurement of the inward face velocity (in accordance with Appendix 2) and a visual leak inspection (in accordance with Appendix 3.) This test must be conducted within 60 days after initial startup. The owner or operator must notify the permitting agency at least 30 days prior to conducting a test. Although 60 days are allowed to conduct the test, all thermal spraying operations must comply with specified control efficiency requirements, enclosure standards, and ventilation standards upon initial startup. 
(C) Before beginning operations pursuant to subsection (c)(1)(B)5., the owner or operator must verify that negative pressure is maintained while the enclosure door is open, using one of the following procedures: 
1. Measuring with an anemometer at the door opening to demonstrate flow into the enclosure door, or 
2. Measuring the static pressure across the enclosure door, or 
3. Using smoke tubes to demonstrate flow into the enclosure door. 
As specified in subsection (e)(5), this negative pressure verification must have been performed at least once during the12-month period immediately before operations begin, and at least once after the enclosure is changed in any way that may impact air flow. 
(2) Verification of Control Efficiency 
Existing thermal spraying operations that are subject to Tier 2 or Tier 3 control efficiency requirements specified in subsection(c)(1)(A), modified thermal spraying operations that are subject to the requirements of subsection (c)(2)(A)2., and new thermal spraying operations that are subject to the requirements of subsection (c)(3)(A)1., must use control devices with a control efficiency verified by the manufacturer. This verification must be provided to the permitting agency upon request. The control device manufacturer must verify the control efficiency using one of the following test methods, which are incorporated by reference herein: 
(A) ASHRAE Standard 52.2-1999, “Method of Testing General Ventilation Air-Cleaning Devices for Removal Efficiency by Particle Size”, American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc., 1791 Tullie Circle NE, Atlanta, GA 30329. 1999. 
(B) MIL-PRF-51526A(EA), “Filter, Particulate, 340 CMH (200 CFM), 13 March 2000, U.S. Army. 
(C) ASME AG-1-2003, “Code on Nuclear Air and Gas Treatment”, American Society of Mechanical Engineers, 345 E. 47th St., New York, NY 10017. 2003. 
(D) IEST-RP-CC001.3, “HEPA and ULPA Filters”, Institute of Environmental Sciences and Technology, 5005 Newport Drive, Suite 506, Rolling Meadows, IL 60008-3841. 1993. 
(3) Source Tests to Determine Emissions of Hexavalent Chromium and Nickel 
Owners or operators of thermal spraying operations may choose to quantify hexavalent chromium and/or nickel emissions using data from a source test rather than using the calculation methods specified in Appendix 1. In addition, a permitting agency may require that a source test be performed to quantify hexavalent chromium and/or nickel emissions from thermal spraying operations. The use of source test data must comply with the requirements specified in this subsection (d)(3). 
(A) Use of Existing Source Tests 
A source test conducted prior to January 1, 2006, may be used to quantify emissions or demonstrate compliance with the standards in subsection (c)(1)(A), if the permitting agency approves the use of that test. The test must be conducted by an independent tester, in accordance with a test protocol that was reviewed and approved by the permitting agency. 
(B) Test Methods 
If the owner or operator of a thermal spraying operation conducts a source test to quantify emissions of hexavalent chromium and/or nickel, the testing must be conducted in accordance with the following listed test methods, which are incorporated by reference herein, or in accordance with alternative test methods approved by the permitting agency. 
1. Testing to determine emissions of hexavalent chromium must be conducted in accordance with one of the following test methods, which are incorporated by reference herein: 
ARB Test Method 425, “Determination of Total Chromium and Hexavalent Chromium Emissions from Stationary Sources”, last amended July 28, 1997, section 94135, title 17, California Code of Regulations (CCR). 
EPA Test Method 306, “Determination of Chromium Emissions From Decorative and Hard Chromium Electroplating and Chromium Anodizing Operations -- Isokinetic Method”, 40 CFR 63, Appendix A, as promulgated on January 25, 1995.
South Coast Air Quality Management District (SCAQMD) Test Method 205.1, “Determination of Hexavalent and Total Chromium from Plating”, August 1991. 
2. Testing to determine emissions of nickel must be conducted in accordance with one of the following test methods, which are incorporated by reference herein: 
ARB Test Method 433, “Determination of Total Nickel Emissions from Stationary Sources”, last amended September 12, 1989, section 94145, title 17, California Code of Regulations (CCR). 
ARB Test Method 436, “Determination of Multiple Metals Emissions from Stationary Sources” (for nickel only), adopted July 28, 1997, section 94161, title 17, California Code of Regulations (CCR). 
(C) The owner or operator of a thermal spraying operation that is conducting a source test must submit a pre-test protocol to the permitting agency, in accordance with permitting agency procedures, at least 60 days prior to conducting a source test. The pre-test protocol must include source test methods, planned sampling parameters, preliminary pollutant analytical data, calculated targets for testing the pollutant, and any proposed modifications to standardized methods. In addition, the pre-test protocol must include information on equipment, logistics, personnel, and any other information required by the permitting agency. 
(e) Monitoring, Inspection, and Maintenance Requirements 
(1) Monitoring Requirements 
All thermal spraying operations with air pollution control systems must comply with the applicable monitoring requirements listed in Table 3 of this subsection (e)(1). In addition, any other operating parameters designated by the permitting agency must be monitored while conducting thermal spraying to ensure compliance with the requirements set forth in subsection (c). 
Table 3 -- Summary of Monitoring Requirements for Thermal Spraying Operations Using Add-on Air Pollution Control Devices

View Graphic
(2) Pressure Drop Monitoring Requirements 
All dry particulate control devices (e.g., dry filter cartridges or HEPA filters) must have gauges that continuously monitor the pressure drop across each control device when thermal spraying is occurring. The gauge must have a high and low setting for the pressure drop and must trigger an alarm system when the high or low set points are exceeded. The gauge must be designed to accurately measure pressure drops within the expected range and have an accuracy of at least + 5% of full scale. The gauge must be located so that it can be easily visible and in clear sight of the operation or maintenance personnel. The pressure drop must be maintained per manufacturer's specifications. If the pressure drop is outside of the acceptable limits, the owner or operator must shut down the thermal spraying operation immediately and take corrective action. The thermal spraying operation must not be resumed until the pressure drop is within the specified limit(s). 
(3) Water Curtain Monitoring Requirements 
For thermal spraying operations that are conducted in water curtain booths, the owner or operator must monitor booth operating parameters during thermal spraying to ensure compliance with the requirements specified in subsection (c). Water curtain booths must provide a continuous sheet of water down the rear wall of the booth. For all water curtain booths, the owner or operator must visually monitor the water curtain during thermal spraying to ensure that the sheet is continuous without any gaps or dry spots. The owner or operator of a conventional water curtain booth must continuously monitor the water flow rate with a flow meter during thermal spraying to ensure the water flow meets or exceeds the minimum flow rate recommended by the manufacturer. The owner or operator of a pumpless water curtain booth must monitor the parameters recommended by the booth manufacturer to ensure that these parameters meet or exceed the manufacturer's recommendations. If the water curtain fails the continuity and/or flow requirements, the owner or operator must shut down the thermal spraying operation immediately to take corrective action. The thermal spraying operation must not be resumed until the monitored parameters meet or exceed the manufacturer's recommendations. 
(4) Inspection and Maintenance Requirements 
All thermal spraying operations with air pollution control systems must comply with the applicable inspection and maintenance requirements listed in Table 4. 
Table 4 -- Summary of Inspection and Maintenance Requirements for Thermal Spraying Operations Using Add-on Air Pollution Control Devices 

View Graphic
(5) Negative Pressure Measurements 
Thermal spraying operations that are operating pursuant to subsection (c)(1)(B)5. (i.e., operating with the enclosure door open), must demonstrate negative pressure at least once every 12 months and whenever the enclosure is changed in any way that may impact air flow. 
(f) Recordkeeping Requirements 
(1) Monitoring Data Records 
The owner or operator must maintain records of monitoring data required by subsection (e), including the date and time the data are collected. Recordkeeping logs must include the applicable acceptable limit(s) for: pressure drop (dry particulate control); water flow rate (conventional water curtain); or manufacturer's recommended parameter limits (pumpless water curtain). 
(2) Inspection Records 
The owner or operator must maintain inspection records that clearly document all inspections and maintenance activities to enable the permitting agency to determine whether the requirements of subsection (e)(4) have been met. The records may take the form of a checklist and must identify: 
(A) the name of the device inspected; 
(B) the date and time of inspection; 
(C) a brief description of the working condition of the device during the inspection; 
(D) all maintenance activities performed on the components of the air pollution control system (e.g., duct work replacement, filter replacement, fan replacement, leak repairs, etc.); 
(E) the actions taken to correct deficiencies found during the inspection; and 
(F) the person that conducted the inspection. 
(3) Material Usage Records 
For thermal spraying materials that contain chromium, chromium compounds, nickel, or nickel compounds, the owner or operator must record the name and quantity of material used during each month of the annual reporting period, and the total usage to date for that calendar year. 
(4) Source Test Records 
The owner or operator must maintain test reports documenting the conditions and results of all source tests. 
(5) Equipment Malfunctions and Failures 
The owner or operator must maintain records of the occurrence, duration, cause (if known), and action taken for each equipment malfunction and/or failure. This recordkeeping requirement applies only to equipment malfunctions or failures that cause or may cause uncontrolled emissions to be released. 
(6) Records Maintenance and Retention 
All records required by this subsection (f) must be readily accessible for inspection and review at the thermal spraying operation for at least five years. If so requested by the permitting agency, the owner or operator must provide copies of the records to the permitting agency. 
(g) Reporting Requirements 
(1) Initial Emission Inventory for Existing Thermal Spraying Operations 
All existing thermal spraying operations must submit an emission inventory for hexavalent chromium and nickel to the permitting agency no later than October 1, 2005. This inventory must quantify the emissions from thermal spraying operations conducted during the 12-month period between July 1, 2004 and July 1, 2005. The emission inventory must be prepared in accordance with Appendix 1 or must be based on an emissions source test approved by the permitting agency. 
(2) Annual Emission Inventory for Existing Thermal Spraying Operations Qualifying for the Standards for Remotely Located Operations or the Exemption for Operations with Low Emission Levels 
Existing thermal spraying operations that qualify for the standards specified in subsection (c)(1)(E) or the exemption specified in subsection (c)(1)(F) must submit an annual report to the permitting agency by March 1st of each calendar year that quantifies emissions of hexavalent chromium and nickel from thermal spraying operations during the previous calendar year. 
(3) Initial Notification 
Existing thermal spraying operations that intend to begin using materials containing chromium, chromium compounds, nickel, or nickel compounds on or after January 1, 2005, must notify the permitting agency at least 45 days prior to using any of these materials. If the use of these materials begins before the operative date of this section, this notification may be delayed until the operative date of this section. 
(4) Reports of Breakdowns, Equipment Malfunctions, and Failures 
The owner or operator of a thermal spraying operation must report breakdowns, equipment malfunctions, and failures as required by the permitting agency. This reporting requirement only applies to equipment malfunctions or failures that cause or may cause uncontrolled emissions to be released. 
(5) Source Test Documentation 
(A) Notification of Source Test 
The owner or operator of a thermal spraying operation must notify the permitting agency of his or her intention to conduct a source test to measure emissions of hexavalent chromium and/or nickel. The owner or operator must provide this notification to the permitting agency at least 60 days before the source test is scheduled. The notification must include a pre-test protocol and any other documentation required by the permitting agency. 
(B) Reports of Source Test Results 
The owner or operator of a thermal spraying operation must provide the source test results to the permitting agency no later than 60 days following completion of the testing. 
(6) Adjustments to the Timeline for Submittal and Format of Reports 
A permitting agency may change the timeline for submittal of periodic reports, allow consolidation of multiple reports into a single report, establish a common schedule for submittal of reports, or accept reports prepared to comply with other State or local requirements. Prior to allowing any of these changes, the permitting agency must determine that the change will provide the same information and will not reduce the overall frequency of reporting. 
(h) Severability 
Each part of this section is deemed severable, and in the event that any part of this section is held to be invalid, the remainder of this section shall continue in full force and effect. 

Appendix 1 -- Emission Calculation Method
Emissions of hexavalent chromium (Cr+6) and nickel (Ni) from thermal spraying operations must be calculated in accordance with the procedures specified in this Appendix 1. 
Step 1: Identify all thermal spraying materials that contain chromium (Cr) or nickel (Ni) at a concentration of at least 0.1% by weight (or less than 0.1%, if listed on the Material Safety Data Sheet.) Include materials that contain chromium or nickel in the form of a metallic compound or alloy. Examples of compounds and alloys include, but are not limited to, stainless steel; chromium carbide (Cr3C2); nichrome alloys (NiCr); and chromium oxide (Cr2O3). 
Step 2: Determine the total percentage of chromium and/or nickel contained in each thermal spraying material. These data can be obtained from the material safety data sheet (MSDS) or by contacting the manufacturer. If the MSDS contains a range of percentages, use the upper value of the range. If the material contains a compound (e.g., Cr3C2), include only the portion that is chromium or nickel. 
Step 3: For each thermal spraying operation, compile the annual usage for each thermal spraying material that contains chromium or nickel. For thermal spraying operations that have air permits, the annual usage is the maximum allowable under the permit. 
Step 4: For each thermal spraying operation, calculate the annual usage quantities for chromium and nickel using the following equations: 

Eqn. 1: [Annual Usage, lbs Cr/yr] = [Material Usage, lbs material used/yr]*[weight % Cr in Material] 

Eqn. 2: [Annual Usage, lbs Ni/yr] = [Material Usage, lbs material used/yr]*[weight % Ni in Material] 
Step 5. Identify the applicable emission factor(s) for each thermal spraying operation, based on the applicable control efficiency level. If a material is used for multiple thermal spraying operations and material usage records document the quantity of material used for each operation, use the applicable emission factors for each operation. If material usage records do not document the quantity of material used for each operation, use the highest emission factor. 
Table 1-1 specifies the applicable emission factors for thermal spraying operations using materials that contain chromium, chromium compounds, or chromium alloys. 
Table 1-2 specifies the applicable emission factors for thermal spraying operations using materials that contain nickel, nickel compounds, or nickel alloys. 

Table 1-1: Thermal Spraying Emission Factors for Hexavalent Chromium

View Graphic
Table 1-2: Thermal Spraying Emission Factors for Nickel

View Graphic
Step 6 -- Annual Emissions. For each thermal spraying operation, calculate the annual emissions by multiplying the applicable emission factors by the annual usage rates, using the following equations: 

Eqn. 3: [Annual Emissions, lbs Cr+6/yr] = [Emission Factor, lbs Cr+6/lb Cr sprayed]*[Annual Usage, lbs Cr sprayed/yr]] 

Eqn. 4: [Annual Emissions, lbs Ni/yr] = [Emission Factor, lbs Ni/lb Ni sprayed]*[Annual Usage, lbs Ni sprayed/yr] 
Step 7 -- Maximum Hourly Nickel Emissions: For each thermal spraying operation that uses nickel, calculate the maximum hourly emissions by multiplying the applicable emission factors by the maximum hourly usage rates, using the following equations: 

Eqn. 5: 
[Max. Hourly Emissions, lbs Ni/hr] = [Emission Factor, lbs Ni/lb Ni sprayed]*[Max. Hourly Usage, lbs Ni sprayed/hr] 

Eqn. 6: 
[Max. Hourly Usage, lbs Ni sprayed/hr] = [Max. Gun Spray Rate, lbs material sprayed/hr]*[Max. wt.% Ni in material] 
where 
“Maximum Gun Spray Rate” is the highest material throughput rate that a thermal spraying gun can achieve, based on manufacturer specifications or actual user experience, whichever is greater. If multiple guns have the potential to be operated at the same time (e.g., in two separate booths), the maximum gun spray rate must include the total throughput from all guns. 
“Maximum Weight % Nickel in Material” is the highest weight percentage of nickel for all of the thermal spraying materials that are used in thermal spraying operations at a facility. 

Point Source Example: 
Thermal Spraying Inc. operates two thermal spraying booths. One booth is used for plasma spraying and the other booth is used for flame spraying and twin-wire electric arc spraying. Listed below is information on the facility's operations: 

View Graphic
An example calculation is provided below for Thermal Spraying Inc.: 
Step 1: Identify all thermal spraying materials that contain at least 0.1% by weight of chromium (Cr), chromium compounds, nickel (Ni), or nickel compounds. 
The following four products contain chromium or nickel: Powder 123; Powder ABC; Powder XYZ; Wire #1. 
Step 2: Determine the total percentage of chromium and/or nickel. 

Materials Used	% Total Chromium	% Nickel
Powder 123	0%	95%
Powder ABC	25%	0%
Powder XYZ	20%	75%
Wire #1	20%	5% 
If a thermal spraying material contains a compound, include only the portion that is chromium or nickel. For example, if the material contains 95% chromium oxide (Cr2O3), the weight percent of chromium would be calculated as follows: 

View Graphic
Step 3: Compile the annual material usage. 

Operation	 Materials Used	Quantity Used
			
Plasma Spray	Powder ABC	25 lbs/yr
	Powder XYZ	50 lbs/yr
Flame Spray	Powder 123	10 lbs/yr
	Powder XYZ	75 lbs/yr
Twin-Wire	Wire #1	80 lbs/yr 
			
Step 4: Calculate the annual usage quantities for chromium and nickel. 

View Graphic
Step 5: Identify the applicable emission factors. 

View Graphic
Step 6: Calculate annual emissions ([Annual Emissions] = [Emission Factor]*[Annual Usage].) 
For hexavalent chromium, the annual emissions are -- 

View Graphic
Based on this emission level, Thermal Spraying Inc. is below the Tier 1 threshold for hexavalent chromium. Therefore, no new control efficiency requirements would be imposed by this ATCM because of hexavalent chromium emissions. However, Thermal Spraying Inc. will still need to comply with the permitting, monitoring, and recordkeeping requirements of the ATCM. In addition, if the workload increased and emissions exceeded Tier 1 thresholds, it would be necessary to upgrade the dry filter system or limit the usage of all chromium materials to the booth that has the HEPA filter. 
For nickel, the annual emissions are -- 

View Graphic
Based on this emission level, Thermal Spraying Inc. is below the Tier 1 threshold for nickel. Therefore, no new control efficiency requirements would be imposed by this ATCM because of nickel emissions. However, Thermal Spraying Inc. will still need to comply with the permitting, monitoring, and recordkeeping requirements of the ATCM. In addition, if the workload increased and emissions exceeded Tier 1 thresholds, it would be necessary to upgrade the dry filter system or limit the usage of all nickel materials to the booth that has the HEPA filter. 
Step 7: Calculate the maximum hourly emissions for nickel. 

Powder 123 is the material that has the highest weight percentage of nickel (95%). 
The maximum spray rate for the flame spraying gun is 10 lbs/hr. 
The emission factor for flame spraying is 1.10E-03 lb Ni/lb Ni sprayed. 

[Maximum Hourly Usage] = [Maximum Gun Spray Rate]*[Maximum Wt.% Nickel] 
[Maximum Hourly Usage] = [10 lbs/hr]*[95% Ni] = 9.5 lbs Ni sprayed/hr 

[Maximum Hourly Emissions] = [Emission Factor]*[Maximum Hourly Usage] 
Maximum Hourly Emissions = [1.10E-03 lb Ni/lb Ni sprayed]*[9.5 lbs Ni sprayed/hr] = 0.01 lb Ni/hr 
The maximum hourly emissions for nickel are 0.01 lbs Ni/hr, which is well below the compliance limit of 0.1 lb Ni/hr for point sources. Therefore, this thermal spraying operation complies with the maximum hourly limit for nickel. 

Volume Source Example: 
Machine Shop Inc. conducts flame spraying with powder on small parts. The parts are turned on a lathe while spraying is being performed. Since the lathe is not located in a booth, the shop uses a portable local exhaust fan to remove fumes from the worker's breathing area. This type of operation would be considered a volume source with 0% control efficiency. Listed below is information on the facility's operations:

View Graphic
An example calculation is provided below for Machine Shop Inc.:
Step 1: Identify all thermal spraying materials that contain at least 0.1% by weight of chromium (Cr), chromium compounds, nickel (Ni), or nickel compounds. 
The following two products contain chromium or nickel: Powder 123 and Powder XYZ. 
Step 2: Determine the total percentage of chromium and/or nickel.

Materials Used	% Total	% Nickel
	Chromium

Powder 123	0%	95%
Powder XYZ	20%	75%
		
Step 3: Compile the annual material usage. 

Operation	Materials Used	Quantity Used

Flame Spray	Powder 123	20 lbs/yr
	Powder XYZ	5 lbs/yr
		
Step 4: Calculate the annual usage quantities for chromium and nickel. 

View Graphic
Step 5: Identify the applicable emission factors. 

View Graphic
Step 6: Calculate annual emissions ([Annual Emissions] = [Emission Factor]*[Annual Usage].) 
For hexavalent chromium, the annual emissions are -

View Graphic
Based on this emission level, Machine Shop Inc. is classified as Tier 1 for hexavalent chromium. Therefore, the thermal spraying operation would need to install a new booth with a control device that met the Tier 1 minimum efficiency requirement of 99%. In addition, Machine Shop Inc. would need to comply with the permitting, monitoring, and recordkeeping requirements of the ATCM. Machine Shop Inc. could avoid having to install a new booth and control device, if they eliminated the use of chromium-containing materials. 
For nickel, the annual emissions are - 

View Graphic
Based on this emission level, Machine Shop Inc. is below the Tier 1 threshold for nickel. Therefore, no new control efficiency requirements would be imposed by this ATCM because of nickel emissions. However, this ATCM requires thermal spraying operations to comply with the most stringent control efficiency. Since the control efficiency requirement based on hexavalent chromium is the most stringent, they must comply with the 99% control efficiency. 
Step 7: Calculate the maximum hourly emissions for nickel. 
Powder 123 is the material that has the highest weight percentage of nickel (95%). 
The maximum spray rate for the flame spraying gun is 10 lbs/hr. 
The emission factor for flame spraying is 1.10E-01 lb Ni/lb Ni sprayed. 

[Maximum Hourly Usage] = [Maximum Gun Spray Rate]*[Maximum Wt.% Nickel] 
[Maximum Hourly Usage] = [10 lbs/hr]*[95 % Ni] = 9.5 lbs Ni sprayed/hr 

[Maximum Hourly Emissions] = [Emission Factor]*[Maximum Hourly Usage]
Maximum Hourly Emissions = [1.10E-01 lb Ni/lb Ni sprayed]*[9.5 lbs Ni sprayed/hr] = 1.1 lb Ni/hr 
The maximum hourly emissions for nickel are 1.1 lbs Ni/hr, which exceeds the compliance limit of 0.01 lb Ni/hr for volume sources. Therefore, this thermal spraying operation does not comply with the maximum hourly limit for nickel and it would be necessary to reduce emissions (e.g., install a control device, limit usage, etc.) 

Appendix 2 -- Method for Measuring Inward Face Velocity
Inward face velocity must be measured at least once every calendar year and whenever the air pollution control system is changed in any way that may impact air flow to ensure that the ventilation system is working properly. Measurements must be conducted in accordance with the procedures specified in this Appendix 2 or an alternative method approved by the permitting agency. 
1. Hood Measurement: 
Divide the face of the hood, the slot area, or the normal plane, at the capture velocity measurement point into equal area rectangles (see Figure 1). The side of each rectangular area should be no longer than 12 inches. Measure the air velocity (fpm) at the center of each rectangle using a calibrated anemometer or other measuring device approved by the permitting agency. The velocity measuring device must have an accuracy of at least +10% of full scale. The measuring device must be in good condition, of proper velocity range, and operated according to the manufacturer's instructions. The measuring device must be calibrated in accordance with the manufacturer's recommendations. Do not block or disturb the airflow while taking the readings.

View Graphic
Figure 1: Airflow distribution measurement for an exterior hood and an enclosing hood 
Measure the volumetric airflow rate through the hood by measuring the velocity at the center of each equal-sized rectangular area (i.e., by performing pitot traverses.) If no suitable location exists for performing complete pitot traverses, measure the slot velocity and use this data to estimate the volumetric airflow rate through a hood. 
2. Walk-in Booth Measurement: 
For a cross-draft walk-in booth (i.e., air enters through filters in the front of the booth and leaves through filters in the back of the booth): 
Divide the length of the booth into at least three cross-sectional areas to obtain the velocity profile in the booth. One cross-sectional area must be located near the exhaust plenum, one close to the supply plenum, and the other in the middle of the booth. Figure 2 illustrates the location of cross-sectional areas. Record the distance between each cross-sectional area and the exhaust or supply plenums. The distance between each cross-sectional area must not exceed ten feet. 
Lay out imaginary grid lines through each cross sectional area. Use the intersections of the grid lines as locations to measure velocities inside the booth. The intersection points must be no more than six feet apart. Record the location of each point on the grid. Measure the air velocity (fpm) at each intersection point on the grid using a calibrated anemometer or other measuring device approved by the permitting agency. The velocity measuring device must have an accuracy of at least +10% of full scale. The measuring device must be in good condition, of proper velocity range, and operated according to the manufacturer's instructions. The measuring device must be calibrated in accordance with the manufacturer's recommendations. 

View Graphic

Figure 2: Airflow distribution measurement inside a cross-draft walk-in booth 
For a down-draft walk-in booth (i.e., air enters through filters in the ceiling of the booth and leaves through filters that cover trenches under a metal grate floor): 
Divide the height of the booth into at least three cross-sectional areas to obtain the velocity profile in the booth. One cross-sectional area must be located near the exhaust plenum, one close to the supply plenum, and the other in the middle of the booth. Record the distance between each cross-sectional area and the exhaust or supply plenums. The distance between each cross-sectional area must not exceed ten feet. 
Lay out imaginary grid lines through each cross sectional area. Use the intersections of the grid lines as locations to measure velocities inside the booth. The intersection points must be no more than six feet apart. Record the location of each point on the grid. Measure the air velocity (fpm) at each intersection point on the grid using a calibrated anemometer or other measuring device approved by the permitting agency. The velocity measuring device must have an accuracy of at least +10% of full scale. The measuring device must be in good condition, of proper velocity range, and operated according to the manufacturer's instructions. The measuring device must be calibrated in accordance with the manufacturer's recommendations. 
3. Average Value of Readings 
Calculate the average value for all velocity readings, if all individual readings are within + 20% of the average value. Do not include turbulent readings when calculating the average (turbulent airflow may be indicated by negative or zero velocity readings.) Record and make available for inspection by the permitting agency the entire velocity profile to show the airflow distribution. 

Examples: 

	Hood A - Velocity Readings (fpm)
100	90	110
85	115	100
105	95	100
Average Velocity = 900 fpm / 9 = 100 fpm 

	Hood B - Velocity Readings (fpm)
200	200	0
200	50	0
100	-5 *	-45 *
Average velocity = 750 fpm / 7 = 107 fpm **

* Negative values indicate airflow in reverse direction and are not included in the average. 
** This is not a valid average, because individual readings are not within +20% of the average. The booth airflow needs to be adjusted and balanced before the velocity is measured again. 

Appendix 3 -- Leak Check Visual Inspection Checklist
Visual inspections must be conducted at least once every 90 days to ensure that no leaks are present in the control device or ventilation system. At a minimum, the inspection must include the items listed in the following checklist that are applicable. In addition to the items on this checklist, thermal spraying operations must inspect items in accordance with manufacturers' recommendations. 

View Graphic
NOTE

Authority Cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666 and 41511, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 93102.5 to new section 93101.5 filed 10-17-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 42).
§93102. Airborne Toxic Control Measure for Chromium Plating and Chromic Acid Anodizing Facilities.
Note     •     History

The Airborne Toxic Control Measure for Chromium Plating and Chromic Acid Anodizing Facilities (ATCM) is contained in sections 93102 through 93102.16. The ATCM is organized as follows:
Sections 93102 through 93102.3 specify the applicability of the ATCM, exemptions, and definitions. Section 93102.4 sets forth requirements for hexavalent chromium facilities that differ depending on whether a facility is an existing facility, a modified facility, or a new facility. Section 93102.5 sets forth various new requirements that apply to all facilities beginning October 24, 2007 (i.e., all existing, modified, and new facilities). Section 93102.6 contains special provisions that apply only to enclosed hexavalent chromium electroplating facilities and facilities that perform electroplating using a trivalent chromium bath. Sections 93102.7 through 93102.14 contain additional requirements that apply to all facilities, unless an exception is provided in this ATCM. Most of the requirements in sections 93102.7 through 93102.14 have been in effect since 1998. Section 93102.15 sets forth requirements that apply to the manufacture, sale, supply, offer for sale, and use of chromium plating and chromic acid anodizing kits in California. There are nine appendices to the ATCM; these appendices are contained in section 93102.16. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. New section filed 12-7-88; operative 1-6-89 (Register 88, No. 52).
2. Repealer and new section, including new appendices 1-6, filed 6-26-98 as an emergency; operative 6-26-98 (Register 98, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-26-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-26-98 order, including amendment of subsection (c)(3) chart, transmitted to OAL 9-4-98 and filed 10-20-98 (Register 98, No. 43).
. 4.Renumbering of former section 93102 to new sections 93102.1,  93102.3-93102.4, 93102.7 and 93102.9-93102.14, relocation of appendices 1-6 to new section 93102.16 and new section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).

Appendix 1   Content of Performance Test Reports
Performance test reports shall contain the following information: 
1. A brief process description;
2. Sampling location description(s);
3. A description of sampling and analytical procedures and any modifications to standard procedures;
4. Test results;
5. Quality assurance procedures and results;
6. Records of operating conditions during the test, preparation of standards, and calibration procedures;
7. Original data for field sampling and field and laboratory analyses;
8. Documentation of calculations; and
9. Any other information required by the test method.
Note: Test reports consistent with the provisions of ARB Method 425 will fulfill the above performance test report content requirement.

Appendix 2   Content of Initial Compliance Status Reports.
Initial compliance status reports shall contain the following information:
1. The applicable emission limitation and the methods that were used to determine compliance with this limitation;
2. If a performance test is required, the test report documenting the results of the performance test, which contains the elements listed in Appendix 1;
3. The type and quantity of hazardous air pollutants emitted by the source reported in mg/dscm or mg/hr for decorative and anodizing operations. (If the owner or operator is subject to the construction and modification provisions of subsection (j) and had previously submitted emission estimates, the owner or operator shall state that this report corrects or verifies the previous estimate.) For sources not required to conduct a performance test, the surface tension measurement may fulfill this requirement;
4. For each monitored parameter for which a compliant value is to be established under subsection (e), the specific operating parameter value, or range of values, that corresponds to compliance with the applicable emission limit;
5. The methods that will be used to determine continuous compliance, including a description of monitoring and reporting requirements, if methods differ from those identified in this section;
6. A description of the air pollution control technique for each emission point;
7. A statement that the owner or operator has completed and has on file the operation and maintenance plan as required by subsection (g);
8. If the owner or operator is determining facility size based on actual cumulative rectifier usage, records to support that the facility is small or medium. For existing sources, records from any 12-month period preceding the compliance date shall be used or a description of how operations will change to meet a small or medium designation shall be provided. For new sources, records of projected rectifier usage for the first 12-month period of tank operation shall be used;
9. A statement by the owner or operator as to whether the source has complied with the provisions of this section.

Appendix 3   Content of Ongoing Compliance Status Reports.
Ongoing compliance status reports shall contain the following information: 
1. The company name and address of the source;
2. An identification of the operating parameter that is monitored for compliance determination, as required by subsection (e);
3. The relevant emission limitation for the source, and the operating parameter value, or range of values, that correspond to compliance with this emission limitation as specified in the notification of initial compliance status required by Appendix 2;
4. The beginning and ending dates of the reporting period;
5. A description of the type of process performed in the source;
6. The actual cumulative rectifier usage expended during the reporting period, on a month-by-month basis, if the source is a hard chromium electroplating tank;
7. A summary of any excess emissions or exceeded monitoring parameters as identified in the records required by subsection (h)(6);
8. A certification by a responsible official that the inspection and maintenance requirements in subsection (f) were followed in accordance with the operation and maintenance plan for the source;
9. If the operation and maintenance plan required by subsection (g) was not followed, an explanation of the reasons for not following the provisions, an assessment of whether any excess emissions and/or monitoring parameter excesses are believed to have occurred, and a copy of the record(s) required by subsection (h)(1) documenting that the operation and maintenance plan was not followed;
10. A description of any changes in monitoring, processes, or controls since the last reporting period;
11. The name, title, and signature of the responsible official who is certifying the accuracy of the report, and
12. The date of the report.

Appendix 4   Notification of Construction Reports.
Notification of Construction Reports shall contain the following information:
(A) The owner or operator's name, title, and address;
(B) The address (i.e., physical location) or proposed address of the source if different from the owner's or operator's;
(C) A notification of intention to construct a new source or make any physical or operational changes to a source that may meet or has been determined to meet the criteria for a modification;
(D) The expected commencement and completion dates of the construction or modification;
(E) The anticipated date of (initial) startup of the source;
(F) The type of process operation to be performed (hard or decorative chromium electroplating, or chromic acid anodizing);
(G) A description of the air pollution control technique to be used to control emissions, such as preliminary design drawings and design capacity if an add-on air pollution control device is used; and
(H) An estimate of emissions from the source based on engineering calculations and vendor information on control device efficiency, expressed in units consistent with the emission limits of this subpart. Calculations of emission estimates should be in sufficient detail to permit assessment of the validity of the calculations.
Note: A facility can fulfill these report content requirements by complying with the permitting agency's new source review rule or policy, provided similar information is obtained.

Appendix 5   Smoke Test for Chrome Tank Covers.

SMOKE TEST TO VERIFY THE SEAL INTEGRITY OF
COVERS DESIGNED TO REDUCE CHROMIUM EMISSIONS FROM ELECTROPLATING AND ANODIZING TANKS 
1. Applicability and Principle
1.1 Applicability. This alternative method is applicable to all hard chromium electroplating and anodizing operations where a chrome tank cover is used on the tank for reducing chromium emissions.
1.2 Principle. During chromium electroplating or anodizing operations, bubbles of hydrogen and oxygen gas generated during the process rise to the surface of the tank liquid and burst. Upon bursting, tiny droplets of chromic acid (chromium mist) become entrained in the air above the tank. Because the chrome tank cover completely encloses the air above the tank, the chromium mist either falls back into the solution because of gravity or collects on the inside walls of the chrome tank cover and runs back into the solution. A semi-permeable membrane allows passage of the hydrogen and oxygen out of the chrome tank cover. A lit smoke device is placed inside the chrome tank cover to detect leaks at the membrane, joints, or seals.
2. Apparatus
2.1 Smoke device. Adequate to generate 500 to 1000 ft3 of smoke/20 ft2 of tank surface area (e.g., Model #1A=15 SECONDS from Superior Signal, New York).
2.2 Small container. To hold the smoke device.
3. Procedure
Place the small container on a stable and flat area at center of the chrome tank cover (you can use a board and place it on the buss bars). Place the smoke device inside the container. After lighting the smoke device, quickly close the access door to avoid smoke from escaping. Let smoke device completely burn; entire space under the chrome tank cover will now be filled with the smoke. Observe for leaks of smoke from each seal, joint, and membrane of the chrome tank cover. Record these observations including the locations and a qualitative assessment of any leaks of smoke.
When all seals, joints, and membranes have been observed, evacuate the unit to remove the smoke from the chrome tank cover.

Appendix 6    Air Pollution Control or Air Quality Management District Breakdown Rules.

DISTRICT	RULE #	RULE NAME

Amador 	516 	Upset and breakdown conditions
Antelope 	430 	Breakdown provisions
Bay Area 	1 	General provisions and definitions
Butte 	275 	Reporting procedures for excess emissions
Calaveras 	516 	Upset and breakdown conditions
Colusa 	1.13 	Equipment breakdown
El Dorado 	516 	Upset and breakdown conditions
Feather River	9.6 	Equipment breakdown
Glenn 	95.2 	Malfunction of equipment
Great Basin 	403 	Breakdown
Imperial 	111 	Equipment breakdown
Kern 	111 	Equipment breakdown
Lake 	Chapter III, 	Malfunction 
	Article II

Lassen 	2:15 	Equipment breakdown
Mariposa 	516 	Upset and breakdown conditions
Mendocino 	R1-5-540	Equipment breakdown
Modoc 	2.12 	Equipment breakdown
Mojave 	430 	Breakdown provisions
Monterey Bay 	214 	Breakdown condition
North Coast 	3-4-540 	Breakdown and violation reporting
North Coast 	1-5-540 	Equipment breakdown
Northern 	516 	Upset and breakdown conditions 
 Sierra

Northern 	1-5-540 	Equipment breakdown 
 Sonoma
Placer 	404 	Upset cond. Breakdn. Scheduled 
		 maintenance
Sacramento 	602 	Breakdown conditions: emergency 
		 variance
San Diego 	98 	Breakdown conditions: emergency 
		 variance

San Joaquin 	110 	Equipment breakdown
San Luis 	107 	Breakdown or upset conditions and 
 Obispo		 emergency variances 
Santa Barbara 	505	Breakdown conditions
Santa Barbara 	506 	Emergency variances for breakdowns
Shasta 	3:10 	Excess emissions

DISTRICT	RULE #	RULE NAME

Siskiyou 	2.12 	Equipment breakdown (Siskiyou)
South Coast 	430 	Breakdown provisions
Tehema 	4:17 	Upset or breakdown conditions
Tuolumne 	516 	Upset and breakdown conditions
Ventura 	32 	Breakdown conditions; emergency 
		 variances
Yolo Solano 	5.2 	Upset/breakdown conditions: emerg. 
		 variance
NOTE

Authority cited: sections 39600, 39601, 39650 and 39666, Health and Safety Code. Reference: Sections 39650, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. New section filed 12-7-88; operative 1-6-89 (Register 88, No. 52).
2. Repealer and new section, including new appendices 1-6, filed 6-26-98 as an emergency; operative 6-26-98 (Register 98, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-26-98 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-26-98 order, including amendment of subsection (c)(3) chart, transmitted to OAL 9-4-98 and filed 10-20-98 (Register 98, No. 43).
§93102.1. Applicability.
Note     •     History

(a) This regulation shall apply to: 
(1) The owner or operator of any facility performing hard chromium electroplating, decorative chromium electroplating, or chromic acid anodizing. 
(2) Any person who sells, supplies, offers for sale, uses, or manufactures for sale in California a chromium electroplating or chromic acid anodizing kit. 
(b) Title V Permits.
The owner or operator of a major source subject to the requirements of this section is required to obtain a title V permit (See 42 U.S.C. 7401, et seq.) from the permitting authority of the district in which the major source is located.
(c) Severability. 
Each part of this ATCM shall be deemed severable, and in the event that any part of this ATCM is held to be invalid, the remainder of this ATCM shall continue in full force and effect.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(a) and its subdivisions to new section 93102.1 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.2. Exemptions.
Note     •     History

(a) This regulation shall not apply to process tanks associated with a chromium electroplating or chromic acid anodizing process, but in which neither chromium electroplating nor chromic acid anodizing is taking place. Examples of such tanks include, but are not limited to, rinse tanks, etching tanks, electro stripping tanks and cleaning tanks. Tanks that contain a chromium solution, but in which no electrolytic process occurs, are not subject to this regulation. An example of such a tank is a chromium conversion coating tank where no electrical current is applied. 
(b) The requirements of sections 93102.4 and 93102.11 do not apply during periods of equipment breakdown, provided the provisions of the permitting agency's breakdown rule are met (see Appendix 6).
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.3. Definitions.
Note     •     History

(a) For the purposes of this regulation, the following definitions shall apply:
(1) “Add-on air pollution control device” means equipment installed in the ventilation system of chromium electroplating and anodizing tanks for the purposes of collecting and containing chromium emissions from the tank(s).
(2) “Air pollution control technique” means any method, such as an add-on air pollution control device, mechanical fume suppressant or a chemical fume suppressant, that is used to reduce chromium emissions from chromium electroplating and chromic acid anodizing tanks.
(3) “Ampere-hours” means the integral of electrical current applied to a plating tank (amperes) over a period of time (hours).
(4) “Annual permitted ampere-hours” means the maximum allowable chromium plating or anodizing rectifier production in ampere-hours, on an annual basis as specified in the permitting agency's Permit to Operate for the facility.
(5) “Area source” means any stationary source of hazardous air pollutants that is not a major source as defined in this part.
(6) “Base material” means the metal or metal alloy, or plastic that comprises the workpiece.
(7) “Bath component” means the trade or brand name of each component(s) in trivalent chromium plating baths. For trivalent chromium baths, the bath composition is proprietary in most cases. Therefore, the trade or brand name for each component(s) can be used; however, the chemical name of the wetting agent contained in that component must be identified.
(8) “Breakdown” means an unforeseeable impairment of an air pollution control equipment or related operating equipment which causes a violation of any emission limitation or restriction prescribed by a permitting agency's rule or by State law and which: is not the result of neglect or disregard of any air pollution control law, rule, or regulation; is not intentional or the result of negligence, or improper maintenance; is not a recurrent breakdown of the same equipment; and, does not constitute a nuisance pursuant to section 41700 of the California Health and Safety Code, with the burden of proving the criteria of this section placed upon the person seeking to come under the provisions of this law.
(9) “Chemical fume suppressant” means any chemical agent that reduces or suppresses fumes or mists at the surface of an electroplating or anodizing bath; another term for fume suppressant is mist suppressant. 
(10) “Chromic acid” means the common name for chromium anhydride (CrO3).
(11) “Chromic acid anodizing” means the electrolytic process by which an oxide layer is produced on the surface of a base material for functional purposes (e.g., corrosion resistance or electrical insulation) using a chromic acid solution. In chromic acid anodizing, the part to be anodized acts as the anode in the electrical circuit, and the chromic acid solution, with a concentration typically ranging from 50 to 100 grams per liter (g/L), serves as the electrolyte. 
(12) “Chromium electroplating or chromic acid anodizing tank” means the receptacle or container in which hard or decorative chromium electroplating or chromic acid anodizing occurs, along with the following accompanying internal and external tank components needed for chromium electroplating or chromic acid anodizing. These tank components include, but are not limited to, rectifiers fitted with controls to allow for voltage adjustments, heat exchanger equipment, and circulation pumps.
(13) “Composite mesh-pad system” means an add-on air pollution control device typically consisting of several mesh-pad stages to remove particles. 
(14) “Decorative chromium electroplating” means the process by which a thin layer of chromium (typically 0.003 to 2.5 micrometers) is electrodeposited on a base metal, plastic, or undercoating material to provide a bright surface with wear and tarnish resistance. In this process, the part(s) serves as the cathode in the electrolytic cell and the solution serves as the electrolyte. Typical current density applied during this process ranges from 540 to 2,400 Amperes per square meter (A/m2) for total plating times ranging between 0.5 to 5 minutes.
(15) “Dragout” means fluid containing hexavalent chromium that adheres to parts when they are removed from a tank.
(16) “Electroplating or anodizing bath” means the electrolytic solution used as the conducting medium in which the flow of current is accompanied by movement of metal ions for the purpose of electroplating metal out of the solution onto a workpiece or for oxidizing the base material.
(17) “Emission limitation” means, for trivalent chromium plating, the concentration of total chromium allowed to be emitted expressed in milligrams per dry standard cubic meter (mg/dscm). For hexavalent chromium plating or anodizing, the allowable surface tension expressed in dynes per centimeter (dynes/cm) or the milligrams of hexavalent chromium per ampere-hour (mg/amp-hr) of electrical charge applied to the chromium electroplating or anodizing tank, or the concentration of chromium allowed to be emitted expressed in milligrams per dry standard cubic meter (mg/dscm). 
(18) “Enclosed hexavalent chromium electroplating tank” means a hard, decorative or chromic acid anodizing tank using a hexavalent chromium solution that is equipped with an enclosing hood and ventilated at half the rate or less than that of a ventilated open surface tank of the same surface area.
(19) “Enclosed storage area” means any space or structure used to contain material that prevents its contents from being emitted into the atmosphere. This includes cabinets, closets or sheds designated for storage.
(20) “Executive Officer” means the Executive Officer of the Air Resources Board, or his or her delegate. 
(21) “Existing facility” means a facility that is in operation before October 24, 2007.
(22) “Facility” means the major or area source at which chromium electroplating or chromic acid anodizing is performed and/or any source or group of sources or other contaminant-emitting activities which are located on one or more contiguous properties within the District, in actual physical contact or separated solely by a public roadway or other public right-of way, and are owned or operated by the same person (or by persons under common control), or an outer continental shelf (OCS) source as determined in 40 CFR Section 55.2, as last amended September 2, 1997.
(23) “Fiber-bed mist eliminator” means an add-on air pollution control device that removes particles from a gas stream through the mechanisms of inertial impaction and Brownian diffusion. 
(24) “Foam blanket” means the type of chemical fume suppressant that generates a layer of foam across the surface of a solution when current is applied to that solution. A foam blanket does not lower surface tension of a liquid. 
(25) “Fresh water” means water, such as tap water, that has not been previously used in a process operation or, if the water has been recycled from a process operation, it has been treated and meets the effluent guidelines for chromium wastewater.
(26) “Fugitive dust” means any solid particulate matter that may contain hexavalent chromium that has the potential to become airborne by natural or man-made activities. “Fugitive dust” does not include particulate matter emitted from an exhaust stack. 
(27) “Hard chromium electroplating or industrial chromium electroplating” means a process by which a thick layer of chromium (typically greater than 1.0 micrometers) is electrodeposited on a base material to provide a surface with functional properties such as wear resistance, a low coefficient of friction, hardness, and corrosion resistance. In this process, the part serves as the cathode in the electrolytic cell and the solution serves as the electrolyte. The hard chromium electroplating process is performed at current densities typically ranging from 1,600 to 6,500 A/m2 for total plating times ranging from 20 minutes to 36 hours depending upon the desired plate thickness. 
(28) “Hexavalent chromium” means the form of chromium in a valence state of +6.
(29) “High Efficiency Particulate Arrestor (HEPA) filter” means filter(s) rated at 99.97 percent or more efficient in collecting particle sizes 0.3 micrometers. 
(30) “Initial startup” means the first time a new facility begins production or the first time a modified chromium plating or anodizing tank begins operating at a modified facility. If such production or operation occurs prior to October 24, 2007, the date of “Initial Startup” is October 24, 2007. “Initial Startup” does not include operation solely for testing of equipment or subsequent startup of permit units following malfunction or shutdown. 
(31) “Large, hard chromium electroplating facility” means a facility that performs hard chromium electroplating and emits greater than or equal to 10 pounds per year (lbs/yr) controlled emissions of hexavalent chromium.
(32) “Leak” means the release of chromium emissions from any opening in the emission collection system prior to exiting the emission control device.
(33) “Major source” means any stationary source, or group of stationary sources located within a contiguous area and under common control, that emits, or has the potential to emit considering controls, in the aggregate, 10 tons per year or more of any hazardous air pollutant, or 25 tons per year or more of any combination of hazardous air pollutants.
(34) “Maximum cumulative potential rectifier capacity” means the summation of the total installed rectifier capacity associated with the hard chromium electroplating tanks at a facility, expressed in amperes, multiplied by the maximum potential operating schedule of 8,400 hours per year and 0.7, which assumes that electrodes are energized 70 percent of the total operating time. The maximum potential operating schedule is based on operating 24 hours per day, 7 days per week, 50 weeks per year.
(35) “Mechanical fume suppressant” means any device, including but not limited to polyballs, that reduces fumes or mist at the surfaces of an electroplating or anodizing bath by direct contact with the surface of the bath. 
(36) “Medium, hard chromium electroplating facility” means a facility that performs hard chromium electroplating and emits greater than 2 pounds per year (lbs/yr) controlled emissions but less than 10 pounds per year (lbs/yr) controlled emissions of hexavalent chromium.
(37) “Modification” means either: 
(A) any physical change in, change in method of operation of, or addition to an existing permit unit that requires an application for a permit to construct and/or operate and results in an increase in hexavalent chromium emissions. Routine maintenance and/or repair shall not be considered a physical change. A change in the method of operation of equipment, unless previously limited by an enforceable permit condition, shall not include: 
1. an increase in the hours of operation; or
2. a change in ownership of a facility; or
3. an increase in the annual ampere-hours, unless such increase will cause a facility to be subject to a different requirement in Table 93102.4 of section 93102.4. 
(B) the addition of any new chromium plating or anodizing tank at an existing facility which increases hexavalent chromium emissions; or
(C) the fixed capital cost of the replacement of components exceeding 50 percent of the fixed capital cost that would be required to construct a comparable new facility.
(38) “Modified facility” means any facility which has undergone a modification.
(39) “New facility” means any facility that begins initial operations on or after October 24, 2007. “New Facility” does not include the installation of a new chromium plating or anodizing tank at an existing facility or the modification of an existing facility.
(40) “Operating parameter value” means a minimum or maximum value established for a control device or process parameter which, if achieved by itself or in combination with one or more other operating parameter values, determines that an owner or operator is in continual compliance with the applicable emission limitation or standard.
(41) “Owner or Operator” means a person who is the owner or the operator of a facility performing hard chromium electroplating, decorative chromium electroplating, or chromic acid anodizing.
(42) “Packed-bed scrubber” means an add-on air pollution control device consisting of a single or double packed-bed that contains packing media on which the chromic acid droplets impinge. 
(43) “Permitting agency” means the local air pollution control or air quality management district.
(44) “Person” shall have the same meaning as defined in Health and Safety Code section 39047.
(45) “Responsible official” means one of the following: 
(A) For a corporation: A president, secretary, treasurer, or vice president of the corporation in charge of a principal business function, or any other person who performs similar policy or decision-making functions for the corporation, or a duly authorized representative of such person if the representative is responsible for the overall operation of one or more manufacturing, production, or operating facilities and either: 
1. The facilities employ more than 250 persons or have gross annual sales or expenditures exceeding $25 million (in second quarter 1980 dollars); or
2. The delegation of authority to such representative is approved in advance by the Administrator.
(B) For a partnership or sole proprietorship: a general partner or the proprietor, respectively.

(C) 	For a municipality, state, Federal, or other public agency: either a principal executive officer or ranking elected official. For the purposes of this part, a principal executive officer of a Federal agency includes the chief executive officer having responsibility for the overall operations of a principal geographic unit of the agency (e.g., a Regional Administrator of the U.S. EPA).

(D) 	For sources (as defined in this part) applying for or subject to a title V permit: “responsible official” shall have the same meaning as defined in 40 CFR Part 70 or federal title V regulations in this chapter (42 U.S.C. 7401, et seq.), whichever is applicable.
(46) “School under construction” means any property that meets any of the following conditions:
(A) construction of a school has commenced; or
(B) a CEQA Notice for the construction of a school has been issued; or

(C) 	a school has been identified in an approved local government specific plan.
(47) “Sensitive receptor” means any residence including private homes, condominiums, apartments, and living quarters; education resources such as preschools and kindergarten through grade twelve (k-12) schools; daycare centers; and health care facilities such as hospitals or retirement and nursing homes. A sensitive receptor includes long term care hospitals, hospices, prisons, and dormitories or similar live-in housing.
(48) “Small, hard chromium electroplating facility” means a facility that performs hard chromium electroplating and emits less than or equal to 2 pounds per year (lbs/yr) controlled emissions of hexavalent chromium.
(49) “Source” means any chromium electroplating or chromic acid anodizing operation and any equipment or materials associated with the selected associated air pollution control technique.
(50) “Stalagmometer” means an instrument used to measure the surface tension of a solution by determining the mass of a drop of liquid by weighing a known number of drops or by counting the number of drops obtained from a given volume of liquid. 
(51) “Substantial use” of an Authority to Construct means one or more of the following: (A) the equipment that constitutes the source has been purchased or acquired; (B) construction activities, other than grading or installation of utilities or foundations, have begun and are continuing; or (C) a contract to complete construction of the source within one year has been entered into.
(52) “Surface tension” means the property, due to molecular forces, that exists in the surface film of all liquids and tends to prevent liquid from spreading.
(53) “Tank” means the structure or receptacle containing the electroplating or anodizing bath.
(54) “Tank operation” means the time in which current and/or voltage is being applied to a chromium electroplating tank or a chromic acid anodizing tank.
(55) “Tensiometer” means an instrument used to measure the surface tension of a solution by determining the amount of force needed to pull a ring from the liquid surface. The amount of force is proportional to the surface tension.
(56) “Trivalent chromium” means the form of chromium in a valence state of +3.
(57) “Trivalent chromium process” means the process used for electrodeposition of a thin layer of chromium onto a base material using a trivalent chromium solution instead of a chromic acid solution.
(58) “Weekly” means at least once every seven calendar days.
(59) “Wetting agent” means the type of chemical fume suppressant that reduces the surface tension of a liquid. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(b) and its subdivisions to new section 93102.3 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.4. Requirements for Existing, Modified, and New Hexavalent Chromium Plating and Chromic Acid Anodizing Facilities.
Note     •     History

This section 93102.4 sets forth requirements that apply to all hexavalent chromium hard and decorative chromium electroplating and chromic acid anodizing facilities, except for facilities subject to section 93102.6 (i.e., facilities that perform electroplating using a trivalent chromium bath or are facilities with enclosed hexavalent chromium electroplating tanks). The requirements differ depending on whether a facility is an existing facility, a modified facility or a new facility. Additional requirements that apply to all facilities (i.e., all existing, modified, and new facilities) are contained in section 93102.5, sections 93102.7 through 93102.14 and section 93102.16.
Subsection (a) contains the requirements to reduce hexavalent chromium emissions that were in effect before October 24, 2007. The limits in subsection (a) shall remain in effect for a facility until the limits in subsection (b) become effective. Once the limits in subsection (b) become effective for an individual facility the limits in subsection (a) no longer apply.
The limits in subsection (b) are phased in depending on the amount of annual permitted ampere-hours and the distance to the nearest sensitive receptor. Depending on the facility, limits in subsection (b) become effective on April 24, 2008, October 24, 2009, October 24, 2010, or October 24, 2011. 
(a) Requirements that Apply to Existing Hexavalent Chromium Electroplating and Chromic Acid Anodizing Facilities. 
An existing facility is a facility that is in operation before October 24, 2007. 
In addition to the limits specified in this subsection (a) all facilities (i.e., all existing, modified, and new facilities) must comply with the applicable provisions contained in section 93102.5, sections 93102.7 through 93102.14, and section 93102.16.
(1) Limits that Apply to Existing Hard Chromium Electroplating Facilities Until the Limits in subsection 93102.4(b) Become Effective.
During tank operation, each owner or operator of an existing, facility shall control hexavalent chromium emissions discharged to the atmosphere from that facility by reducing the hexavalent chromium emissions from the add-on air pollution control device(s) serving the electroplating tank(s) as identified below.
(A) Limits that Apply Until the Limits in subsection 93102.4(b) Become Effective for Existing Hard Chromium Electroplating Facilities that Began Operations on or before December 16, 1993.

View Graphic
(B) Limits that Apply Until the Limits in subsection 93102.4(b) Become Effective for Existing Hard Chromium Electroplating Facilities that Began Operations after December 16, 1993, and Before October 24, 2007.

View Graphic
(C) Special Provisions that Apply for some Hard Chromium Electroplating Facilities Using Less than or Equal to 500,000 Ampere-hours per Year Until the Limits in subsection 93102.4(b) Become Effective. 
The permitting agency may approve, on a case-by-case basis, alternative standards for hard chromium electroplating facilities using less than or equal to 500,000 ampere-hours per year. The operation must have been constructed on or before December 16, 1993. At a minimum, the facility must use a chemical fume suppressant containing a wetting agent to lower the surface tension of the plating bath to at least 45 dynes per centimeter (dynes/cm) (3.1x10-3 pound-force per foot [lbF/ft]). Effective April 24, 2008, the chemical fume suppressant used by the facility must meet the criteria specified in section 93102.8 and the surface tension shall be maintained below the value specified in Table 93102.8. The permitting agency may require additional emission reduction techniques as necessary to reduce the public health impact of emissions from the operation. The owner or operator must comply with the applicable parameter monitoring [section 93102.9], recordkeeping [section 93102.12], and reporting [section 93102.13] requirements. If an emission reduction technique not identified in this rule is used, the owner or operator must submit a plan to the permitting agency describing the alternative technique and identifying appropriate monitoring, recordkeeping, and reporting requirements. The permitting agency, with U.S. EPA concurrence, shall approve this plan if equivalent results are obtained. Upon approval, the requirements identified in the plan shall be the applicable requirements under this regulation. 
(2) Requirements that Apply to Existing Hexavalent Decorative Chromium Electroplating and Chromic Acid Anodizing Facilities Until the Limits in subsection 93102.4(b) Become Effective.
During tank operation, each owner or operator of an existing decorative hexavalent chromium electroplating or chromic acid anodizing facility shall control hexavalent chromium emissions discharged to the atmosphere by meeting either of the requirements identified below. 

View Graphic
(b) Limits that Apply to All Existing Hexavalent Hard and Decorative Chromium Electroplating and Chromic Acid Anodizing Facilities After October 24, 2007.
(1) During tank(s) operation, each owner or operator of an existing hexavalent chromium facility shall control hexavalent chromium emissions discharged to the atmosphere by meeting the requirements identified below. 

View Graphic
(2) Demonstrating Compliance with the Emission Limitation in Table 93102.4
(A) Distance to the nearest sensitive receptor shall be submitted to the permitting agency. The measurement shall be provided to the permitting agency within 30 days of October 24, 2007. 
1. For facilities that do not have an add-on air pollution control device on October 24, 2007, the measurement shall be the distance, rounded to the nearest foot, from the edge of the hexavalent chromium plating or anodizing tank nearest the sensitive receptor to the property line of the nearest sensitive receptor that exists on October 24, 2007. 
2. For facilities with an add-on air pollution control device on October 24, 2007, the measurement shall be the distance, rounded to the nearest foot, from the centroid of the stack to the property line of the nearest sensitive receptor that exists on October 24, 2007. 
(B) Facilities located within 330 feet of a sensitive receptor and with annual permitted ampere-hours greater than 20,000, and facilities beyond 330 feet of a sensitive receptor with more than 500,000 annual permitted ampere-hours must use an add-on air pollution control device(s) to control hexavalent chromium emissions and demonstrate compliance with the emission limitation of 0.0015 milligrams/ampere-hour as measured after the add-on air pollution control device.
(3) Requirements for Facilities Demonstrating Compliance by an Alternative Method or Methods 
As provided in Health and Safety Code Section 39666(f), the owner or operator of a facility may submit to the permitting agency an alternative method, or methods, that will achieve an equal, or greater amount of reduction in hexavalent chromium emissions and an equal, or greater reduction in risk than would be achieved by direct compliance with the requirements of section 93102.4(b)(1) and (b)(2).
(A) The information contained in Appendix 9 of section 93102.16 must be submitted to the permitting agency. 
(B) To be approved by the permitting agency the owner or operator must demonstrate that the alternative method(s) is enforceable, provides an equal, or greater hexavalent chromium emission reduction, and provides an equal, or greater risk reduction than would direct compliance with the requirements of section 93102.4(b)(1) and (b)(2). 
(C) Upon approval of the method(s) the owner or operator must implement the approved method(s) within the time periods specified of section 93102.4(b)(1). 
(D) A facility operating under an approved alternative method(s) must comply with the requirements set forth in sections 93102.5, 93102.7, and 93102.9 through 93102.14, and 93102.16. 
(c) Requirements for Modified Hexavalent Chromium Electroplating or Chromic Acid Anodizing Facilities. 
(1) During tank operation, each owner or operator of a modified facility shall upon initial start-up control hexavalent chromium emissions discharged to the atmosphere from that facility by reducing the hexavalent chromium emissions from the electroplating or anodizing tank(s) by:
(A) Using an add-on air pollution device(s) to control hexavalent chromium emissions, and
(B) Meeting an emission limit of 0.0015 milligrams per ampere-hour or less. 
(2) Prior to initial start-up of a modified facility, when annual emissions of hexavalent chromium are expected to exceed 15 grams per year, the owner or operator shall conduct a site specific risk analysis in accordance with the permitting agency's procedures. The analysis shall be submitted to the permitting agency. 

(3) 	A facility is not required to comply with section 93102.4(c)(1)(A) if the facility is implementing an alternative method or methods that have been approved by the permitting agency as provided in section 93102.4(b)(3) and Health and Safety Code section 39666(f). 
(d) Requirements for New Hexavalent Chromium Electroplating and Chromic Acid Anodizing Facilities Beginning October 24, 2007.
(1) No person shall operate a new facility unless it is located outside of an area that is zoned for residential or mixed use and is located, as determined by the permitting agency, at least 1,000 feet from (A) the boundary of any area that is zoned for residential or mixed use, or (B) any school or school under construction. 
(A) A new facility shall be deemed to meet the requirements specified in this subsection (d)(1) if one of the following criteria is met, even if the facility does not meet the requirement at the time of initial startup (e.g., because of a zoning change that occurs after the authority to construct is issued):
1. The requirements specified in this subsection (d)(1) are met at the time it is issued an authority to construct by the permitting agency, and substantial use of the authority to construct takes place within one year after it is issued; or
2. The requirements specified in this subsection (d)(1) are met at the time it is issued an authority to construct by the permitting agency, and substantial use of the authority to construct takes place before any zoning change occurs that affects the operation's ability to meet the requirement at the time of initial startup.
(2) During tank operation, each owner or operator of a new facility shall control hexavalent chromium emissions discharged to the atmosphere from that facility by reducing the hexavalent chromium emissions from the electroplating or anodizing tank(s) by installing a HEPA add-on air pollution control device. The measured emission rate of hexavalent chromium shall be no more than 0.0011 milligrams per ampere-hour as measured after the HEPA add-on air pollution control device.
(3) Prior to initial start-up the owner or operator of each new facility shall conduct a site specific risk analysis in accordance with the permitting agency's procedures. The analysis shall be submitted to the permitting agency.
(4) Prior to initial startup, each new facility shall demonstrate to the permitting agency that the new facility meets the requirements specified in this subsection (d) of this section 93102.4.
(5) A facility is not required to comply with the requirement in section 93102.4(d)(2) to install a HEPA add-on air pollution control device if the facility is implementing an alternative method or methods that have been approved by the permitting agency as provided in section 93102.4(b)(3) and Health and Safety Code section 39666(f).
(e) Notification Requirements for New and Modified Facilities. 
(1) Notification of Construction Reports. 
(A) No person may construct or modify a facility, such that it becomes a facility subject to sections 93102 to 93102.16, without submitting a notification of construction or modification to the permitting agency and receiving approval in advance to construct or modify the facility. 
(B) The contents of the Notification of Construction Report shall include the information contained in Appendix 4.
(2) Alternative Notification Requirements: Instead of complying with the requirements in subpart (e)(1)(A) of this subsection, a facility may fulfill these requirements by complying with the permitting agency's “New Source Review” requirements, provided similar information is obtained.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(c) and its subdivisions to new section 93102.4 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.5. Requirements that Apply to Existing, Modified, and New Hexavalent Chromium Plating or Chromic Acid Anodizing Facilities Beginning October 24, 2007.
Note     •     History

Each owner or operator of a hexavalent chromium plating or chromic acid anodizing facility shall comply with the following requirements on or after the dates specified below:
(a) Removal of Add-on Pollution Control Device(s). No add-on air pollution control device(s) installed before October 24, 2007, shall be removed or rendered inoperable unless it is replaced by an add-on air pollution control device(s) meeting an emission rate of 0.0015 milligrams per ampere-hour or less as measured after the add-on air pollution control device or unless the facility is operating under an approved alternative method as provided in section 93102.4(b)(3) and Health and Safety Code section 39666(f).
(b) Environmental Compliance Training. No later than October 24, 2009, and within every two years thereafter, the owner or operator of a facility shall ensure that chromium plating or chromic acid anodizing operations are conducted under the direction of the owner or operator or current employee who is onsite and who has completed the Air Resources Board (ARB) Compliance Assistance Training Course pertaining to chromium plating and chromic acid anodizing. 
(1) On or after October 24, 2009, environmental compliance and recordkeeping required by this ATCM shall be conducted only by persons who completed an ARB Compliance Assistance Training Course. 
(2) In the event that all persons who have completed the ARB training class are no longer associated with a facility, the owner or operator may be responsible for environmental compliance and recordkeeping required by this ATCM for a period of time not to exceed two years. The owner or operator shall ensure that as soon as practicable, but not longer than two years, personnel complete the training specified in subsection 93102.5(b).
(3) Environmental compliance training conducted by the South Coast Air Quality Management District pursuant to Rule 1469 shall fulfill the requirements of this subpart.
(4) Nothing in this subsection 93102.5(b) shall absolve an owner or operator from complying with sections 93102-93102.16.
(c) Housekeeping Requirements. Effective April 24, 2008, housekeeping practices shall be implemented to reduce potential fugitive emissions of hexavalent chromium. At a minimum, the following practices shall be implemented:
(1) Chromic acid powder or flakes, or other substances that may contain hexavalent chromium, shall be stored in a closed container in an enclosed storage area; 
(2) Chromic acid powder or flakes shall be transported from an enclosed storage area to the electroplating or anodizing bath(s) in a closed container; 
(3) Any liquid or solid material that may contain hexavalent chromium that is spilled shall be cleaned up or contained within one hour after being spilled.
(4) Dragout from the tank(s) shall be minimized by implementing the following practices: 
(A) Facilities with automated lines. Drip trays shall be installed between tanks so that the liquid does not fall through the space between tanks. Trays shall be placed such that the liquid is returned to the tank(s).
(B) Facilities without automated lines.
1. Each electroplated or anodized part must be handled so that chromic acid is not dripped outside the electroplating tank. 
2. Each facility spraying down parts over the electroplating or anodizing tank(s) to remove excess chromic acid shall have a splash guard installed at the tank to minimize overspray and to ensure that any hexavalent chromium laden liquid is returned to the electroplating or anodizing tank.
(5) Surfaces within the enclosed storage area, open floor area, walkways around the electroplating or anodizing tank(s), or any surface potentially contaminated with hexavalent chromium, that accumulates or potentially accumulates dust shall be cleaned at least once every seven days in one or more of the following manner: HEPA vacuumed, or hand wiped with a damp cloth, or wet mopped, or otherwise cleaned as approved by the permitting agency, or shall be maintained with the use of non-toxic chemical dust suppressants. 
(6) Buffing, grinding, or polishing areas within a facility shall be separated from the electroplating or anodizing operation by installing a physical barrier. The barrier may take the form of plastic strip curtains.
(7) Chromium or chromium-containing wastes generated from housekeeping activities shall be stored, disposed of, recovered, or recycled using practices that do not lead to fugitive dust and in accordance with hazardous waste requirements. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.6. Special Provisions that Apply Only to Facilities that Perform Electroplating Using a Trivalent Chromium Bath or Enclosed Hexavalent Chromium Electroplating Tanks.
Note     •     History

(a) Provisions that Apply to All Facilities that Perform Electroplating Using a Trivalent Chromium Bath.
(1) During tank operation, each owner or operator of an existing, modified, or new facility shall control total chromium emissions discharged to the atmosphere by meeting either of the requirements identified below. 

 Method of Compliance	   Requirement
		
add-on air pollution control equipment,  	<UN->0.01 mg/dscm (4.4x10-6 gr/dscf)
or chemical fume suppressants, or 
mechanical fume suppressants 
(i.e. polyballs)	
		
chemical fume suppressants containing a 	use wetting agent as bath 
wetting agent	ingredient and comply with 
	recordkeeping and reporting 
	provisions of sections 93102.12(i)
	and 93102.13(e).
		
(2) New facilities that perform electroplating using a trivalent chromium bath must conduct a facility wide site specific risk analysis in accordance with the permitting agency's procedures. The analysis shall be submitted to the permitting agency.
(3) An owner or operator that performs electroplating using a trivalent chromium bath and complying through use of a chemical fume suppressant containing a wetting agent shall not be required to comply with the requirements of sections 93102.4, 93102.5, 93102.7, 93102.8, 93102.9(b) through (f), 93102.10, 93102.11, 93102.12(a) through (f), and 93102.12(h). 
(4) An owner or operator that performs electroplating using a trivalent chromium bath and complying with the <UN-> 0.01 mg/dscm limit shall not be required to comply with the requirements of sections 93102.4, 93102.5, and 93102.8. 
(5) If a facility has hexavalent chromium tanks in addition to trivalent chromium tanks, the hexavalent chromium tanks must comply with all of the requirements of the ATCM relating to hexavalent chromium facilities that do not have enclosed tanks.
(b) Requirements for Enclosed Hexavalent Chromium Electroplating Tanks.
(1) The owner or operator of a hexavalent chromium electroplating facility with enclosed hexavalent chromium plating tank(s) shall control hexavalent chromium emissions from the electroplating tank(s) by:
(A) Achieving a hexavalent chromium emission limitation of 0.015 mg/dscm from each tank as measured after the add-on air pollution control device(s); or

(B) 	Using a chemical fume suppressant specified in section 93102.8, and maintaining the surface tension of the plating bath solution at a value specified in section 93102.8; or
(C) Not allowing the mass rate of the total chromium to exceed the maximum allowable mass emission rate determined by using the calculation procedure specified in Appendix 7.
(2) The owner or operator of an existing facility that has only enclosed hexavalent chromium plating tank(s) must comply with all requirements of this ATCM except for the requirements set forth in section 93102.4.
(3) If a facility has hexavalent chromium plating tanks that are not enclosed in addition to enclosed hexavalent chromium tanks, the hexavalent chromium tanks that are not enclosed must comply with all the requirements of the ATCM related to hexavalent chromium facilities that do not have enclosed tanks.
(4) New facilities with enclosed hexavalent chromium plating tanks must comply with section 93102.4(d)(1).
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.7. Performance Test Requirements and Test Methods.
Note     •     History

(a) Performance test requirements. 
(1) The following hexavalent chromium facilities must conduct a performance test to demonstrate compliance with the hexavalent chromium emission rate as specified in section 93102.4: 
(A) Existing facilities demonstrating compliance with a milligrams per ampere-hour emission limitation specified in Table 93102.4.
(B) Facilities that undergo a modification after October 24, 2007.
(C) New hexavalent chromium facilities complying with section 93102.4(d)(2) or section 93102.6(b)(1)(A) or (C).
(D) Facilities that submit an alternative compliance method or methods for approval as provided in section 93102.4(b)(3).
(2) New or modified facilities must conduct the performance test required by this section 93102.7 no later than 60 days after initial start-up. 
(3) Existing facilities must conduct the performance test required by this section 93102.7 no later than the applicable effective date contained in Table 93102.4. 
(4) The performance test must be conducted using one of the approved test methods specified in subsection 93102.7(c). The hexavalent chromium emission rate shall be multiplied by the facility annual permitted ampere-hour usage to determine the annual emissions of hexavalent chromium for the facility. 
(5) Facilities do not need to conduct a performance test if the facility's annual permitted ampere-hour usage is ?20,000 and the facility is located within 330 feet of a sensitive receptor or the facility's annual permitted ampere-hour usage is ?50,000 and the facility is located more than 330 feet from a sensitive receptor that exists on October 24, 2007, and the facility is using chemical fume suppressants.
(6) Trivalent chromium plating facilities meeting the mg/dscm emission rate specified in section 93102.6(a)(1) must conduct a performance test to demonstrate compliance with the total chromium emission rate.
(b) Use of previously conducted performance test. 
A performance test conducted after January 1, 2000 may be used to satisfy the requirements of this section 93102.7, so long as all of the following criteria are met: 

(1) 	The test demonstrated compliance with the applicable hexavalent chromium emission rate specified in Table 93102.4 of section 93102.4 for hexavalent chromium plating or chromic acid anodizing facilities, or 0.01 mg/dscm or less total chromium emission rate for trivalent chromium plating facilities, or 0.015 mg/dscm hexavalent chromium emission rate for facilities with enclosed hexavalent chromium electroplating tanks complying with section 93102.6(b)(1)(A), and
(2) The performance test was approved by the permitting agency, and
(3) The test is representative of the method to control emissions currently in use as of October 24, 2007, and 
(4) The performance test was conducted using one of the approved test methods specified in subsection 93102.7(c).
(c) Approved test methods.

(1) 	Emissions testing shall be conducted with a minimum of three test runs in accordance with one of the following test methods:
(A) California Air Resources Board Test Method 425, last amended July 28, 1997, (section 94135, Title 17, California Code of Regulations (CCR); or
(B) U.S. EPA Method 306, (40 CFR 63 Appendix A) with or without hexavalent chromium option (Method 306, Section 2.2.3) provided that, if the total chromium option is used, the total chromium measurement must be assumed to be all hexavalent chromium; or
(C) South Coast Air Quality Management District Method 205.1.
(2) Smoke Test to Verify the Seal Integrity of Covers Designed to Reduce Chromium Emissions from Electroplating and Anodizing Tanks (See Appendix 5).
(3) Surface tension using a tensiometer shall be measured in accordance with U.S. EPA Method 306B (40 CFR 63 Appendix A). Surface tension using a stalagmometer shall be measured using the procedure set forth in Appendix 8, or an alternative procedure approved by the permitting agency. 
(d) Pre-Test protocol. Facilities subject to the provisions of section 93102.7(a) must submit a pre-test protocol to the permitting agency at least 60 days prior to conducting a performance test. The pre-test protocol shall include the performance test criteria of the end user and all assumptions, required data, and calculated targets for testing the source target chromium concentration, the preliminary chromium analytical data, and the planned sampling parameters. In addition, the pre-test protocol shall include information on equipment, logistics, personnel, and other resources necessary for an efficient and coordinated test.
(e) Test all emission points. Each emission point subject to the requirements of this regulation must be tested unless a waiver is granted by U.S. EPA and approved by the permitting agency.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(d) and its subdivisions to new section 93102.7 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.8. Chemical Fume Suppressants.
Note     •     History

Chemical fume suppressants used to comply with sections 93102.4 and 93102.6(b)(1)(B) shall meet the criteria specified in this section 93102.8.
(a) One or more of the chemical fume suppressants listed in Table 93102.8 shall be used to reduce the surface tension of the electroplating or anodizing bath(s) below the surface tension value listed in Table 93102.8. The surface tension value may be measured using either a stalagmometer or a tensiometer. 

View Graphic
(b) Alternative chemical fume suppressants. Chemical fume suppressants not listed in Table 93102.8 may be used upon approval by the Executive Officer. The Executive Officer shall approve the use of an alternative chemical fume suppressant if the following criteria are met:
(1) The chemical fume suppressant has been performance tested under conditions that are representative of normal operations in a hexavalent chromium electroplating or anodizing bath and demonstrated to reduce the hexavalent chromium emissions below 0.01 milligrams per ampere hour; and
(2) In the performance testing, the hexavalent chromium emission rate of 0.01 milligrams per ampere-hour was achieved under conditions in which the surface tension did not exceed 45 dynes/cm, as measured by a stalagmometer or 35 dynes/cm, as measured by a tensiometer.
(c) A chemical fume suppressant that is listed in subsection 93102.8(a) or that has been approved under subsection 93102.8(b) may no longer be used if the Executive Officer determines that the chemical fume suppressant is no longer able to reduce the hexavalent chromium emission rate below 0.01 milligrams per ampere-hour under conditions in which the surface tension does not exceed 45 dynes/cm, as measured by a stalagmometer or 35 dynes/cm, as measured by a tensiometer.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.9. Parameter Monitoring Requirements.
Note     •     History

(a) Ampere-hours. Each electroplating or anodizing tank, or group of electroplating or anodizing tanks, shall have installed a continuous recording, non resettable, ampere-hour meter that operates on the electrical power lines connected to the tank or group of tanks. A separate meter shall be hard-wired for each rectifier.
(b) Pressure drop. The owner or operator shall continuously monitor the pressure drop across an add-on control device such as a composite mesh-pad (CMP), packed-bed scrubber (PBS), a CMP/PBS, fiber-bed mist eliminator, and a High Efficiency Particulate Arrestor (HEPA) filter with a mechanical gauge. The gauge shall be located so that it can be easily visible and in clear sight of the operation, or maintenance personnel. The pressure drop shall be maintained within plus or minus 2 inches of water of the value established during the performance test to demonstrate compliance with the emission limitation for CMP, PBS, a CMP/PBS, and a fiber-bed mist eliminator. The pressure drop shall be maintained within - 1/2 times to +2 times the inches of water of the value established during the performance test to demonstrate compliance with the emission limitation for HEPA filters.
(c) Inlet velocity pressure. The owner or operator shall continuously monitor the inlet velocity pressure of a packed-bed scrubber with a mechanical gauge. The gauge shall be located so that it can be easily visible and in clear sight of the operation, or maintenance personnel. The inlet velocity pressure shall be maintained within plus or minus 10 percent of the value established during the performance test to demonstrate compliance with the emission limitation.
(d) Surface tension. 
(1) The owner or operator of a facility that is required to use a chemical fume suppressant as specified in section 93102.8 to comply with section 93102.4 shall measure and monitor the surface tension of the electroplating, or anodizing bath(s) that contains a chemical fume suppressant listed in Table 93102.8 of section 93102.8 with either a stalagmometer using the procedure in Appendix 8 of section 93102.16 or a procedure approved by the permitting agency, or with a tensiometer using U.S. EPA Method 306B (40 CFR part 63, Appendix A). The surface tension shall be maintained below the value required by section 93102.8. Surface tension shall be measured daily for 20 operating days, and weekly thereafter as long as there is no violation of the surface tension requirement. If a violation occurs, the measurement frequency shall return to daily for 20 operating days, and weekly thereafter.
(2) The owner or operator of a facility using a chemical fume suppressant containing a wetting agent that is not required to use a chemical fume suppressant listed in Table 93102.8 of section 93102.8 shall measure and monitor the surface tension of the chromium electroplating or chromic acid anodizing tank bath(s) with either a stalagmometer using the procedure in Appendix 8 of section 93102.16 or a procedure approved by the permitting agency, or with a tensiometer using U.S. EPA Method 306B (40 CFR part 63, Appendix A). If the surface tension is measured with a stalagmometer the surface tension shall be maintained below 45 dynes/centimeter. If the surface tension is measured with a tensiometer, the surface tension shall be maintained below 35 dynes/centimeter. Surface tension shall be measured daily for 20 operating days, and weekly thereafter as long as there is no violation of the surface tension requirement. If a violation occurs, the measurement frequency shall return to daily for 20 operating days, and weekly thereafter.
(3) Facilities with an approved alternative method of compliance as specified in section 93102.4(b)(3) and using chemical fume suppressants as all or partial control of hexavalent chromium emissions must measure and monitor the surface tension of the electroplating or anodizing bath daily. The surface tension must be maintained at or below the surface tension measured during the performance test. 
(e) Foam blanket thickness. The owner or operator shall monitor the foam blanket thickness across the surface of the electroplating, or anodizing bath(s). The foam blanket thickness shall be maintained consistent with the requirements established during the performance test to demonstrate compliance with the emission limitation. Foam thickness shall be measured hourly for 15 operating days, and daily thereafter as long as there is no violation of the foam thickness requirement. If a violation occurs, the measurement frequency shall return to hourly for 15 operating days, and daily thereafter.
(f) Mechanical fume suppressants. The owner or operator shall visually inspect the electroplating, or anodizing bath(s) for coverage comparable to the coverage during the performance test daily. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(e) and its subdivisions to new section 93102.9 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.10. Inspection and Maintenance Requirements.
Note     •     History

(a) Hexavalent chromium electroplating and chromic acid anodizing facilities shall comply with the applicable inspection and maintenance requirements listed in Table 93102.10. 

View Graphic
(b) Add-on air pollution control device(s) that is custom designed for a specific operation shall develop operating and maintenance requirements. The requirements shall be submitted to the permitting agency for review and approval. The requirements and frequency of inspection must be sufficient to ensure compliance. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(f) and its subdivisions to new section 93102.10 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.11. Operation and Maintenance Plan (O & M Plan) Requirements.
Note     •     History

(a) Prepare the O & M plan. The owner or operator subject to the inspection and maintenance requirements of subsection 93102.10(a) and (b) shall prepare an operation and maintenance plan. For major sources, the plan shall be incorporated by reference into the source's title V permit. The plan shall incorporate the inspection and maintenance requirements for that device, or monitoring equipment, as identified in Table 93102.10, or subsection 93102.10(b) of this ATCM and include the following elements: 
(1) A standardized checklist to document the operation and maintenance of the facility, the add-on air pollution control device, and the process and control system monitoring equipment; and
(2) Procedures to be followed to ensure that equipment is properly maintained. [To satisfy the inspection and maintenance requirements of this subsection, the owner or operator may use applicable standard operating procedure (SOP) manuals, Occupational Safety and Health Administration (OSHA) plans, or other existing plans, provided the alternative plans meet the requirements of this subsection.]

(b) 	Retain the O & M plan. The owner or operator shall keep the written operation and maintenance plan on record after it is developed to be made available for inspection, upon request, during normal working hours.
(c) Changes to the O & M plan. Any changes made by the owner or operator should be documented in an addendum to the plan. In addition, the owner or operator shall keep previous (i.e., superseded) versions of the operation and maintenance plan on record to be made available for inspection, upon request, during normal working hours, for a period of 5 years after each revision to the plan.
(d) Revisions to the O & M plan to address breakdowns. The operation and maintenance plan shall be revised as necessary to minimize breakdowns.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(g) and its subdivisions to new section 93102.11 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.12. Recordkeeping Requirements.
Note     •     History

(a) Inspection records. The owner or operator shall maintain inspection records to document that the inspection and maintenance requirements of section 93102.10 and Table 93102.10, and the provisions of the operation and maintenance plan required by section 93102.11 have been met. The record can take the form of a checklist and shall identify:
(1) the device inspected,
(2) the date and time of inspection,
(3) a brief description of the working condition of the device during the inspection,
(4) maintenance activities performed on the components of the air pollution control system (i.e. duct work replacement, filter pad replacement, fan replacement, etc), and
(5) actions taken to correct deficiencies found during the inspection.
(b) Performance test records. The owner or operator shall maintain test reports documenting the conditions and results of all performance tests.
(c) Monitoring data records. The owner or operator shall maintain records of monitoring data required by section 93102.9 that are used to demonstrate compliance, including the date and time the data are collected. 
(1) Cumulative rectifier usage records. Record the actual cumulative rectifier usage expended during each month of the reporting period, and the total usage expended to date.
(2) Pressure drop. The owner or operator shall record the pressure drop once a week.
(3) Inlet Velocity Pressure. The owner or operator shall record the inlet velocity pressure weekly.
(4) Surface tension. 
(A) Facilities required to use a chemical fume suppressant as specified in section 93102.8 to comply with section 93102.4.
The owner or operator shall record the surface tension daily for 20 operating days, and weekly thereafter as long as there is no violation of the surface tension requirement. If the surface tension of the plating or anodizing bath exceeds levels specified in section 93102.8 the owner or operator shall again record the surface tension daily for 20 operating days, and weekly thereafter. 
(B) Facilities not required to use a chemical fume suppressant specified in section 93102.8 to comply with section 93102.4. 
The owner or operator shall record the surface tension daily for 20 operating days, and weekly thereafter as long as there is no violation of the surface tension requirement. If the surface tension of the plating or anodizing bath exceeds 45 dynes/centimeter as measured with a stalagmometer or exceeds 35 dynes/centimeter as measured with a tensiometer, the owner or operator shall again record the surface tension daily for 20 operating days, and weekly thereafter. 
(C) Facilities with an approved alternative method of compliance as specified in section 93102.4(b)(3) and using chemical fume suppressants as all, or partial control of hexavalent chromium emissions must record the surface tension of the electroplating, or anodizing bath daily. The surface tension must be maintained at or below the surface tension measured during the performance test. 
(5) Mechanical fume suppressants. Facilities with an approved alternative method of compliance as specified in section 93102.4(b)(3) and using mechanical fume suppressants as all or partial control of hexavalent chromium emissions must record the coverage on the electroplating or anodizing bath daily. Coverage shall be reported as a percentage of bath surface area. 
(6) Foam thickness. The owner or operator shall record the foam thickness hourly for 15 operating days, and daily thereafter as long as there is no violation of the foam thickness requirement. If a violation occurs, the measurement frequency shall return to hourly for 15 operating days, and daily thereafter.

(d) 	Breakdown records. The owner or operator shall maintain records of the occurrence, duration, and cause (if known) and action taken on each breakdown.
(e) Records of excesses. The owner or operator shall maintain records of exceedances of the emission limitations in section 93102.4, the monitoring parameter values established under section 93102.9, or any site-specific operating parameters established for alternative equipment. The records shall include the date of the occurrence, the duration, cause (if known), and, where possible, the magnitude of any excess emissions.
(f) Records demonstrating facility size. Facility size for determining the applicable emission limitation in subsection 93102.4(a) is determined by the maximum cumulative potential rectifier capacity. However, a facility with a maximum cumulative potential rectifier capacity of 60 million amp-hr/yr or more may, at the option of the owner or operator, be considered small or medium if the actual cumulative rectifier usage is less than 60 million amp-hr/yr as demonstrated by using either of the following procedures:
(1) Annual actual cumulative rectifier capacity. Show by records that the facility's previous annual actual cumulative rectifier capacity was less than 60 million amp-hr/yr, by using nonresettable ampere-hour meters and keeping monthly records of actual ampere-hour capacity for each 12-month rolling period following the compliance date. The actual cumulative rectifier capacity for the previous 12-month rolling period shall be tabulated monthly by adding the capacity for the current month to the capacities for the previous 11 months; or
(2) Maximum cumulative potential rectifier usage limit. By accepting a limit on the maximum cumulative potential rectifier usage of a hard chromium electroplating facility through a title V permit condition or a permitting agency operating permit condition and by maintaining monthly records in accordance with subsection 93102.12(c)(1) to demonstrate that the limit has not been exceeded.
(g) Records of annual ampere-hour use. Facilities shall maintain monthly records of total ampere-hour use per calendar year. The record shall be submitted to the permitting agency as part of their Initial and Ongoing Compliance Status Reports, as specified in Appendix 2 and 3. 
(h) Records of chemical fume suppressant additions. For facilities using chemical fume suppressants to comply with the standards, or requirements, the owner or operator shall maintain records of the date, time, approximate volume, and product identification of the chemical fume suppressant that is added to the electroplating or anodizing bath.
(i) Records of trivalent chromium process components. For facilities complying with subsection 93102.6(a) using the trivalent chromium process, the owner or operator shall maintain records of the bath components purchased, with the wetting agent clearly identified as a bath constituent contained in one of the components.
(j) New/modified source review information. The owner or operator shall maintain records supporting the notifications and reports required by the permitting agency's new source review provisions and/or subsection 93102.4(e).
(k) Housekeeping records. The owner or operator shall maintain records demonstrating compliance with housekeeping requirements, as required by section 93102.5, including the dates on which specific activities were completed, and records showing that chromium or chromium-containing wastes have been stored, disposed of, recovered, or recycled using practices that do not lead to fugitive dust emissions. 
(l) Records retention. All records shall be maintained for five years, at least two years on site.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(h) and its subdivisions to new section 93102.12 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.13. Reporting Requirements.
Note     •     History

(a) Performance test documentation. 
(1) Notification of performance test. 
(A) The owner or operator of a facility shall notify the permitting agency of his or her intention to conduct a performance test at least 60 calendar days before the performance test is scheduled.

(B) 	The provisions in subsection 93102.13(a)(1)(A), above, do not apply if the performance test was conducted prior to July 24, 1997, was used to demonstrate compliance with subsection 93102.4(a) or subsection 93102.6(a), and was approved by the permitting agency and the U.S. EPA.
(2) Reports of performance test results. The owner or operator shall report performance test results to the permitting agency. Reports of performance test results shall be submitted no later than 90 days following the completion of the required performance test, and shall be submitted as part of the notification of compliance status required by subsection (b) of this section.
(3) The content of performance test reports shall contain the information identified in Appendix 1.
(b) Initial compliance status report. An initial compliance status report is required each time that a facility becomes subject to the requirements of this ATCM. The owner or operator shall submit to the permitting agency an initial compliance status report, signed by the responsible official who shall certify its accuracy, attesting to whether the facility has complied with this rule.
(1) The initial compliance status report shall be submitted to the permitting agency no later than 180 days after the effective date of this rule for existing facilities, or at start-up for new facilities.
(2) The content of the initial compliance status report shall contain the information identified in Appendix 2.
(c) Ongoing compliance status reports. The owner, or operator shall submit a summary report to the permitting agency to document the ongoing compliance status. 
(1) Ongoing compliance status reports shall be submitted to the permitting agency on or before February 1 annually for all facilities, and shall include information for the preceding calendar year (January 1 through December 31).
(2) The content of ongoing compliance status reports shall include the information identified in Appendix 3.
(d) Reports of breakdowns. The owner or operator shall report breakdowns as required by the permitting agency's breakdown rule.
(e) Reports associated with the trivalent chromium process. 
(1) Facilities currently using the trivalent chromium process. 
(A) Owners or operators electroplating with the trivalent chromium process using a wetting agent are not subject to subsections (a), (b), and (c) of this section 93102.13, but shall submit to the permitting agency the following information no later than 30 days after the effective date of this rule:
1. The name and address of each facility subject to this paragraph;
2. A statement that a trivalent chromium process that incorporates a wetting agent will be used to comply with these requirements; and
3. The list of bath components that comprise the trivalent chromium bath, with the wetting agent clearly identified.
(B) An owner or operator electroplating with the trivalent chromium process and complying with the emission limitation option in subsection 93102.6(a) shall submit the information contained in subsections (a) and (b) of this section 93102.13. The report shall be submitted in accordance with the schedules identified in those paragraphs.
(2) Facilities changing to the trivalent chromium process. Within 30 days of a change to the trivalent chromium process, the owner or operator shall submit to the permitting agency a report that includes: 
(A) Facilities electroplating with the trivalent chromium process using a wetting agent shall submit the following information: 
1. The name and address of each facility subject to this paragraph; and
2. A statement that a trivalent chromium process that incorporates a wetting agent will be used to comply with these requirements; and
3. The list of bath components that comprise the trivalent chromium bath, with the wetting agent clearly identified; and
4. A description of the manner in which the process has been changed. 
(B) Facilities electroplating with the trivalent chromium process and complying with the emission limitation option in 93102.6(a) shall submit the information contained in subsections (a) and (b) of this section 93102.13. The report shall be submitted in accordance with the schedules identified in those paragraphs.

(f) 	Adjustments to the timeline for submittal and format of reports. A permitting agency may adjust the timeline for submittal of periodic reports, allow consolidation of multiple reports into a single report, establish a common schedule for submittal of reports, or accept reports prepared to comply with other State, or local requirements. Prior to allowing an adjustment, the permitting agency must find that the adjustment will provide the same information and will not alter the overall frequency of reporting.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering of former subsections 93102(i)-(j)(2) to new section 93115.13, including repealer of subsections (j)-(j)(2) and amendment of section, filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.14. Procedure for Establishing Alternative Requirements.
Note     •     History

(a) Request Approval of an Alternative Requirement. Any person may request approval of an alternative requirement. The person seeking such approval shall submit the proposed alternative requirement to the permitting agency for approval. The request must include the proposed alternative requirement, the reason for requesting the alternative requirement, and information demonstrating that the criteria for approval identified in Table 93102.14 are met.
(b) Approval of an Alternative Requirement. A permitting agency may approve an alternative requirement if it determines that application of the alternative requirement meets the criteria for approval, identified in Table 93102.14, and the permitting agency has received concurrence by the ARB and U.S. EPA, where concurrence is required.
(c) Concurrence for an Alternative Requirement. For those requirements identified in Table 93102.14 as requiring concurrence by the U.S. EPA and ARB, the permitting agency shall submit the alternative requirement to the concurring agency prior to final action by the permitting agency.
(d) Reports of Approved Alternative Requirements to U.S. EPA and ARB. The permitting agency shall provide the U.S. EPA and ARB with copies of all approved alternative requirements. The information shall be provided at a mutually agreed upon frequency.
(e) Approval Criteria. Nothing in this section prohibits the permitting agency from establishing approval criteria more stringent than that required in Table 93102.14.
(f) Alternatives Approved by U.S. EPA. Waivers obtained from U.S. EPA prior to October 24, 2007, shall remain in effect until the effective dates of the specified requirements become effective.

View Graphic
__________
1. U.S. EPA, or the implementing agency, in accordance with any delegation of authority to approve alternatives from the U.S. EPA. 

2. Minor change to test method means: (1) A modification to a federally enforceable test method that: (i) Does not decrease the stringency of the emission limitation or standard; (ii) Has no national significance (e.g., does not affect implementation of the applicable regulation for other affected sources, does not set a national precedent, and individually does not result in a revision to the test method); and (iii) Is site-specific, made to reflect or accommodate the operational characteristics, physical constraints, or safety concerns of an affected source. (2) Examples of minor changes to a test method include, but are not limited to: (i) Field adjustments in a test method's sampling procedure, such as a modified sampling traverse or location to avoid interference from an obstruction in the stack, increasing the sampling time or volume, use of additional impingers for a high moisture situation, accepting particulate emission results for a test run that was conducted with a lower than specified temperature, substitution of a material in the sampling train that has been demonstrated to be more inert for the sample matrix; and (ii) Changes in recovery and analytical techniques such as a change in quality control/quality assurance requirements needed to adjust for analysis of a certain sample matrix.

3. Intermediate change to test method means a within-method modification to a federally enforceable test method involving “proven technology'' (generally accepted by the scientific community as equivalent or better) that is applied on a site-specific basis and that may have the potential to decrease the stringency of the associated emission limitation or standard. Though site-specific, an intermediate change may set a national precedent for a source category and may ultimately result in a revision to the federally enforceable test method. In order to be approved, an intermediate change must be validated according to U.S. EPA Method 301 (40 CFR Part 63, Appendix A) to demonstrate that it provides equal or improved accuracy and precision. Examples of intermediate changes to a test method include, but are not limited to: (1) Modifications to a test method's sampling procedure including substitution of sampling equipment that has been demonstrated for a particular sample matrix, and use of a different impinger absorbing solution; (2) Changes in sample recovery procedures and analytical techniques, such as changes to sample holding times and use of a different analytical finish with proven capability for the analyte of interest; and (3) “Combining'' a federally required method with another proven method for application to processes emitting multiple pollutants.

4. Major change to test method means a modification to a federally enforceable test method that uses “unproven technology or procedures'' (not generally accepted by the scientific community) or is an entirely new method (sometimes necessary when the required test method is unsuitable). A major change to a test method may be site-specific, or may apply to one or more sources or source categories, and will almost always set a national precedent. In order to be approved, a major change must be validated according to EPA Method 301 (40 CFR Part 63, Appendix A). Examples of major changes to a test method include, but are not limited to: (1) Use of an unproven analytical finish; (2) Use of a method developed to fill a test method gap; (3) Use of a new test method developed to apply to a control technology not contemplated in the applicable regulation; and (4) Combining two or more sampling/analytical methods (at least one unproven) into one for application to processes emitting multiple pollutants.

5. Minor change to monitoring means: (1) A modification to federally required monitoring that: (i) Does not decrease the stringency of the compliance and enforcement measures for the relevant standard; (ii) Has no national significance (e.g., does not affect implementation of the applicable regulation for other affected sources, does not set a national precedent, and individually does not result in a revision to the monitoring requirements); and (iii) Is site-specific, made to reflect or accommodate the operational characteristics, physical constraints, or safety concerns of an affected source. (2) Examples of minor changes to monitoring include, but are not limited to: (i) Modifications to a sampling procedure, such as use of an improved sample conditioning system to reduce maintenance requirements; (ii) Increased monitoring frequency; and (iii) Modification of the environmental shelter to moderate temperature fluctuation and thus protect the analytical instrumentation.

6. Intermediate change to monitoring means a modification to federally required monitoring involving “proven technology'' (generally accepted by the scientific community as equivalent or better) that is applied on a site-specific basis and that may have the potential to decrease the stringency of the associated emission limitation or standard. Though site-specific, an intermediate change may set a national precedent for a source category and may ultimately result in a revision to the federally required monitoring. Examples of intermediate changes to monitoring include, but are not limited to: (1) Use of a continuous emission monitoring system (CEMS) in lieu of a parameter monitoring approach; (2) Decreased frequency for non-continuous parameter monitoring or physical inspections; (3) Changes to quality control requirements for parameter monitoring; and (4) Use of an electronic data reduction system in lieu of manual data reduction.

7. Major change to monitoring means a modification to federally required monitoring that uses “unproven technology or procedures'' (not generally accepted by the scientific community) or is an entirely new method (sometimes necessary when the required monitoring is unsuitable). A major change to monitoring may be site-specific or may apply to one or more source categories and will almost always set a national precedent. Examples of major changes to monitoring include, but are not limited to: (1) Use of a new monitoring approach developed to apply to a control technology not contemplated in the applicable regulation; (2) Use of a predictive emission monitoring system (PEMS) in place of a required continuous emission monitoring system (CEMS); (3) Use of alternative calibration procedures that do not involve calibration gases or test cells; (4) Use of an analytical technology that differs from that specified by a performance specification; (5) Decreased monitoring frequency for a continuous emission monitoring system, continuous opacity monitoring system, predictive emission monitoring system, or continuous parameter monitoring system; (6) Decreased monitoring frequency for a leak detection and repair program; and (7) Use of alternative averaging times for reporting purposes.

8. Minor change to recordkeeping/reporting means: (1) A modification to federally required recordkeeping or reporting that: (i) Does not decrease the stringency of the compliance and enforcement measures for the relevant standards; (ii) Has no national significance (e.g., does not affect implementation of the applicable regulation for other affected sources, does not set a national precedent, and individually does not result in a revision to the recordkeeping or reporting requirement); and (iii) Is site-specific. (2) Examples of minor changes to recordkeeping or reporting include, but are not limited to: (i) Changes to recordkeeping necessitated by alternatives to monitoring; (ii) Increased frequency of recordkeeping or reporting, or increased record retention periods; (iii) Increased reliability in the form of recording monitoring data, e.g., electronic or automatic recording as opposed to manual recording of monitoring data; (iv) Changes related to compliance extensions granted pursuant to 40 CFR Part 63 Section 63.6(i); (v) Changes to recordkeeping for good cause shown for a fixed short duration, e.g., facility shutdown; (vi) changes to recordkeeping or reporting that is clearly redundant with equivalent recordkeeping/reporting requirements; and (vii) Decreases in the frequency of reporting for area sources to no less than once a year for good cause shown, or for major sources to no less than twice a year as required by title V, for good cause shown.

9. Major change to recordkeeping/reporting means: (1) A modification to federally required recordkeeping or reporting that: (i) May decrease the stringency of the required compliance and enforcement measures for the relevant standards; (ii) May have national significance (e.g., might affect implementation of the applicable regulation for other affected sources, might set a national precedent); or (iii) Is not site-specific. (2) Examples of major changes to recordkeeping and reporting include, but are not limited to: (i) Decreases in the record retention for all records; (ii) Waiver of all or most recordkeeping or reporting requirements; (iii) Major changes to the contents of reports; or (iv) Decreases in the reliability of recordkeeping or reporting (e.g., manual recording of monitoring data instead of required automated or electronic recording, or paper reports where electronic reporting may have been required).
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Renumbering and amendment of former subsection 93102(k) to new section 93102.14 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.15. Requirements Relating to Chromium Electroplating or Chromic Acid Anodizing Kits.
Note     •     History

(a) Except as provided in subsection (b), no person shall sell, supply, offer for sale, or manufacture for sale in California, any chromium electroplating or chromic acid anodizing kit.
(b) The provisions of subsection (a) do not apply to any person that sells, supplies, offers for sale, or manufactures for sale in California a chromium electroplating or chromic acid anodizing kit to the owner or operator of a permitted facility at which chromium electroplating or chromic acid anodizing is performed.
(c) No person shall use a chromium plating or chromic acid anodizing kit to perform chromium electroplating or chromic acid anodizing unless these activities are performed at a permitted facility that complies with the requirements of this ATCM.
(d) For the purposes of this section, “chromium electroplating or chromic acid anodizing kit” means chemicals and associated equipment for conducting chromium electroplating or chromic acid anodizing including, but not limited to, internal and external tank components. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. New section filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93102.16. Appendices 1 Through 9.

This section 93102.16 contains Appendices 1 through 9 to the ATCM for Chromium Plating and Chromic Acid Anodizing Facilities.

Appendix 1   Content of Performance Test Reports
Performance test reports required by section 93102.13 shall contain the following information:
1. A brief process description; 
2. Sampling location description(s); 
3. A description of sampling and analytical procedures and any modifications to standard procedures; 
4. Test results in mg/amp-hr; 
5. Quality assurance procedures and results; 
6. Records of operating conditions during the test, preparation of standards, and calibration procedures; 
7. Original data for field sampling and field and laboratory analyses; 
8. Documentation of calculations; and 
9. Any other information required by the test method.

Note: Test reports consistent with the provisions of California Air Resources Board Method 425 will fulfill the above performance test report content requirement. 

Appendix 2   Content of Initial Compliance Status Reports
Initial compliance status reports required by subsection 93102.13(b) shall contain the following information:
1. Company Information: Facility name, address, owner/operator name, telephone number, and the measured distance to the property boundary of the nearest sensitive receptor. For facilities that do not have an add-on air pollution control device the measurement shall be the distance, rounded to the nearest foot, from the edge of the plating or anodizing tank nearest the sensitive receptor to the property line of the nearest sensitive receptor that exists on October 24, 2007. For facilities with an add-on air pollution control device the measurement shall be the distance, rounded to the nearest foot, from the centroid of the stack to the property line of the nearest sensitive receptor that exists on October 24, 2007; 

2. 	The applicable requirements from section 93102.4 and the methods that were used to determine compliance. A description of the air pollution control technique for each emission point;

3. 	If a facility is using add-on controls to comply provide the following:

a) 	Description of add-on controls and a performance test report documenting the results of the performance test, which contains the elements listed in Appendix 1;
b) If the facility is a hexavalent chromium facility, the actual hexavalent chromium emissions of the facility in pounds per year calculated by multiplying the emission rate with the actual ampere-hours for the preceding calendar year.
c) For monitored parameters 93102.9(b) and (c), the specific operating parameter value, or range of values, that corresponds to compliance with the applicable emission limit; and 
d) A statement that the owner or operator has completed and has on file the operation and maintenance plan as required by section 93102.11.

4. 	If a facility is using in-tank controls to comply, provide the following:

a) 	Description of in-tank controls including name of in tank controls, name of chemical fume suppressant, surface tension of the electroplating or anodizing bath; and 
b) For monitored parameters 93102.9(d), (e), and (f) the specific operating parameter value where applicable, or range of values, that corresponds to compliance.
5. The actual cumulative ampere-hour usage expended during the preceding calendar year;
6. For facilities complying with section 93102.4(a), if the owner or operator is determining facility size based on actual cumulative rectifier usage, records to support that the facility is small or medium. For existing facilities, records from any 12-month period preceding the compliance date shall be used or a description of how operations will change to meet a small or medium designation shall be provided. For new facilities, records of projected rectifier usage for the first 12-month period of tank operation shall be used;

7. 	A statement that the owner or operator, or personnel designated by the owner or operator, has completed Environmental Compliance Training pursuant to 93102.5(b); and 
8. A statement by the owner or operator as to whether the facilities have complied with the provisions of sections 93102 through 93102.16.

Appendix 3   Content of Ongoing Compliance Status Reports
Ongoing compliance status reports required by section 93102.13(c) shall contain the following information:
1. Company Information: facility name, address, owner/operator name, telephone number;, and the measured distance to the property boundary of the nearest sensitive receptor. For facilities that do not have an add-on air pollution control device the measurement shall be the distance, rounded to the nearest foot, from the edge of the plating or anodizing tank nearest the sensitive receptor to the property line of the nearest sensitive receptor. For facilities with an add-on air pollution control device the measurement shall be the distance, rounded to the nearest foot, from the centroid of the stack to the property line of the nearest sensitive receptor; 
2. The relevant requirements for the facility, and the operating parameter value, or range of values, that correspond to compliance as specified in the notification of initial compliance status required by Appendix 2;
3. The actual cumulative ampere-hour usage expended during the reporting period, on a month-by-month basis, for the reporting period January 1 through December 31; 
4. The actual hexavalent chromium emissions of the facility during the reporting period in pounds per year calculated by multiplying the emission rate with the actual ampere-hour usage for the reporting period;
5. A summary of any excess emissions or exceeded monitoring parameters as identified in the records required by subsection 93102.12(e); 
6. A certification by a responsible official that the inspection and maintenance requirements in section 93102.10 were followed in accordance with the operation and maintenance plan for the facility;
7. If the operation and maintenance plan required by section 93102.11 was not followed, an explanation of the reasons for not following the provisions, an assessment of whether any excess emissions and/or monitoring parameter excesses are believed to have occurred, and a copy of the record(s) required by subsection 93102.12(a) documenting that the operation and maintenance plan was not followed;
8. A description of any changes in monitoring, processes, or controls since the last reporting period; 
9. A statement that the owner or operator, or personnel designated by the owner or operator, has, within the last 2 years, completed Environmental Compliance Training pursuant to 93102.5(b);
10. The name, title, and signature of the responsible official who is certifying the accuracy of the report; and
11. The date of the report. 

Appendix 4   Notification of Construction Reports
Notification of Construction Reports required by subsection 93102.4(e) shall contain the following information:
1. The owner or operator's name, title, and address; 
2. The address (i.e., physical location) or proposed address of the facility if different from the owner's or operator's; 
3. A notification of intention to construct a new facility and certification that all of the criteria specified in subsection 93102.4(d) are met;
4. A notification of intention to make any physical or operational changes to a facility that may meet or has been determined to meet the criteria for a modification; 
5. The expected commencement and completion dates of the construction or modification; 
6. The anticipated date of (initial) startup of the facility; 
7. The type of process operation to be performed (hard or decorative chromium electroplating, or chromic acid anodizing); 
8. A description of the air pollution control technique to be used to control emissions, such as preliminary design drawings and design capacity if an add-on air pollution control device is used; and 
9. An estimate of emissions from the facility based on engineering calculations and vendor information on control device efficiency, expressed in units consistent with the emission limits of this ATCM. Calculations of emission estimates should be in sufficient detail to permit assessment of the validity of the calculations. 

Note: A facility can fulfill these report content requirements by complying with the permitting agency's new source review rule or policy, provided similar information is obtained. 

Appendix 5  Smoke Test for Chrome Tank Covers.

SMOKE TEST TO VERIFY THE SEAL INTEGRITY OF
COVERS DESIGNED TO REDUCE CHROMIUM EMISSIONS FROM ELECTROPLATING AND ANODIZING TANKS 
1. Applicability and Principle
2. Applicability. This alternative method is applicable to all hard chromium electroplating and anodizing operations where a chrome tank cover is used on the tank for reducing chromium emissions.
3. Principle. During chromium electroplating or anodizing operations, bubbles of hydrogen and oxygen gas generated during the process rise to the surface of the tank liquid and burst. Upon bursting, tiny droplets of chromic acid (chromium mist) become entrained in the air above the tank. Because the chrome tank cover completely encloses the air above the tank, the chromium mist either falls back into the solution because of gravity or collects on the inside walls of the chrome tank cover and runs back into the solution. A semi-permeable membrane allows passage of the hydrogen and oxygen out of the chrome tank cover. A lit smoke device is placed inside the chrome tank cover to detect leaks at the membrane, joints, or seals.
4. Apparatus
5. Smoke device. Adequate to generate 500 to 1000 ft3 of smoke/20 ft2 of tank surface area (e.g., Model #1A=15 SECONDS from Superior Signal, New York).
6. Small container. To hold the smoke device.
7. Procedure
Place the small container on a stable and flat area at center of the chrome tank cover (you can use a board and place it on the buss bars). Place the smoke device inside the container. After lighting the smoke device, quickly close the access door to avoid smoke from escaping. Let smoke device completely burn; entire space under the chrome tank cover will now be filled with the smoke. Observe for leaks of smoke from each seal, joint, and membrane of the chrome tank cover. Record these observations including the locations and a qualitative assessment of any leaks of smoke.
When all seals, joints, and membranes have been observed, evacuate the unit to remove the smoke from the chrome tank cover.

Appendix 6   Air Pollution Control or Air Quality  Management District Breakdown Rules.

DISTRICT	RULE #	RULE NAME

Amador 	516 	Upset and Breakdown Conditions
Antelope 	430 	Breakdown Provisions
Bay Area 	1 	General Provisions and Definitions
Butte 	275 	Reporting Procedures for Excess 
		 Emissions
Calaveras 	516 	Upset and Breakdown Conditions
Colusa 	1.13 	Equipment Breakdown
El Dorado 	516 	Upset and Breakdown Conditions
Feather River	9.6 	Equipment Breakdown
Glenn 	95.2 	Malfunction of Equipment
Great Basin 	403 	Breakdown
Imperial 	111 	Equipment Breakdown
Kern 	111 	Equipment Breakdown
Lake 	Chapter III, 	Malfunction 
	Article II

Lassen 	2:15 	Equipment Breakdown
Mariposa 	516 	Upset and Breakdown Conditions
Mendocino 	R1-5-540	Equipment Breakdown
Modoc 	2.12 	Equipment Breakdown
Mojave 	430 	Breakdown Provisions
Monterey Bay 	214 	Breakdown Condition
North Coast 	3-4-540 	Breakdown and Violation Reporting
North Coast 	1-5-540 	Equipment Breakdown
Northern 	516 	Upset and Breakdown. Conditions 
 Sierra

Northern 	1-5-540 	Equipment Breakdown 
 Sonoma
Placer 	404 	Upset Conditions Breakdown. 
		 Scheduled Maintenance
Sacramento 	602 	Breakdown Conditions: Emergency 
		 Variance
San Diego 	98 	Breakdown Conditions: Emergency 
		 Variance

San Joaquin 	1100 	Equipment Breakdown
San Luis 	107 	Breakdown or Upset Conditions and 
 Obispo		 Emergency Variances 
Santa Barbara 	505	Breakdown Conditions
Santa Barbara 	506 	Emergency Variances for Breakdowns
Shasta 	3:10 	Excess Emissions

Siskiyou 	2.12 	Equipment Breakdown (Siskiyou)
South Coast 	430 	Breakdown Provisions
Tehema 	4:17 	Upset or Breakdown Conditions
Tuolumne 	516 	Upset and Breakdown Conditions
Ventura 	32 	Breakdown Conditions; Emergency 
		 Variances
Yolo  	5.2 	Upset/Breakdown Conditions: 
Solano		 Emergency Variance

Appendix 7   Alternative Requirements for Enclosed  Hexavalent Chromium Electroplating Facilities -- Mass Emission Rate Calculation Procedure
Mass Emission Rate shall be calculated using the following equation:
MAMER = ETSA x K x 0.015 mg/dscm 
Where:
MAMER = the alternative emission rate for enclosed hexavalent chromium electroplating tanks in mg/hr.
ETSA = the hexavalent chromium electroplating tank surface area in square feet (ft2).
K = a conversion factor, 425 dscm/(ft2x hr).

Appendix 8   Surface Tension Procedure for a Stalagmometer
The stalagmometer must first be properly cleaned before being used for the first time and after a period of storage. Properly clean the stalagmometer using the following procedure:
1. Set up stalagmometer in stand in a fume hood.
2. Place a clean 150 mL beaker underneath the stalagmometer then fill with reagent grade concentrated nitric acid. Immerse bottom tip (approximately 1/2”) of stalagmometer into the beaker.
3. Squeeze rubber bulb and pinch at the arrow up (1) position to collapse. Place bulb end securely on top end of stalagmometer. Carefully draw the nitric acid by pinching the arrow up (1) position until the level is above the top etched line.
4. Allow nitric acid to remain in stalagmometer for 5 minutes and then carefully remove the bulb allowing the acid to completely drain.
5. Fill a clean 150 mL beaker with distilled or deionized water. Using the rubber bulb per the instructions in Step #3, rinse and drain stalagmometer with deionized or distilled water until the inside is “water break” free.
6. Fill a clean 150 mL beaker with isopropyl alcohol. Again using the rubber bulb per Step #3, rinse and drain stalagmometer twice with isopropyl alcohol and allow the stalagmometer to dry completely.
7. Take a sample of the solution to be tested and adjust the solution to room temperature. Measure the specific gravity and record reading.
8. Fill a clean 150 mL beaker with solution to be tested. Immerse bottom end of stalagmometer into the beaker. Fill the stalagmometer per instructions in Step #3, making sure that the solution level is above the top etched line.
9. Raise the stalagmometer so that the bottom end is completely out of solution. Remove bulb and immediately place a finger on the top end of the stalagmometer. Carefully use the finger to bring the solution level down to the top etched line. Do not release finger at this time.
10. “Wipe” the excess solution on the lower tip by touching it against the side of the beaker.
11. Release fingertip to allow solution to drain and count number of drops until the level reaches the bottom etched line. 

Calculations for Surface Tension

Surface tension (dynes/cm) = Sw * Nw * D
	N * Dw
Sw = Surface tension of water at 25oC or 77oF (72.75 dynes/cm)
Nw = water drop number etched on instrument
D = measured specific gravity (g/ml)
N = # of solution drops
Dw = water density (1.0 g/mL)
PRECAUTIONS:
1. Make sure the stalagmometer is clean (no sludge or film)
2. No chips, cracks, etc
3. Vertical placement
4. No vibration
5. 20 drops per minute rate (10 dynes/cm) +/- 1 drop per minute
6. Performance checked with water. The number of drops etched on the instrument shall be verified with deionized water to +/- 1 drop. If the number of drops are not within 1 drop, then the Stalagmometer shall be cleaned. If the cleaning process does not bring the drop count within 1 drop of the etched number on the instrument, then the operator shall:
a) Purchase a new Stalagmometer; or
b) Use the number of drops recorded for the distilled water run as (Nw) in the equation instead of the number of drops etched on the Stalagmometer.
7. Sample at room temperature

Appendix 9  Information to be Submitted to the Permitting Agency when Demonstrating an Alternative Method or Methods of Compliance Pursuant to section 93102.4(b)(3)
The owner or operator of a facility applying for approval of an alternative method of compliance must submit to the permitting agency the following information:
1. A performance test as specified in Section 93102.7. The test shall have been conducted in a manner consistent with normal electroplating or anodizing operations.
2. A demonstration that the alternative method achieves an equal or greater amount of reductions in hexavalent chromium emissions than would be achieved with direct compliance with the applicable emission rate in Table 93102.4.
3. Calculations based on scientifically valid risk assessment methodologies demonstrating that the alternative method results in reducing risk equally or greater than the risk reduction that would be achieved by direct compliance with the applicable emission rate in Table 93102.4. A facility using in-tank controls only must be modeled as a volume source and the resulting risk compared to the same facility modeled as a point source. 
4. Documentation which demonstrates that the method is enforceable, including an operation and maintenance plan, an inspection and maintenance schedule, and a recordkeeping plan.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41511, Health and Safety Code; and 40 CFR Part 63 Subpart N.
HISTORY

1. Relocation and amendment of appendices 1-6 from section 93102 to new section 93102.16 and new appendices 7-9 filed 9-24-2007; operative 10-24-2007 (Register 2007, No. 39).
§93103. Regulation for Chromate Treated Cooling Towers.
Note     •     History

(a) Definitions. In this regulation, hexavalent chromium and chromate are substances identified as toxic air contaminants by the Air Resources Board. You, yours, I, and my mean the person who owns or operates, or who plans to build, own, or operate, a cooling tower. The district is the local air pollution control district or air quality management district. A cooling tower is a device which evaporates circulating water to remove heat from a process, a building, or a refrigerator, and puts the heat into the ambient air. Must means a provision is mandatory, and may means a provision is permissive. 
(b) Who must comply with this regulation? Any person who owns or operates, or who plans to build, own, or operate, a cooling tower must comply with this regulation. 
(c) What must I do to comply with this regulation? To comply with this regulation, you must: 
notify the district in writing about your cooling tower,

and
not add any hexavalent chromium-containing compounds to the cooling tower circulating water,

and
keep the hexavalent chromium concentration in the cooling tower circulating water less than 0.15 milligrams hexavalent chromium per liter of circulating water,

and
test the circulating water to determine the concentration of hexavalent chromium every six months,

and
keep the results of all required tests of circulating water for two years, and give them to the district when asked. 
(d) What information must I send the district? Within 90 days after the effective date of this regulation, you must write and tell the district the following: 
that you own or operate a cooling tower,

and
where the cooling tower is located,

and
who is the owner or operator of the cooling tower, 

and
whether or not you use hexavalent chromium in the cooling tower, 

and
if you are using hexavalent chromium, when you plan to stop. 
(e) When must I comply with the hexavalent chromium limits? You must stop adding hexavalent chromium-containing compounds to the circulating water in your cooling tower and meet the 0.15 milligrams per liter hexavalent chromium concentration limit no later than 180 days after the effective date of the regulation. This is the compliance date for the regulation. 
(f) For how long do I have to test the circulating water? If, after the effective date of this regulation, 2 consecutive required tests showing concentrations of hexavalent chromium less than 0.15 milligrams of hexavalent chromium per liter of circulating water, then the testing requirement is ended. All other requirements remain the same. The district may, however, require you to resume testing the circulating water at any time if the district has information that the circulating water may contain hexavalent chromium. 
(g) How do I test the circulating water for hexavalent chromium? You must test the circulating water to determine hexavalent chromium concentrations using American Public Health Association Method 312B, or an equivalent method approved by the district. You will find Method 312B in a book called Standard Methods for the Examination of Water and Wastewater, Sixteenth Edition, published by the American Public Health Association, and available at libraries and bookstores nationwide.
(h) I use hexavalent chromium in a wooden cooling tower. Even if I stop adding hexavalent chromium on the compliance date, hexavalent chromium from the wood may cause the concentration in the circulating water to exceed 0.15 milligrams per liter for a time after the compliance date. How may I avoid being cited immediately after the compliance date? You may avoid being cited for violations of the 0.15 milligrams per liter hexavalent chromium concentration limit for up to six months after the compliance date. In order to not be cited during the transition period, you must: 
comply with all other requirements of this regulation, 

and
notify the district in writing that your cooling tower has wooden components that are exposed to the circulating water, and that you plan to take advantage of this section,

and
test the circulating water to determine the concentration of hexavalent chromium monthly

and
show a decrease in hexavalent chromium concentrations in the circulating water each month,

and
keep the results of the tests of circulating water for two years and give them to the district when asked,

and
the hexavalent chromium concentration in the circulating water must not exceed 8 milligrams hexavalent chromium per liter of circulating water. 
(i) I am planning to build a cooling tower after the effective date of this regulation. Do I need to notify the district? Yes, no later than 90 days before you begin to operate the cooling tower, you must write and tell the district the following: 
who is the owner and operator of the cooling tower,

and
where the cooling tower will be located,

and
when you plan to start operation. 
(j) I switched to non-chromate treatments before this regulation became effective, do I have to meet the same requirements? If you have not used hexavalent chromium in your cooling tower for at least one year immediately before the compliance date, or if your cooling tower has never used hexavalent chromium, and you can demonstrate this to the district, then the district may waive the testing requirement. Such demonstration may be made by written certification signed by a company officer, that hexavalent chromium compounds have not been used within the year immediately before the compliance date. The district may, however, require you to test the circulating water at any time, if the district has information that the circulating water may contain hexavalent chromium. 
NOTE

Authority cited: Section 39600, 39601, 39650 and 39666, Health and Safety Code. Reference: Sections 39650 and 39666, Health and Safety Code. 
HISTORY

1. New section filed 2-9-90; operative 3-11-90 (Register 90, No. 9).
§93104. Dioxins Airborne Toxic Control Measure--Medical Waste Incinerators.
Note     •     History

(a) Definitions. For purposes of this section, the following definitions shall apply:
(1) “ARB” means the State of California Air Resources Board.
(2) “ARB Test Method 2” means the test method specified in title 17, California Code of Regulations, section 94102.
(3) “ARB Test Method 428” means the test method specified in title 17, California Code of Regulations, section 94139.
(4) “Control equipment” means any device which reduces emissions from medical waste incinerators.
(5) “Dioxins” means dibenzo-p-dioxins and dibenzofurans chlorinated in the 2, 3, 7, and 8 positions and containing 4, 5, 6, or 7 chlorine atoms and is expressed as 2, 3, 7, 8, tetrachlorinated dibenzo-para-dioxin equivalents using current California Department of Health Services toxic equivalency factors.
(6) “Facility” means every building, structure, appurtenance, installation, or improvement located on land which is under the same or common ownership or operation, and is on one or more contiguous or adjacent properties.
(7) “Medical facilities” means medical and dental offices, clinics and hospitals, skilled nursing facilities, research facilities, research laboratories, clinical laboratories, all unlicensed and licensed medical facilities, clinics and hospitals, surgery centers, diagnostic laboratories, and other providers of health care.
(8) “Medical waste incinerator” means all of the furnaces or other closed fire chambers that are located at a facility and used to dispose of waste generated at medical facilities by burning.
(9) “Uncontrolled emissions” means the dioxins emissions measured from the incinerator at a location downstream of the last combustion chamber, but prior to the air pollution control equipment.
(10) “Waste” means all discarded putrescible and nonputrescible solid, semisolid, and liquid materials, including garbage, trash, refuse, paper, rubbish, food, ashes, plastics, industrial wastes, demolition and construction wastes, equipment, instruments, utensils, appliances, manure, and human or animal solid and semisolid wastes.
(b) Requirements for medical waste incinerators that incinerate more than 25 tons of waste per year. The following requirements shall apply only to medical waste incinerators that incinerate more than 25 tons of waste per year:
(1) No person shall operate a medical waste incinerator unless:
(A) The dioxins emissions have been reduced by 99 percent or more of the uncontrolled emissions; or
(B) The dioxins emissions have been reduced to 10 nanograms or less per kilogram of waste burned.
(2) No person shall operate a medical waste incinerator unless the control equipment is installed and used in a manner which has been demonstrated to and approved by the district air pollution control officer to meet the following requirements:
(A) The flue gas temperature at the outlet of the control equipment shall not exceed 300 degrees Fahrenheit, unless it has been demonstrated to, and approved in writing by, both the ARB and the district air pollution control officer that lower emissions are achieved at a higher outlet temperature; and
(B) For a single chamber incinerator, the combustion chamber shall be maintained at no less than 1800 degrees (+ 200 degrees) Fahrenheit. For a multiple chamber incinerator, the primary combustion chamber shall be maintained at no less than 1400 degrees Fahrenheit, and the secondary chamber shall be maintained at no less than 1800 degrees (+ 200 degrees) Fahrenheit. The furnace design shall provide for a residence time for combustion gas of at least one second. Residence time shall be calculated using the following equation:

View Graphic

where:
V means the volume, as expressed in cubic feet, from the point in the incinerator where the maximum temperature has been reached until the point where the temperature has dropped to 1600o F.
Qc means the combustion gas flow through V, as expressed in actual cubic feet per second, which is determined with ARB Test Method 2 or calculated by the following equation:

View Graphic
EA means the excess air, expressed as a percentage, supplied in excess of the air necessary to complete combustion.
Tc means the maximum temperature, in degrees Fahrenheit, that has been reached in the incinerator.
Qstoi means the amount of air theoretically required for complete combustion, as expressed in standard cubic feet per minute (SCF) and calculated as follows:

View Graphic
(3) No person shall operate a medical waste incinerator unless the bottom ash, fly ash and scrubber residuals are handled and stored in a manner that prevents entrainment into ambient air.
(4) The owner or operator of a medical waste incinerator shall maintain the following:
(A) A continuous data recording system which provides for each day of operation continuous recording of the primary and secondary combustion chamber temperatures; carbon monoxide emissions; the key operating parameters of the air pollution control equipment, as specified by the district air pollution control officer; the hourly waste charging rates; and the opacity of stack emissions or other indicator of particulate matter which is approved by the district air pollution control officer;
(B) Maintenance records for the incinerator, control equipment, and monitoring equipment; and calibration records for the monitoring equipment; and
(C) Equipment for determining and recording the weight of waste charged to the incinerator.
(5) For purposes of demonstrating compliance with subsection (b)(1) of this rule the owner or operator of a medical waste incinerator shall conduct a minimum of two annual source-tests for the dioxins stack emissions using ARB Test Method 428, and a minimum of three sampling runs shall be conducted for the method. Annual source tests shall be conducted until at least two consecutive tests demonstrate compliance, at which time the frequency of future source tests is at the discretion of the Air Pollution Control Officer. For purposes of determining compliance with subsection (b)(1)(A) of this rule, emissions shall be sampled simultaneously from the flue at a location downstream of the last combustion chamber, but prior to the control equipment, and from the stack during source testing. For purposes of determining compliance with subsection (b)(1)(B) of this rule, the source testing shall be conducted at the stack. The information regarding the composition (moisture content, and amount of the total waste that is infectious, pathological, hazardous, or radioactive) and feed rate of the fuel charged during the source test shall be provided with the test results. The district air pollution control officer can require additional necessary information regarding the composition of the waste. Source testing shall be conducted at the maximum waste firing capacity (+ 10 percent) allowed by the air district permit. A copy of all source test results conducted for purposes of demonstrating compliance with this rule shall be provided to the ARB at the same time that it is provided to the local air pollution control district.
(6) Any violation, malfunction, or upset condition on the incinerator, the air pollution control equipment, or the continuous data recording system shall be reported to the district within 1 hour of occurrence or by 9 a.m. the next business day if the malfunction occurs outside normal business hours and the district does not maintain a radio room or an answering machine.
(7) No person shall operate a medical waste incinerator unless each individual who operates or maintains the incinerator obtains either a certificate of training in medical waste incineration issued by The American Society of Mechanical Engineers within nine months of the commencement of the training program, or equivalent training as determined by the Air Pollution Control Officer. Copies of the training certificates for the operators and maintenance engineers shall be submitted to the districts and the original certificates shall be available for inspection at the facility with the permit to operate.
(c) Requirements for medical waste incinerators that incinerate 25 tons or less of waste per year. The following requirements shall apply to incinerators that incinerate 25 tons or less of waste per year:
(1) No person shall operate a medical waste incinerator that incinerates 25 tons or less of waste per year unless the requirements specified in subsections (b)(3), (b)(4)(C), and (b)(7) are met.
(2) The owner or operator of a medical waste incinefator that incinerates more than 10 but less than 25 tons of waste per year shall conduct one initial source test at the incinerator stack as specified in subsection (b)(5).
(d) Compliance Schedule.
(1) No later than 90 days after district adoption of regulations enacting this control measure, the owner or operator of a medical waste incinerator that incinerates more than 25 tons of waste per year shall submit to the district air pollution control officer an application for an authority to construct the equipment necessary to meet the requirements of sections (b)(1) or (b)(2), and no later than 15 months after district adoption of regulations enacting this control measure, the owner or operator of a medical waste incinerator shall be in compliance with this regulation.
(2) The owner or operator of a medical waste incinerator who intends to permanently shut down operation of the incinerator shall notify the district of the shutdown date within 90 days after district adoption of regulations enacting this control measure. The shutdown date shall be no later than six months after district adoption of regulations enacting this control measure.
(3) The owner or operator of a medical waste incinerator that incinerates 25 tons or less of waste per year who intends to remain in operation shall notify the district within 90 days after district adoption of regulations enacting this control measure. The owner or operator of a medical waste incinerator shall be in compliance with this regulation no later than 15 months after district adoption of regulations enacting this control measure.
(e) This control measure shall not apply to those incinerators which are exclusively crematoria of human or animal remains.
NOTE

Authority cited: Sections 39600, 39601, 39650 and 39666, Health and Safety Code. Reference: Sections 39650 and 39666, Health and Safety Code.
HISTORY

1. New section filed 6-13-91; operative 7-13-91 (Register 91, No. 34).
2. Editorial correction of subsection (b)(2)(B) (Register 95, No. 49).
§93105. Asbestos Airborne Toxic Control Measure for Construction, Grading, Quarrying, and Surface Mining Operations.

(a) Effective Date. 
(1) No later than November 19, 2002 each air pollution control and air quality management district must: 
(A) Implement and enforce the requirements of this section; or 
(B) Propose their own asbestos airborne toxic control measure as provided in Health & Safety Code section 39666(d). 
(2) lPre-existing Operations: The owner/operator of any project in which the construction, grading, quarrying, or surface mining operation started before the effective date of this section shall comply with this section by: 
(A) The date the district begins implementing and enforcing this section as required in subsection (a)(1)(A); or 
(B) The compliance date specified in the airborne toxic control measure adopted by the district as required in subsection (a)(1)(B). 
(b) Applicability. Unless one of the specific exemptions specified in subsection (c) applies, this section shall apply to any construction, grading, quarrying, or surface mining operation on any property that meets any of the following criteria: 
(1) Any portion of the area to be disturbed is located in a geographic ultramafic rock unit; or 
(2) Any portion of the area to be disturbed has naturally-occurring asbestos, serpentine, or ultramafic rock as determined by the owner/operator, or the Air Pollution Control Officer (APCO); or 
(3) Naturally-occurring asbestos, serpentine, or ultramafic rock is discovered by the owner/operator, a registered geologist, or the APCO in the area to be disturbed after the start of any construction, grading, quarrying, or surface mining operation. 
(c) General Exemptions. 
(1) Geologic Evaluation: The APCO may provide an exemption from this section for any property that meets the criterion in subsection (b)(1) if a registered geologist has conducted a geologic evaluation of the property and determined that no serpentine or ultramafic rock is likely to be found in the area to be disturbed. Before an exemption can be granted, the owner/operator must provide a copy of a report detailing the geologic evaluation to the APCO for his or her consideration. 
(A) At a minimum, the geologic evaluation must include: 
1. A general description of the property and the proposed use; 
2. A detailed site characterization which may include: 
i. A physical site inspection; 
ii. Offsite geologic evaluation of adjacent property; 
iii. Evaluation of existing geological maps and studies of the site and surrounding area; 
iv. Development of geologic maps of the site and vicinity; 
v. Identification and description of geologic units, rock and soil types, and features that could be related to the presence of ultramafic rocks, serpentine, or asbestos mineralization; and 
vi. A subsurface investigation to evaluate the nature and extent of geologic materials in the subsurface where vertical excavation is planned; methods of subsurface investigation may include, but are not limited to borings, test pits, trenching, and geophysical surveys; 
3. A classification of rock types found must conform to the nomenclature based on the International Union of Geological Science system; 
4. A description of the sampling procedures used; 
5. A description of the analytical procedures used, which may include mineralogical analyses, petrographic analyses, chemical analyses, or analyses for asbestos content; 
6. An archive of collected rock samples for third party examination; and 
7. A geologic evaluation report documenting observations, methods, data, and findings; the format and content of the report should follow the Guidelines for Engineering Geologic Reports issued by the State Board of Registration for Geologists and Geophysicists. 
(B) The district may request any additional tests or other information needed to evaluate an application for exemption. 
(C) The district shall grant or deny a request for an exemption within 90 days of the receipt of a complete application. 
(D) If the request for an exemption is denied, the APCO shall provide written reasons for the denial. 
(E) Expiration of the Geologic Exemption: If the owner/operator discovers any naturally-occurring asbestos, serpentine, or ultramafic rock in the area to be disturbed after the exemption is granted, then: 
1. The owner/operator must comply with the requirements of this section; 
2. The owner/operator must report the discovery of the naturally-occurring asbestos, serpentine, or ultramafic rock to the APCO no later than the next business day; and 
3. The exemption under subsection (c)(1) shall expire and cease to be effective. 
(2) If a method is developed to accurately demonstrate that property located in a geographic ultramafic rock unit has no detectable asbestos in the area to be disturbed, then the ARB Executive Officer shall propose to the Board for adoption a regulatory amendment allowing the method to be utilized, as appropriate, to obtain an exemption from the requirements specified in this section. 
(3) Agriculture and Timber Harvesting: This section shall not apply to agricultural operations or timber harvesting except for construction of roads and buildings. Construction of roads is subject to the requirements of subsection (e) if the road is part of a construction or grading operation, quarry, or surface mine, and is subject to the requirements of subsection (d) if the road is not part of a construction or grading operation, quarry, or surface mine. 
(4) Homeowners and Tenants: Individuals engaged in covered activities on residential property they own or occupy are exempt from subsections (e)(1) and (e)(3)(A). 
(5) Sand and Gravel Operations: The APCO may provide an exemption for crushing, screening and conveying equipment, stockpiles, and off-site material transport at a sand and gravel operation if the operation processes only materials from an alluvial deposit. 
(A) The district shall grant or deny a request for an exemption within ninety (90) days of the receipt of a complete application. 
(B) If the request for an exemption is denied, the APCO shall provide written reasons for the denial. 
(d) Requirements for Road Construction and Maintenance. These requirements shall apply to roads that are not part of a construction or grading project, quarry, or surface mine. 
(1) No person shall conduct any road construction or maintenance activities that disturb any area that meets any criterion listed in subsections (b)(1) or (b)(2) unless all of the following conditions are met. 
(A) The APCO is notified in writing at least fourteen (14) days before the beginning of the activity or in accordance with a procedure approved by the district. 
(B) All the following dust control measures are implemented during any road construction or maintenance activity: 
1. Unpaved areas subject to vehicle traffic must be stabilized by being kept adequately wetted, treated with a chemical dust suppressant, or covered with material that contains less than 0. 25 percent asbestos; 
2. The speed of any vehicles and equipment traveling across unpaved areas must be no more than fifteen (15) miles per hour unless the road surface and surrounding area is sufficiently stabilized to prevent vehicles and equipment traveling more than 15 miles per hour from emitting dust that is visible crossing the project boundaries; 
3. Storage piles and disturbed areas not subject to vehicular traffic must be stabilized by being kept adequately wetted, treated with a chemical dust suppressant, or covered with material that contains less than 0.25 percent asbestos; and 
4. Activities must be conducted so that no track-out from any road construction project is visible on any paved roadway open to the public. 
(C) Equipment and operations must not cause the emission of any dust that is visible crossing the project boundaries. 
(2) No person shall conduct any road construction or maintenance activity that disturbs the ground surface in an area that meets the criteria in subsection (b)(3) unless: 
(A) The APCO is notified no later than the next business day of the discovery that the area meets the criteria in subsection (b)(3); and 
(B) The requirements of subsections (d)(1)(B) through (d)(1)(C), are implemented within twenty-four (24) hours of the discovery. 
(3) Exemptions from the Requirements for Road Construction and Maintenance. The following exemptions may apply in addition to the applicable general exemptions specified in subsection (c). 
(A) Emergency Road Repairs: Subsection (d)(1)(A) shall not apply when construction of a road or firebreak, or a road repair is necessary due to a landslide, flood, or other emergency or to mitigate a condition that constitutes an imminent hazard to the public. The owner/operator shall notify the APCO no later than the next business day of the action taken and the condition establishing the applicability of this subsection. 
(B) Remote locations: The APCO may provide an exemption from the requirements of subsection (d) for any activity which will occur at a remote location. 
1. The district shall grant or deny a request for an exemption within ninety (90) days of the receipt of a complete application. 
2. If the request for an exemption is denied, the APCO shall provide written reasons for the denial. 
(e) Requirements for Construction and Grading Operations. 
(1) Areas of one acre or less meeting the criteria in subsections (b)(1) or (b)(2): No person shall engage in any construction or grading operation on property where the area to be disturbed is one (1.0) acre or less unless all of the following dust mitigation measures are initiated at the start and maintained throughout the duration of the construction or grading activity: 
(A) Construction vehicle speed at the work site must be limited to fifteen (15) miles per hour or less; 
(B) Prior to any ground disturbance, sufficient water must be applied to the area to be disturbed to prevent visible emissions from crossing the property line; 
(C) Areas to be graded or excavated must be kept adequately wetted to prevent visible emissions from crossing the property line; 
(D) Storage piles must be kept adequately wetted, treated with a chemical dust suppressant, or covered when material is not being added to or removed from the pile; 
(E) Equipment must be washed down before moving from the property onto a paved public road; and 
(F) Visible track-out on the paved public road must be cleaned using wet sweeping or a HEPA filter equipped vacuum device within twenty-four (24) hours. 
(2) Areas greater than one acre meeting the criteria in subsections (b)(1) or (b)(2): No person shall engage in any construction or grading operation on property where the area to be disturbed is greater than one (1.0) acre unless: 
(A) An Asbestos Dust Mitigation Plan for the operation has been: 
1. Submitted to and approved by the district before the start of any construction or grading activity; and 
2. The provisions of that dust mitigation plan are implemented at the beginning and maintained throughout the duration of the construction or grading activity; and 
(B) For a project started before the effective date of this section for which an asbestos dust mitigation plan was submitted at least sixty (60) days before the effective date, and for which the district has not yet approved the asbestos dust mitigation plan: 
1. The measures in subsection (e)(1) must be implemented and maintained until the district-approved asbestos dust mitigation plan is implemented; and 
2. The provisions of the district-approved asbestos dust mitigation plan must be implemented within fourteen (14) days of district approval of the plan and maintained throughout the remainder of the construction or grading activity. 
(3) Property that meets the criteria in subsection (b)(3): No person shall engage in any construction or grading operation unless the following requirements are met: 
(A) The owner/operator notifies the district of the discovery of naturally-occurring asbestos, serpentine, or ultramafic rock no later than the next business day; 
(B) The dust mitigation measures in subsection (e)(1) are implemented within twenty-four (24) hours after determining that the property meets the criteria in subsection (b)(3); and 
(C) For operations in which the area to be disturbed is one (1.0) acre or less, the dust mitigation measures in subsection (e)(1) are maintained throughout the duration of the construction or grading activity; or 
(D) For operations in which the area to be disturbed is greater than one (1.0) acre, the owner/operator must: 
1. Submit an asbestos dust mitigation plan to the district within fourteen (14) days of the discovery of naturally-occurring asbestos, serpentine, or ultramafic rock; 
2. Maintain the dust mitigation measures in subsection (e)(1) until the provisions of the district-approved asbestos dust mitigation plan are implemented; 
3. Implement the provisions of the district-approved asbestos dust mitigation plan within fourteen (14) days of district approval of the plan; and 
4. Maintain the provisions of the district-approved asbestos dust mitigation plan throughout the remainder of the construction or grading activity. 
(4) Asbestos Dust Mitigation Plans: An Asbestos Dust Mitigation Plan must specify dust mitigation practices which are sufficient to ensure that no equipment or operation emits dust that is visible crossing the property line, and must include one or more provisions addressing each of the following topics. 
(A) Track-out prevention and control measures which shall include: 
1. Removal of any visible track-out from a paved public road at any location where vehicles exit the work site; this shall be accomplished using wet sweeping or a HEPA filter equipped vacuum device at the end of the work day or at least one time per day; and 
2. Installation of one or more of the following track-out prevention measures: 
i. A gravel pad designed using good engineering practices to clean the tires of exiting vehicles; 
ii. A tire shaker; 
iii. A wheel wash system; 
iv. Pavement extending for not less than fifty (50) consecutive feet from the intersection with the paved public road; or 
v. Any other measure as effective as the measures listed above. 
(B) Keeping active storage piles adequately wetted or covered with tarps. 
(C) Control for disturbed surface areas and storage piles that will remain inactive for more than seven (7) days, which shall include one or more of the following: 
1. Keep the surface adequately wetted; 
2. Establishment and maintenance of surface crusting sufficient to satisfy the test in subsection (h)(6); 
3. Application of chemical dust suppressants or chemical stabilizers according to the manufacturers' recommendations; 
4. Covering with tarp(s) or vegetative cover; 
5. Installation of wind barriers of fifty (50) percent porosity around three (3) sides of a storage pile; 
6. Installation of wind barriers across open areas; or 
7. Any other measure as effective as the measures listed above. 
(D) Control for traffic on on-site unpaved roads, parking lots, and staging areas which shall include: 
1. A maximum vehicle speed limit of fifteen (15) miles per hour or less; and 
2. One or more of the following: 
i. Watering every two hours of active operations or sufficiently often to keep the area adequately wetted; 
ii. Applying chemical dust suppressants consistent with manufacturer's directions; 
iii. Maintaining a gravel cover with a silt content that is less than five (5) percent and asbestos content that is less than 0.25 percent, as determined using an approved asbestos bulk test method, to a depth of three (3) inches on the surface being used for travel; or 
iv. Any other measure as effective as the measures listed above. 
(E) Control for earthmoving activities which shall include one or more of the following: 
1. Pre-wetting the ground to the depth of anticipated cuts; 
2. Suspending grading operations when wind speeds are high enough to result in dust emissions crossing the property line, despite the application of dust mitigation measures; 
3. Application of water prior to any land clearing; or 
4. Any other measure as effective as the measures listed above. 
(F) Control for off-site transport. The owner/operator shall ensure that no trucks are allowed to transport excavated material off-site unless: 
1. Trucks are maintained such that no spillage can occur from holes or other openings in cargo compartments; and 
2. Loads are adequately wetted and either: 
i. Covered with tarps; or 
ii. Loaded such that the material does not touch the front, back, or sides of the cargo compartment at any point less than six inches from the top and that no point of the load extends above the top of the cargo compartment. 
(G) Post construction stabilization of disturbed areas. Upon completion of the project, disturbed surfaces shall be stabilized using one or more of the following methods: 
1. Establishment of a vegetative cover; 
2. Placement of at least three (3.0) inches of non-asbestos-containing material; 
3. Paving; 
4. Any other measure deemed sufficient to prevent wind speeds of ten (10) miles per hour or greater from causing visible dust emissions. 
(H) Air monitoring for asbestos (if required by the APCO). 
1. If required by the district APCO, the plan must include an air-monitoring component. 
2. The air monitoring component shall specify the following: 
i. Type of air sampling device(s); 
ii. Siting of air sampling device(s); 
iii. Sampling duration and frequency; and 
iv. Analytical method. 
(I) Frequency of reporting: The plan shall state how often the items specified in subsection (e)(5)(B), and any other items identified in the plan, will be reported to the district. 
(5) Recordkeeping and Reporting Requirements. 
(A) Recordkeeping Requirements: The owner/operator shall maintain all of the following records for at least seven (7) years following the completion of the construction project: 
1. The results of any air monitoring conducted at the request of the APCO; 
2. The documentation for any geologic evaluation conducted on the property for the purposes of obtaining an exemption, except the archive of collected samples which may be discarded at the expiration of the exemption or one (1) year after the exemption is granted whichever is less; and 
3. The results of any asbestos bulk sampling that meets any of the following conditions: 
i. The asbestos bulk sampling was conducted by the owner/operator to document the applicability of or compliance with this section, or 
ii. The asbestos bulk sampling was done at the request of the district APCO. 
(B) Reporting Requirements: The owner/operator of any grading or construction operation subject to this section shall submit the following to the District: 
1. The results of any air monitoring conducted at the request of the APCO; and 
2. The results of any asbestos bulk sampling that meets any of the following conditions: 
i. Asbestos bulk sampling conducted by the owner/operator to document applicability of or compliance with this section; or 
ii. Asbestos bulk sampling done at the request of the APCO. 
(f) Requirements for Quarrying and Surface Mining Operations. 
(1) No person shall engage in any quarrying or surface mining operation that meets the criteria of subsections (b)(1) or (b)(2) unless an Asbestos Dust Mitigation Plan for the operation has been submitted to and approved by the District and the fugitive dust mitigation measures specified in the Plan are implemented and maintained throughout the duration of any quarrying or surface mining operation except, 
(A) Pre-existing Operations: The owner or operator of any quarrying or surface mining operation that was in operation before the date this section is implemented as determined pursuant to subsection (a) that has not obtained district approval of the asbestos dust mitigation plan may continue operating if all the following conditions are met: 
1. The owner/operator has submitted an asbestos dust mitigation plan to the district at least sixty (60) days prior to the date specified in subsection (a); 
2. The owner/operator implements all of the dust mitigation measures specified in subsections (f)(2)(B) and (f)(2)(C) by the effective date specified in subsection (a) and maintains them until the provisions of an approved asbestos dust mitigation plan are implemented; and 
3. The owner/operator implements the provisions of the asbestos dust mitigation plan within fourteen (14) days following district approval of the plan. 
(B) Mineral exploration activities: Mineral exploration activities as defined in the California Public Resources Code section 2714(d) in an area meeting any of the conditions of subsection (b) are not required to submit an asbestos dust mitigation plan but shall instead implement and maintain the following measures throughout the duration of the activity: 
1. Limit vehicle speeds on the site to fifteen (15) miles per hour or less; 
2. Apply sufficient water during any ground disturbance to prevent visible dust from crossing the property line; 
3. Keep disturbed areas and storage piles adequately wetted until they are permanently stabilized; 
4. Install a track-out prevention device designed to prevent track-out onto any paved public road; 
5. Clean up any visible track-out at the end of the workday or at a minimum within twenty-four (24) hours; and 
6. Cover, treat with a chemical dust suppressant, or otherwise stabilize any disturbed areas when operations cease for more than seven (7) days. 
(2) The owner/operator of any quarry or surface mine that meets any of the criteria in subsection (b)(3) shall: 
(A) Notify the APCO no later than the next business day of the discovery. 
(B) Implement all the following measures within twenty-four (24) hours following the discovery: 
1. Keep stock and working piles adequately wetted during the addition and removal of material; 
2. Keep on-site unpaved roads, parking lots, and staging areas stabilized using one of the following measures: 
i. Adequately wetted; or 
ii. Controlled using dust palliatives or suppressants; or 
iii. paving; or 
iv. Covered to a depth of three (3) inches with gravel that contains less than 0.25 percent asbestos as determined using an approved asbestos bulk test method; 
3. Keep exposed areas and inactive stockpiles that are prone to mechanical or wind disturbances: 
i. Adequately wetted; or 
ii. Controlled using dust palliatives or suppressants, paving, wind berms or breaks; or 
iii. Covered with tarps or material that contains less than 0.25 percent asbestos as determined using an approved asbestos bulk test method; 
4. Ensure that materials to be quarried, excavated, or graded are adequately wetted; 
5. Ensure that all loads are adequately wetted before and during truck loading operations; 
6. Ensure that all trucks transporting materials off-site meet the conditions of either paragraph i or paragraph ii at the time the truck leaves the site: 
i. Loads are adequately wetted and covered with tarps; or 
ii. Loads are adequately wetted and the material does not touch the front back or sides of the cargo compartment at any point less than six (6) inches from the top and no point of the load extends above the top of the cargo compartment; and 
7. Limit vehicle speeds within the quarry or surface mining operation to fifteen (15) miles per hour or less. 
(C) Implement all of the following measures within fourteen (14) days of the determination that the operation meets any of the criteria in subsection (b)(3). 
1. Measures to ensure that material being excavated, crushed, screened, loaded, transferred or conveyed does not result in any dust that is visible crossing the property line. 
2. Measures to ensure that no grinding mill, screening operation, or transfer point on a belt conveyor discharges into the air any visible emissions other than uncombined water vapor, for a period aggregating more than three minutes in any one hour which are: 
i. Fifty percent as dark or darker in shade as that designated as number one on the Ringlemann Chart, as published by the United States Bureau of Mines; or 
ii. Of such opacity as to obscure an observers view to a degree equal to or greater than smoke as described in subsection (f)(2)(C)2.i. or ten (10) percent opacity. 
3. Measures to ensure that no crusher discharges into the air any visible emissions other than uncombined water vapor, for a period aggregating more than three minutes in any one hour which are: 
i. Seventy-five percent as dark or darker in shade as that designated as number one on the Ringlemann Chart, as published by the United States Bureau of Mines; or 
ii. Of such opacity as to obscure an observers view to a degree equal to or greater than smoke as described in subsection (f)(3)(C)3.i. or fifteen (15) percent opacity. 
4. Measures for material handling sufficient to meet the requirements of subsections (f)(2)(C)1. through (f)(2)(C)3. Such measures may include the following: 
i. Installation and operation of spraybars on all conveyors; and 
ii. Installation of shrouds at all drop points. 
5. Track-out control and prevention measures which shall include: 
i. Installation of a gravel pad, grizzly, tire washing system, or paving at least fifty (50) feet of the access road, and 
ii. Cleaning any visible track-out off the paved public road using wet sweeping or a HEPA filter equipped vacuum device at the end of each workday. 
6. Stabilization of all on-site roads, parking lots, and staging areas open to the public by one of the following methods: 
i. Pave with asphalt or concrete, or 
ii. Treat with a chemical dust suppressant applied according to manufacturers directions, or 
iii. Maintain a gravel cover that has a depth of at least three (3) inches and contains less than 0.25 percent asbestos as determined using an approved asbestos bulk test method. 
(D) Submit an Asbestos Dust Mitigation Plan to the District within fourteen (14) days and maintain the measures specified in subsections (f)(2)(B) and (f)(2)(C) until the asbestos dust mitigation measures in the district-approved Asbestos Dust Mitigation Plan are implemented. 
(3) An Asbestos Dust Mitigation Plan required by subsections (f)(1) and (f)(2)(D) must include sections which address each of the following topics. 
(A) A Fugitive Dust Mitigation Component which shall, at a minimum, include the measures specified in subsections (f)(2)(B) and (f)(2)(C), unless the APCO determines that it is appropriate to add, omit, or modify these measures depending on site-specific parameters. The plan shall also require that: 
1. Equipment and operations do not emit dust that is visible crossing the property line; 
2. Crushers do not discharge into the air any visible emissions other than uncombined water vapor, for a period aggregating more than three minutes in any one hour, which is: 
i. Seventy-five percent as dark or darker in shade as that designated as number one on the Ringlemann Chart, as published by the United States Bureau of Mines; or 
ii. Of such opacity as to obscure an observers view to a degree equal to or greater than smoke as described in subsection (f)(3)(A)2.i. or fifteen (15) percent opacity; and 
3. Grinding mills, screening operations, and transfer points on belt conveyors do not discharge into the air any visible emissions other than uncombined water vapor, for a period aggregating more than three minutes in any one hour, which is: 
i. Fifty percent as dark or darker in shade as that designated as number one on the Ringlemann Chart, as published by the United States Bureau of Mines; or 
ii. Of such opacity as to obscure an observers view to a degree equal to or greater than smoke as described in subsection (f)(3)(A)3.i. or ten (10) percent opacity. 
(B) Air monitoring for asbestos (if required by the APCO). 
1. If required by the district APCO, the plan must include an air monitoring component. 
2. The air monitoring component shall specify the following: 
i. Type of air sampling device(s); 
ii. Siting of air sampling device(s); 
iii. Sampling duration and frequency; and 
iv. Analytical method. 
(C) Frequency of reporting. The plan shall state how often the items specified in subsection (f)(5)(B), and any other items identified in the plan, will be reported to the district. 
(4) Upon petition by the owner/operator the APCO may approve the use of requirements or restrictions established under other regulatory programs to meet the requirements of subsection (f) under the following conditions: 
(A) The requirements or restrictions are equivalent to or more stringent than the requirements of subsection (f); and 
(B) The requirements or restrictions are enforceable by the APCO. 
(5) Recordkeeping and Reporting Requirements: The owner/operator of a surface mining or quarrying operation subject to this section must comply with the following recordkeeping and reporting requirements. 
(A) Recordkeeping Requirements: The owner/operator shall maintain all of the following records for at least seven (7) years: 
1. The results of any air monitoring conducted at the request of the APCO; 
2. The documentation for any geologic evaluation conducted on the property for the purpose of obtaining an exemption except, the archive of collected rock samples which may be discarded at the expiration of the exemption or one (1) year after the district granted or denied the exemption, whichever comes first; and 
3. The results of any asbestos bulk sampling that meets any of the following conditions: 
i. The asbestos bulk sampling was conducted by the owner/operator to document the applicability of, or compliance with this section; or 
ii. The asbestos bulk sampling was done at the request of the district APCO. 
(B) Reporting Requirements: The owner/operator shall submit the following to the District: 
1. The results of any air monitoring conducted at the request of the APCO; 
2. The documentation of any geologic evaluation conducted on the property in question; and 
3. The results of any asbestos bulk sampling that meets any of the following conditions: 
i. Asbestos bulk sampling conducted by the owner/operator to document applicability of or compliance with this section; or 
ii. Asbestos bulk sampling done at the request of the district APCO. 
(g) Air Monitoring for Asbestos. Pursuant to the requirements of Health and Safety Code section 41511: 
(1) Air monitoring may be required by the district APCO. 
(2) The APCO may revise the asbestos dust mitigation plan on the basis of the results of the air monitoring. 
(h) Test Methods. 
(1) Ultramafic Rock: The ultramafic rock composition of any material shall be determined using standard analysis techniques including, but not limited to, color index assessment, microscopic examination, petrographic analysis or rock thin sections, or chemical analysis techniques, such as X-ray fluorescence spectrometry or inductively coupled plasma analysis. 
(2) Bulk Sampling Methods: ARB Test Method 435, or an alternative asbestos bulk test method approved in writing by the Executive Officer of the California Air Resources Board, shall be used to determine the asbestos content of a bulk sample. For the purposes of determining compliance with this section, references in ARB Test Method 435 to “serpentine aggregate” shall mean “gravel” or other “bulk materials” to be tested for asbestos content. 
(3) Analysis of Air Samples: Analysis of all air samples shall follow the analytical method specified by the United States Environmental Protection Agency, Asbestos Hazard Emergency Response Act (AHERA) criteria for asbestos (40 CFR, Part 763, subpart E, Appendix A, adopted October 30, 1987), with the following exceptions: 
(A) The analytical sensitivity shall be 0.001 structures per cubic centimeter (0.001 s/cc); and 
(B) All asbestos structures with an aspect ratio greater than three to one (3 to1) shall be counted irrespective of length. 
(4) The results of the analysis of air samples shall be reported as transmission electron microscopy (TEM) asbestos structures per cubic centimeter (s/cc). 
(5) Adequately Wetted: Field determination of “adequately wetted” shall be as follows: 
(A) If the district-approved asbestos dust mitigation plan has specified a percent moisture content for specific materials the determination shall be as specified in the district-approved asbestos dust mitigation plan; or 
(B) If no moisture threshold is specified in a district-approved asbestos dust mitigation plan, a sample of at least one (1) quart in volume shall be taken from the top three (3) inches of a road, or bare area or from the surface of a stockpile. The sample shall be poured out from a height of four (4) feet onto a clean hard surface. The material shall be considered to be adequately wetted if there is no observable dust emitted when the material is dropped. 
(6) Surface Crusting: “Measurement of the stability of surface crusting on horizontal surfaces” shall be as follows: 
(A) Where a visible crust exists, drop a steel ball with a diameter of 15.9 millimeters (0.625 inches) and a mass ranging from 16 to 17 grams from a distance of 30 centimeters (one foot) directly above (at a 90 degree angle perpendicular to) the ground surface. If blowsand (thin deposits of loose grains covering less than 50 percent of the surface that have not originated from the surface being tested) is present, clear the blowsand from the surfaces to be tested before dropping the steel ball. 
(B) A sufficient crust is determined to exist if, when the ball is dropped according to subsection (h)(6)(A), the ball does not sink into the surface so that it is partially or fully surrounded by loose grains and, upon removing the ball, the surface on which it was dropped has not been pulverized so that loose grains are visible. 
(C) Drop the ball three times each in three representative test areas within a survey area measuring 1 foot by 1 foot that represents a random portion of the surface being evaluated. The test area shall be deemed to have passed if at least two of the three times the ball was dropped, the results met the criteria in subsection (h)(6)(B). If all three test areas pass, the area shall be deemed to be “sufficiently crusted”. 
(i) Definitions. For the purposes of this section, the following definitions shall apply: 
(1) “Access road” means any road extending from a public thoroughfare onto the property of a construction project, quarry, or surface mining operation. 
(2) “Adequately wetted” means sufficiently moistened with water to minimize the release of particulate matter into the ambient air as determined by the test method(s) in subsection (h)(5). 
(3) “Agricultural operation” means activities necessary for the growing and harvesting of crops or raising of fowl or animals. 
(4) “APCO” means the executive officer, air pollution control officer, or the designee of the executive officer or air pollution control officer of any air pollution control or air quality management district created or continued in existence pursuant to Part 3 (commencing with section 40000), Division 26, Health and Safety Code. 
(5) “Approved asbestos bulk test method” means ARB Test Method 435 or an alternative asbestos bulk test method approved in writing by the Executive Officer of the California Air Resources Board. 
(6) “ARB” means the California Air Resources Board. 
(7) “ARB Test Method 435” means the test method specified in title 17, California Code of Regulations, section 94147. 
(8) “Asbestos” means asbestiforms of the following minerals: chrysotile (fibrous serpentine), crocidolite (fibrous riebeckite), amosite (fibrous cummingtonite--grunerite), fibrous tremolite, fibrous actinolite, and fibrous anthophyllite. 
(9) “Asbestos-containing material” means any material that has an asbestos content of 0.25 percent or greater. 
(10) “Asbestos Dust Mitigation Plan” means a detailed written document specifying measures that would be implemented to minimize the emissions of asbestos-laden dust. 
(11) “Carry-out” or “track-out” means any bulk material that adheres to and agglomerates on the exterior surfaces of motor vehicles, haul trucks, and/or equipment, including tires, and that has fallen or been deposited onto a paved public roadway. 
(12) “Construction,” “grading,” “construction or grading operation” and “construction or grading activity” mean any surface disturbance conducted with powered equipment or any related activity, including, but not limited to, all surface and subsurface cuts and fills, excavation, trenching, stockpiling, bulldozing, and landfills. 
(13) “District” means any air pollution control or air quality management district created or continued in existence pursuant to Part 3 (commencing with section 40000), Division 26, Health and Safety Code. 
(14) “Geographic ultramafic rock unit” means a geographic area that is designated as an ultramafic rock unit or ultrabasic rock unit, including the unit boundary line, on any of the maps referenced in Appendix A. 
(15) “Geologic evaluation” means an evaluation of a property to determine the presence of various types of rocks, including ultramafic rock, serpentinite, or other metamorphic derivatives of ultramafic rock. 
(16) “Gravel pad” means a layer of gravel, rock, or crushed rock which is at least one inch or larger in diameter and less than five (5) percent silt content, maintained at the point of intersection of a paved public roadway and a work site entrance to dislodge mud, dirt, and debris from tires of motor vehicles and haul trucks prior to leaving a worksite. 
(17) “Grizzly” means a device used to dislodge mud, dirt, and debris from the tires and undercarriage of motor vehicles and haul trucks prior to leaving the work site. 
(18) “HEPA filter” means a High Efficiency Particulate Air filter used to remove particles less than one (1) micron in aerodynamic diameter and operates at removal efficiencies of 99.9 percent or greater. 
(19) “Naturally-occurring asbestos” means asbestos that has not been processed in an asbestos mill. 
(20) “Owner/operator” or “person” includes, but is not limited to: 
(A) An individual, trust, firm, joint stock company, business concern, partnership, limited liability company, association, or corporation including, but not limited to, a government corporation; 
(B) Any city, county, district, commission, the state or any department, agency, or political subdivision thereof, any interstate body, and the federal government or any department or agency thereof to the extent permitted by law; or 
(C) A project proponent and any of its contractors or subcontractors. 
(21) “Paving” means creating a cover consisting of portland cement, asphalt concrete, or chip seal. 
(22) “Project Boundaries” means the right-of-way and any construction easements adjacent to and necessary for the purposes of a specific road construction project or maintenance activity. 
(23) “Property” means any real property including, but not limited to, any contiguous parcel or parcels of land and anything attached to, or erected on it. 
(24) “Quarrying” means the act of obtaining stone from the earth by means of cutting, digging, excavating, or blasting and includes processes used to convert the excavated material into commercial products. 
(25) “Registered geologist” means an individual that is currently licensed as a geologist with the State of California, Department of Consumer Affairs, Board of Geology and Geophysicists. 
(26) “Remote location” means any location that is at least one (1.0) mile from the location of a receptor. “Receptor” includes, but is not limited to, any hospital, school, day care center, work site, business, residence, and permanent campground. The distance to the nearest receptor is to be measured from the outermost limit of the area to be disturbed or road surface, whichever is closer. 
(27) “Road Construction and Maintenance” means the activities undertaken to build roads, highways, railroads, bridges, culverts, drains and other works incidental to road or highway construction, and maintenance activities that involve grading or excavation. Road Construction and Maintenance does not include the construction of rest stops, maintenance buildings, or parking lots. These excluded activities are subject to the requirements of subsection (e). 
(28) “Road surface” means the traveled way of a road and any shoulder which may extend up ten (10) feet from the edge of the traveled way. 
(29) “Sand and Gravel Operation” means any facility operating in alluvial deposits. 
(30) “Serpentine” means any form of the following hydrous magnesium silicate minerals: antigorite, lizardite, and chrysotile. 
(31) “Serpentinite” means a rock consisting almost entirely of serpentine, although small amounts of other minerals such as magnetite, chromite, talc, brucite, and tremolite-actinolite may also be present. “Serpentinite” is a metamorphic derivative of the ultramafic rocks, peridotite, pyroxenite, or dunite. 
(32) “Surface mining” means all, or any part of, the process involved in the mining of minerals on mined lands by removing overburden and mining directly from the mineral deposit, open-pit mining of minerals naturally exposed, mining by the auger method, dredging and quarrying, or surface work incident to an underground mine. “Surface mining” includes, but is not limited to, in place distillation or retorting or leaching, the production and disposal of mining waste, prospecting and exploratory activities or any activity subject to regulation under the Surface Mining and Reclamation Act of 1975, Public Resources Code section 2700 et seq. 
(33) “Ultrabasic rock” means ultramafic rock. 
(34) “Ultramafic rock” means an igneous rock composed of 90 percent or greater of one or a combination of the following iron/magnesium-rich, dark-colored silicate minerals: olivine, pyroxene, or more rarely amphibole. For the purposes of this section, “ultramafic rock” includes the following rock types: dunite, pyroxenite, and peridotite; and their metamorphic derivatives. 
(35) “Visible emissions” means any particulate matter that is visually detectable without the aid of instruments other than corrective lenses. 

Appendix A

California Department of Conservation 
Division of Mines and Geology 

AVAILABLE GEOLOGIC MAPS FOR CALIFORNIA 
GEOLOGIC ATLASES OF CALIFORNIA Scale 1:250,000 

	GEOLOGIC ATLAS OF CALIFORNIA: ALTURAS 
	Compiled by Gay, T.E. and others, 1958 

	GEOLOGIC ATLAS OF CALIFORNIA: BAKERSFIELD 
	Compiled by Smith, A.R., 1964 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: DEATH VALLEY 
	Compiled by Streitz, R.L. and Stinson, M.C., 1974 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: FRESNO 
	Compiled by Matthews, R.A. and Burnett, J.L., 1965 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: KINGMAN 
	Compiled by Jennings, C.W., 1961 

	GEOLOGIC ATLAS OF CALIFORNIA: LONG BEACH 
	Compiled by Jennings, C.W., 1962 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: LOS ANGELES 
	Compiled by Jennings, C.W. and Strand, R.G., 1969 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: MARIPOSA 
	Compiled by Strand, R.G., 1967 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: NEEDLES 
	Compiled by Bishop, C.C., 1963 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: REDDING 
	Compiled by Strand, R.G., 1962 

	GEOLOGIC ATLAS OF CALIFORNIA: SALTON SEA 
	Compiled by Jennings, C.W., 1967 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SAN LUIS OBISPO 
	Compiled by Jennings, C.W., 1958 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SAN DIEGO -- EL CENTRO 
	Compiled by Strand, R.G., 1962 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SANTA ANA 
	Compiled by Rogers, T.H., (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SANTA CRUZ 
	Compiled by Jennings, C.W. and Strand, R.G., 1958 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SANTA MARIA 
	Compiled by Jennings, C.W., 1959 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: TRONA 
	Compiled by Jennings, C.W., 1962 

	GEOLOGIC ATLAS OF CALIFORNIA: UKIAH 
	Compiled by Jennings, C.W. and Strand, R.G., 1960 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: WALKER LAKE 
	Compiled by Koenig, J.B., 1963 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: WESTWOOD 
	Compiled by Lyndon, P.A. and others, 1960 
REGIONAL GEOLOGIC MAP SERIES Scale 1:250,000 

	GEOLOGIC MAP OF THE CHICO QUADRANGLE 
	(set of five sheets)
	By Saucedo, G.J. and Wagner, D.L., 1992 

	GEOLOGIC MAP OF THE SACRAMENTO QUADRANGLE 
	(set of four sheets) 
	Compiled by Wagner, D.L. and others, 1981 

	GEOLOGIC MAP OF THE SANTA ROSA QUADRANGLE 
	(set of five sheets) 
	Compiled by Wagner, D.L. and Bortugno, E.J. (reprinted 1999) 

	GEOLOGIC MAP OF THE SAN BERNARDINO QUADRANGLE (set of five sheets) 
	Compiled by Bortugno, E.J. and Spittler, T.E. (reprinted 1998) 

	GEOLOGIC MAP OF THE WEED QUADRANGLE 
	(set of four sheets) 
	By Wagner, D.L. and Saucedo, G.J., 1987 

	GEOLOGIC MAP OF THE SAN FRANCISCO-SAN JOSE QUADRANGLE 
	(set of five sheets) 
	By Wagner, D.L., Bortugno, E.J. and McJunkin, R.D., 1990 
	Color-coded faults 

LOCAL GEOLOGIC MAPS 

	AREAS MORE LIKELY TO CONTAIN NATURALLY-OCCURRING ASBESTOS IN WESTERN EL DORADO COUNTY, CALIFORNIA
	By Ron Churchill, March 2000 
	Scale 1:100,000 

	SERPINTINITE SURVEY OF LAKE COUNTY, CALIFORNIA - MAP A, ULTRAMAFIC, ULTRABASIC, AND SERPENTINE ROCK AND SOILS OF LAKE COUNTY, 
	Adopted: March 2, 1992 
	Scale: 1:100,000  
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 7-22-2002; operative 7-22-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 30).
2. Change without regulatory effect amending subsection (a)(1) filed 10-8-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 41).
§93106. Asbestos Airborne Toxic Control Measure for Surfacing Applications.
Note     •     History

(a) Effective Date. No later than November 13, 2001, each air pollution control and air quality management district must: 
(1) Implement and enforce the requirements of this section, or 
(2) Propose their own asbestos airborne toxic control measure as provided in Health and Safety Code section 39666(d). 
(b) Applicability. 
This section shall apply to any person who produces, sells, supplies, offers for sale or supply, uses, applies, or transports any of the following materials: 
(1) Aggregate material extracted from property where any portion of the property is located in a geographic ultramafic rock unit (as defined in subsection (i)(9)); or 
(2) Aggregate material extracted from property that is NOT located in a geographic ultramafic rock unit (as defined in subsection (i)(9)) if the material has been: 
(A) Evaluated at the request of the Air Pollution Control Officer (APCO) and determined to be ultramafic rock or serpentine; 
(B) Tested at the request of the APCO and determined to have an asbestos content of 0.25 percent or greater, as determined using an approved asbestos bulk test method; or 
(C) Determined by the owner/operator of a facility to be ultramafic rock, or serpentine, or material that has an asbestos content of 0.25 percent or greater. 
(3) Any mixture of aggregate material that contains ten percent (10%) or more of any of the materials listed above in subsection (b)(1) or (b)(2). 
(c) Prohibition On the Use, Sale, and Supply of Restricted Aggregate Material. 
Unless one of the exemptions in subsection (f) applies, no person shall use, apply, sell, supply, or offer for sale or supply any restricted material (as defined in subdivision (i)(20)) for surfacing, unless it has been tested using an approved asbestos bulk test method and determined to have an asbestos content that is less than 0.25 percent. 
(d) Requirements to Provide Notice with Restricted Material. 
(1) Requirements for Producers of Restricted Material for Surfacing Applications: Any producer who sells, supplies, or offers for sale or supply restricted material for surfacing that has been tested using an approved asbestos bulk test method and determined to have an asbestos content that is less than 0.25 percent must provide to the recipient of the restricted material a written receipt that contains the following information: 
(A) The amount of restricted material that was sold or supplied; 
(B) The date that the restricted material was sold or supplied; 
(C) The dates that the restricted material was sampled and tested, or verification that the material is exempt under subsection (f)(7); and 
(D) A statement that the asbestos content of the restricted material is less than 0.25 percent. 
(2) Requirements for Persons -- Other than Producers -- Who Sell or Supply Restricted Material for Surfacing Applications: Any person, other than a producer, who sells, supplies, or offers for sale or supply restricted material for surfacing must provide to the recipient of the material a written receipt which specifies the following information: 
(A) The amount of restricted material that was sold or supplied; 
(B) The date that the restricted material was sold or supplied; and 
(C) A statement that the asbestos content of the restricted material is less than 0.25 percent. 
(3) Requirements for the Sale or Supply of Restricted Materials for Non-Surfacing Applications: Any person who sells, supplies, or offers for sale or supply restricted material for non-surfacing applications must provide with each sale or supply a written receipt containing the following statement: 

“WARNING! 

This material may contain asbestos. 

	It is unlawful to use this material for surfacing or any 
	application in which it would remain exposed and subject 
	to possible disturbances. 

	Extreme care should be taken when handling this 
	material to minimize the generation of dust.” 
(e) Recordkeeping and Reporting Requirements. 
(1) Recordkeeping Requirements for Persons Who Use Restricted Material for Surfacing: Any person who uses or applies restricted material for surfacing must retain any written receipt or other record verifying that the material has an asbestos content of less than 0.25 percent for a minimum period of seven years from the date of use or application. 
(2) Recordkeeping Requirements for Persons Who Transport Restricted Material: Any person who transports restricted material must maintain a copy of all receipts or records required by subsection (d) with the material at all times during transit and application. 
(3) Recordkeeping Requirements for Persons Who Sell or Supply Restricted Material: Any person who sells, supplies, or offers restricted material for sale or supply must retain copies of all receipts or records required by subsection (d) for a minimum period of seven years from the date of sale or supply. 
(4) Reporting Requirements for Persons Who Use, Sell, or Supply Restricted Material: Any person who uses restricted material for surfacing, sells, supplies, or offers restricted material for sale or supply must provide receipts and test results to the APCO for review upon request. 
(f) Exemptions. 
(1) Sand and Gravel Operations: The requirements of subsections (c), (d), and (e) shall not apply to aggregate material extracted from a sand and gravel operation. A “sand and gravel operation” means any aggregate-producing facility operating in alluvial deposits. 
(2) Roads Located at Quarries or Mines: The requirements of subsection (c) shall not apply to roads at quarries or mines that are located in a geographic ultramafic rock unit, an ultramafic rock deposit, or a serpentine deposit, provided that the aggregate material was obtained on site from the quarry or mine property. 
(3) Maintenance Operations on Existing Roads: The requirements of subsections (c), (d), and (e) shall not apply to maintenance operations on any existing road surface if no additional restricted material is applied to the road surface. 
(4) Emergency Road Repairs: The APCO may issue a temporary exemption from the requirements of subsections (c), (d), and (e) to an applicant who demonstrates that a road repair is necessary due to a landslide, flood, or other emergency, and that the use of aggregate material other than restricted material is not feasible for this repair. The APCO shall specify the time during which such exemption shall be effective; however, no exemption shall remain in effect longer than 90 days. 
(5) Asphalt and Concrete Materials: The requirements of subsections (c), (d), and (e) shall not apply to restricted material that is an integral part of the production of asphalt concrete, portland cement concrete or other similarly cemented materials; or construction of an asphalt or a portland cement concrete surface as long as all of the restricted material is incorporated into or completely covered by the asphalt or portland cement concrete. 
(6) Landfill Operations: The use and application requirements of subsection (c) shall not apply to landfill operations, except for the surfacing of public-access roads used by vehicular traffic. 
(7) Geologic Evaluation: The APCO may provide an exemption from subsections (c), (d), and (e) for aggregate material extracted from within a geographic ultramafic rock unit if a registered geologist has conducted a geologic evaluation of the property from which the aggregate material is obtained and determined that serpentine or ultramafic rock is not likely to be found on the property. Before an exemption can be granted, the owner/operator must provide a copy of a report detailing the geologic evaluation to the APCO for his or her consideration. 
(A) At a minimum, the geologic evaluation must include: 
1. A general description of the property and the proposed use; 
2. A detailed site characterization, which may include: 
i. A physical site inspection; 
ii. Offsite geologic evaluation of adjacent property; 
iii. Evaluation of existing geological maps and studies of the site and surrounding area; 
iv. Development of geologic maps of the site and vicinity; 
v. Identification and description of geologic units, rock and soil types, and features that could be related to the presence of ultramafic rocks, serpentine, or asbestos mineralization; 
vi. A subsurface investigation to evaluate the nature and extent of geologic materials in the subsurface where extensive vertical excavation is planned; methods of subsurface investigation may include, but are not limited to borings, test pits, trenching, and geophysical surveys; 
3. A classification of rock types found must conform to the nomenclature based on the International Union of Geological Science system; 
4. A description of the sampling procedures used; 
5. A description of the analytical procedures used, which may include mineralogical analyses, petrographic analyses, chemical analyses, or analyses for asbestos content; 
6. An archive of collected rock samples for third party examination; and 
7. A geologic evaluation report documenting observations, methods, data, and findings; the format and content of the report should follow the Guidelines for Engineering Geologic Reports issued by the State Board of Registration for Geologists and Geophysicists. 
(B) The APCO shall respond to a request for an exemption within 90 days of the receipt of the application. 
(C) If the request for an exemption is denied, the APCO shall provide written reasons for the denial. 
(D) Expiration of the Geologic Exemption: If the owner/operator discovers any ultramafic rock or serpentine on the property after the exemption is granted, then: 
1. The owner/operator must comply with the requirements of subsections (c), (d), and (e) immediately following the discovery; and 
2. The owner/operator must report the discovery of ultramafic rock or serpentine to the APCO within 24 hours; and 
3. The exemption under subsection (f)(7) shall expire and cease to be effective. 
(8) Limited Access Surfaces: The APCO may provide an exemption from the requirements of subsection (c) for the use of restricted material on limited access surfaces, if the owner/operator can demonstrate that: 
(A) No alternative aggregate materials are reasonably available; and 
(B) The surface is not located in an area zoned or identified in a land use plan for residential, recreational, or commercial use. 
(C) The APCO shall respond to a request for an exemption within 90 days of the receipt of the application. 
(D) If the request for an exemption is denied, the APCO shall provide written reasons for the denial. 
“Limited access surface” means any surface not subject to vehicular travel or pedestrian access that has an incline of twenty (20) percent or greater. 
(9) Surfacing Applications in Remote Locations: 
(A) The APCO may provide an exemption from the requirements of subsection (c) if the owner/operator can demonstrate that: 
1. The surface is located in a remote location (as defined in subsection (i)(19)); and 
2. No alternative aggregate materials are reasonably available; and 
3. All aggregate material used for surfacing has been tested according to an approved asbestos bulk test method and determined to have an asbestos content of one (1.0) percent or less; except that the APCO may allow the use of restricted material with an asbestos content up to five (5.0) percent if the owner/operator can demonstrate that restricted material with an asbestos content of one (1.0) percent or less is not reasonably available. 
(B) Before providing this exemption, the APCO shall: 
1. Consider the following information: county land use plans, the current use of the surrounding land, and the current and anticipated zoning designations; 
2. Provide public notice and solicit comments for a 30-day period; 
3. Require that any surface exempted pursuant to this subsection be posted with a permanent sign alerting the public to potential asbestos exposures; and 
4. Require that any exemption shall be valid for no longer than three years; but if the owner/operator cannot demonstrate that all the criteria listed in subdivision (f)(9)(A) are met at the time of reapplication, the exemption shall not be renewed. 
(C) The APCO may grant an exemption when the distance from the road or other surface to the nearest receptor is less than one mile if ALL of the following criteria are met: 
1. The criteria listed above in subsections (f)(9)(A)2. and 3., and subsection (f)(9)(B) must be met: 
2. Any receptor located within one mile from the road or other surface must NOT be any of the following: 
i. A permanent resident (i.e., a person that resides at the receptor point for six months or more in a year), or 
ii. A permanent business (i.e., business that operates at the receptor point for six months or more in a year), or 
iii. A school or daycare center; 
3. The road or other surface must be located on private property; 
4. The entrance points to the road or other surface from any public thoroughfare must be gated and posted with a sign as required in subsection (f)(9)(B)3.; 
5. The applicant for the exemption must provide to the APCO an estimate of the average traffic volume on the road or other surface and the methodology used to make the estimate; and 
6. Whenever the traffic volume exceeds or is anticipated to exceed 20 vehicle passes per day, the owner/operator must; 
i. Treat the road or other surface with a dust control method that is at least 70 percent effective; and 
ii. Maintain records of the application and type of the dust control method for a minimum period of seven years; and 
iii. Provide the records of the applications of the dust control method to the APCO upon request. 
(D) The APCO shall respond to any application for an exemption within 90 days of the receipt of the application. 
(E) If the request for an exemption is denied, the APCO shall provide written reasons for the denial. 
(10) Roads Located at Construction Sites: The requirements of subsections (c), (d), and (e) shall not apply to restricted material used for the construction of temporary road surfaces located at on-going construction sites where vehicle traffic is limited to construction personnel and equipment. This exemption does not apply to the use of restricted material for temporary roads for public use. 
(11) Riprap: The requirements of subsection (c) (d), and (e) shall not apply to restricted material used for riprap. “Riprap” means the material used to construct a loose assemblage of stones along a water course or shoreline to prevent erosion or provide stability. 
(g) Requirements to Perform a Geologic Evaluation or Asbestos Testing. 
Pursuant to the requirements of Health and Safety Code section 41511, the APCO or the Executive Officer of the ARB may require an owner/operator to perform: 
(1) A geologic evaluation for the presence of ultramafic rock or serpentine on any property from which aggregate material is extracted; or 
(2) Testing for the asbestos content of any aggregate material sold, supplied, offered for sale or supply, or used for surfacing. 
(h) Applicable Test Methods. 
(1) Ultramafic Rock: The ultramafic rock composition of any material shall be determined using a standard analysis technique including, but not limited to, color index assessment, microscopic examination, petrographic analysis or rock thin sections, or chemical analysis techniques, such as X-ray fluorescence spectrometry or inductively coupled plasma analysis. 
(2) Asbestos Testing: ARB Test Method 435 or an alternative asbestos bulk test method approved in writing by the Executive Officer of the Air Resources Board shall be used to determine compliance with this section. For the purposes of determining compliance with this section, references in ARB Test Method 435 to “serpentine aggregate” shall mean “aggregate material.” 
(3) Averaging of Test Results: If ARB Test Method 435 or an alternative approved asbestos bulk test method has been used to perform two or more tests on any one volume of aggregate material, whether by the same or a different person, the arithmetic average of these test results shall be used to determine the asbestos content of the aggregate material. 
(4) Sampling Frequency: For the purposes of this section, the sampling frequency required for determining the asbestos content of any aggregate material shall be no less than one composite sample per 1000 tons of aggregate material processed, as specified in ARB Test Method 435, unless the APCO approves an alternative sampling frequency as follows: 
(A) The APCO may approve an alternative sampling frequency after reviewing and verifying the authenticity of the following information, which shall be provided by the owner/operator of the quarry: 
1. An established history of analytical test results demonstrating that no aggregate material sampled and tested in accordance with an approved asbestos bulk test method had an asbestos content that was 0.25 percent or greater; 
2. The established history of analytical test results must include: 
i. Test results from ten percent of the expected total yield over the life of the quarry, as stated in any permit issued pursuant to the California Surface Mining and Reclamation Act, Public Resources Code, Division 2, Chapter 9, Section 2710 et seq.; or 
ii. Test results that cover at least two years of production of surfacing material; this production amount must be verified with sales receipts and testing results as required in subsection (e)(3); 
3. A geologic evaluation of the quarry that has been conducted in accordance with the provisions in subsection (f)(7); 
4. Any permits issued pursuant to the California Surface Mining and Reclamation Act, Public Resources Code, Division 2, Chapter 9, Section 2710 et seq.; 
5. Sales receipts retained by the quarry pursuant to subsections (d) and (e)(3). 
(B) The APCO shall not approve any alternate sampling frequency that requires less than one test per 100,000 tons of aggregate material processed for surfacing. 
(C) If any of the aggregate material tested is determined to have an asbestos content of 0.25 percent or greater using an alternative sampling frequency approved by the APCO, the owner/operator must: 
1. Resume the sampling frequency specified in ARB Test Method 435 immediately after receiving the test results; and 
2. Report the detection of asbestos and provide a copy of the analytical test results to the APCO within 48 hours after receiving the test results. 
(i) Definitions. For the purposes of this section, the following definitions shall apply: 
(1) “Aggregate” means a mixture of mineral fragments, sand, gravel, cobbles, rocks, stones, or similar minerals that may or may not be crushed or screened. “Aggregate” does not include elemental metals, gemstones, petroleum products, organic materials, or mineral ore to be processed offsite of the property from which it was extracted. 
(2) “Alluvial deposit” means any deposit of sediments laid down by running water including, but not limited to, streams and rivers. 
(3) “APCO” means the executive officer, air pollution control officer; or the designee of the executive officer or air pollution control officer of any air pollution control or air quality management district created or continued in existence pursuant to Part 3 (commencing with section 40000), Division 26, Health and Safety Code; 
(4) “Approved asbestos bulk test method” means ARB Test Method 435 or an alternative asbestos bulk test method approved in writing by the Executive Officer of the Air Resources Board. 
(5) “ARB” means the California Air Resources Board. 
(6) “ARB Test Method 435” means the test method specified in title 17, California Code of Regulations, section 94147. 
(7) “Asbestos” means asbestiforms of the following minerals: chrysotile (fibrous serpentine), crocidolite (fibrous riebeckite), amosite (fibrous cummingtonite--grunerite), fibrous tremolite, fibrous actinolite, and fibrous anthophyllite. 
(8) “Decoration/landscaping” means the application or use of aggregate materials for aesthetic purposes. 
(9) “Geographic ultramafic rock unit” means a geographic area that is designated as an ultramafic rock unit or ultrabasic rock unit, including the unit boundary line, on any of the maps referenced in Appendix A. 
(10) “Geologic evaluation” means an evaluation of a property, as specified in subsection (f)(7), to determine the presence of various rock types, including ultramafic rock, serpentinite, or other metamorphic derivatives of ultramafic rock. 
(11) “Limited access surface” means any surface not subject to vehicular travel or pedestrian access that has an incline greater than twenty (20) percent. 
(12) “Non-surfacing applications” means any application of aggregate material that will not remain a part of the uppermost layer, such as fill, base rock, or drain rock. 
(13) “Owner/operator” or “person” includes, but is not limited to: 
(A) An individual, trust, firm, joint stock company, business concern, partnership, limited liability company, association, or corporation including, but not limited to, a government corporation; 
(B) Any city, county, district, commission, the state or any department, agency, or political subdivision thereof, any interstate body, and the federal government or any department or agency thereof to the extent permitted by law; or 
(C) A project proponent and any of its contractors or subcontractors. 
(14) “Producer” means any person that extracts and processes aggregate material from the ground. 
(15) “Property” means any real property including, but not limited to, any contiguous parcel or parcels of land and anything attached to, or erected on it. 
(16) “Quarry” means a facility or operation that obtains stone from the earth by means of cutting, digging, excavating, or blasting. 
(17) “Receipt” means any written acknowledgement that a specified amount of restricted material was received, delivered, or purchased. Receipts include, but are not limited to, bills of sale, bills of lading, and notices of transfer. 
(18) “Registered geologist” means an individual that is currently licensed as a geologist with the State of California, Department of Consumer Affairs, Board of Geology and Geophysicists. 
(19) “Remote location” means any location that is at least one (1.0) mile from the location of a receptor. “Receptor” includes, but is not limited to, any hospital, school, day care center, work site, business, residence, and permanent campground. The distance to the nearest receptor is to be measured from the outermost limit of the area to be disturbed or road surface, whichever is closer. 
(20) “Restricted material” means any of the following: 
(A) Aggregate material extracted from property where any portion of the property is located in a geographic ultramafic rock unit (as defined in subsection (i)(9)); and 
(B) Aggregate material extracted from property that is NOT located in a geographic ultramafic rock unit (as defined in subsection (i)(9)) if the material has been: 
1. Evaluated at the request of the Air Pollution Control Officer (APCO) and determined to be ultramafic rock or serpentine; 
2. Tested at the request of the APCO and determined to have an asbestos content of 0.25 percent or greater; or 
3. Determined by the owner/operator of a facility to be ultramafic rock, serpentine, or aggregate material that has an asbestos content of 0.25 percent or greater. 
(C) Any mixture of aggregate material that contains ten percent (10%) or more of any of the materials listed above in subsections (i)(20)(A) or (i)(20)(B), or any combination thereof, shall also be considered “restricted material.” 
(21) “Riprap” means material used to construct a loose assemblage of stones along a water course or shoreline to prevent erosion or provide stability. 
(22) “Road surface” means the traveled way of a road and any shoulder which extends up to ten (10) feet from the edge of the traveled way. 
(23) “Sand and gravel operation” means any aggregate-producing facility operating in alluvial deposits. 
(24) “Serpentine” means any form of the following hydrous magnesium silicate minerals: antigorite, lizardite, and chrysotile. 
(25) “Serpentinite” means a rock consisting almost entirely of serpentine, although small amounts of other minerals such as magnetite, chromite, talc, brucite, and tremolite-actinolite may also be present. “Serpentinite” is a metamorphic derivative of the ultramafic rocks, peridotite, pyroxenite, or dunite. 
(26) “Surfacing” means the act of providing or creating a temporary or permanent covering for a surface used for pedestrians, motor vehicles, non-motor vehicles, decoration, landscaping, soil stabilization, or erosion control. Examples of surfaces include, but are not limited to, roads, road shoulders, streets, access roads, alleys, lanes, driveways, parking lots, playgrounds, trails, squares, plazas, and fairgrounds. For the purposes of this section, “surfacing” does not include creating a covering composed of asphalt concrete or portland cement concrete. 
(27) “Ultrabasic rock” means ultramafic rock. 
(28) “Ultramafic rock” means an igneous rock composed of 90 percent or greater of one or a combination of the following iron/magnesium-rich, dark-colored silicate minerals: olivine, pyroxene, or more rarely amphibole. For the purposes of this section, “ultramafic rock” includes the following rock types: dunite, pyroxenite, and peridotite; and their metamorphic derivatives. 

Appendix A  California Department of Conservation  Division of Mines and Geology

AVAILABLE GEOLOGIC MAPS FOR CALIFORNIA 

GEOLOGIC ATLASES OF CALIFORNIA Scale 1:250,000 

	GEOLOGIC ATLAS OF CALIFORNIA: ALTURAS 
	Compiled by Gay, T.E. and others, 1958 

	GEOLOGIC ATLAS OF CALIFORNIA: BAKERSFIELD 
	Compiled by Smith, A.R., 1964 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: DEATH VALLEY 
	Compiled by Streitz, R.L. and Stinson, M.C., 1974 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: FRESNO 
	Compiled by Matthews, R.A. and Burnett, J.L, 1965 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: LONG BEACH 
	Compiled by Jennings, C.W., 1962 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: LOS ANGELES 
	Compiled by Jennings, C.W. and Strand, R.G., 1969 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: MARIPOSA 
	Compiled by Strand, R.G., 1967 (reprinted 1991) 

	GEOLOGIC ATLAS OF CALIFORNIA: NEEDLES 
	Compiled by Bishop, C.C., 1963 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: REDDING 
	Compiled by Strand, R.G., 1962 

	GEOLOGIC ATLAS OF CALIFORNIA: SALTON SEA 
	Compiled by Jennings, C.W., 1967 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SAN LUIS OBISPO 
	Compiled by Jennings, C.W., 1958 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SAN DIEGO - EL CENTRO
	Compiled by Strand, R.G., 1962 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SANTA ANA 
	Compiled by Rogers, T.H., (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SANTA CRUZ 
	Compiled by Jennings, C.W. and Strand, R.G., 1958 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: SANTA MARIA 
	Compiled by Jennings, C.W., 1959 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: UKIAH 
	Compiled by Jennings, C.W. and Strand, R.G., 1960 (reprinted 1992) 

	GEOLOGIC ATLAS OF CALIFORNIA: WALKER LAKE 
	Compiled by Koenig, J.B., 1963 (reprinted 1992) 

REGIONAL GEOLOGIC MAP SERIES Scale 1:250,000 

	GEOLOGIC MAP OF THE SACRAMENTO QUADRANGLE 
	(set of four sheets) 
	Compiled by Wagner, D.L. and others, 1981 

	GEOLOGIC MAP OF THE SANTA ROSA QUADRANGLE 
	(set of five sheets) 
	Compiled by Wagner and D.L., Bortugno, E.J. (reprinted 1999) 

	GEOLOGIC MAP OF THE SAN BERNARDINO QUADRANGLE
	(set of five sheets) 
	Compiled by Bortugno, E.J., and Spittler, T.E. (reprinted 1998) 

	GEOLOGIC MAP OF THE WEED QUADRANGLE 
	(set of four sheets) 
	By Wagner, D.L. and Saucedo, G.J., 1987 

	GEOLOGIC MAP OF THE SAN FRANCISCO-SAN JOSE QUADRANGLE 
	(set of five sheets) 
	By Wagner, D.L., Bortugno, E.J. and McJunkin, R.D., 1990 
	Color-coded faults 

LOCAL GEOLOGIC MAPS 

	AREAS MORE LIKELY TO CONTAIN NATURALLY-OCCURRING ASBESTOS IN WESTERN EL DORADO COUNTY, CALIFORNIA 
	By Ron Churchill, March 2000 
	Scale 1:100,000 

	SERPINTINITE SURVEY OF LAKE COUNTY, CALIFORNIA - MAP A, ULTRAMAFIC, ULTRABASIC, AND SERPENTINE ROCK AND SOILS OF LAKE COUNTY, 
	Adopted: March 2, 1992 
	Scale: 1:100,000 
NOTE

Authority cited: Sections 39600, 39601, 39650 and 39666, Health and Safety Code. Reference: Sections 39650 and 39666, Health and Safety Code.
HISTORY

1. New section filed 6-19-91; operative 7-19-91 (Register 91, No. 38).
2. Change without regulatory effect amending subsection (b) filed 10-11-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 41).
3. Amendment of section heading and section and new Appendix A filed 7-16-2001; operative 7-16-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 29).
§93107. Airborne Toxic Control Measure for Emissions of Toxic Metals from Non-Ferrous Metal Melting.
Note     •     History

(a) Definitions.  For the purposes of this section, the following definitions shall apply:
(1) “Aluminum and aluminum-based alloys” means any metal that is at least 80% aluminum by weight.
(2) “ARB Test Method 5” means the test method specified in Title 17, California Code of Regulations, section 94105.
(3) “Clean Aluminum Scrap” means scrap that is composed solely of aluminum or aluminum alloys (including anodized aluminum) and that is free of paints, coatings, rubber, or plastics.
(4) “Copper or copper-based alloy” means any metal that is more than 50 percent copper by weight, including but not limited to brass and bronze.
(5) “District” means the air quality management district or air pollution control district with jurisdiction over the facility.
(6) “Dust forming material” means any material containing more than 15 percent by weight of particulate matter less than 0.84 millimeter (mm) equivalent diameter as determined by ASTM C136-84a “Standard Method for Sieve Analysis of Fine and Coarse Aggregates” using a number 20 U.S. Bureau of Standards sieve with 0.84-mm square openings or an alternate method deemed acceptable by the district Air Pollution Control Officer or Executive Officer.
(7) “Emission collection system” means equipment which is installed for the purpose of directing, taking in, confining, and conveying an air contaminant and which conforms to specifications for design and operation given in Industrial Ventilation, Manual of Recommended Practices, 20th edition, 1988, published by the American Conference of Government and Industrial Hygienists, which is incorporated by reference herein.
(8) “Emission point” means any location where molten metal is or can be exposed to air, including but not limited to, furnaces, crucibles, refining kettles, ladles, tap holes, pouring spouts, and slag channels.  A mold or die in which metal is cooling is not considered an emission point.
(9) “Enclosed storage area” means nay space used to contain materials that has a wall or partition on at least three sides or three-quarters of its circumference and that screens the material stored therein to prevent emissions of the material to the air.
(10) “Facility” means any real or personal property being used for metal melting activities, which is located on one or more contiguous or adjacent parcels of property in actual contact or separated only by a public roadway or other public right-of-way, and owned or operated by the same person or persons, corporation, government agency, public district, public officer, association, joint venture, partnership, or any combination of such entities.
(11) “Fugitive emission control” means any equipment, activity, or process carried out to reduce emissions resulting either from the storage or handling of dust forming materials or material collected by a particulate matter control system or the removal of particulate matter from metal melting or pouring that has settled on the ground or other surfaces, or that has escaped from a properly designed and operated emission collection system.
(12) “Good Operating Practice” means specific activities necessary to maintain the original collection and control efficiencies of the air pollution control equipment as designed.  These activities include but are not limited to verifying operating specifications such as cleaning cycles, air flow, and velocity; and inspecting equipment such as duct work, blowers, and components of the control equipment through a general maintenance and inspection program.
(13) “Hard Lead” means any alloy containing at least 90 percent lead and more than 0.001 percent arsenic by weight or 0.001 percent cadmium weight.
(14) “Molten metal” means metal or metal alloy in a liquid state, in which a cohesive mass of metal will flow under atmospheric pressure and take the shape of a container in which it is placed.
(15) “Metal melting furnace” means any apparatus in which metal in a container is brought to a liquid state, including but not limited to reverberatory, cupola, induction, direct arc furnaces, sweat furnaces, and refining kettles.  “Metal melting furnace” does not include any apparatus in which the metal is heated but does not reach a molten state such as a sintering furnace or an annealing furnace.
(16) “New sand” means any sand not exposed to the casting process.
(17) “Non-ferrous metal” means lead, copper, zinc, cadmium, arsenic, aluminum, and their alloys.
(18) “Particulate matter” or “PM” means any solid material except uncombined water, which exists in a finely divided form at standard conditions of temperature and pressure (293 K and 760 mm mercury).
(19) “Particulate matter control system” means any device or series of devices designed and operated in a manner intended to remove fine particulate matter (< 10 um) from an air or gas stream.
(20) “Person” shall have the same meaning as defined in Health and Safety Code section 39047.
(21) “Process emission control” means any equipment installed and operated to control emissions of toxic metals from any emission point as defined in subsection (a)(8).
(22) “Pure Lead” means any alloy that is at least 90 percent lead and contains no more than 0.001 percent cadmium by weight and 0.001 percent arsenic by weight.
(23) “Ringlemann Chart” means the Ringlemann Chart published in the United States Review of Mine Information Circular No. 1C8333, (May 1967), as specified in Health and Safety Code section 41701(b).
(24) “Scrap” means any metal or metal-containing material that has been discarded or removed from the use for which it was produced or manufactured and which is intended for reprocessing.  “Scrap” does not include sprues, gates, risers, foundry returns, and similar material intended for remelting that has been generated at the facility as a consequence of casting or forming processes but has not been coated or surfaced with any material containing cadmium, arsenic, or nickel.
(25) “Solder” means any metal in which the sum of the lead and the tin is greater than 50 percent by weight and which is used for the purpose of joining two metals or of joining a metal to any other material.
(26) “Type Metal” means any lead-based alloy used for linotype machines.
(b) Requirements
No person shall operate a non-ferrous metal melting furnace unless the facility is in compliance with all the requirements specified in subsections (b)(1) through (b)(3).
(1) Emission Collection System
(A) All emission points shall be equipped with an emission collection system designed and operated according to criteria specified in subsection (a)(7).  The design criteria and operating parameters shall be specified as conditions of the authority to construct and the permit to operate granted by the district to the source for the equipment.
(B) Good operating practices shall be used by the facility, and demonstrated through a maintenance plan or procedures approved by the district, to maintain air movement and emission collection efficiency by the system consistent with the design criteria for the system.  The maintenance plan shall specify at a minimum the following:
(i) Maximum allowable variation from designed values of operating parameters, such as air velocity in the hood and ducts and pressure drop across the control device.
(ii) Areas to be visually inspected such as the clean side of the baghouse and ducts operating under positive pressure, and the required frequency of such inspections.
(iii) Methods of documenting compliance with these requirements such as a log of such inspections and records of observations and measurements.
(2) Process Emission Control
The gas stream from the emission collection system required by subsection (b)(1) shall be ducted to a particulate matter control device meeting the requirements of this section.
(A) The particulate matter control device shall reduce particulate matter emissions by 99 percent or more.
(B) The temperature of the gas stream entering any particulate matter control device that is part of an emission collection system shall not exceed 360 degrees F.  A device to be used for making this measurement shall be maintained at the facility and shall be made available to a district representative upon his or her request.
(C) The owner or operator of the facility shall demonstrate compliance with subsection (b)(2)(A), by conducting an initial source test to verify the 99 percent reduction in particulate matter as determined by means of an emissions test conducted in accordance with ARB Test Method 5.  The district Air Pollution Control Officer or Executive Officer may require additional source testing to verify continued compliance or when the process is changed.  Particulate matter reduction shall be calculated using the following equation:

View Graphic
where:
Mass in = Mass of particulate matter at the
inlet to the control device
Mass out = Mass of particulate matter at the
outlet of the control device
Mass = Sum of filter catch, probe catch,
impinger catch, and solvent extract.
(D) Testing Access 
The owner or operator of any facility subject to subsection (b)(2) of this regulation shall provide access and sampling ports sufficient to perform testing in accordance with ARB Testing Method 5.  Ducts and stacks shall have sampling ports so placed as to satisfy minimum requirement for method 5 testing with regard to flow disturbances, or acceptable alternative requirements as approved by the Air Pollution Control Officer or Executive Officer of the district.
(3) Fugitive Emission Control
(A) No activity associated with metal melting at a facility including furnace operation, casting, emission control system operation, and the storage, handling, or transfer of any materials (except new sand) shall discharge into the air any air contaminant, other than uncombined water vapor, for a period aggregating more than three minutes in any one hour which is:
(i) Half as dark or darker in shade as that designated as Number 1 on the Ringlemann Chart, as published by the United States Bureau of Mines, or 
(ii) Of such opacity as to obscure an observer's view to a degree equal to or greater than smoke as described in subsection (b)(3)(A)(i) or 10% opacity.
(B) Dust-forming material including, but not limited to, dross, ash, or feed material shall be stored in an enclosed storage area or stored in a manner which meets the requirements of subsection (b)(3)(A).
(C) Material collected by a particulate matter control system shall be discharged into closed containers or an enclosed system that is completely sealed to prevent any dust from getting out.
(D) Surfaces that are subject to vehicular or foot traffic shall be vacuumed, wet mopped, or otherwise maintained in accordance with a district-approved maintenance plan.  The plan shall specify, at a minimum: the areas to be cleaned, the method to be used, the required frequency of the cleaning activities, and a method of documenting the completion of the required activities.  The plan shall be designed and carried out in a way which will meet the requirements of subsection (b)(3)(A).
(c) Exemptions
(1) Small Quantity Exemptions.  Facilities are exempt from subsections (b)(1), (b)(2), and (b)(3) if they meet either of the following conditions:
(A) melt a total of no more than one ton per year of all metals, or 
(B) melt no more than the listed quantities of any one of the specific metals listed in Table I.

View Graphic
(i) For facilities melting more than one of the metals listed in Table I, eligibility for exemption shall be determined using the following calculation:
For each metal listed in table I, divide the quantity melted by the specific exemption limit listed.
Sum the resulting fractions for all the metals.
If the sum does not exceed 1.0, the facility qualifies for exemption under subsection (c)(1).
(2) Metal or Alloy Purity Exemption.  Facilities or furnaces which do not melt scrap except clean aluminum scrap and which melt a metal or alloy (other than the metals listed in Table I) which is shown by the facility operator to have a content of no more than 0.004 percent of cadmium and no more than 0.002 percent of arsenic are exempt from subsections (b)(1), (b)(2), and (b)(3).  A facility granted an exemption under subsection (c)(1)(B) may also be granted exemption for all metals that meet the purity limits in this subsection.
(3) Clean Aluminum Scrap Exemption.  Furnaces used exclusively to process clean aluminum scrap or a mixture of clean aluminum scrap and aluminum ingot to produce extrusion billet are exempt from subsections (b)(1) and (b)(2).
(4) Exemption for Aluminum Furnaces.  The combustion chamber in a reverberatory furnace is exempt from the requirements of subsections (b)(1) and (b)(2) if the furnace meets both of the following conditions:
(A) The furnace is used solely to produce aluminum and aluminum-based alloys, and
(B) The furnace is constructed with a charging well or similar device in which feed is added to molten metal in a separate chamber.
(5) Aluminum Pouring Exemption.  Ladles, launders or other equipment used to convey aluminum from a melting or holding furnace to casting equipment is exempt from the requirements of subsections (b)(1) and (b)(2).
(d) Compliance Schedule
(1) Application for exemption from control requirements.  Facilities seeking exemption under subsections (c)(1) or (c)(2) or (c)(3) shall apply and submit evidence of eligibility for exemption to the district no later than six months after the district adopts regulations enacting this control measure.
(2) Emission control requirements.  Facilities subject to this section shall apply to the district for an authority to construct the emission collection system and the air pollution control equipment necessary to comply with subsection (b) no later than 12 months after the district adopts the regulations enacting this control measure.  These facilities shall be in compliance no later than 24 months after the district adopts the regulations enacting this control measure.  These facilities shall be in compliance no later than 24 months after the district adopts the regulations enacting this control measure.
(e) Recordkeeping
(1) Facilities subject to subsection (b) shall maintain on site for a period of two years, and make available to a district representative upon request, a record of:
(A) The results of any source testing required by the district to demonstrate that the particulate matter control device(s) are operating as required by subsection (b)(2)(A).
(2) Facilities seeking exemption under subsections (c)(1) or (c)(2) or (c)(3) shall maintain for two years a record of the amount and type of metal processed in those furnaces including results of analyses as required to support exemption under subsection (c)(2).  These records shall be made available to a representative of the district upon request.
(f) Applicable Material Testing Methods.
One of the following methods or an alternate method deemed acceptable by the district Air Pollution Control Officer or Executive Officer and by the Executive Officer of the Air Resources Board shall be used.
Sampling for these methods shall comply with ASTM E 88-58 (1986), “Standard Practice for Sampling Nonferrous Metals and Alloys in Cast Form for Determination of Chemical Composition”.
(1) To determine the composition of alloys defined in section (a)(1) and to determine the cadmium content of aluminum alloys to evaluate eligibility for exemption under section (c)(2) one of the following shall be used:
(A) ASTM E 227-67 (1982), “Standard Method for Optical Emission Spectrometric Analysis of Aluminum and Aluminum Alloys by the Point-to-Plane Technique”;
(B) ASTM E 607-90, “Standard Test Method for Optical Emission Spectrometric Analysis of Aluminum and Aluminum Alloys by the Point-to-Plane Technique, Nitrogen Atmosphere”; or
(C) ASTM E 1251-88, “Standard Test Method for Optical Emission Spectrometric Analysis of Aluminum and Aluminum Alloys by the Argon Atmosphere, Point-to-Plane, Unipolar Self-Initiating Capacitor Discharge”.
(2) To determine alloy composition as defined in subsections (a)(13) and (a)(22), ASTM E 117-64 (1985), “Standard Test Method for Spectrographic Analysis of Pig Lead by the Point-to-Plane Technique” shall be used.
(3) To determine alloy composition as defined in section (a)(25), ASTM E 46-87, “Test Method for Chemical Analysis of Lead- and Tin-Base Solder” shall be used.
(4) To determine cadmium concentration in zinc and zinc alloys to evaluate eligibility for exemption under section (c)(2), ASTM E 536-84 (1988), “Standard Test Method for Chemical Analysis of Zinc and Zinc Alloys” shall be used.
(5) To determine cadmium concentration in copper and copper-based alloys to evaluate eligibility for exemption under section (c)(2), ASTM E 53-86a, “Standard Test Methods for Chemical Analysis of Copper” shall be used.
(6) To determine arsenic concentration in copper or copper-based alloys to evaluate eligibility for exemption under section (c)(2), ASTM E 62-89, “Standard Test Method for Chemical Analysis of Copper and Copper Alloys” shall be used.
(7) To determine arsenic content in aluminum or zinc (or any other alloy in which determination of arsenic by spectrochemical methods is compromised by interference) to evaluate eligibility for exemption under section (c)(2), EPA method 7061 (Revision 1, December, 1987), “Arsenic (Atomic Absorption, Gaseous Hydride)”, published in U.S.EPA Test Methods for Evaluating Solid Waste Physical and Chemical Methods.  First Update (3rd Edition), January, 1988; EPA/530/SW-846.3-1; PB 89-14876, shall be used in the following manner.
(A) For aluminum alloys, sample digestion shall employ the hydroxide digestion technique given in appendix A to this control measure.
(g) Alternative Compliance Option.
A district may approve an alternative approach to compliance proposed by the facility operator, if the facility operator demonstrates to the satisfaction of the district Executive Officer or Air Pollution Control Officer that the alternative is enforceable, achieves the same or better reductions in emissions and risk, and achieves these reductions within the same time period as required by this airborne toxic control measure.  The alternative approach shall also be consistent with the federal Clean Air Act.  The district shall revoke this approval if the facility operator fails to adequately implement the alternative approach or the alternative approach does not reduce emissions as required.  The district shall notify the state board whenever it proposes to approve an alternative approach to compliance to this airborne toxic control measure.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39655 and 39666, Health and Safety Code.  Reference: Sections 39650 and 39666, Health and Safety Code.
HISTORY

1. New section filed 12-7-93; operative 1-6-94 (Register 93, No. 50).

Appendix A

Digestion of Metal Aluminum Sample for Determining As
1. Introduction:
Metal Aluminum cannot react with nitric acid or concentrated sulfuric acid.  It can dissolve in dilute sulfuric acid or hydrochloric acid.  Active hydrogen, generated during the acid digestion process, will reduce arsenic to AsH3, which will escape from solution, resulting in a low or negative arsenic value.  The proposed method sets up a protocol to dissolve metal alumina without loss of arsenic.
2. Reagent:
3M NaOH, 10% HgSO4 Solution, 30% H2O2
1:1 H2SO4, Concentrated HNO3, Tiling Copper.
3. Procedure:
3.1. Dissolve
3.1.1. Dissolve using NaOH (Method 1).
Weigh 0.5g of metal aluminum sample to a 125 ml Erlenmeyer flask, add 15 ml of 3M NaOH solution, allow to react and dissolve about 20 min.  Again add 10ml of 3M NaOH, continue reaction until no gas bubbles are present and the sample is dissolved completely. 
3.1.2. Dissolve using HgSO4 (Method 2)
Weigh 0.5g of metal Aluminum sample to a 125ml Erlenmeyer flask, add 10ml of 10% HgSO4 solution and 5ml of 30% H2O2.  After 20 min., add appropriate amount of HgSO4.  Allow reaction to continue until no gas bubbles are present.  Add metal copper strips (large surface area) into the sample solution.  After 10 min, withdraw the copper strips and add new copper strips.  Repeat until the surface of copper strips in sample solution do not change to a silver color.  Withdraw all copper strips from sample solution.
3.2. Digestion:
Add 3ml of concentrated HNO3, 5ml of 1:1 H2SO4 into the sample solution obtained from 3.1.1 or 3.1.2.  Heat slowly and evaporate the sample solution until SO3 fumes are present for 5 min.  Cool and dilute the sample to 50.0ml.
Determine As by Atomic Absorption method.
§93108. Ethylene Oxide Airborne Toxic Control Measure--Part 1 - Non-Commercial Sterilizers and Aerators and Commercial Sterilizers and Aerators Using Less Than 2,000 Pounds of Ethylene Oxide per 12 Consecutive Months.
Note     •     History

(a) Definitions. For the purposes of this section, the following definitions shall apply:
(1) “Acute care facility” means any facility currently licensed by the California Department of Health Services as a general acute care hospital (as defined in title 22, CCR, section 70005), or any military hospital.
(2) “Aeration” is the process during which residual ethylene oxide dissipates, whether under forced air flow, natural or mechanically assisted convection, or other means, from previously sterilized materials after the sterilizer cycle is complete.
(3) “Aeration-only facility” means a facility which performs aeration on materials which have been sterilized with ethylene oxide at another facility.
(4) “Aerator” means any equipment or space in which materials previously sterilized with ethylene oxide are placed or remain for the purpose of aeration. An aerator is not any equipment or space in which materials that have previously undergone ethylene oxide sterilization and aeration can be handled, stored, and transported in the same manner as similar materials that have not been sterilized with ethylene oxide.
(5) “Aerator exhaust stream” means all ethylene oxide-contaminated air which is emitted from an aerator.
(6) “Back-draft valve exhaust stream” is the air stream which results from collection of ethylene oxide-contaminated air which may be removed from the sterilizer through a back-draft valve or rear chamber exhaust system during unloading of the sterilized materials.
(7) “Commercial sterilizer” means any facility which as its principal business sterilizes products or equipment manufactured elsewhere, or a facility which sterilizes products or equipment it manufactures. A commercial sterilizer is also a non-medical facility that sterilizes items used in conducting its business.
(8) “Control device” means an article, machine, equipment, or contrivance which reduces the amount of ethylene oxide between its inlet and outlet and which is sized, installed, operated, and maintained according to good engineering practices, as determined by the district.
(9) “Control efficiency” is the ethylene oxide (EtO) mass or concentration reduction efficiency of a control device, as measured with ARB Test Method 431 (title 17, CCR, section 94143) according to the source testing requirements herein, and expressed as a percentage calculated across the control device as follows:
S EtO in - EtO out  x 100 = % Control Efficiency
  S EtO in
(10) “District” means the local air pollution control district or air quality management district.
(11) “Ethylene oxide (EtO)” is the substance identified as a toxic air contaminant by the Air Resources Board in 17 CCR section 93000.
(12) “Facility” means any entity or entities which: own or operate a sterilizer or aerator, are owned or operated by the same person or persons, and are located on the same parcel or contiguous parcels of land.
(13) “Facility-wide pounds of ethylene oxide used per year” is the total pounds of ethylene oxide used in all of the sterilizers at the facility during a one-year period.
(14) “Leak-free” refers to that state which exists when the concentration of sterilant gas measured 1 cm. away from any portion of the exhaust system of a sterilizer or aerator, during conditions of maximum sterilant gas mass flow, is less than:
(A) 30 ppm for sterilant gas composed of 12% ethylene oxide/88% chlorofluorocarbon-12 by weight; and
(B) 10 ppm for other compositions of sterilant gas, as determined by ARB Test Method 21 (title 17, CCR, section 94124) using a portable flame ionization detector or a non-dispersive infrared analyzer, calibrated with methane, or an acceptable alternative method or analytical instrument approved by the district. A chlorofluorocarbon-12 specific audible detector using a metal oxide semi-conductor sensor shall be considered an acceptable alternative for exhaust systems carrying a sterilant gas mixture of ethylene oxide and chlorofluorocarbon-12.
(15) “Local medical emergency” means an unexpected occurrence in the area served by the acute care facility resulting in a sudden increase in the amount of medical treatments which require a significant increase in the operation of a sterilizer or aerator.
(16) “Non-commercial sterilizer” means a facility other than a commercial facility at which ethylene oxide is used for sterilizing or fumigation, or at which aeration occurs.
(17) “Sterilant gas” means ethylene oxide or any combination of ethylene oxide and (an)other gas(es) used in a sterilizer.
(18) “Sterilizer” means any equipment in which ethylene oxide is used as a biocide to destroy bacteria, viruses, fungi, and other unwanted organisms on materials. Equipment in which ethylene oxide is used to fumigate foodstuffs is considered a sterilizer.
(19) “Sterilizer cycle” means the process which begins when ethylene oxide is introduced into the sterilizer, includes the initial purge or evacuation after sterilization and subsequent air, steam or other washes, and ends after evacuation of the final wash.
(20) “Sterilizer door hood exhaust stream” is the air stream which results from collection of fugitive ethylene oxide emissions, by means of an existing hood over the sterilizer door, during the time that the sterilizer door is open after the sterilizer cycle has been completed.
(21) “Sterilizer exhaust stream” is all ethylene oxide-contaminated air which is intentionally removed from the sterilizer during the sterilizer cycle.
(22) “Sterilizer exhaust vacuum pump” means a device used to evacuate the sterilant gas during the sterilizer cycle, including any associated heat exchanger. A sterilizer exhaust vacuum pump is not a device used solely to evacuate a sterilizer prior to the introduction of ethylene oxide.
(b) Applicability. Effective January 28, 1999, any person who owns or operates any non-commercial sterilizer or aerator or any person who owns or operates a commercial sterilizer or an aerator that uses less than 2,000 pounds of EtO per consecutive 12-month period after December 6, 1996, must comply with Part I of this regulation, section 93108.
(c) Notification. Any person subject to this regulation must provide the district with the following information, in writing, within 30 days of the date of district adoption:
(1) the name(s) of the owner and operator of the facility;
(2) the location of the facility;
(3) the number of sterilizers and aerators at the facility; and
(4) an estimate of the total pounds of ethylene oxide and sterilant gas used by the facility, in all sterilizers, during the previous calendar year, as determined by a method approved by the district.
A district may exempt a source from this requirement if the district maintains current equivalent information on the source.
(d) Reporting. Any person who owns or operates a sterilizer shall furnish a written report to the district annually on the date specified by the district, or, at the district's discretion, shall maintain such a report and make it available to the district upon request. Commercial sterilizers shall maintain copies of these reports on site for 5 years. This report shall include one of the following, as determined by the district:
(1) the number of sterilizer cycles and the pounds of ethylene oxide used per cycle for each sterilizer during the reporting period, as determined by a method approved by the district; or
(2) the total pounds of sterilant gas and the total pounds of ethylene oxide purchased, used, and returned in the previous calendar year, as determined by a method approved by the district.
(e) Requirements. No person shall operate a sterilizer or aerator unless all of the following requirements are satisfied:
(1) the exhaust systems and EtO supply system including, but not limited to, any piping, ducting, fittings, valves, or flanges, through which ethylene oxide-contaminated air is conveyed between the sterilizer, aerator and the control device shall be leak-free; 
(2) all of the control requirements shown in Table I below for the applicable control category are met;
(3) the average concentration of ethylene oxide shall not exceed:
(A) 30 mg/ml in any liquid discharge associated with the sterilization cycle; and
(B) 10 mg/ml in any liquid discharge associated with the aeration cycle for those facilities where Table I requires aeration control;

Table I
Control and Compliance Requirements

	Control Category		Requirements

		 (a)	 (b)	 (c)	

	Facility-wide	Exhaust	Exhaust
	Pounds of	Streams	Streams	Control	
	Ethylene Oxide	to be	to be	Efficiency	
	Used Annually	Controlled	Tested	(%)	

	Less than or	None	None	None	
	equal to 25 

	More than 25	Sterilizer	Sterilizer	99.0	
	and less than or
	equal to 600 

	More than 600	Sterilizer	Sterilizer	99.9	
	and less than or	Aerator	Aerator	95.0
	equal to 5,000	Sterilizer/Aerator	Sterilizer/Aerator	99.7
		Back-draft Valve		N/A*

	More than 5,000	Sterilizer	Sterilizer	99.9	
		Aerator	Aerator	99.0
		Sterilizer Door		N/A*
		Hood &
		Back-draft Valve 		N/A*

	Aeration-only	Aerator	Aerator	95.0	
	Facilities

	* Not Applicable
	
(4) for facilities using more than 600 pounds of ethylene oxide per year, the back-draft valve is ducted to the control device used to control the sterilizer exhaust stream or the aerator exhaust stream; and
(5) for facilities using more than 5,000 pounds of ethylene oxide per year, the sterilizer door hood exhaust stream is ducted to the control device used to control the aerator exhaust stream.
(f) Exemptions:
(1) The requirements set forth in subsection (e) above do not apply to any facility which treats materials in a sterilizer and which uses a total of 25 pounds or less of ethylene oxide per calendar year.
(2) The district hearing board may grant an emergency variance from items (a) and (c) in Table I of Part 1 subsection (e), Requirements, to a person who owns or operates an acute care facility if response to a local medical emergency requires increased operation of a sterilizer or aerator such that the requirements cannot be met.
The demonstrated need for such increased operation shall constitute “good cause” pursuant to Health and Safety Code section 42359.5. The emergency variance shall be granted in accordance with this section and any applicable district rule regarding the issuance of emergency variances for such occurrences, including the requirement that the emergency variance shall not remain in effect longer than 30 days; however, the emergency variance shall be granted only for the period of time during which increased operation of a sterilizer or aerator is necessary to respond to the local medical emergency.
(g) Compliance. For the purpose of determining compliance with the control efficiency requirement set forth in column (c) of Table I, subsection (e), if a reduction in the amount of ethylene oxide across the control device is demonstrated, but the control efficiency cannot be affirmatively demonstrated because the concentration of ethylene oxide measured in the outlet of the control device is below 0.2 parts per million ethylene oxide, the facility shall be considered to be in compliance with this requirement.
(h) Source Testing. Source testing shall be conducted according to ARB Test Method 431 (title 17, CCR, section 94143) and the method evaluations cited therein or an acceptable source test method approved by the district with the concurrence of the Executive Officer of the Air Resources Board. Specific requirements for application are given below.
(1) All ethylene oxide emission points shall be sampled during the entire testing period.
(2) If the efficiency is being determined by inlet and outlet sampling, the inlet and outlet of the control device shall be sampled simultaneously during testing.
(3) The efficiency of each control device shall be determined under conditions of maximum ethylene oxide mass flow to the device, under normal operating conditions. To measure the control efficiency of the control device on the sterilizer exhaust stream, sampling shall be done during the entire duration of the first sterilizer evacuation after ethylene oxide has been introduced. To measure the control efficiency of the control device on an aerator exhaust stream with a constant air flow, sampling shall be done during a period of at least 60 minutes, starting 15 minutes after aeration begins. To measure the control efficiency of the control device on an aerator exhaust stream with a non-constant air flow, sampling shall be done during the entire duration of the first aerator evacuation after aeration begins.
(4) There shall be no dilution of the air stream between the inlet and outlet test points during testing.
NOTE

Authority cited: Sections 39600, 39601 and 39666, Health and Safety Code. Reference: Sections 39650, 39656, 39658, 39659, 39665, 39666 and 42359.5, Health and Safety Code; and 40 CFR Part 63 Subpart O.
HISTORY

1. New section filed 4-22-91; operative 5-22-91 (Register 91, No. 21).
2. Amendment of section heading, section and Note filed 1-28-99; operative 1-28-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 5).
§93108.5. Ethylene Oxide Airborne Toxic Control Measure--Part 2 - Commercial Sterilizers and Aerators Using 2,000 Pounds or More of Ethylene Oxide per 12 Consecutive Months.
Note     •     History

(a) Definitions. For the purposes of this section, the definitions set forth in section 93108 (a) shall apply unless otherwise specified below:
(1) “Administrator” means the Administrator of the United States Environmental Protection Agency (or the implementing agency in accordance with any delegation of authority to approve alternatives from the U. S. Environmental Protection Agency).
(2) “Back-draft valve/chamber exhaust stream” is the air stream which results from collection of ethylene oxide-contaminated air which may be removed from the sterilizer through a back-draft valve or rear chamber exhaust system during unloading of the sterilized materials.
(3) “Baseline temperature” means the range of temperatures at the outlet point of a catalytic oxidation control device or at the exhaust point from the combustion chamber for a thermal oxidation control device established during the performance test at which the unit achieves at least 99 percent control of ethylene oxide emissions.
(4) “Manifolding emissions” means combining ethylene oxide emissions from two or more vent types for the purpose of controlling these emissions with a single control device.
(5) “Maximum ethylene glycol concentration” means the concentration of ethylene glycol in the scrubber liquor of an acid-water scrubber control device established during a performance test when the scrubber achieves at least 99 percent control of ethylene oxide emissions.
(6) “Maximum liquor tank level” means the level of scrubber liquor in the acid-water scrubber liquor recirculation tank established during a performance test when the scrubber achieves at least 99 percent control of ethylene oxide emissions.
(7) “Modification” means either (A) any physical change in, method of operation of, or addition to, an existing permit unit that requires an application for a permit to construct and/or operate. Routine maintenance and/or repair shall not be considered a physical change. A change in the method of operation of equipment, unless previously limited by an enforceable permit condition, shall not include:
1. an increase in the production rate, unless such increases will cause the maximum design capacity of the equipment to be exceeded; or
2. an increase in the hours of operation; or,
3. a change in ownership of a source; or,
(B) the addition of any new permit unit at an existing source; or,
(C) the replacement of components if the fixed capital cost of the components exceeds 50 percent of the fixed capital cost that would be required to construct a comparable new source.
(8) “Oxidation temperature” means the temperature at the outlet point of a catalytic oxidation device or at the exhaust point from the combustion chamber for a thermal oxidation device. 
(9) “Parametric monitoring” means monitoring of a specific operating parameter or parameters of a control device established to demonstrate that the control device is operating under conditions that meet a performance standard. 
(b) Applicability. Effective January 28, 1999, any person who owns or operates a commercial sterilizer or an aerator using 2,000 pounds or more of ethylene oxide in any 12 consecutive month period after December 6, 1996, must comply with this section.
(c) Initial Notification. Any person subject to this regulation must provide the following information, in writing, within 30 days after the source becomes subject to the regulation, to the district and the Administrator unless the Administrator has waived this requirement:
(1) The name(s) and address of the owner and operator of the facility;
(2)The location of the facility;
(3) The number of sterilizers and aerators at the facility; 
(4) An estimate of the facility-wide pounds of ethylene oxide used per year;
(5) A brief description of the nature, size, design, design operating capacity, expected control efficiency, and method of operation of the source, and control equipment, including operating design capacity, bypass valves, and an identification of each point of emission; 
(6) Facilities complying with this regulation with a control technology other than acid-water scrubbers or catalytic or thermal oxidizers must provide information describing the design and operation of the air pollution control system including recommendations for the operating parameters to be monitored that will indicate proper operation and maintenance, where the site specific operating, reporting and monitoring parameters will be determined during the performance test;
(7) A statement of whether the source is a major or area source to the Administrator (If the source is a new major source or a major source undergoing modification, it must receive written approval in advance from the Administrator. The source may use the “Application for Construction or Modification” in Appendix 2 to satisfy the initial notification requirements); and
(8) An identification of the relevant standard, or other requirement, that is the basis of the notification and the source's compliance date.
(d) Requirements. No person subjected to these standards shall operate a sterilizer or aerator, unless all of the following requirements are satisfied:
(1) all ethylene oxide released from the sterilizer and aerator shall be controlled to meet the requirements shown in Table I for the applicable control category;

Table I 
Emissions Standards for Commercial Facilities 

	Control Category		Requirements for Ethylene Oxide Sterilizer Facilities
	(Facility-wide 
	Pounds of 
	Ethylene Oxide 	 (a) 	 (b) 	(c) 
	used per 12 	Emission Streams to 	Emission Streams to	 Control Efficiency (%) or 
	consecutive months)	be Controlled	be Tested 	Outlet Concentration 

equal to or greater than 2,000 and less than 5,000 	Sterilizer 	Sterilizer	99.9 
		Aerator 	Aerator	95.0
		Back-draft Valve		* 

		Aeration Only  		 95.0 

equal to or greater than 5,000 and less than 20,000 	Sterilizer 	Sterilizer 	99.9
		Aerator 	Aerator	 99.0 
		Sterilizer Door Hood		*
		& 
		Back-draft Valve 		*
		Aeration Only 		95.0  

Equal to or more than 20,000	Sterilizer 	Sterilizer 	99.9
		Aerator	Aerator	99.0 or
				1 ppm max
		Sterilizer Door Hood		*
		Back-draft Valve 		99.0*
		Aeration Only 		99.0

*Sources may show compliance by manifolding emissions to control device used to comply with sterilizer or aerator requirement.
(2) the exhaust systems and EtO supply including, but not limited to, any piping, ducting, fittings, valves, or flanges, through which ethylene oxide is conveyed to and from the sterilizer, aerator and the control device shall be leak-free; and
(3) Facilities must obtain a title V permit from the Administrator.
(e) Compliance Procedures.
(1) Compliance Testing Notification
The facility shall notify the Administrator 60 days before the date and time of any performance tests and monitoring system evaluations. In the event the source is unable to conduct the test on the date specified in the notification, the source shall notify the Administrator within 5 days prior to the scheduled performance test date. 
(2) Compliance Testing
(A) Source testing conducted for the purpose of demonstrating compliance must be according to ARB Test Method 431 (title 17, CCR, section 94143) and the method evaluations cited therein or an acceptable source test method approved by the district with the concurrence of the Executive Officer of the Air Resources Board, and the Administrator. Before conducting a required source test, the source shall develop a site-specific test program summary, the test schedule, data quality objectives, and both an internal and external quality assurance program.
(B) The following procedures shall be used to determine the monitored parameters for acid-water scrubbers:
1. For determining the ethylene glycol concentration, the facility owner or operator shall establish the maximum ethylene glycol concentration as the ethylene glycol concentration averaged over three test runs; the sampling and analysis procedures in ASTM D 3695-88, Standard Test Method for Volatile Alcohols in Water by Direct Aqueous- Injection Gas Chromatography (1988).
2. For determining the scrubber liquor tank level, the sterilization facility owner or operator shall establish the maximum liquor tank level based on a single measurement of the liquor tank level during one test run.
(C) The following procedures shall be used to demonstrate the baseline temperature for catalytic oxidation units or thermal oxidation units and to continuously monitor the oxidation temperature as required by this measure.
1. The baseline temperature for the sterilization chamber vent shall be the temperature for the catalytic oxidation unit or oxidation temperature at the exhaust point from the thermal oxidation unit averaged over three test runs using the procedures in Test Method 431, and subsection (f)(2)(A).
2. The baseline temperature for the aeration room vent shall be the temperature for the catalytic oxidation unit or the oxidation temperature at the exhaust point from the thermal oxidation unit averaged over three test runs using the procedures in Test Method 431, and subsection (f)(2)(B).
3. The baseline temperature for the chamber exhaust vent shall be the temperature for the catalytic oxidation unit or oxidation temperature at the exhaust point from the thermal oxidation unit averaged over three test runs using the procedures in Test Method 431, and subsection (f)(2)(C).
(D) A facility seeking to demonstrate compliance with the standards with a control device other than an acid-water scrubber or catalytic or thermal oxidation unit shall submit: a description of the device; tests results collected in accordance with the test method cited within or an approved method verifying the performance of the device for controlling ethylene oxide emissions to the levels required by the applicable standards; the appropriate operating parameters that will be monitored; and the frequency of measuring and recording to establish continuous compliance with the standards. The monitoring plan is subject to the Administrator's approval. The owner or operator of the sterilization facility shall install, calibrate, operate, and maintain the monitor(s) approved by the Administrator based on the information submitted by the owner or operator. The owner or operator shall include in the information submitted to the Administrator proposed performance specifications and quality assurance procedures for their monitors.
(E) A facility seeking to demonstrate compliance with the standards with a monitoring device or procedure other than a gas chromatograph shall provide to the Administrator information describing the operation of the monitoring device or procedure and the parameter(s) that would indicate proper operation and maintenance of the device or procedure.
(3) Compliance Testing Report
(A) The facility shall send the district and the Administrator an initial statement of compliance and test results within 60 days following the performance test.
(B) The facility shall submit (before a title V permit is issued) to the Administrator:
1. The methods that were used to determine compliance;
2. The results of any performance tests, continuous monitoring system (CMS) performance evaluations, and/or other monitoring procedures or methods that were conducted;
3. The methods that will be used for determining continuing compliance, including a description of monitoring and reporting requirements and test methods; and
4. A statement by the owner or operator of the affected existing, new, or modified source as to whether the source has complied with the relevant standard or other requirements. 
(f) Monitoring Requirements. The owner or operator of a sterilizer or aerator shall monitor the parameters of the control system specified in this section to show compliance with the provisions of this regulation. If continuous monitoring systems are required, Appendix 1 shall be consulted for their application. All monitoring equipment shall be installed such that representative measurements of emissions or process parameters which affect emissions from the source are obtained. For monitoring equipment purchased from a vendor, verification of the operational status of the monitoring equipment shall include, at a minimum, completion of the manufacturer's written specifications or recommendations for installation, operation, maintenance, and calibration of the system.
(1) For sterilization facilities complying with the emissions standard through the use of an acid-water scrubber, the owner or operator shall either:
(A) Sample the scrubber liquor and analyze and record once per week the ethylene glycol concentration using the test procedures in subsection (e)(2)(B)1. Monitoring is required only if the scrubber unit has been operated during that week; or
(B) Measure and record once per week the level of the scrubber liquor in the recirculation tank. The owner or operator shall install, maintain, calibrate, and use a liquid level indicator to measure the scrubber liquor tank level (i.e., a visible depth gauge, a dipstick, a magnetic indicator, etc.).
(C) Operation of the facility with an ethylene glycol concentration in the scrubber liquor in excess of the maximum liquor tank level shall constitute a violation of the chamber exhaust vent standard for sources using 20,000 pounds or more of ethylene oxide per 12 consecutive months.
(2) For sterilization facilities complying with the emissions standards through the use of catalytic oxidation or thermal oxidation, the owner or operator shall continuously monitor and record the oxidation temperature at the outlet to the catalyst bed or at the exhaust point from the thermal combustion chamber using a temperature monitor. The temperature monitor shall be installed, calibrated, operated, and maintained to an accuracy within ±5.6oC(±10oF). The owner or operator shall verify the accuracy of the temperature monitor twice each calendar year with a reference temperature monitor (traceable to National Institute of Standards and Technology (NIST) standard, or with an independent temperature measurement device dedicated for this purpose). During accuracy checking, the probe of the reference device shall be at the same location as that of the temperature monitor being tested.
For sources using 20,000 pounds or more of ethylene oxide per 12 consecutive months, operation of the facility with the oxidation temperature, averaged over the cycle, more than 5.6oC (10oF) below the baseline temperature shall constitute a violation of the chamber exhaust vent standard.
(A) For the sterilization chamber vent, a data acquisition system for the temperature monitor shall compute and record an average oxidation temperature over the length of the cycle (based on the length of the cycle used during the performance test) and a three-cycle block average every third cycle.
(B) For the aeration room vent, a data acquisition system for the temperature monitor shall compute and record an average oxidation temperature each hour and a 3-hour block average every third hour.
(C) For the back draft valve (chamber exhaust vent), a data acquisition system for the temperature monitor shall compute and record an average oxidation temperature over the length of the cycle (based on the length of the cycle used during the performance test).
(3) For sterilization facilities complying with the emission standards with the use of a control device other than acid-water scrubbers or catalytic or thermal oxidizers, the owner or operator shall monitor the parameters as approved by the Administrator.
(4) For facilities continuously measuring the ethylene oxide concentration from the aeration room (after a control device) or in the sterilization chamber immediately prior to the operation of the chamber exhaust, the owner or operator shall follow either paragraph (A) or (B) of this subsection: 
(A) Measure and record once per hour the ethylene oxide concentration at the outlet to the atmosphere from the aeration room vent after any control device. The owner or operator shall compute and record a 3-hour average every third hour. The owner or operator will install, calibrate, operate, and maintain a gas chromatograph to measure ethylene oxide. The daily calibration requirements are required only on days when ethylene oxide emissions are vented to the control device from the aeration room vent.
(B) Measure and record the ethylene oxide concentration in the sterilization chamber immediately before the chamber exhaust is activated. The owner or operator shall install, calibrate, operate, and maintain a gas chromatograph to measure ethylene oxide concentration. The daily calibration requirements are required only on days when the chamber exhaust is activated.
(5) At facilities using 20,000 pounds or more of ethylene oxide per consecutive 12 months, seeking to comply with the standard by manifolding emissions from the chamber exhaust vent to a control device controlling emissions from another vent type (sterilization chamber vent and/or aeration room vent), shall monitor the control device to which emissions from the chamber exhaust vent are manifolded. 
(g) Recordkeeping. 
(1) The owner or operator of a sterilizer or aerator subject to the emissions standards in subsection (d) Table I shall maintain records of all reports and notifications (including compliance notifications) in a form suitable and readily available for expeditious inspection and review. The files shall be retained for at least 5 years following the date of each occurrence, measurement, maintenance, corrective action, report or record. At a minimum the most recent 2 years of data shall be retained on site. The files shall contain:
(A) The occurrence and duration of each malfunction of the air pollution control equipment;
(B) All required measurements needed to demonstrate compliance with the standard (including, but not limited to, 15-minute averages of CMS data, raw performance testing measurements, and raw performance evaluation measurements, that support data that the source is required to report);
(C) All measurements as may be necessary to determine the conditions of performance tests and performance evaluations; and
(D) Any information demonstrating whether a source is meeting the requirements for a waiver of recordkeeping or reporting requirements.
(2) The source may apply for a waiver of recordkeeping or reporting requirements by submitting a written application to the Administrator. Until the waiver is granted, the source remains subject to the requirements of this section. The application must contain at a minimum:
(A) A request for an extension of compliance (if applicable);
(B) All required compliance progress reports or compliance status reports;
(C) Any excess emissions and CMS performance report; and
(D) Information to convince the administrator that a waiver of recordkeeping or reporting is warranted.
(h) Reporting. Any person who owns or operates a sterilizer shall furnish the following written report to the Administrator and to the district within thirty days after the date specified by the district. 
(1) An annual report that demonstrates that the facility is a major or area source. The report shall contain at a minimum;
(A) the number of sterilizer cycles and the pounds of ethylene oxide used per cycle for each sterilizer during the consecutive 12-month reporting period from the district permit; or 
(B) the total pounds of sterilant gas and the total pounds of ethylene oxide purchased, used, and returned in the consecutive 12-months from the date of the permit.
(2) Facilities shall provide semi-annual compliance reports to the Administrator that contain information on the compliance status of the source. This report should also contain the summary report in Appendix 1, (i). The report shall be signed by the responsible official who shall certify its accuracy.
(i) Construction or Modification. 
The requirements of this section apply to sources subject to the emission standards in Table I. No person may construct or modify a source, without obtaining written approval, in advance, from the district and from the Administrator. For major sources, the application for approval of construction or modification may be used to fulfill the notification requirements. For specific requirements, see Appendix 2. In lieu of complying with requirements in Appendix 2, a facility may fulfill these requirements by complying with the permitting agency's new source review rule or policy, provided similar information is obtained.
NOTE

Authority cited: Sections 39600, 39601 and 39666, Health and Safety Code. Reference: Sections 39650, 39656, 39658, 39659, 39665 and 39666, Health and Safety Code; and 40 CFR, Part 63 Subpart O.
HISTORY

1. New section and appendices 1 and 2 filed 1-28-99; operative 1-28-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 5).

Appendix 1    Requirements for Continuous Monitoring Systems (CMS)
(a) General Requirements
(1) When the effluent from a single source, or when two or more sources are combined before being released to the atmosphere, the owner or operator shall install an applicable CMS on each effluent.
(2) When the effluent from one source is released to the atmosphere through more than one point, the owner or operator shall install an applicable CMS at each emission point unless the installation of fewer systems is approved by the Administrator.
(3) If more than one Continuous Emission Monitoring System (CEMS) is used to measure the emissions from one source, the owner or operator shall report the results as required for each CEMS.
(4) The owner or operator shall record the date and time during which a CMS is malfunctioning or inoperative, except for zero (low level) and high level checks. Also records of all required CMS measurements (including monitoring data recorded during unavoidable CMS breakdowns and out-of-control periods) shall be maintained.
(b) Recordkeeping The owner or operator shall maintain the following records:
(1) All results of performance tests, and CMS performance evaluations;
(2) All CMS calibration checks;
(3) All adjustments and maintenance performed on CMS (including the nature and cause of any malfunction and the corrective action taken or preventive measures adopted); 
(4) For facilities using 20,000 pounds or more of ethylene oxide per 12 month consecutive period, all procedures that are part of a quality control program developed and implemented for CMS;
(5) The specific identification (i.e., the date and time of commencement and completion) of each period of excess emissions and parameter monitoring exceedances, as defined in the standard, that occurs during periods other than startups, shutdowns, and malfunctions of the affected source; and 
(6) The total process operating time during the reporting period.
(c) Additional Reporting The owner or operator shall submit to the Administrator a semiannual summary report. The summary report shall contain, at a minimum, the information in (h) of this subsection. In addition if the duration of excess emissions or process or control system parameter exceedances for the reporting period exceeds 1 percent or the total CMS downtime exceeds 5 percent of the reporting period, an excess emissions and continuous monitoring system performance report shall be submitted semiannually as well. The performance report shall contain, at a minimum, all information required in (h) of this subsection. 
(d) Operation and maintenance of continuous monitoring systems. Each CMS shall be maintained and operated as specified in this subsection, and in a manner consistent with good air pollution control practices.
(1) All CMS shall be installed such that representative measurements of emissions or process parameters are obtained.
(2) All CMS shall be installed, operational, and the data verified either prior to or in conjunction with conducting performance tests. Verification of operational status shall, at a minimum, include completion of the manufacturer's written specifications or recommendations for installation, operation, and calibration of the system.
(e) Quality control program. (Sources using 20,000 pounds or more EtO per 12 consecutive months)
(1) The owner or operator shall develop and implement a CMS quality control program. As part of the quality control program, the owner or operator shall develop and submit upon request by the Administrator, a site-specific performance evaluation test plan for the CMS performance evaluation. In addition, each quality control program shall include, at a minimum, a written protocol that describes procedures for each of the following operations:
(A) Initial and any subsequent calibration of the CMS;
(B) Determination and adjustment of the calibration drift of the CMS;
(C) Preventive maintenance of the CMS, including spare parts inventory;
(D) Data recording, calculations, and reporting;
(E) Accuracy audit procedures, including sampling and analysis methods; and
(F) Program of corrective action for a malfunctioning CMS.
(2) The owner or operator shall keep these written procedures on record for the life of the affected source or until the affected source is no longer subject to the provisions of this section, to be made available for inspection, upon request, by the Administrator. If the performance evaluation plan is revised, the owner or operator shall keep previous (i.e., superseded) versions of the performance evaluation plan on record to be made available for inspection, upon request, by the Administrator, for a period of 5 years after each revision to the plan. 
(f) Performance evaluation of continuous monitoring systems.
(1) If the Administrator requests a performance evaluation, the evaluation shall be conducted according to the applicable specifications and procedures described in this subsection.
(2) Notification of performance evaluation. The owner or operator shall notify the Administrator in writing of the date of the performance evaluation simultaneously with the notification of the performance test date or at least 60 days prior to the date the performance evaluation is scheduled to begin if no performance test is required.
(3) Submission of site-specific performance evaluation test plan. 
(A) Before conducting a required CMS performance evaluation, the owner or operator shall develop and submit a site-specific performance evaluation test plan to the Administrator for approval. The performance evaluation test plan shall include the evaluation program objectives, an evaluation program summary, the performance evaluation schedule data quality objectives, and both an internal and external quality assurance (QA) program. Data quality objectives are the pre-evaluation expectations of precision, accuracy, and completeness of data.
(B) The internal QA program shall include, at a minimum, the activities planned by routine operators and analysts to provide an assessment of CMS performance. The external QA program shall include, at a minimum, systems audits that include the opportunity for on-site evaluation by the Administrator of instrument calibration, data validation, sample logging, and documentation of quality control data and field maintenance activities.
(C) The owner or operator shall submit the site-specific performance evaluation test plan to the Administrator (if requested) at least 60 days before the performance test or performance evaluation is scheduled to begin, or on a mutually agreed upon date. Review and approval of the performance evaluation test plan by the Administrator will occur with the review and approval of the site-specific test plan (if review of the site-specific test plan is requested).
(D) In the event that the Administrator fails to approve or disapprove the site-specific performance evaluation test plan within the specified time period, the following conditions shall apply.
1. If the owner or operator intends to demonstrate compliance by using an alternative to a monitoring method specified in this measure, the owner or operator shall refrain from conducting the performance evaluation until the Administrator approves the use of the alternative method. 
2. If the Administrator does not approve the use of the alternative method within 30 days before the performance evaluation is scheduled to begin, the performance evaluation deadlines may be extended such that the owner or operator shall conduct the performance evaluation within 60 calendar days after the Administrator approves the use of the alternative method. 
3. Notwithstanding the requirements in section (f)(3)(D)1. and (f)(3)(D)2., the owner or operator may proceed to conduct the performance evaluation as required in this section (without the Administrator's prior approval of the site-specific performance evaluation test plan) if he/she subsequently chooses to use the specified monitoring method(s) instead of an alternative.
(4) Neither the submission of a site-specific performance evaluation test plan for approval, nor the Administrator's approval or disapproval of a plan, nor the Administrator's failure to approve or disapprove a plan in a timely manner shall; 
(A) Relieve an owner or operator of legal responsibility for compliance with any applicable provisions of this part or with any other applicable Federal, State, or local requirement; or
(B) Prevent the Administrator from implementing or enforcing this part or taking any other action under the Act.
(5) Conduct of performance evaluation and performance evaluation dates. The owner or operator of an affected source shall conduct a performance evaluation of a required CMS during any performance test required in accordance with the applicable performance specification as specified in the standard. If a performance test is not required, or the requirement for a performance test has been waived, the owner or operator of an affected source shall conduct the performance evaluation not later than 180 days after the appropriate compliance date, or as otherwise specified in the standard.
(6) Reporting performance evaluation results. The owner or operator shall furnish the Administrator a copy of a written report of the results of the performance evaluation simultaneously with the results of the performance test within 60 days of completion of the performance evaluation if no test is required, unless otherwise specified in the standard. The Administrator may request that the owner or operator submit the raw data from a performance evaluation in the report of the performance evaluation results. 
(g) Use of an alternative monitoring method. Until permission to use an alternative monitoring method has been granted by the Administrator under this paragraph, the owner or operator of an source remains subject to the requirements of this section and the standard.
(1) Request to use alternative monitoring method. 
(A) An owner or operator who wishes to use an alternative monitoring method shall submit an application to the Administrator. The application may be submitted at any time provided that the monitoring method is not used to demonstrate compliance with the standard or other requirement. If the alternative monitoring method is to be used to demonstrate compliance with the standard, the application shall be submitted not later than with the site specific test plan (if requested), with the site-specific performance evaluation plan (if requested), or at least 60 days before the performance evaluation is scheduled to begin.
(B) The application shall contain a description of the proposed alternative monitoring system and a performance evaluation test plan, if required. In addition, the application shall include information justifying the owner or operator's request for an alternative monitoring method, such as the technical or economic infeasibility, or the impracticality, of the affected source using the required method.
(C) The owner or operator may submit the information required in this paragraph well in advance of the submittal dates to ensure a timely review by the Administrator in order to meet the compliance demonstration date specified in this section or the standard.
(2) After receipt and consideration of written application, the Administrator may approve alternatives to any monitoring methods or procedures of this part including, but not limited to, the following:
(A) Alternative monitoring requirements when installation of a CMS specified by the standard would not provide accurate measurements due to liquid water or other interferences caused by substances within the effluent gases;
(B) Alternative monitoring requirements when the affected source is infrequently operated;
(C) Alternative locations for installing CMS when the owner or operator can demonstrate that installation at alternate locations will enable accurate and representative measurements;
(D) Alternate procedures for performing daily checks of zero (low-level) and high-level drift that do not involve use of high-level gases or test cells;
(E) Alternatives to the American Society for Testing and Materials (ASTM) test methods or sampling procedures specified by any relevant standard;
(F) Alternative monitoring requirements when the effluent from a single affected source or the combined effluent from two or more affected sources is released to the atmosphere through more than one point.
(3) Status of request to use alternative monitoring method.
(A) The Administrator will notify the owner or operator of approval or intention to deny approval of the request to use an alternative monitoring method within 30 calendar days after receipt of the original request and within 30 calendar days after receipt of any supplementary information that is submitted. Before disapproving any request to use an alternative monitoring method, the Administrator will notify the applicant of the Administrator's intention to disapprove the request together with:
1. Notice of the information and findings on which the intended disapproval is based.
2. Notice of opportunity for the owner or operator to present additional information to the Administrator before final action on the request. At the time the Administrator notifies the applicant of his or her intention to disapprove the request, the Administrator will specify how much time the owner or operator will have after being notified of the intended disapproval to submit the additional information.
(B) If the Administrator approves the use of an alternative monitoring method for a source, the owner or operator shall continue to use the alternative monitoring method until he or she receives approval from the Administrator to use another monitoring method. 
(4) If the Administrator finds reasonable grounds to dispute the results obtained by an alternative monitoring method, requirement, or procedure, the Administrator may require the use of a specific method, requirement, or procedure. If the results of the specified and alternative method, requirement, or procedure do not agree, the results obtained by the specified method, requirement, or procedure shall prevail.
(h) Monitoring data recorded during periods of unavoidable CMS breakdowns, out-of-control periods, repairs, maintenance periods, calibration checks, and zero (low-level) and high-level adjustments shall not be included in any data average computed.
(1) A CMS is out of control if;
(A) The zero (low-level), mid-level, or high level calibration drift (CD) exceeds two times the applicable performance specification; or
(B) The CMS fails a performance test audit, relative accuracy test audit, or linearity test audit.
(i) Summary Report - Gaseous and Continuous Monitoring System Performance. 
The summary report shall contain the following information:
(1) The company name and address of the source;
(2) The date of the report, and the beginning and ending dates of the reporting period;
(3) A brief description of the process units;
(4) The emission and operating parameter limitations specified in the standard;
(5) The monitoring equipment manufacturer(s) and model number(s);
(6) The date of the latest CMS certification or audit;
(7) The total operating time during the reporting period;
(8) An emissions data summary, including the total duration of excess emissions during the reporting period (recorded in hours), the total duration of excess emissions expressed as a percent of the operating time during the reporting period, and a breakdown of the total duration of excess emissions during the reporting period into those that are due to startup/shutdown, control or monitoring equipment problems, process or process equipment problems, quality assurance, quality control calibrations, other known causes, and other unknown causes;
(9) A CMS performance summary, including the total CMS downtime recorded in hours, the total duration of CMS downtime expressed as a percent of the total source operating time during that reporting period, and a breakdown of the total CMS downtime during the reporting period into periods that are due to monitoring equipment malfunctions, nonmonitoring equipment malfunctions, quality assurance, quality control calibrations, other known causes, and other unknown causes;
(10) A description of any changes in CMS, processes, or controls since the last reporting period; and
(11) The name, title, and signature of the responsible official who is certifying the accuracy of the report.
(j) Excess Emissions and Continuous Monitoring System Performance Report.
The excess emission report shall contain the following information:
(1) The name, title, and signature of the responsible official who is certifying the accuracy of the report;
(2) The date and time identifying each period during which the CMS was inoperative except for zero (low-level) and high-level checks;
(3) The date and time the identifying each period during which the CMS was out of control;
(4) The specific identification (i.e. the date and time of commencement and completion) of each period of excess emissions and parameter monitoring exceedances, that occurs during periods other than startups, shutdowns, and malfunctions;
(5) The specific identification (i.e. the date and time of commencement and completion) of each period of excess emissions and parameter monitoring exceedances, that occurs during startups, shutdowns, and malfunctions;
(6) The nature and cause of any malfunction if known;
(7) The corrective action taken or preventive measures adopted;
(8) The nature of the repairs or adjustments to the CMS that was inoperative or out of control; and
(9) The total process operating time during the reporting period.

Appendix 2    Application for Construction or Modification
(a) General requirements.
An owner or operator shall submit to the district and Administrator an application for approval of the construction of a new affected source, or the modification of an existing source. Each application for approval of construction or modification shall include at a minimum:
(1) The applicant's name and address;
(2) A notification of intention to construct a new affected source or make any modification as defined in section 93108.5(a)(7);
(3) The address (i.e., physical location) or proposed address of the source;
(4) An identification of the relevant standard that is the basis of the application;
(5) The expected commencement date of the construction or modification;
(6) The expected completion date of the construction or modification. Facilities undergoing modification shall provide a brief description of the components that are to be replaced;
(7) The anticipated date of (initial) startup of the source;
(8) The mixture (100%, 12/88, 8/92 etc.,) and quantity of ethylene oxide emitted by the source, reported in units and averaging times and in accordance with the test methods specified in the standard, or if actual emissions data are not yet available, an estimate of the type and quantity of ethylene oxide expected to be emitted by the source reported in units and averaging times specified in the standard. The owner or operator may submit percent reduction information. Operating parameters, such as flow rate, shall be included in the submission to the extent that they demonstrate performance and compliance; and
(9) An owner or operator who submits estimates or preliminary information in place of the actual emissions data and analysis shall submit the actual, measured emissions data and other correct information as soon as available but no later than with the “notification of compliance status.”
(b) Application for construction. Each application shall include technical information describing the proposed nature, size, design, operating design capacity, and method of operation of the source, including an identification of each point of emission for ethylene oxide and a description of the planned air pollution control system (equipment or method) for each emission point. The description of the equipment to be used for the control of emissions shall include the estimated control efficiency (percent) for each control device. The description of the method to be used for the control of emissions shall include an estimated control efficiency (percent) for that method. Such technical information shall include calculations of emission estimates in sufficient detail to permit assessment of the validity of the calculations.
(c) Application for modification. Each application shall include in addition to the information in (a) above of this section the following:
(1) A brief description of the affected source and the components that are to be replaced;
(2) A description of present and proposed emission control systems (i.e., equipment methods) that will be used to comply with the standard in Table I. The description of the equipment to be used for the control of emissions shall include the estimated control efficiency (percent) for each control device. The description of the method to be used for the control of emissions shall include an estimated control efficiency (percent) for that method. Such technical information shall include calculations of emission estimates in sufficient detail to permit assessment of the validity of the calculations;
(3) An estimate of the fixed capital cost of the replacements and of constructing a comparable entirely new source; and 
(4) The estimated life of the affected source after the replacement.
§93109. Airborne Toxic Control Measure for Emissions of Perchloroethylene from Dry Cleaning and Water-Repelling Operations.
Note     •     History

(a) Purpose.
The purpose of this control measure is to phase-out the use of perchloroethylene (Perc) from dry cleaning and water-repelling operations. Eliminating these emissions will further protect the public health, especially for Californians who live or work near dry cleaning and water-repelling facilities.
(b) Applicability.
This section applies to any person who sells or distributes Perc to California dry cleaners or who sells, distributes, installs, owns, or operates dry cleaning equipment in California that uses any solvent that contains Perc.
(c) Severability. 
Each part of this section is deemed severable, and in the event that part of this section is held to be invalid, the remainder of this section shall continue in full force and effect.
(d) Definitions. The definitions in Health and Safety Code division 26, part 1, chapter 2, commencing with section 39010, shall apply, with the following additions: 
(1) “Add-on secondary control machine” means a closed-loop machine with a secondary control system that is designed or offered as a separate retrofit system for use on multiple machine makes and models.
(2) “Adsorptive cartridge filter” means a replaceable cartridge filter that contains diatomaceous earth or activated clay as the filter medium.
(3) “Carbon adsorber” means an air cleaning device that consists of an inlet for exhaust gases from a dry cleaning machine; activated carbon in the form of a fixed bed, cartridge, or canister, as an adsorbent; an outlet for exhaust gases; and a system to regenerate or reclaim saturated adsorbent.
(4) “Cartridge filter” means a replaceable cartridge filter that contains one of the following as the filter medium: paper, activated carbon, or paper and activated carbon. A cartridge filter contains no diatomaceous earth or activated clay. Cartridge filters include, but are not limited to: standard filters, split filters, “jumbo” filters, and all carbon polishing filters.
(5) “Closed-loop machine” means dry cleaning equipment in which washing, extraction, and drying are all performed in the same single unit (also known as dry-to-dry) and which recirculates Perc-laden vapor through a primary control system with or without a secondary control system with no exhaust to the atmosphere during the drying cycle. A closed-loop machine may allow for venting to the ambient air through a fugitive control system after the drying cycle is complete and only while the machine door is open. A closed-loop machine includes a primary control machine, an add-on secondary control machine, or an integral secondary control machine.
(6) “Co-residential” means sharing a common wall, floor, or ceiling with a residence or located within the same building. 
(7) “Contact information” means name, mailing address, facility location, phone number, and if applicable, email address and fax number.
(8) “Converted machine” means an existing vented machine that has been modified to be a closed-loop machine by eliminating the aeration step, installing a primary control system, and providing for recirculation of the Perc-laden vapor with no exhaust to the atmosphere or workroom during the drying cycle. A converted machine may allow for venting to the ambient air through a fugitive control system after the drying cycle is complete and only while the machine door is open. 
(9) “Cool-down” means the portion of the drying cycle that begins when the heating mechanism deactivates and the refrigerated condenser continues to reduce the temperature of the air recirculating through the drum to reduce the concentration of Perc in the drum. 
(10) “Desorption” means regeneration of an activated carbon bed, or any other type of vapor adsorber by removal of the adsorbed solvent using hot air, steam, or other means.
(11) “Dip tank operations” means the immersion of materials in a solution that contains Perc, for purposes other than dry cleaning, in a tank or container that is separate from the dry cleaning equipment.
(12) “District” means an air pollution control or air quality management district as defined in Health and Safety Code section 39025.
(13) “Drum” means the rotating cylinder or wheel of the dry cleaning machine that holds the materials being cleaned.
(14) “Dry cleaning” means the process used to remove soil, greases, paints, and other unwanted substances from materials with Perc.
(15) “Dry cleaning equipment” means any machine, device, or apparatus that uses Perc to dry clean materials or to remove residual solvent from previously cleaned materials. Dry cleaning equipment may include, but is not limited to a transfer machine, a vented machine, a self-service machine, a converted machine, a closed-loop machine, a reclaimer, a drying cabinet, or a dip tank.
(16) “Dry cleaning machine” means any dry cleaning equipment that is used to dry clean materials. A dry cleaning machine may include, but is not limited to a transfer machine, a vented machine, a self-service machine, or a closed-loop machine.
(17) “Dry cleaning system” means all of the following equipment, devices, or apparatus associated with any dry cleaning process: dry cleaning equipment; filter or purification systems; waste holding, treatment, or disposal systems; solvent supply systems; dip tanks; pumps; gaskets; piping, ducting, fittings, valves, or flanges that convey Perc vapors; and control systems. 
(18) “Drying cabinet” means a housing in which materials previously cleaned with Perc are placed to dry and which is used only to dry materials that would otherwise be damaged by the heat and tumbling action of the drying cycle.
(19) “Drying cycle” means the process used to actively remove the Perc remaining in the materials after washing and extraction. For closed-loop machines, the heated portion of the cycle is followed by cool-down and may be extended beyond cool-down by the activation of a control system. The drying cycle begins when heating coils are activated and ends when the machine ceases rotation of the drum for a converted or primary control machine, or at the end of the adsorption cycle for a secondary control machine.
(20) “Environmental training program” means an initial course or a refresher course of the environmental training program for Perc dry cleaning operations that has been authorized by the Air Resources Board according to the requirements of title 17, California Code of Regulations, section 93110.
(21) “Existing facility” means any facility that operated dry cleaning equipment prior to January 1, 2008.
(22) “Facility” means an establishment where dry cleaning equipment is operated. 
(23) “Fugitive control system” means a device or apparatus that collects fugitive Perc vapors from the machine door, button and lint traps, still, or other intentional openings of the dry cleaning equipment and routes those vapors to a device that reduces the mass of Perc prior to exhaust of the vapor to the atmosphere.
(24) “Gallons of perchloroethylene purchased” means the volume of Perc, in gallons, purchased for use with the dry cleaning equipment. 
(25) “Halogenated-hydrocarbon detector” means a portable device capable of detecting vapor concentrations of Perc of 25 ppmv or less and indicating an increasing concentration by emitting an audible signal or visual indicator that varies as the concentration changes.
(26) “Integral secondary control machine” means a closed-loop machine that is designed and offered with an integral secondary control system.
(27) “Integral secondary control system” means a carbon adsorber, or an equivalent device that is designed and offered as an integral part of a production package with a specific make and model of dry cleaning machine and primary control system.
(28) “Liquid leak” means a leak of liquid containing Perc of more than 1 drop every 3 minutes.
(29) “Materials” means wearing apparel, draperies, linens, fabrics, textiles, rugs, leather, and other goods that are dry cleaned. 
(30) “Muck cooker” means a device for heating Perc-laden waste material to volatilize and recover Perc.
(31) “New distributor” means any person who begins the sale of Perc, directly or indirectly, to dry cleaners in California after January 1, 2008. 
(32) “New facility” means a facility that did not operate any dry cleaning equipment prior to January 1, 2008. Facilities that are relocated to another district shall be considered new facilities for the purposes of this control measure. 
(33) “Perc distributor” means any person who, directly or indirectly, sells Perc or recycled Perc to California dry cleaners.
(34) “Perc manufacturer” means any person who produces and sells Perc for use in California.
(35) “Perchloroethylene (Perc)” means the substance with the chemical formula `C2Cl4', also known by the name `tetrachloroethylene', which has been identified by the Air Resources Board and listed as a toxic air contaminant in title 17, California Code of Regulations, section 93000.
(36) “Pounds of materials cleaned per load” means the total dry weight, in pounds, of the materials in each load dry cleaned at the facility, as determined by weighing each load on a scale prior to dry cleaning and recording the value.
(37) “Primary control machine” means a closed loop machine used for dry cleaning that is equipped with a primary control system. 
(38) “Primary control system” means a refrigerated condenser, or an equivalent closed-loop vapor recovery system that reduces the concentration of Perc in the recirculating air. 
(39) “Reasonably available”, as it applies to a course for the environmental training program, means that the course is offered within 200 miles of the district boundaries and that all such courses have a capacity, in the aggregate, that is adequate to accommodate at least one person from each facility in the district required to certify a trained operator at that time.
(40) “Reclaimer” means a machine, device, or apparatus used only to remove residual Perc from materials that have been previously cleaned in a separate piece of dry cleaning equipment.
(41) “Recycled Perc” means Perc solvent that is recovered after initial use.
(42) “Refrigerated condenser” means a closed-loop vapor recovery system into which Perc vapors are introduced and recovered by cooling below the dew point of the Perc.
(43) “Relocated facilities” means a facility that moves from one location to another location within the boundaries of the same district.
(44) “Remove from service” means remove from the facility or render the dry cleaning equipment inoperable.
(45) “Residence” means any dwelling or housing which is owned, rented, or occupied by the same person for a period of 180 days or more, excluding short-term housing such as a motel or hotel room rented and occupied by the same person for a period of less than 180 days.
(46) “Secondary control system” means a device or apparatus (typically a carbon adsorber), that reduces the concentration of Perc in the recirculating air at the end of the drying cycle beyond the level achievable with a refrigerated condenser alone. 
(47) “Self-service machine” means a dry cleaning machine that is loaded, activated, or unloaded by the customer.
(48) “Separator” means any device used to recover Perc from a water-Perc mixture.
(49) “Solvent” means a liquid substance other than water used in dry cleaning equipment.
(50) “Trained operator” means the owner, the operator, or an employee of the facility, who holds a record of completion for the initial course of an environmental training program and maintains her/his status by successfully completing the refresher courses as required. 
(51) “Transfer machine” means a combination of dry cleaning equipment in which washing and extraction are performed in one unit and drying is performed in a separate unit.
(52) “Vapor adsorber” means a bed of activated carbon or other adsorbent into which Perc vapors are introduced and trapped for subsequent desorption.
(53) “Vapor leak” means an emission of Perc vapor from unintended openings in the dry cleaning system, as indicated by a rapid audible signal or visual signal from a halogenated-hydrocarbon detector or a concentration of Perc exceeding 50 ppmv as Perc as indicated by a portable analyzer. 
(54) “Vented machine” means dry cleaning equipment in which washing, extraction, and drying are all performed in the same single unit and in which fresh air is introduced into the drum in the last step of the drying cycle and exhausted to the atmosphere, either directly or through a control device.
(55) “Wastewater treatment unit” means a device that treats Perc-contaminated wastewater through the addition of thermal or chemical energy, or through physical action, such as carbon or another type of adsorbent filtration system. 
(56) “Water-repelling operations” means the treatment of materials with a Perc-containing solution for the purpose of making the material water resistant or water-repelling.
(57) “Workday” means any consecutive 24-hour period commencing at the same time each calendar day as defined in California Labor Code section 500(a). 
(e) Prohibitions. 
(1) No person shall sell, offer for sale, or initiate a new lease of any Perc dry cleaning machine for use in California on or after January 1, 2008.
(2) Transfer, vented, and self service Perc machines shall remain prohibited as they have been since November 1998.
(f) Requirements for New Facilities.
No person shall install or operate any Perc dry cleaning machine or engage in Perc water-repelling operations at a new facility on or after January 1, 2008.
(g) Relocated Facilities.
Upon approval by the district, existing facilities may relocate their Perc dry cleaning equipment for the purpose of moving from one location to another location within the boundaries of the same district.
(h) Requirements for Existing Facilities. The owner/operator of each existing facility shall meet the following applicable requirements as follows and as shown in Table 1.
(1) By January 1, 2008, drying cabinets and dip tanks shall not be used for Perc dry cleaning.
(2) By July 1, 2010, existing facilities shall remove from service all Perc converted machines.
(3) By July 1, 2010, existing facilities shall remove from service all Perc dry cleaning machines at co-residential locations.
(4) By July 1, 2010, or 15 years after the date of manufacture, whichever comes later, existing facilities shall remove from service all Perc closed-loop machines including primary control, add-on secondary control, and integral secondary control machines. If the age of the machine cannot be obtained, the machine shall be removed from service by July 1, 2010.
(5) By January 1, 2023, existing facilities shall remove from service all Perc dry cleaning machines, if not required to be removed from service earlier.
(i) Required Good Operating Practices. No person shall operate Perc dry cleaning equipment unless all of the following requirements are met: 
(1) Environmental training requirements. Each Perc facility shall have one or more trained operators.
(A) A trained operator shall be the owner, the operator, or another employee of the facility, who successfully completes the initial course of an environmental training program to become a trained operator. Evidence of successful completion of the initial course shall be the original record of completion issued pursuant to title 17, California Code of Regulations, Section 93110.
(B) The trained operator shall be on site while the dry cleaning equipment is in operation. 
(C) Each trained operator shall successfully complete the refresher course of an environmental training program at least once every three years. Evidence of successful completion of each refresher course shall be the date of the course and the instructor's signature on the original record of completion.
(D) If the Perc facility has only one trained operator and the trained operator leaves the employ of the facility, the facility shall: 
1. Notify the district in writing within 15 days of the departure of the trained operator; and
2. Obtain certification for a replacement trained operator within 3 months.
3. If the district determines that the initial course of an environmental training program is not reasonably available, the district may extend the certification period for a replacement trained operator until 1 month after the course is reasonably available.
(2) Operation and maintenance requirements. The trained operator shall operate and maintain all components of the Perc dry cleaning system in accordance with the requirements of this section and the conditions specified in the facility's operating permit. For operations not specifically addressed, the components shall be operated and maintained in accordance with the manufacturer's recommendations. 
(A) The district shall provide an operation and maintenance checklist to the Perc facility. Each operation and maintenance function and the date performed shall be recorded on the checklist. The operation and maintenance checklist shall include, at a minimum, the following requirements:
1. Refrigerated condensers shall be operated to ensure that exhaust gases are recirculated until the air-vapor stream temperature on the outlet side of the refrigerated condenser, downstream of any bypass, is less than or equal to 45oF (7.2oC).
i. Refrigerated condensers shall have a graduated or digital thermometer with a minimum range from 0oF (-18oC) to 150oF (66oC), which measures the temperature of the outlet vapor stream, downstream of any bypass of the condenser, and is easily visible to the operator.
2. Vapor adsorbers used as a primary control system or a secondary control system shall be operated to ensure that exhaust gases are recirculated at the temperature specified by the district, based on the manufacturer's recommendations for optimum adsorption. These vapor adsorbers shall be desorbed according to the conditions specified by the district in the facility's operating permit, including a requirement that no Perc vapors shall be routed to the atmosphere during routine operation or desorption.
3. Cartridge filters and adsorptive cartridge filters shall be handled using one of the following methods:
a. Drained in the filter housing, before disposal, for no less than: 24 hours for cartridge filters and 48 hours for adsorptive cartridge filters. If the filters are then transferred to a separate device to further reduce the volume of Perc, this treatment shall be done in a system that routes any vapor to a primary control system, with no exhaust to the atmosphere or workroom; or
b. Dried, stripped, sparged, or otherwise treated, within the sealed filter housing, to reduce the volume of Perc contained in the filter. 
4. A still, and any muck cooker, shall not exceed 75 percent of its capacity, or an alternative level recommended by the manufacturer. A still, and any muck cooker, shall cool to 100oF (38oC) or less before emptying or cleaning. 
5. Button and lint traps shall be cleaned and inspected for damage each workday and the lint placed in a tightly sealed container. 
6. The facility owner/operator shall keep on site a spare set of gaskets for the loading door, still, lint trap, button trap, and water separator.
7. The facility owner/operator shall keep on site a spare lint filter.
8. All parts of the dry cleaning system where Perc may be exposed to the atmosphere or workroom shall be kept closed at all times except when access is required for proper operation and maintenance.
9. Wastewater treatment units shall be operated to ensure that no liquid Perc or visible emulsion is allowed to vaporize.
10. Carbon adsorbers in secondary control machines must be stripped or desorbed in accordance with manufacturer's instructions or at least weekly, whichever is more frequent.
(3) Leak check and repair requirements. The trained operator shall inspect the Perc dry cleaning system for vapor leaks. The district shall provide a leak inspection checklist to the Perc facility. The trained operator shall record the status of each component on the checklist.
(A) Weekly Leak Checks. The Perc dry cleaning system shall be inspected at least once per week for both liquid leaks and vapor leaks, using one of the following techniques:
1. A halogenated-hydrocarbon detector; or
2. A portable gas analyzer or an alternative method approved by the district.
(B) Annual Leak Checks. The Perc dry cleaning system shall be inspected at least once per calendar year for liquid and vapor leaks using a portable detector which gives quantitative results with less than ten (10) percent uncertainty at 50 ppmv of Perc. Upon request, a district may approve an annual leak check extension of 12 months or less.
(C) Any liquid leak or vapor leak that has been detected by the operator shall be noted on the checklist and repaired according to the requirements of this subsection. If the leak is not repaired at the time of detection, the leaking component shall be physically marked or tagged in a manner that is readily observable by a district inspector.
(D) Any liquid leak or vapor leak detected by the district, which has not been so noted on the checklist and marked on the leaking component of the dry cleaning system, shall constitute a violation of this section. For enforcement purposes, the district shall identify the presence of a vapor leak by determining the concentration of Perc with a portable analyzer according to ARB Test Method 21 (title 17, California Code of Regulations, section 94124).
(E) Any liquid leak or vapor leak shall be repaired immediately upon detection. For the purposes of this section a business day shall mean Monday through Friday, except holidays, as provided in Government Code of Regulation section 6700 and following. 
1. If repair parts are not available at the facility, the parts shall be ordered within the next business day of detecting such a leak. Such repair parts shall be installed within two business days after receipt. A facility with a leak that has not been repaired by the end of the 7th business day after detection shall not operate the dry cleaning machine, until the leak is repaired, without a leak-repair extension from the district. 
2. A district may grant a leak-repair extension to a facility, for a single period of 30 days or less, if the district makes the following findings:
a. The delay in repairing the leak could not have been avoided by action on the part of the facility; 
b. The facility used reasonable preventive measures and acted promptly to initiate the repair; 
c. The leak would not significantly increase exposure to Perc near the facility; and
d. The facility is in compliance with all other requirements of this section and has a history of compliance.
(j) Recordkeeping Requirements. 
(1) The following records shall be retained by all Perc facilities for at least 5 years:
(A) For each dry cleaning machine, a log showing the date and the pounds of materials cleaned per load;
(B) Purchase and delivery receipts for the dry cleaning solvent indicating the volume in gallons; 
(C) For add-on or integral secondary control machine operations: the start time and finish time of each regeneration; and the temperature of chilled air on the outlet side of the refrigerated condenser;
(D) The operation and maintenance checklists required by subsection (i)(2)(A) and the completed leak inspection checklists required by subsection (i)(3); and
(E) For liquid leaks or vapor leaks that were not repaired at the time of detection, a record of the leaking component(s) of the dry cleaning system awaiting repair and the action(s) taken to complete the repair. The record shall include copies of purchase orders or other written records showing when the repair parts were ordered and/or service was requested.
(2) The manufacturer's operating manual for all components of the dry cleaning system shall be retained for the life of the equipment.
(3) The original record of completion of the environmental training program for each trained operator shall be retained during the employment of that person. A copy of the record of completion shall be retained for an additional period of two years beyond the separation of that person from employment at the facility. 
(4) All records, or copies thereof, shall be maintained in English and shall be accessible at the facility at all times.
(k) Reporting Requirements.
(1) The owner or operator of each Perc facility shall prepare an annual report which covers the period of January 1 through December 31 of each year. The facility owner or operator shall furnish this annual report to the district by the date specified by the district. The annual report shall include the following information:
(A) A copy of the record of completion of the environmental training program for each trained operator;
(B) The total of the pounds of materials cleaned;
(C) The gallons of solvent purchased in the reporting period;
(D) The make, model, serial number, and date of manufacture of the dry cleaning machine; 
(2) A district may exempt a source from subsection (k)(1) if the district maintains current equivalent information on the facility.
() Water-repelling Operations.
No person shall perform Perc water-repelling operations unless all materials are treated in a converted, primary control, add-on secondary control, or integral secondary control machine. Persons conducting water-repelling operations shall comply with the prohibitions and requirements in subsections (e), (f), (g), and (h).
NOTE

Authority cited: Sections 39600, 39601, 39650, 39655, 39656, 39658, 39659, 39665 and 39666, Health and Safety Code; Sections 7412 and 7416, Title 42, United States Code. Reference: Sections 39650, 39655, 39656, 39658, 39659, 39666 and 39674, Health and Safety Code; Sections 7412 and 7414, Title 42, United States Code; and Sections 63.14, 63.99, 63.320, 63.321, 63.322, 63.323 and 63.324, Title 40, Code of Federal Regulation.
HISTORY

1. New section filed 5-4-94; operative 6-3-94 (Register 94, No. 18).
2. Repealer and new section, repealer and new table 1 and amendment of Note  filed 12-27-2007; operative 12-27-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 52).

Table 1. Summary of Perc Equipment Compliance 
Times for Existing Facilities

	Facility or Equipment Type	Date of Compliance1

	Drying Cabinet, or 
	Dip Tank	January 1, 2008

	Converted Machine 	July 1, 2010

	Dry Cleaning Machines at 
	Co-residential Facility	July 1, 2010

	Facility or Equipment Type	Date of Compliance1

	Closed-loop Machines: Primary Control 	July 1, 2010 or 15 years after
	Machine; Add-on Secondary Control	the date of manufacture, 
	Machine; or Integral Secondary 	whichever  comes later.
	Control Machine	July 1, 2010 if age of machine
 		cannot be determined.

All Perc Dry Cleaning Machines 	January 1, 2023 

1. Final date(s) by which equipment shall be removed from service or use.
§93109.1. Requirements for Perc Manufacturers.
Note     •     History

(a) Recordkeeping Requirement.
Perc manufacturers shall keep monthly sales records (with invoices) of the gallons of Perc sold for use in dry cleaning in California. These records shall be retained for at least 5 years and shall be made available to ARB or the district upon request.
(b) Reporting Requirement. 
By January 1, 2008, Perc manufacturers shall report to ARB contact information for all their distributors who sell Perc for use in dry cleaning in California. If there are changes to their list of distributors, Perc manufacturers shall report the change(s) to ARB within 30 calendar days after the change has occurred.
(c) The provision of title 17, California Code of Regulation, section 93109, paragraphs (a), (b), (c), and (d) shall apply to this section.
NOTE

Authority cited: Sections 39600, 39601 and 41998, Health and Safety Code. Reference: Sections 41998 and 42402.4, Health and Safety Code. 
HISTORY

1. New section filed 12-27-2007; operative 12-27-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 52).
§93109.2. Requirements for Perc Distributors.
Note     •     History

(a) Recordkeeping Requirements.
(1) The following records shall be retained for at least 5 years and shall be made available to the ARB or the district upon request.
(A) For each dry cleaning facility, Perc distributors shall keep monthly sales records (with invoices) of the gallons of Perc and recycled Perc sold for use in dry cleaning in California.
(B) Perc distributors shall keep monthly purchase records (with invoices) of the gallons of Perc purchased for use in dry cleaning in California.
(C) Perc distributors shall keep contact information for each California dry cleaner that purchased Perc and recycled Perc.
(D) Perc distributors shall keep contact information for all their distributors who sell Perc and recycled Perc in California. 
(b) Reporting Requirements.
(1) By January 1, 2008, Perc distributors shall report to ARB their contact information and, if applicable, the contact information for all their distributors who sell Perc and recycled Perc in California. 
(2) Perc distributors shall report to ARB any change(s) in their contact information reported under (b)(1) above within 30 calendar days.
(3) By January 31 of each year, Perc distributors shall report to ARB the annual gallons of Perc and recycled Perc sold to California dry cleaners from January 1 through December 31 of the previous year.
(c) No later than 30 days after the issuance of an invoice from ARB, Perc distributors shall pay fees, based on the fee invoice schedule shown in Table 2. 
(d) The provision of title 17, California Code of Regulation, section 93109, paragraphs (a), (b), (c), and (d) shall apply to this section.
NOTE

Authority cited: Sections 39600, 39601 and 41998, Health and Safety Code. Reference: Sections 41998 and 42402.4, Health and Safety Code.
HISTORY

1. New section and table 2 filed 12-27-2007; operative 12-27-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 52).

View Graphic
§93110. Environmental Training Program for Perchloroethylene Dry Cleaning Operations.
Note     •     History

(a) Definitions.  For the purposes of this section, the definitions in 17 CCR, Section 93109 and the following definitions shall apply:
(1) “Course authorization request” means a written request to present the initial course or refresher course which includes the items specified in subsection (c)(1).
(2) “Identification” means a document that includes a picture and a signature, such as a driver's license, State identification card, or passport.
(3) “Initial course” means training presented in accordance with the requirements of this section for the purpose of achieving the training objectives in subsection (g).
(4) “Instructor” means a person responsible for presenting the curriculum and verifying the identification of trainees.
(5) “Record of completion” means a certificate issued to a trainee who completes the initial course.
(6) “Refresher course” means training presented in accordance with the requirements of this section for the purpose of achieving the training objectives in subsection (h).
(7) “Trainee” means an individual who is taking the initial course or the refresher course.
(b) General Provisions.
(1) The Executive Officer of the ARB may authorize persons or organizations to present courses for individuals seeking to qualify, or maintain their qualification, as trained operators as required in 17 CCR, Section 93109(f)(3).
(2) Persons or organizations shall apply to ARB for authorization to present the initial course, the refresher course, or both courses.  Applicants for authorization to present both courses shall file separate course authorization requests for each course.
(3) Authorization to present the course is granted to the person or organization that completes the authorization process and shall not be sold, traded, or transferred to any other person or organization.
(4) Persons or organizations authorized to offer these courses shall not require membership in an association or purchase of a product as a prerequisite to enrollment or successful completion of the course.
(5) Persons or organizations shall not represent any course as an authorized course unless the course is presented in accordance with the provisions of subsection (d) and the person or organization has been authorized by ARB to present the course.
(6) Failure to comply with the requirements of this section shall be cause for ARB to cancel authorization to present the course.  Cancellation shall be effective 10 days following notice of cancellation.  Such notice shall state the reasons for cancellation.
(7) Each authorization shall be effective for three years unless cancelled in accordance with the provisions of subsection (b)(6).
(c) Requirements for Authorization to Present Course(s).
(1) All of the following information and related materials shall be included in the course authorization request to be prepared and submitted to the ARB by any person or organization desiring to present an initial or refresher course:
(A) The minimum and maximum number of courses and locations of courses, by city or county, that the applicant will present, and the language in which they will be presented.
(B) A description of the instructional equipment and visual aids to be used.
(C) A statement of each instructor's qualifications.  Instructors shall have demonstrated background in, and knowledge of, the following: operation and maintenance of dry cleaning systems, pollution prevention procedures, and environmental regulations pertaining to dry cleaning operations in California.
(D) A summary of topics to be presented, an hourly schedule indicating time to be spent on each topic, and the proposed instructor for each topic (including any special qualifications for that topic, if applicable).
(E) A copy of the proposed curriculum to be used if not using an ARB-developed curriculum.
(F) A written policy regarding refunds of prepaid fees, in the event the course is cancelled, rescheduled, or relocated.
(G) The method to be used to determine the identity of the trainee.
(H) Projected class size and a plan for achieving the trainee/instructor ratio specified in (d)(1)(C).  If a greater ratio is proposed, a demonstration that the course objectives can be satisfied with the ratio.
(2) Review of course authorization requests.
(A) Within 30 calendar days of receipt of a course authorization request or receipt of additional information requested by the ARB in accordance with subsection (c)(2)(B), the ARB shall review the course authorization request and shall notify the applicant, in writing, that the request is either complete or incomplete.
(B) If incomplete, the ARB shall inform the applicant of the information which must be submitted to complete the request.  If the applicant does not provide the information necessary to complete the request within 90 days of the date of notification, the application shall be automatically denied.
(C) The ARB shall evaluate each complete course authorization request in accordance with the requirements of subsection (c)(2)(D).  Within 60 days of notification that the request is complete, the ARB shall notify the applicant in writing that the course is approved or disapproved.  Notice of disapproval shall state the reasons for disapproval.
(D) The ARB shall evaluate each request for authorization to present a course in accordance with all of the following factors:
1. Adequacy of the information submitted pursuant to subsection (c)(1).  The ARB shall be permitted to conduct an individual interview to verify instructor qualifications.
2. Conformity of course content with the training objectives in subsection (g) for the initial course and in subsection (h) for the refresher course.
3. Incorporation of trainee participation and hands-on training with halogenated-hydrocarbon detectors.
(d) Requirements for Presenting the Course.
(1) The authorized person or organization shall do all of the following:
(A) Ensure that the course incorporates all of the training objectives, specified in subsection (g) for an initial course and in subsection (h) for a refresher course.
(B) Ensure that the course is taught by an instructor whose qualifications have been approved by the ARB.
(C) Ensure that class size does not exceed 30 trainees per instructor or an alternative ratio approved by the ARB.
(D) Provide a copy of the fee refund policy to each trainee prior to registration.
(E) Verify the identify of the trainee.
(F) Provide a copy of the course manual to each trainee to keep.
(G) Distribute records of completion within 10 working days to persons who have completed the course.  The records shall bear all the following:
1. The name of the person who completed the course.
2. The identification number and type of document presented to verify identity.
3. The date the initial course was completed.
4. The signature of the instructor who verified the trainee's identity and attendance for the initial course.
5. The date each refresher course was completed and the signature of the instructor for the refresher course.
(2) Within 10 working days after each course presentation, the authorized person or organization shall submit to ARB the information specified in subsection (e)(2) and a certification that the instructor verified the identify and attendance of each trainee.
(e) Records of Completion.
(1) ARB shall provide validated record blanks to the person or organization authorized to present training.  Validated record blanks shall bear the seal of the State of California and a unique number.  All damaged or unused records shall be returned to the ARB.
(2) ARB shall maintain all of the following information on each trained operator: 
(A) The trained operator's full name.
(B) The type and document number of identification provided by the trainee and noted on the record of completion.
(C) The number of the record issued to the trained operator.
(D) The date the initial course was completed and the course instructor.
(E) The date each refresher course was completed and the course instructor.
(3) Replacement of lost records:
(A) A trained operator may request a replacement record from the ARB.  The request shall be in writing and shall include all of the following information:
1. The full name and current mailing address of the trained operator.
2. The type and document number of the identification provided at the initial course.
3. The number of the original record issued to the trained operator.
4. The date and instructor of the most recent refresher course.
(B) Within 30 working days after receiving a complete request for a replacement record, ARB shall issue a replacement record or notify the applicant of reasons for not issuing a record.
(f) Appeals Process.
(1) A decision regarding denial of authorization may be appealed to the Executive Officer of the ARB.  The appeal and all supporting documentation shall be submitted in writing to the Executive Officer within 30 days of the date of the notice of denial.
(2) Within 30 calendar days of receipt of the appeal, the Executive Officer shall respond to the appellant in writing with a decision and associated reasons upon which the decision is based.
(g) Training Objectives for the Initial Course.  The primary objectives of the training course shall be to promote understanding of the airborne toxic control measure for emissions of perchloroethylene from dry cleaning operations (17 CCR, Section 93109), how to comply with that control measure, and the advantages of minimizing releases of perchloroethylene to the environment.  The training shall include all of the following topics and shall be designed to help trainees develop the knowledge and ability to do all of the following:
(1) Determine and keep records, according to the requirements of 17 CCR, Section 93109, of:
(A) The pounds of materials cleaned per load,
(B) The gallons of perchloroethylene used,
(C) The facility mileage achieved, and
(D) Repairs made to leaking components of the dry cleaning system.
(2) Check for and recognize liquid leaks and vapor leaks, according to the requirements of 17 CCR, Section 93109.
(3) Complete a leak inspection checklist.
(4) Inspect the components of the dry cleaning system and identify maintenance needs.
(5) Operate and maintain the dry cleaning system, according to the requirements of 17 CCR, Section 93109.
(6) Properly operate waste water evaporators, according to the requirements of 17 CCR, Section 93109.
(7) Complete an operation and maintenance checklist.
(8) Prevent, contain, and properly clean up perchloroethylene spills.
(9) Identify and utilize waste disposal practices that minimize perchloroethylene loss to the environment.
(10) Understand how to achieve and maintain good perchloroethylene mileage.
(11) Distinguish between a transfer machine, a vented machine, a converted machine, and a closed-loop machine.
(12) Identify perchloroethylene health effects, recognize signs of excessive exposure, and know when personal protective equipment may be necessary to meet workers safety regulations.
(13) Use the course manual as a reference tool to determine applicable environmental regulations established by:
(A) ARB,
(B) Districts,
(C) Department of Toxic Substances Control,
(D) Water Resources Control Board and Regional Water Quality Control Boards.
(E) Local sanitation districts, and
(F) Department of Industrial Relations, Division of Occupational Safety and Health (Cal/OSHA regulations in Title 8 CCR).
(14) Recognize the purpose and types of the following:
(A) Refrigerated condensers,
(B) Vapor adsorbers,
(C) Secondary control systems,
(D) Fugitive control systems,
(E) Spill containment systems,
(F) Filtration systems, and
(G) Stills.
(h) Training Objectives for the Refresher Course.  The refresher course shall include all of the following topics and activities:
(1) Improvements in dry cleaning equipment.
(2) Improvements in waste handling techniques and equipment.
(3) Improvements in perchloroethylene reclamation processes and equipment.
(4) Improvements in leak detectors.
(5) Updated environmental regulations.
(6) Other topics of interest to dry cleaners.
(7) Updates to the course manual.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39655, 39656, 39658, 39659, 39665 and 39666, Health and Safety Code; and Sections 7412 and 7416, Title 42, United States Code.  Reference: Sections 39650, 39655, 39656, 39658, 39659 and 39666, Health and Safety Code.
HISTORY

1. New section filed 5-4-94; operative 6-3-94 (Register 94, No. 18).
§93111. Chlorinated Toxic Air Contaminants Airborne Toxic Control Measure--Automotive Maintenance and Repair Activities.
Note     •     History

(a) Applicability
(1) Except as provided in subdivision (b), this section applies to any person who sells, supplies, offers for sale, or manufactures automotive consumer products for use in automotive maintenance or repair activities in California.
(2) This section also applies to the owner or operator of any automotive maintenance facility or automotive repair facility that uses automotive consumer products in California.
(b) Exemptions
(1) This section does not apply to any automotive consumer product manufactured in California for shipment and use outside of California.
(2) This section does not apply to a manufacturer or distributor who sells, supplies or offers for sale in California an automotive consumer product that does not comply with the standards specified in subdivision (d) if the manufacturer or distributor can demonstrate to the satisfaction of the Executive Officer both of the following: (A) the automotive consumer product is intended for shipment and use outside of California, and (B) the manufacturer or distributor has taken reasonable prudent precautions to assure that the automotive consumer product is not sold, offered for sale, or distributed in California. This subdivision (2) does not apply to manufacturers or distributors of automotive consumer products if the products are sold, supplied, or offered for sale by any person to retail outlets in California.
(3) This section does not apply to solvent cleaning machines or to liquid products as defined in subsection (c)(17) that are designed, labeled, promoted and advertised (expressed or implied) solely for use in a solvent cleaning machine.
(c) Definitions. For the purposes of this section, the following definitions apply: 
(1) “Aerosol Product” means a pressurized spray system that dispenses product ingredients by means of a propellant or mechanically induced force. Any user-pressurized system that uses compressed air as a propellant is considered to be an “Aerosol Product”. “Aerosol Product” does not include pump sprayers.
(2) “ASTM” means the American Society for Testing and Materials.
(3) “Automotive Consumer Product” for the purposes of this section, means any of the following chemically formulated aerosol products or liquid products used in automotive maintenance or repair activities: (A) brake cleaners, (B) carburetor or fuel-injection air intake cleaners, (C) engine degreasers, and (D) general purpose degreasers intended for use in automotive maintenance or repair activities.
(4) “Automotive Maintenance Facility or Automotive Repair Facility (Facility)” means any establishment at which a person repairs, rebuilds, reconditions, services, or maintains in any way, motor vehicles. “Facility” includes entities required to be registered by the California Department of Consumer Affairs, Bureau of Automotive Repair, and entities that service or repair a fleet of ten or more motor vehicles. “Facility” does not include private residences or entities that are involved only in motor vehicle body work or painting.
(5) “Automotive Maintenance or Repair Activities” means any service, repair, restoration, or modification activity to a motor vehicle in which cleaning or degreasing products could be used including, but not limited to, brake work, engine work, machining operations, and general degreasing of engines, motor vehicles, parts, or tools.
(6) “Brake Cleaner” means a cleaning product designed, labeled, promoted or advertised (expressed or implied) to remove oil, grease, brake fluid, brake pad material or dirt from motor vehicle brake mechanisms and parts.
(7) “Carburetor or Fuel-Injection Air Intake Cleaner” means a product designed, labeled, promoted or advertised (expressed or implied) to remove fuel deposits, dirt, or other contaminants from a carburetor, choke, throttle body of a fuel-injection system, or associated linkages. “Carburetor or fuel-injection air intake cleaner” does not include products designed exclusively to be introduced directly into the fuel lines or fuel storage tank prior to introduction into the carburetor or fuel injectors.
(8) “CAS Registry Number” is a unique accession number assigned by the Chemical Abstracts Service, a division of the American Chemical Society.
(9) “Chlorinated Toxic Air Contaminant” for the purposes of this section, means methylene chloride, perchloroethylene, or trichloroethylene.
(10) “Consumer” means any person who seeks, purchases, or acquires any automotive consumer product for use in automotive maintenance and repair activities. Persons acquiring an automotive consumer product for resale are not “consumers” for that product. 
(11) “Distributor” means any person to whom an automotive consumer product is sold or supplied for the purposes of resale or distribution in commerce, except that manufacturers, retailers, and consumers are not distributors.
(12) “Engine Degreaser” means a cleaning product designed, labeled, promoted or advertised (expressed or implied) to remove grease, grime, oil or other contaminants from the external surfaces of engines and other mechanical parts.
(13) “Executive Officer” means the Executive Officer of the California Air Resources Board, or his or her delegate.
(14) “General Purpose Cleaner” means a product designed for general all-purpose cleaning, in contrast to cleaning products designed to clean specific substrates in certain situations. “General Purpose Cleaner” includes products designed for general floor cleaning, kitchen or counter top cleaning, and cleaners designed to be used on a variety of hard surfaces.
(15) “General Purpose Degreaser” means any product designed, labeled, promoted or advertised (expressed or implied) to remove or dissolve grease, grime, oil and other oil-based contaminants from a variety of motor vehicle substrates or surfaces or miscellaneous metallic parts. “General Purpose Degreaser” does not include “Engine Degreaser” or “General Purpose Cleaner”.
(16) “Liquid” means a substance or mixture of substances which is capable of a visually detectable flow as determined under ASTM D-4359-90 which is incorporated by reference. “Liquid” does not include powders or other materials that are composed entirely of solid particles.
(17) “Liquid Product” means any product that is packaged and sold as a bulk liquid including liquid delivered by pump sprayers.
(18) “Manufacturer” means any person who imports, manufactures, assembles, produces, packages, repackages, or relabels an automotive consumer product.
(19) “Methylene Chloride” (CAS Registry Number 75-09-2) means the compound with the chemical formula `CH2Cl2', also known by the name `dichloromethane', which has been identified by the Air Resources Board and listed as a toxic air contaminant in section 93000, and which is a hazardous air pollutant designated as a toxic air contaminant in section 93001.
(20) “Motor Vehicle” means a self-propelled device by which any person or property may be propelled, moved, or drawn upon a highway, excepting a device moved exclusively by human power or used exclusively upon stationary rails or tracks. “Motor vehicle” does not include a self-propelled wheelchair, invalid tricycle, or motorized quadricycle when operated by a person who, by reason of physical disability, is otherwise unable to move about as a pedestrian. 
(21) “Owner or Operator” means a person who is the owner or the operator of an automotive maintenance facility or an automotive repair facility.
(22) “Perchloroethylene (Perc)” (CAS Registry Number 127-18-4) means the compound with the chemical formula `C2Cl4', also known by the name `tetrachloroethylene', which has been identified by the Air Resources Board and listed as a toxic air contaminant in section 93000, and which is a hazardous air pollutant designated as a toxic air contaminant in section 93001.
(23) “Person” means “person” as defined in Health and Safety Code section 39047.
(24) “Pump Sprayer” means a packaging system in which the product ingredients within the container are not under pressure and in which the product is expelled only while a pumping action is applied to a button, trigger or other actuator.
(25) “Retailer” means any person who sells, supplies, or offers for sale automotive consumer products directly to consumers.
(26) “Retail Outlet” means any establishment at which automotive consumer products are sold, supplied, or offered for sale directly to consumers.
(27) “Solvent Cleaning Machine” means any device or piece of equipment with a capacity greater than 7.6 liters (2 gallons) that uses methylene chloride, perchloroethylene, or trichloroethylene to remove or dissolve grease, grime, oil and other oil-based contaminants from a variety of motor vehicle substrates or surfaces or miscellaneous metallic parts.
(28) “Trichloroethylene” (CAS Registry Number 79-01-6) means the compound with the chemical formula `C2HCl3', also known by the name `TCE', which has been identified by the Air Resources Board and listed as a toxic air contaminant in section 93000, and which is a hazardous air pollutant designated as a toxic air contaminant in section 93001.
(d) Standards for Automotive Consumer Products
(1) Except as provided in subdivision (b), subdivision (e) and subdivision (g), after the effective dates specified in the following Table of Standards no person shall sell, supply, offer for sale, or manufacture for sale in California any automotive consumer product that, at the time of sale or manufacture, contains methylene chloride, perchloroethylene or trichloroethylene.  

Table of Standards

	Product Category 	Effective Date

	Brake Cleaner 	June 30, 2001

	Carburetor or 	June 30, 2001
	Fuel-injection Air Intake Cleaners

	Engine Degreaser 	June 30, 2001

	General Purpose Degreaser 	June 30, 2001
(2) For the purposes of subdivision (d)(1), a product “contains methylene chloride, perchloroethylene or trichloroethylene” if the product contains 1.0 percent or more by weight (exclusive of the container or packaging) of any one of the compounds methylene chloride, perchloroethylene, or trichloroethylene as determined by the test method specified in subdivision (h).
(3) No owner or operator of an automotive maintenance facility or automotive repair facility shall use an automotive consumer product prohibited under subdivision (d)(1) after December 31, 2002.
(e) Sell-through of products
(1) Notwithstanding the provisions of subdivisions (d)(1) and (d)(2), an automotive consumer product manufactured prior to the effective date specified for that product category in the Table of Standards may be sold, supplied, or offered for sale for up to 12 months after the specified effective date.
(2) This subdivision (e) does not apply to any automotive consumer product if that product does not display, on the product container or package, the date on which the product was manufactured or a code indicating such date.
(f) Administrative Requirements -- Code-Dating 
(1) Each manufacturer of an automotive consumer product subject to this section shall clearly display on each automotive consumer product container or package, the day, month, and year on which the product was manufactured, or a code indicating the day, month, and year of manufacture. This date or code-date shall be displayed on each automotive consumer product container or package manufactured on or after May 4, 2001. No person shall erase, alter, deface or otherwise remove or make illegible any date or code-date from any regulated product container or package without the express authorization of the manufacturer.
(2) If a manufacturer uses a code indicating the date of manufacture for any automotive consumer product subject to this section, the manufacturer shall file an explanation of the code with the Executive Officer of the ARB no later than May 4, 2001.
(g) Variances
(1) Applications for variances. Any person who cannot comply with the requirements set forth in subdivision (d) because of extraordinary reasons beyond the person's reasonable control may apply in writing to the Executive Officer for a variance. The variance application shall set forth:
(A) the specific grounds upon which the variance is sought;
(B) the proposed date(s) by which compliance with the provisions of subdivision (d) will be achieved; and
(C) a compliance report reasonably detailing the method(s) by which compliance will be achieved.
(2) Notices and public hearings for variances. Upon receipt of a variance application containing the information required in subdivision (g)(1), the Executive Officer will hold a public hearing to determine whether, under what conditions, and to what extent, a variance from the requirements in subdivision (d) is necessary and will be permitted. The Executive Officer will initiate a hearing no later than 75 days after receipt of a variance application. The Executive Officer will send notice of the time and place of the hearing to the applicant by certified mail not less than 30 days prior to the hearing. The Executive Officer will submit notice of the hearing for publication in the California Regulatory Notice Register, and not less than 30 days prior to the hearing, the Executive Officer will send a notice to every person who requests such notice. The notice will state that the parties may, but need not, be represented by counsel at the hearing. At least 30 days prior to the hearing, the Executive Officer will make the variance application available to the public for inspection. The Executive Officer will allow interested members of the public a reasonable opportunity to testify at the hearing and will consider their testimony.
(3) Treatment of confidential information. Information submitted to the Executive Officer by a variance applicant may be claimed as confidential, and such information will be handled in accordance with the procedures specified in sections 91000-91022. The Executive Officer may consider such confidential information in reaching a decision on a variance application. 
(4) Necessary findings for granting variances. The Executive Officer will not grant a variance unless the Executive Officer finds that:
(A) because of reasons beyond the reasonable control of the applicant, requiring compliance with subdivision (d) would result in extraordinary economic hardship to the applicant; and
(B) the public interest in mitigating the extraordinary hardship to the applicant by issuing the variance outweighs the public interest in avoiding any increased emissions of toxic air contaminants that would result from issuing the variance; and
(C) the compliance report proposed by the applicant can reasonably be implemented and will achieve compliance as expeditiously as possible.
(5) Variance orders. Any variance order will specify a final compliance date by which the requirements of subdivision (d) will be achieved. Any variance order will contain a condition that specifies increments of progress necessary to assure timely compliance, and such other conditions that the Executive Officer, in consideration of the testimony received at the hearing, finds necessary to carry out the purposes of Division 26 of the Health and Safety Code.
(6) Situations in which variances will cease to be effective. A variance will cease to be effective upon failure of the party to whom the variance was granted to comply with any term or condition of the variance.
(7) Modification and revocation of variances Upon the application of any person, the Executive Officer may review, and for good cause, modify or revoke a variance from requirements of subdivision (d) after holding a public hearing in accordance with the provisions of subdivision (g)(2).
(h) Test Methods
(1) Air Resources Board Method 310, Determination of Volatile Organic Compounds (VOC) in Consumer Products, adopted September 25, 1997, and as last amended on September 3, 1999, is incorporated herein by reference. Sections 3.5 and 3.7 will be used to perform the testing to determine compliance with the requirements of this section.
(2) For the purposes of determining compliance with this section, “VOC” in Method 310 mean “chlorinated toxic air contaminant” as defined in this section.
(3) Alternative methods which are shown to accurately determine the concentration of methylene chloride, perchloroethylene, or trichloroethylene in a subject product or its emissions may be used upon written approval of the Executive Officer.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39002, 39600, 39650, 39655, 39656, 39658, 39659, 39665 and 39666, Health and Safety Code.
HISTORY

1. New section filed 4-4-2001; operative 4-4-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 14). 
§93112. Hexavalent Chromium and Cadmium Airborne Toxic Control Measure -- Motor Vehicle and Mobile Equipment Coatings.
Note     •     History

(a) Applicability 
(1) Except as provided in subdivision (b), this section applies to any person who sells, supplies, offers for sale, distributes, or manufactures coatings for use in motor vehicle and/or mobile equipment coating activities in California. 
(2) This section also applies to the owner or operator of any motor vehicle and/or mobile equipment coating facility that uses motor vehicle and/or mobile equipment coatings in California. 
(3) This section does not affect the sale, supply, or distribution of any new or used motor vehicles and/or mobile equipment or their component parts in or outside of California, regardless of the coatings that have been applied. 
(b) Exemptions 
(1) This section shall not apply to any motor vehicle and/or mobile equipment coatings manufactured in California for shipment and use outside of California. 
(2) This section shall not apply to a manufacturer or distributor who sells, supplies, or offers for sale in California a motor vehicle and/or mobile equipment coating that does not comply with the standards specified in subdivision (d), as long as the manufacturer or distributor can demonstrate both that the motor vehicle and/or mobile equipment coating is for shipment and use outside of California, and that the manufacturer or distributor has taken adequate precautions to assure that the motor vehicle and/or mobile equipment coating is not distributed to California. This subsection (2) does not apply to motor vehicle and/or mobile equipment coatings that are sold, supplied, or offered for sale by any person to retail outlets in California. 
(c) Definitions. For the purposes of this section, the following definitions apply: 
(1) “Air Pollution Control Officer” means the Air Pollution Control Officer, or his or her delegate. 
(2) “ASTM” means the American Society for Testing and Materials. 
(3) “Cadmium” (Cd) means elemental cadmium and any compounds that contain cadmium. 
(4) “Coating” means a material which is applied to a surface and which forms a film in order to beautify, preserve, repair, or protect such a surface. 
(5) “Consumer” means any person who seeks, purchases, or acquires any motor vehicle and mobile equipment coating for use in motor vehicle and mobile equipment maintenance and repair activities. Persons acquiring a motor vehicle and mobile equipment coating for resale are not “consumers” of that coating. 
(6) “Distributor” means any person to whom a motor vehicle and mobile equipment coating is sold or supplied for the purposes of resale or distribution in commerce, except that manufacturers, retailers, and consumers are not distributors. 
(7) “Hexavalent Chromium” (Cr+6) means elemental chromium in the +6 oxidation state and any compounds which contain chromium in the +6 oxidation state. 
(8) “Highway” has the same meaning as defined in section 360 of the Vehicle Code. 
(9) “Manufacturer” means any person who imports, manufactures, assembles, produces, packages, repackages, or relabels a motor vehicle or mobile equipment coating. 
(10) “Mobile Equipment” means any equipment that is designed to be physically capable of being driven or drawn upon rails or a roadway, except for motor vehicles, and components for and from such equipment. Examples of Mobile Equipment include mobile cranes; bulldozers; concrete mixers; tractors; plows; pesticide sprayers; street cleaners; golf carts; hauling equipment used inside and around an airport, dock, depot, and industrial and commercial plants; trains; railcars; truck trailers; implements of husbandry; aircraft ground support equipment; all terrain vehicles; self-propelled wheelchairs, invalid tricycles, and invalid quadricycles. 
(11) “Motor Vehicle” means passenger cars, truck cabs and chassis, vans, motorcycles, and buses. 
(12) “Motor Vehicle and/or Mobile Equipment Coating Activity” means any manufacturing, service, maintenance, repair, restoration, or modification involving the application of coatings to motor vehicles and/or mobile equipment, except plating activities. 
(13) “Motor Vehicle and/or Mobile Equipment Coating” means any coating used or advertised for use in motor vehicle and/or mobile equipment coating activities. 
(14) “Motor Vehicle and/or Mobile Equipment Coating Facility (Facility)” means any establishment at which coatings are applied to motor vehicles and/or mobile equipment, including, but not limited to, OEM facilities, autobody repair/paint shops, production autobody paint shops, new car dealer repair/paint shops, fleet operator repair/paint shops, custom-made car fabrication facilities, truck body-builders, and residences. 
(15) “OEM” means Original Equipment Manufacturer. 
(16) “Owner or Operator” means a person who is the owner or the operator of a motor vehicle and/or mobile equipment coating facility. 
(17) “Person” means “person” as defined in Health and Safety Code section 39047. 
(18) “Retailer” means any person who sells, supplies, or offers for sale motor vehicle and/or mobile equipment coatings directly to consumers. 
(19) “Retail Outlet” means any establishment at which motor vehicle and/or mobile equipment coatings are sold, supplied, or offered for sale directly to consumers. 
(d) Standards for Motor Vehicle and/or Mobile Equipment Coatings 
(1) Except as provided in subdivision (e), no person shall sell, supply, offer for sale, or manufacture for sale in California any motor vehicle and/or mobile equipment coating that contains hexavalent chromium or cadmium. 
(2) No owner or operator of a motor vehicle and/or mobile equipment coating facility shall use or possess a motor vehicle and/or mobile equipment coating prohibited under subdivision (d)(1) after December 31, 2003. 
(3) For the purposes of subdivision (d)(1), a coating “contains hexavalent chromium or cadmium” if hexavalent chromium or cadmium was introduced as a pigment or as an agent that imparts any property or characteristic to the coating during manufacturing, distribution, or use of the applicable coating. 
(e) Sell-through of Coatings. Notwithstanding the provisions of subdivisions (d)(1) and (d)(2), a motor vehicle and/or mobile equipment coating manufactured prior to January 1, 2003, may be sold, supplied, or offered for sale through June 30, 2003. This subdivision does not apply to any motor vehicle and/or mobile equipment coating which does not display on the coating container or package the date on which the coating was manufactured, or a code indicating such date. 
(f) Administrative Requirements  -- Code-Dating 
(1) Each manufacturer of a motor vehicle and/or mobile equipment coating subject to section 93112 shall clearly display on each coating container or package, the day, month, and year on which the coating was manufactured, or a code indicating such date. No person shall erase, alter, deface or otherwise remove or make illegible any date or code-date from any regulated coating container or package without the express authorization of the manufacturer. 
(2) If a manufacturer uses a code indicating the date of manufacture for any motor vehicle and/or mobile equipment coating subject to section 93112, an explanation of the code must be filed with the Air Pollution Control Officer no later than 30 days after the effective date of section 93112. 
(g) Test Methods. The following test methods are incorporated by reference herein, and shall be used to test coatings subject to the provisions of this rule. 
(1) American Society for Testing and Materials (ASTM) Method D3335-85a (1999), Standard Test Method for Low Concentrations of Lead, Cadmium, and Cobalt in paint by Atomic Absorption Spectroscopy. 
(2) United States Environmental Protection Agency test method 7196A (July 1992), Chromium, Hexavalent (Calorimetric) and Test Method 3060A (December 1996), Alkaline Digestion for Hexavalent Chromium. 
(3) Alternative methods which are shown to accurately determine the concentration of hexavalent chromium or cadmium compounds in a subject coating or its emissions may be used upon written approval of the Air Pollution Control Officer. 
NOTE

Authority cited: Sections 39600, 39601, 39656, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39002, 39600, 39650, 39655, 39656, 39658, 39659, 39665 and 39666, Health and Safety Code.
HISTORY

1. New section filed 8-20-2002; operative 9-19-2002 (Register 2002, No. 34).
§93113. Airborne Toxic Control Measure to Reduce Emissions of Toxic Air Contaminants from Outdoor Residential Waste Burning.
Note     •     History

(a) Applicability. 
(1) Notwithstanding section 41806(a) of the Health and Safety Code, this regulation shall apply to persons conducting outdoor burning of combustible or flammable waste generated from inside residences and from outdoor activities associated with a residence, for the purpose of disposing of the waste.
(2) This regulation shall apply to persons lighting fires that burn combustible or flammable waste, as defined, outdoors in enclosed or partially enclosed vessels, such as incinerators or burn barrels, or in an open outdoor fire, such as in pits or in piles on the ground. This regulation shall not apply to persons lighting fires at the direction of a public officer in an emergency situation for public health or fire safety reasons, in accordance with section 41801 of the Health and Safety Code or other provisions of law.
(3) Except as provided in (a)(1) and (a)(2) above, nothing in this regulation shall affect the applicability of the provisions of article 2 and article 3, respectively, of chapter 3 of part 4 of division 26 of the Health and Safety Code.
(b) Definitions.
Terms used shall have the same definitions as in Health and Safety Code section 39010 et. seq., unless otherwise indicated. For purposes of this regulation, the following additional definitions shall apply:
(1) “Air Pollution Control District” (APCD), “Air Quality Management District” (AQMD), “air district,” or “district” means an air pollution control district or an air quality management district created or continued in existence pursuant to Health and Safety Code section 40000 et seq. 
(2) “APCO” means the Air Pollution Control Officer or the chief executive officer of the respective local air pollution control district or local air quality management district where the property is located, or a designated representative.
(3) “ARB” means the State of California Air Resources Board.
(4) “Air Toxic” means toxic air contaminants as defined in section 39655(a) of the Health and Safety Code.
(5) “Allowable Combustibles” means dry natural vegetation waste originating on the premises and reasonably free of dirt, soil and visible surface moisture.
(6) “Approved ignition device” means an instrument or material that will ignite open fires without the production of black smoke by the ignition device, as approved by the APCO.
(7) “Burn Barrel” means a metal container used to hold combustible or flammable waste materials so that they can be ignited outdoors for the purpose of disposal.
(8) “Census zip code” means a Zip CodeÒ tabulation area, a statistical geographic entity that approximates the delivery area for a U.S. Postal Service five-digit Zip Code. Census zip codes are aggregations of census blocks that have the same predominate Zip Code associated with the mailing addresses in the U.S. Census Bureau's Master Address File. Census zip codes do not precisely depict Zip Code delivery areas, and do not include all Zip Codes used for mail delivery. For the purposes of this regulation, census zip codes are referenced to the most recent national decennial census completed by the U.S. Census Bureau.
(9) “Chief fire official” means the ranking officer in the authority having jurisdiction with responsibility for fire protection within a defined geographic region of an air district, or his or her designee. The chief fire official may be a federal, state, county or municipal employee, depending on the extent of the fire jurisdiction within the exemption area. In State or Federal Responsibility Areas for wildland protection, the state or federal official's determination overrides county authority with regard to burn permits and the use of burn barrels or incinerators in exemption areas.
(10) “Combustible” means any substance capable of burning or any substance that will readily burn.
(11) “Disallowed Combustibles” means any waste or manufactured material, including but not limited to petroleum products and petroleum wastes; construction and demolition debris; coated wire; putrescible wastes; tires; tar; tarpaper; non-natural wood waste; processed or treated wood and wood products; metals; motor vehicle bodies and parts; rubber; synthetics; plastics, including plastic film, twine and pipe; fiberglass; styrofoam; garbage; trash; refuse; rubbish; disposable diapers; ashes; glass; industrial wastes; manufactured products; equipment; instruments; utensils; appliances; furniture; cloth; rags; paper or paper products; cardboard; boxes; crates; excelsior; offal; swill; carcass of a dead animal; manure; human or animal parts or wastes, including blood; and fecal- and food-contaminated material. For purposes of this regulation, dry, natural vegetation waste from yard maintenance is not a disallowed combustible, if reasonably free of dirt, soil and surface moisture.
(12) “Flammable” means capable of catching fire easily, or combustible.
(13) “Incinerator” means any device constructed of nonflammable materials, including containers commonly known as burn barrels, for the purpose of burning therein trash, debris, and other flammable materials for volume reduction or destruction.
(14) “Incorporated place” means the city, town, municipality or village reported to the U.S. Census Bureau as being legally in existence under California law at the time of the most recent national decennial census completed by the U.S. Census Bureau. For the purposes of calculating population density for this regulation, incorporated places include the FIPS Place Class Codes C1, C7 and C8, as defined by the U.S. Census Bureau in Technical Documentation, Summary File 1, October 2002.
(15) “Natural vegetation” means all plants, including but not limited to grasses, forbs, trees, shrubs, flowers, or vines that grow in the wild or under cultivation. Natural vegetation excludes vegetative materials that have been processed, treated or preserved with chemicals for subsequent human or animal use, including but not limited to chemically-treated lumber, wood products or paper products.
(16) “Open outdoor fire” means the combustion of combustible material of any type outdoors in the open, not in any enclosure, where the products of combustion are not directed through a flue.
(17) “Permissive burn day” or “burn day” means any day on which agricultural burning, including prescribed burning, is not prohibited by the ARB and agricultural and prescribed burning is authorized by the air district consistent with the Smoke Management Guidelines for Agricultural and Prescribed Burning, set forth in sections 80100-80330 of title 17 of the California Code of Regulations. 
(18) “Population density” means the number of people per square mile within a census zip code. It is calculated as the number of people within a census zip code divided by the area of the census zip code after subtracting the population and area of all incorporated places within the census zip code.
(19) “Processed or treated wood and wood products” means wood that has been chemically treated to retard rot or decay or wood that has been modified with glues, laminates, stains, finishes, paints or glosses for use in furniture or for construction purposes, including but not limited to plywood, particle board, fencing or railroad ties. For the purposes of this regulation, dimensional lumber that has been air-dried or kiln-dried, with no preservatives or finishes added, is not considered processed or treated wood.
(20) “Residence” means a single- or two-family dwelling unit and the land and ancillary structures surrounding it.
(21) “Residential waste burning” means the disposal of the combustible or flammable waste from a single- or two-family dwelling unit or residence by burning outdoors. Residential waste burning is not agricultural, including prescribed, burning.
(22) “Waste” means all discarded putrescible and non-putrescible solid, semisolid, and liquid materials, including but not limited to petroleum products and petroleum wastes; construction and demolition debris; coated wire; tires; tar; tarpaper; wood waste; processed or treated wood and wood products; metals; motor vehicle bodies and parts; rubber; synthetics; plastics, including plastic film, twine and pipe; fiberglass; styrofoam; garbage; trash; refuse; rubbish; disposable diapers; ashes; glass; industrial wastes; manufactured products; equipment; instruments; utensils; appliances; furniture; cloth; rags; paper or paper products; cardboard; boxes; crates; excelsior; offal; swill; carcass of a dead animal; manure; human or animal parts or wastes, including blood; fecal- and food-contaminated material; felled trees; tree stumps; brush; plant cuttings and prunings; branches; garden waste; weeds; grass clippings, pine needles, leaves and other natural vegetation waste.
(c) Prohibitions. 
(1) No person shall burn disallowed combustibles from any property for the purpose of disposing of waste material outdoors at a residence, except as provided under subsection (e), “Exemptions”, below. 
(2) No person shall dispose of allowable combustibles from any property by burning them in a burn barrel or incinerator outdoors, except as provided under subsection (e), “Exemptions”, below.
(3) No person shall ignite, or allow to become ignited, allowable combustibles unless using an approved ignition device.
(4) No person shall ignite, or allow to become ignited, allowable combustibles unless it is a permissive burn day in the air district where the residential waste burning is to take place.
(d) Compliance Schedule. 
(1) For the purposes of Section 39666(d) of the Health and Safety Code, the date of adoption of this regulation shall be February 3, 2003. 
(2) Unless an air district adopts an earlier effective date in accordance with section 39666(d) of the Health and Safety Code, the prohibitions set forth in subsection (c), above, shall become effective on January 1, 2004.
(3) The ARB shall conduct a public education and outreach program with respect to the regulation, the public health impacts of residential waste burning, and available alternatives to burning.
(e) Exemptions. 
(1) No exemption from the prohibitions set forth in subsections (c)(1) and (c)(2) is available for an incorporated place in any census zip code or census zip code sub-area.
(2) Where the population density of the unincorporated area is less than or equal to 3.0 within the boundaries of any census zip code within an air district, the following exemptions apply: 
(A) dry non-glossy paper and cardboard may be burned. 
(B) burn barrels or incinerators may be used.
(3) Where the population density of the unincorporated area is greater than 3.0 but less than or equal to 10.0 within the boundaries of any census zip code within an air district, an air district may file a Request for Exemption to allow the burning of dry non-glossy paper and cardboard, or the use of burn barrels or incinerators, or both, subject to the provisions of (e)(10). 
(4) As part of any Request for Exemption submitted under subsection (e)(3), an air district may create sub-areas within a census zip code where the prohibitions set forth in subsections (c)(1) and (c)(2) shall still apply, subject to the provisions of (e)(10).
(5) Where the population density is greater than 10.0 within the boundaries of any census zip code within an air district, an air district may file a Request for Exemption to create sub-areas within a census zip code to allow the burning of dry non-glossy paper and cardboard, or the use of burn barrels or incinerators, or both, subject to the provisions of subsection (e)(10), provided the unincorporated sub-area has a population density of less than or equal to 3.0.
(6) The prohibition contained in subsection (c)(2) of this regulation shall not apply in any jurisdiction where a local ordinance or other enforceable mechanism is in effect on January 4, 2002 requiring the use of a burn barrel or incinerator to burn allowable combustibles, unless the local ordinance or other enforceable mechanism is subsequently rescinded or revoked.
(7) No air district shall file a Request for Exemption from subsection (c)(1) to allow the burning of dry non-glossy paper and cardboard if it is prohibited by air district rules in effect on January 4, 2002, or thereafter, or within a geographic area where is it prohibited by a local ordinance or other enforceable mechanism in effect January 4, 2002, or thereafter.
(8) No air district shall file a Request for Exemption from subsection (c)(2) to allow the use of a burn barrel or incinerator outdoors at a residence if it is prohibited by air district rules in effect on January 4, 2002, or thereafter, or within a geographic area where the use of a burn barrel or incinerator is prohibited by a local ordinance or other enforceable mechanism in effect January 4, 2002, or thereafter.
(9) On or before May 1, 2003, and every ten years thereafter, the ARB shall provide the air districts with a listing of all incorporated places and the population density within the boundaries of each census zip code contained within each air district.
(10) Any Request for Exemption by an air district shall be submitted in writing to the ARB on or before August 1, 2003, and every ten years thereafter, and shall include all of the following: 
(A) a resolution, board order, or other enforceable mechanism adopted by the air district's Governing Board at a formal public meeting approving the Request for Exemption; and 
(B) a written commitment from the air district to provide information on the hazards associated with residential waste burning, and ways to  minimize these hazards, to all persons conducting residential waste burning by using either an air district or appropriate fire protection agency permit program for residential waste burning, or other equivalent mechanism; and
(C) to allow the burning of dry non-glossy paper and cardboard where the population density is greater than 3.0 but less than or equal to 10.0 within the boundaries of census zip codes within an air district, a finding by the air district that the exemption is necessary; and
(D) to allow the use of burn barrels or incinerators where the population density is greater than 3.0 but less than or equal to 10.0 within the boundaries of census zip codes within an air district, written documentation from the chief fire official with primary jurisdiction over fire safety within the area contained within the census zip code, including references to fire codes (where applicable), that an unacceptable fire risk would occur if the prohibition set forth in subsection (c)(2) for that area remained in effect; and
(E) for census zip code sub-areas, documentation showing the population, land area, and population density of each census zip code sub-area and providing specific, enforceable, geographic boundaries; and
(F) a list of the specific exemptions requested, for each applicable census zip code and census zip code sub-area, that are included in the Request for Exemption; and
(G) a finding that all incorporated places within the boundaries of the census zip code or census zip code sub-area within an air district are excluded from the Request for Exemption; and
(H) a finding that the air district considered the health risks to all populated communities that are within exempted areas; and
(I) a statement in the resolution, board order, or other enforceable mechanism specifying that there is no air district rule, local ordinance, or other enforceable mechanism that was in effect on January 4, 2002, or thereafter, that would otherwise prohibit the burning of dry-non-glossy paper and cardboard; and
(J) a statement in the resolution, board order, or other enforceable mechanism specifying that there is no air district rule, local ordinance, or other enforceable mechanism that was in effect on January 4, 2002, or thereafter, that would otherwise prohibit the use of a burn barrel or incinerator.
(11) The ARB shall review the air district's Request for Exemption for completeness and approve or reject the Request for Exemption, in writing, within 60 days after submittal.
(12) If the air district's Request for Exemption is not complete, the ARB shall return the Request for Exemption to the air district for amendment. The air district shall have an additional 30 days to submit a revised Request for Exemption.
(13) By January 1, 2004, and every ten years thereafter, the ARB shall make available a listing of all census zip codes and census zip code sub-areas within each air district that are exempt in accordance with the criteria specified in subsections (e)(2), (e)(3) and (e)(5) and as approved by the ARB, if required.
(14)(A) Except as provided in subsection (e)(14)(B), all exemptions shall terminate on December 31, 2013, and as appropriate every ten years thereafter, unless renewed by the air district pursuant to the procedures set forth in subsections (e)(10) through (e)(12). 
(B) An exemption provided in accordance with subsection (e)(5) shall terminate on December 31, 2008, and as appropriate every five years thereafter, unless renewed by the air district pursuant to the procedures set forth in subsections (e)(10) through (e)(12).
NOTE

Authority cited: Sections 39600, 39601, 39659 and 39666, Health and Safety Code. Reference: Sections 39020, 39044, 39650, 39655, 39656, 39657, 39658, 39659, 39660, 39662, 39665, 39666, 39669, 39701, 41700 and 41806, Health and Safety Code. 
HISTORY

1. New section filed 2-3-2003; operative 2-3-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 6). 
§93114. Airborne Toxic Control Measure To Reduce Particulate Emissions from Diesel-Fueled Engines -- Standards for Nonvehicular Diesel Fuel.
Note     •     History

(a) Effective Date. 
(1) No later than December 12, 2004, each air pollution control and air quality management district must: 
(A) Implement and enforce the requirements of this section; or 
(B) Propose its own airborne toxic control measure to reduce particulate emissions from diesel-fueled engines through standards for nonvehicular diesel fuel as provided in Health and Safety Code section 39666(d). 
(b) Requirements. California nonvehicular diesel fuel is subject to all of the requirements of sections 2281 (sulfur content), 2282 (aromatic hydrocarbons content) and 2284 (lubricity) applicable to vehicular diesel fuel, and shall be treated under those sections as if it were vehicular diesel fuel; provided that these requirements do not apply to California diesel fuel offered, sold, or supplied solely for use in locomotives or marine vessels. 
(c) Definitions. 
(1) “California nonvehicular diesel fuel” means any diesel fuel that is not vehicular diesel fuel as defined respectively in sections 2281(b), 2282(b), or 2284(b) and that is sold or made available for use in engines in California. 
(2) “Diesel fuel” means any fuel that is commonly or commercially known, sold or represented as diesel fuel, including any mixture of primarily liquid hydrocarbons that is sold or represented as suitable for use in an internal combustion, compression-ignition engine. 
(3) “Marine vessel” has the meaning set forth in section 39037.1 of the Health and Safety Code. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41311, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666 and 41511, Health and Safety Code.
HISTORY

1. New section filed 7-15-2004; operative 8-14-2004 (Register 2004, No. 29).
§93115. Airborne Toxic Control Measure for Stationary Compression Ignition (CI) Engines.
Note     •     History

The Air Toxic Control Measure (ATCM) for Stationary Compression Ignition (CI) Engines is set forth in sections 93115 through 93115.15, title 17, California Code of Regulations. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39665, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. New section filed 11-8-2004; operative 12-8-2004 (Register 2004, No. 46).
2. Amendment of subsection (e)(2)(E)1., redesignation and amendment of portion of subsection (e)(2)(E)1.a. as new (e)(2)(E)1.a.I, new subsections (e)(2)(E)1.a.II-III and amendment of subsections (e)(4)(D)1., (h)(1) and (h)(2) filed 4-4-2005 as an emergency; operative 4-4-2005 (Register 2005, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-2-2005 or emergency language will be repealed by operation of law on the following day.
3. New subsections (c)(2), (d)(13.5)-(d)(13.5)(B), (d)(19.5), (d)(25)(G), (d)(34.5), (d)(44)(A)6., (e)(2)(A)4.-(e)(2)(A)4.b.III and (e)(2)(B)3.a.II.i., and amendment of subsections (d)(36)(A), (d)(44)(A)2., (e)(2)(A)3., (e)(2)(A)3.a.I.ii., (e)(2)(B)3.a.I.i., (e)(2)(C)1., (e)(2)(E)1.-(e)(2)(E)1.a.III., (e)(2)(F)1.c.I.ii.bb., (e)(2)(F)1.c.I.iii.bb., (e)(3), (e)(4)(D)1.-2., (e)(4)(E), (f)(1), (g)(1), (h)(1) and (h)(2) filed 9-9-2005; operative 9-9-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 36).
4. New subsection (c)(21) filed 12-27-2006 as an emergency; operative 12-27-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-26-2007 or emergency language will be repealed by operation of law on the following day.
5. New subsection (c)(21) refiled 4-26-2007 as an emergency; operative 4-26-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-2007 or emergency language will be repealed by operation of law on the following day.
6. Renumbering of former section 93115 to new sections 93115.1-93115.15 and new section filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93115.1. ATCM for Stationary CI Engines -- Purpose.
Note     •     History

The purpose of this airborne toxic control measure (ATCM) is to reduce diesel particulate matter (PM) and criteria pollutant emissions from stationary diesel-fueled compression ignition (CI) engines.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering of former subsection 93115(a) to new section 93115.1 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93115.2. ATCM for Stationary CI Engines -- Applicability.
Note     •     History

(a) Except as provided in section 93115.3, this ATCM applies to any person who either sells a stationary CI engine, offers a stationary CI engine for sale, leases a stationary CI engine, or purchases a stationary CI engine for use in California, unless such engine is: 
(1) a portable CI engine, 
(2) a CI engine used to provide motive power, 
(3) an auxiliary CI engine used on a marine vessel, or 
(4) an agricultural wind machine as defined in section 93115.4. 
(b) Except as provided in sections 93115.3 and 93115.9, this ATCM applies to any person who owns or operates a stationary CI engine in California with a rated brake horsepower greater than 50 (>50 bhp).
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(b) and its subdivisions to new section 93115.2 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93115.3. ATCM for Stationary CI Engines -- Exemptions.
Note     •     History

(a) The in-use stationary diesel agricultural emission standard and other requirements of section 93115.8(b) do not apply to agricultural emergency standby generator set engines equipped with nonresettable hour meters with a minimum display capability of 9,999 hours or remotely-located agricultural engines provided the owners or operators of such engines comply with the registration requirements of section 93115.8(c) and (d) and the applicable recordkeeping and reporting requirements of section 93115.10. 
(b) The requirements specified in sections 93115.6, 93115.7, and 93115.10(a) do not apply to new or in-use stationary diesel-fueled CI engines used in agricultural operations.
(c) The requirements specified in section 93115.9 do not apply to single cylinder cetane test engines used exclusively to determine the cetane number of diesel fuels in accordance with American Society for Testing and Materials (ASTM) Standard D 613-03b, “Standard Test Method for Cetane Number of Diesel Fuel Oil,” as modified on June 10, 2003, which is incorporated herein by reference.
(d) The requirements specified in sections 93115.6(b)(3) and 93115.7(b)(1) do not apply to in-use stationary diesel-fueled CI engines used in emergency standby or prime applications that, prior to January 1, 2005, were required in writing by the district to meet and comply with either minimum technology requirements or performance standards implemented by the district from the “Risk Management Guidance for the Permitting of New Stationary Diesel-Fueled Engines,” October 2000, which is incorporated herein by reference.
(e) The requirements specified in section 93115.6(b)(3) do not apply to permitted in-use stationary emergency standby diesel-fueled CI engines that will be removed from service or replaced prior to January 1, 2009, in accordance with an approved Office of Statewide Health Planning Development (OSHPD) Compliance Plan that has been approved prior to January 1, 2009, except that this exemption does not apply to replacement engines for the engines that are removed from service under the OSHPD plan.
(f) The requirements in sections 93115.5 and 93115.7 do not apply to any stationary diesel-fueled CI engine used solely for the training and testing of United States Department of Defense (U.S. DoD) students or personnel of any U.S. military branch in the operation, maintenance, repair and rebuilding of engines when such training engines are required to be configured and designed similarly to counterpart engines used by the U.S. DoD, U.S. Military services or North Atlantic Treaty Organization (NATO) forces in combat, combat support, combat service support, tactical or relief operations used on land or at sea.
(g) The requirements specified in sections 93115.5 through 93115.8 do not apply to stationary diesel-fueled CI engines used solely on San Nicolas or San Clemente Islands. The Ventura County Air Pollution Control District Air Pollution Control Officer (APCO) and the South Coast Air Quality Management District APCO shall review the land use plans for the island in their jurisdiction at least once every five (5) years and withdraw this exemption if the land use plans are changed to allow use by the general public of the islands.
(h) The requirements specified in sections 93115.6 and 93115.7 do not apply to stationary diesel-fueled engines used solely on outer continental shelf (OCS) platforms located within 25 miles of California's seaward boundary.
(i) Exemption for Emergency Engines at Nuclear Facilities. The requirements in section 93115.6(b)(3) do not apply to any in-use stationary diesel-fueled CI engines for which all of the following criteria are met:
(1) the engine is an emergency standby engine;
(2) the engine is subject to the requirements of the U.S. Nuclear Regulatory Commission;
(3) the engine is used solely for the safe shutdown and maintenance of a nuclear facility when normal power service fails or is lost; and
(4) the engine undergoes maintenance and testing operations for no more than 200 hours cumulatively per calendar year.
(j) Request for Exemption for Low-Use Prime Engines Outside of School Boundaries. The district APCO may approve a Request for Exemption from the provisions of section 93115.7(b)(1) for any in-use stationary diesel-fueled CI engine located beyond school boundaries, provided the approval is in writing, and the writing specifies all of the following conditions to be met by the owner or operator:
(1) the engine is a prime engine;
(2) the engine is located more than 500 feet from a school at all times;
(3) the engine operates no more than 20 hours cumulatively per year. The district APCO may use a different number of hours for applying this exemption if the diesel-fueled CI engine is used solely to start a combustion gas turbine engine, provided the number of hours used for this exemption is justified by the district, on a case-by-case basis, with consideration of factors including, at a minimum, the operational requirements of a facility using a combustion gas turbine engine and the impacts of the emissions from the engine at any receptor location.
(k) The requirements in sections 93115.6(b)(3), 93115.7(b)(1), and 93115.8(b)(1) through (3) do not apply to in-use dual-fueled diesel pilot CI engines that use an alternative fuel or an alternative diesel fuel.
(l) The requirements in sections 93115.5, 93115.6(a)(3), 93115.6(b)(3), 93115.7(a)(1), 93115.7(b)(1), 93115.8(a)(1), 93115.8(b)(1) through (3), and 93115.9 do not apply to dual-fueled diesel pilot CI engines that use diesel fuel and digester gas or landfill gas.
(m) The requirements in sections 93115.6(b)(3), 93115.6(c)(2), 93115.7(b)(1), and 93115.8(b)(1) through (3) do not apply to in-use stationary diesel-fueled CI engines that have selective catalytic reduction systems.
(n) The requirements of section 93115.6(b)(3) do not apply to in-use emergency fire pump assemblies that are driven directly by stationary diesel-fueled CI engines and only operated the number of hours necessary to comply with the testing requirements of National Fire Protection Association (NFPA) 25 “Standard for the Inspection, Testing, and Maintenance of Water-Based Fire Protection Systems,” 2002 edition, which is incorporated herein by reference.
(o) The requirements of sections 93115.5, 93115.6(a)(3), 93115.6(b)(3), 93115.7(a), and 93115.7(b) do not apply to any stationary diesel-fueled CI engine used to power equipment that is owned by the National Aeronautics and Space Administration (NASA) and used solely at manned-space flight facilities including launch, tracking, and landing sites, provided the District APCO approves this exemption in writing. This exemption only applies to diesel engines that power equipment which is maintained in the same configuration as similar equipment at all manned space flight facilities.
(p) Request for Delay in Implementation for Remotely Located In-Use Prime Engines. Prior to January 1, 2011, the district APCO may approve a Request for Delay in Implementation from the provisions of 93115.7(b)(1) until January 1, 2011, for any in-use stationary diesel-fueled CI engine, provided the approval is in writing, and the writing specifies all the following conditions to be met by the owner or operator:
(1) the engine is a prime engine, and
(2) the engine is located more than one mile from any receptor location, and
(3) the impacts of the emissions from the engine at any receptor location result in:
(A) a prioritization score of less than 1.0; and
(B) a maximum cancer risk of less than 1 in a million; and
(C) a maximum Hazard Index Value of less than 0.1.
(q) Request for Delay in Implementation of Fuel Requirements. Prior to January 1, 2006, the district may approve a Request for Delay in implementation from the provisions of 93115.5 until a date as determined by the district, for any new or in-use stationary diesel-fueled CI engine, provided the approval is in writing, and the writing specifies the following information:
(1) the engine is a new stationary CI engine or an in-use stationary
diesel-fueled CI engine, and
(2) the engine's fuel consumption rate, and
(3) the identification of the fuel in the fuel tank at the time of approval, and
(4) the specification of the fuel in the fuel tank at the time of approval; and
(5) the amount of fuel in the fuel tank at the time of approval; and
(6) the anticipated number of hours per year the engine is planned to be operated; and
(7) the date when compliance with the fuel use requirements specified in section 93115.5 is required.
(r) The operational restrictions in section 93115.6(a)(1) and 93115.6(b)(2) for engines located at or near school grounds do not apply to engines located at or near school grounds that also serve as the students' place of residence, e.g. boarding schools.
(s) The requirements of section 93115.6(b)(3) do not apply to any stationary diesel-fueled emergency standby engine primarily used by the United States Department of Defense located at Command Transmitter (CT) sites until December 31, 2009. Each stationary diesel-fueled emergency standby engine at a CT site will be allowed a maximum of 100 total annual hours of operation for maintenance and testing. 
(t) Upon the prior written approval of the APCO, the requirements of this ATCM do not apply to stationary CI engines used exclusively: 
(1) as engine test cells and test stands for testing burners, CI engines, or CI engine components, e.g., turbochargers; 
(2) for operation or performance testing of fuels, fuel additives, or emission control devices at research and development facilities; or 
(3) for maintenance, repair, or rebuild training at educational facilities. 
(u) If the Executive Officer or District finds, based on verifiable information from the engine manufacturer, distributor, or dealer, that current model year engines meeting the current emission standards are not available or not available in sufficient numbers or in a sufficient range of makes, models, and horsepower ratings, then the Executive Officer or the District may allow the sale, purchase, or installation of a new stock engine meeting the emission standards from the previous model year to meet the new stationary diesel-fueled engine emission standards pursuant to title 13 of the California Code of Regulations or 40 CFR part 89.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(c) and its subdivisions to new section 93115.3 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Repealer of subsections (s)-(s)(2)(B), subsection relettering and amendment of newly designated subsection (s) filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.4. ATCM for Stationary CI Engines -- Definitions.
Note     •     History

(a) For purposes of this ATCM, the following definitions apply:
(1) “Agricultural Operations” means the growing and harvesting of crops or the raising of fowl or animals for the primary purpose of making a profit, providing a livelihood, or conducting agricultural research or instruction by an educational institution. Agricultural operations do not include activities involving the processing or distribution of crops or fowl.
(2) “Agricultural Wind Machine” means a stationary CI engine-powered fan used exclusively in agricultural operations to provide protection to crops during cold weather by mixing warmer atmospheric air with the colder air surrounding a crop. 
(3) “Air Pollution Control Officer (APCO)” means the person appointed pursuant to section 40750 of the Health and Safety Code, or his or her designated representative.
(4) “Alternative Fuel” means natural gas, propane, ethanol, or methanol.
(5) “Alternative Diesel Fuel” means any fuel used in a CI engine that is not commonly or commercially known, sold, or represented by the supplier as diesel fuel No. 1-D or No. 2-D, pursuant to the specifications in ASTM D 975-81, “Standard Specification for Diesel Fuel Oils,” as modified in May 1982, which is incorporated herein by reference, or an alternative fuel, and does not require engine or fuel system modifications for the engine to operate, although minor modifications (e.g., recalibration of the engine fuel control) may enhance performance. Examples of alternative diesel fuels include, but are not limited to, biodiesel and biodiesel blends that do not meet the definition of CARB diesel fuel; Fischer-Tropsch fuels; emulsions of water in diesel fuel; and fuels with a fuel additive, unless:
(A) the additive is supplied to the engine fuel by an on-board dosing mechanism, or 
(B) the additive is directly mixed into the base fuel inside the fuel tank of the engine, or 
(C) the additive and base fuel are not mixed until engine fueling commences, and no more additive plus base fuel combination is mixed than required for a single fueling of a single engine. 
(6) “Approach Light System with Sequenced Flasher Lights in Category 1 and Category 2 Configurations (ALSF-1 and ALSF-2)” means high intensity approach lighting systems with sequenced flashers used at airports to illuminate specified runways during category II or III weather conditions, where category II means a decision height of 100 feet and runway visual range of 1,200 feet, and category III means no decision height or decision height below 100 feet and runway visual range of 700 feet.
(7) “Baseline” or “Baseline Emissions” means the emissions level of a diesel-fueled engine using CARB diesel fuel as configured upon initial installation or by January 1, 2003, whichever is later.
(8) “California Air Resources Board (CARB) Diesel Fuel” means any diesel fuel that meets the specifications of vehicular diesel fuel, as defined in title 13, CCR, sections 2281 and 2282.
(9) “Cancer Risk” means the characterization of the probability of developing cancer from exposure to environmental chemical hazards, in accordance with the methodologies specified in “The Air Toxics Hot Spots Program Guidance Manual for Preparation of Health Risk Assessments,” Office of Environmental Health Hazard Assessment, August 2003, which is incorporated herein by reference.
(10) “Carbon Monoxide (CO)” is a colorless, odorless gas resulting from the incomplete combustion of hydrocarbon fuels.
(11) “Certified Engine” means a CI engine that is certified to meet the Tier 1, Tier 2, Tier 3, or Tier 4 Off-Road CI Certification Standards as specified in title 13, California Code of Regulations, section 2423. 
(12) “Combustion Gas Turbine Engine” means an internal combustion gas or liquid-fueled device consisting of compressor, combustor, and power turbine used to power an electrical generator.
(13) “Compression Ignition (CI) Engine” means an internal combustion engine with operating characteristics significantly similar to the theoretical diesel combustion cycle. The regulation of power by controlling fuel supply in lieu of a throttle is indicative of a compression ignition engine.
(14) “Control Area” means any electrical region in California that regulates its power generation in order to balance electrical loads and maintain planned interchange schedules with other control areas.
(15) “Cumulatively” means the aggregation of hours or days of engine use, and any portion of an hour or day of engine use, toward a specified time limit(s).
(16) “Date of Acquisition or Submittal” means
(A) For each District-approved permit or district registration for stationary sources, the date the application for the district permit or the application for engine registration was submitted to the District. Alternatively, upon District approval, the date of purchase as defined by the date shown on the front of the cashed check, the date of the financial transaction, or the date on the engine purchasing agreement, whichever is earliest.
(B) For an engine subject to neither a district permit program nor a district registration program for stationary sources, the date of purchase as defined by the date shown on the front of the cashed check, the date of the financial transaction, or the date on the engine purchasing agreement, whichever is earliest.
(17) “Date of Initial Installation” means one of the following, whichever is earlier: 
(A) the date on which a new stationary diesel-fueled engine is placed at a location in order to be operated for the first time since delivery from the manufacturer or distributor, or, 
(B) for the purposes of a Tier 1- or Tier 2-certified stationary diesel agricultural engine complying with section 93115.8(b)(3) emission standards, one year from January 1 of the model year of such engine. 
(18) “Demand Response Program (DRP)” means a program for reducing electrical demand using an Interruptible Service Contract (ISC) or Rolling Blackout Reduction Program (RBRP).
(19) “Diesel Fuel” means any fuel that is commonly or commercially known, sold, or represented by the supplier as diesel fuel, including any mixture of primarily liquid hydrocarbons - organic compounds consisting exclusively of the elements carbon and hydrogen - that is sold or represented by the supplier as suitable for use in an internal combustion, compression-ignition engine.
(20) “Diesel-Fueled” means fueled by diesel fuel, CARB diesel fuel, or jet fuel, in whole or part.
(21) “Diesel Particulate Filter (DPF)” means an emission control technology that reduces PM emissions by trapping the particles in a flow filter substrate and periodically removes the collected particles by either physical action or by oxidizing (burning off) the particles in a process called regeneration.
(22) “Diesel Particulate Matter (PM)” means the particles found in the exhaust of diesel-fueled CI engines as determined in accordance with the test methods identified in section 93115.14.
(23) “Digester Gas” is any gas derived from anaerobic decomposition of organic matter.
(24) “Direct-Drive Emergency Standby Fire Pump Engines” means engines directly coupled to pumps exclusively used in water-based fire protection systems.
(25) “District” has the same meaning as defined in the California Health and Safety Code, Section 39025.
(26) “DRP Engine” means an engine that is enrolled in a DRP.
(27) “Dual-fuel Diesel Pilot Engine” means a dual-fueled engine that uses diesel fuel as a pilot ignition source at an annual average ratio of less than 5 parts diesel fuel to 100 parts total fuel on an energy equivalent basis.
(28) “Dual-fuel Engine” means any CI engine that is engineered and designed to operate on a combination of alternative fuels, such as compressed natural gas (CNG) or liquefied petroleum gas (LPG) and diesel fuel or an alternative diesel fuel. These engines have two separate fuel systems, which inject both fuels simultaneously into the engine combustion chamber.
(29) “Emergency Standby Engine” means a stationary engine that meets the criteria specified in (A), (B), and (C) and any combination of (D) or (E) or (F) below:
(A) is installed for the primary purpose of providing electrical power or mechanical work during an emergency use and is not the source of primary power at the facility; and 
(B) is operated to provide electrical power or mechanical work during an emergency use; and 
(C) is not operated to supply power to an electric grid or does not supply power as part of a financial arrangement with any entity, except as allowed in sections 93115.6 (a)(2), (b)(1) or (c): and 
(D) is operated under limited circumstances for maintenance and testing, emissions testing, or initial start-up testing, as specified in sections 93115.6(a), (b), and (c); or
(E) is operated under limited circumstances in response to an impending outage, as specified in sections 93115.6(a), (b), and (c); or
(F) is operated under limited circumstances under a DRP as specified in section 93115.6(c).
(30) “Emergency Use” means providing electrical power or mechanical work during any of the following events and subject to the following conditions: 
(A) the failure or loss of all or part of normal electrical power service or normal natural gas supply to the facility: 
1. which is caused by any reason other than the enforcement of a contractual obligation the owner or operator has with a third party or any other party; and 
2. which is demonstrated by the owner or operator to the district APCO's satisfaction to have been beyond the reasonable control of the owner or operator; 
(B) the failure of a facility's internal power distribution system: 
1. which is caused by any reason other than the enforcement of a contractual obligation the owner or operator has with a third party or any other party; and 
2. which is demonstrated by the owner or operator to the district APCO's satisfaction to have been beyond the reasonable control of the owner or operator; 
(C) the pumping of water or sewage to prevent or mitigate a flood or sewage overflow; 
(D) the pumping of water for fire suppression or protection; 
(E) the powering of ALSF-1 and ALSF-2 airport runway lights under category II or III weather conditions; 
(F) the pumping of water to maintain pressure in the water distribution system for the following reasons: 
1. a pipe break that substantially reduces water pressure; or 
2. high demand on the water supply system due to high use of water for fire suppression; or 
3. the breakdown of electric-powered pumping equipment at sewage treatment facilities or water delivery facilities; or
(G) day-of-rocket launch and day of space plane vehicle re-entry/landing system checks and tracking performed (in parallel with grid power) by the United States Department of Defense at Command Transmitter sites (also known as “CT” sites) that occur within the 24-hour time period associated with the scheduled time of the launch or re-entry/landing.
(31) “Emission Control Strategy” means any device, system, or strategy employed with a diesel-fueled CI engine that is intended to reduce emissions including, but not limited to, particulate filters, diesel oxidation catalysts, selective catalytic reduction systems, fuel additives used in combination with particulate filters, alternative diesel fuels, and any combination of the above.
(32) “End User” means any person who purchases or leases a stationary diesel-fueled engine for operation in California. Persons purchasing engines for the sole purpose of resale are not considered “end users.”
(33) “Enrolled” means either of the following, whichever applies:
(A) the ISC is in effect during the specified time period for an engine in an ISC; or
(B) the date the engine is entered into the RBRP.
(34) “Executive Officer” means the executive officer of the Air Resources Board, or his or her designated representative.
(35) “Facility” means one or more contiguous properties, in actual physical contact or separated solely by a public roadway or other public right-of-way, under common ownership on which engines operate.
(36) “Fuel Additive” means any substance designed to be added to fuel or fuel systems or other engine-related engine systems such that it is present in-cylinder during combustion and has any of the following effects: decreased emissions, improved fuel economy, increased performance of the engine; or assists diesel emission control strategies in decreasing emissions, or improving fuel economy or increasing performance of the engine.
(37) “Generator Set” means a CI engine coupled to a generator that is used as a source of electricity.
(38) “Hazard Index” means the sum of individual acute or chronic hazard quotients for each substance affecting a particular toxicological endpoint, as determined in accordance with the requirements of “The Air Toxics Hot Spots Program Guidance Manual for Preparation of Health Risk Assessments,” Office of Environmental Health Hazard Assessment, August 2003, which is incorporated herein by reference.
(39) “HC” means the sum of all hydrocarbon air pollutants.
(40) “Health Facility” has the same meaning as defined in Section 1250 of the California Health and Safety Code.
(41) “In-Use” means a CI engine that is not a “new” CI engine.
(42) “Initial Start-up Testing” means operating the engine or supported equipment to ensure their proper performance either:
(A) for the first time after installation of a stationary diesel-fueled CI engine at a facility, or
(B) for the first time after installation of emission control equipment on an in-use stationary diesel-fueled CI engine.
(43) “Interruptible Service Contract (ISC)” means a contractual arrangement in which a utility distribution company provides lower energy costs to a nonresidential electrical customer in exchange for the ability to reduce or interrupt the customer's electrical service during a Stage 2 or Stage 3 alert, or during a transmission emergency.
(44) “Jet Fuel” means fuel meeting any of the following specifications:
(A) ASTM D 1655-02, “Standard Specification for Aviation Turbine Fuels,” which is incorporated herein by reference. Jet fuels meeting this specification include Jet A, Jet A-1, and Jet B; 
(B) Military Detail (MIL-DTL) 5624T, “Turbine Fuels, Aviation, Grades Jet Propellant (JP) JP-4, JP-5, and JP-5/JP8 ST,” dated September 18, 1998, which is incorporated herein by reference; and 
(C) Military Test (MIL-T) 83133E, “Turbine Fuels, Aviation, Kerosene Types, North Atlantic Treaty Organization (NATO) F-34 (JP-8), NATO F-35, and JP-8+100,” dated April 1, 1999, which is incorporated herein by reference. 
(45) “Landfill Gas” means any gas derived through any biological process from the decomposition of waste buried within a waste disposal site.
(46) “Location” means any single site at a facility.
(47) “Maintenance and Testing” means operating an emergency standby CI engine to:
(A) evaluate the ability of the engine or its supported equipment to perform during an emergency. “Supported Equipment” includes, but is not limited to, generators, pumps, transformers, switchgear, uninterruptible power supply, and breakers; or
(B) facilitate the training of personnel on emergency activities; or
(C) provide electric power for the facility when the utility distribution company takes its power distribution equipment offline to service that equipment for any reason that does not qualify as an emergency use; or
(D) provide additional hours of operation to perform testing on an engine that has experienced a breakdown or failure during maintenance. Upon air district approval, these additional hours of operation will not be counted in the maximum allowable annual hours of operation for the emergency standby CI engine that provided the electrical power.
(48) “Maximum Rated Power” means the maximum brake kilowatt output of an engine as determined from any of the following, whichever is the greatest:
(A) the manufacturer's sales and service literature,
(B) the nameplate of the unit, or
(C) if applicable, as shown in the application for certification of the engine.
(49) “Model Year” means the stationary CI engine manufacturer's annual production period, which includes January 1st of a calendar year, or if the manufacturer has no annual production period, the calendar year.
(50) “New” or “New CI Engine” means the following:
(A) a stationary CI engine installed at a facility after January 1, 2005, including an engine relocated from an off-site location after January 1, 2005, except the following shall be deemed in-use engines: 
1. a replacement stationary CI engine that is installed to temporarily replace an in-use engine while the in-use engine is undergoing maintenance and testing, provided the replacement engine emits no more than the in-use engine, and the replacement engine is not used more than 180 days cumulatively in any 12-month rolling period; 
2. an engine for which a district-approved application for a district permit or engine registration for stationary sources was submitted to the District prior to January 1, 2005, even though the engine was installed after  January 1, 2005; 
3. an engine that is one of four or more engines owned by an owner or operator and is relocated prior to January 1, 2008, to an offsite location that is owned by the same owner or operator; 
4. an engine, or replacement for an engine, used in agricultural operations that is relocated within the same facility or to another facility under the same owner or operator for use in agricultural operations, unless the engine is sited where an engine is not currently located and has not been previously located.
5. an engine installed at a facility prior to January 1, 2005, and relocated within the same facility after January 1, 2005.
6. a model year 2004 or 2005 engine purchased prior to January 1, 2005, for use in California. The date of purchase is defined by the date shown on the front of the cashed check, the date of the financial transaction, or the date on the engine purchasing agreement, whichever is earliest.
7. a greater than 50 bhp Tier 1- or Tier 2-certified stationary diesel agricultural engine installed after January 1, 2005, shall be considered a new engine subject to the requirements of section 93115.8(a) until 12 years after the date of initial installation, at which time, it shall be considered an in-use engine subject to the requirements of section 93115.8(b)(3). 
(B) a stationary CI engine that has been reconstructed after January 1, 2005, shall be deemed a new engine unless the sum of the costs of all individual reconstructions of that engine after January 1, 2005, is less than 50% of the lowest-available purchase price, determined at the time of the most recent reconstruction, of a complete, comparably-equipped new engine (within +10% of the reconstructed engine's brake horsepower rating). 
For purposes of this definition, the cost of reconstruction and the cost of a comparable new engine shall not include the cost of equipment and devices required to meet the requirements of this ATCM.
(51) “Nitrogen Oxides (NOx)” means compounds of nitric oxide (NO), nitrogen dioxide (NO2), and other oxides of nitrogen, which are typically created during combustion processes and are major contributors to smog formation and acid deposition. 
(52) “Noncertified Engine” means a CI engine that is not certified to Off-Road CI Certification Standards as specified in title 13, California Code of Regulations, section 2423. 
(53) “Non-Methane Hydrocarbons (NMHC)” means the sum of all hydrocarbon air pollutants except methane.
(54) “Outer Continental Shelf (OCS)” shall have the meaning provided by section 2 of the Outer Continental Shelf Lands Act (43 U.S.C. Section 1331 et seq.).
(55) “Owner or Operator” means any person subject to the requirements of this ATCM, including but not limited to:
(A) an individual, trust, firm, joint stock company, business concern, partnership, limited liability company, association, or corporation including but not limited to, a government corporation; and
(B) any city, county, district, commission, the state or any department, agency, or political subdivision thereof, any interstate body, and the federal government or any department or agency thereof to the extent permitted by law.
(56) “Particulate Matter (PM)” means the particles found in the exhaust of CI engines, which may agglomerate and adsorb other species to form structures of complex physical and chemical properties.
(57) “Portable CI Engine” means a compression ignition (CI) engine designed and capable of being carried or moved from one location to another, except as provided in section 93115.4(a)(72). Indicators of portability include, but are not limited to, wheels, skids, carrying handles, dolly, trailer, or platform. The provisions of this definition notwithstanding, an engine with indicators of portability that remains at the same facility location for more than 12 consecutive rolling months or 365 rolling days, whichever occurs first, not including time spent in a storage facility, shall be deemed a stationary engine.
(58) “Prime CI Engine” means a stationary CI engine that is not an emergency standby CI engine.
(59) “Prioritization Score” means the numeric value used to rank facilities in order of their potential to pose significant risk to human receptors. Prioritization scores are calculated per the process described in the “CAPCOA Air Toxics `Hot Spots' Program Facility Prioritization Guidelines,” California Air Pollution Control Officer's Association (CAPCOA), July 1990, which is incorporated herein by reference.
(60) “Rated Brake Horsepower (bhp)” means:
(A) for in-use engines, the maximum brake horsepower output of an engine as determined from any of the following, whichever reflects the engine's configuration as of January 1, 2005: 
1. the manufacturer's sales and service literature; 
2. the nameplate of the engine; or 
3. if applicable, as shown in the application for certification of the engine; 
(B) for new engines, the maximum brake horsepower output of an engine as determined from any of the following, whichever reflects the engine's configuration upon the engine's initial installation at the facility: 
1. the manufacturer's sales and service literature; 
2. the nameplate of the engine; or 
3. if applicable, as shown in the application for certification of the engine. 
(61) “Receptor location” means any location outside the boundaries of a facility where a person may experience exposure to diesel exhaust due to the operation of a stationary diesel-fueled CI engine. Receptor locations include, but are not limited to, residences, businesses, hospitals, daycare centers, and schools.
(62) “Reconstruction” means the rebuilding of the engine or the replacement of engine parts, including pollution control devices, but excluding operating fluids; lubricants; and other consumables such as air filters, fuel filters, and glow plugs that are subject to regular replacement.
(63) “Remotely-Located Agricultural Engine” means a stationary diesel-fueled CI engine used in agriculture that is: 
(A) located in a federal ambient air quality area that is designated as unclassifiable or attainment for all PM and ozone national ambient air quality standards (title 40, Code of Federal Regulations, section 81.305); and 
(B) located more than one-half mile from any residential area, school, or hospital.
(64) “Residential Area” means three or more permanent residences (i.e., homes) located anywhere outside the facility's property. 
(65) “Rolling Blackout Reduction Program (RBRP)” means a contractual arrangement, implemented by the San Diego Gas and Electric Company (SDG&E) in San Diego County, in which SDG&E pays a nonresidential electrical customer, in accordance with the most current RBRP Schedule, in exchange for the customer using its diesel-fueled engines to reduce its electrical demand upon request by SDG&E during either a Stage 3 alert or a transmission emergency.
(66) “Rotating Outage” means a controlled, involuntary curtailment of electrical power service to consumers as ordered by the Utility Distribution Company.
(67) “School” or “School Grounds” means any public or private school used for purposes of the education of more than 12 children in kindergarten or any of grades 1 to 12, inclusive, but does not include any private school in which education is primarily conducted in a private home(s). “School” or “School Grounds” includes any building or structure, playground, athletic field, or other areas of school property but does not include unimproved school property.
(68) “Selective Catalytic Reduction (SCR) System” means an emission control system that reduces NOx emissions through the catalytic reduction of NOx in diesel exhaust by injecting nitrogen-containing compounds into the exhaust stream, such as ammonia or urea.
(69) “Seller” means any person who sells, leases, or offers for sale any stationary diesel-fueled engine directly to end users.
(70) “Stage 2 Alert” means an official forecast or declaration by the California Independent System Operator that the operating reserves of electrical power will fall or have fallen below 5 percent.
(71) “Stage 3 Alert” means an official forecast or declaration by the California Independent System Operator that the operating reserves of electrical power will fall or have fallen below 1.5 percent.
(72) “Stationary CI Engine” means a CI engine that is designed to stay in one location, or remains in one location. A CI engine is stationary if any of the following are true:
(A) the engine or its replacement is attached to a foundation, or if not so attached, resides at the same location for more than 12 consecutive months. Any engine such as backup or standby engines, that replaces an engine at a location and is intended to perform the same or similar function as the engine(s) being replaced, shall be included in calculating the consecutive time period. The cumulative time of all engine(s), including the time between the removal of the original engine(s) and installation of the replacement engine(s), will be counted toward the consecutive time period; or 
(B) the engine remains or will reside at a location for less than 12 consecutive months if the engine is located at a seasonal source and operates during the full annual operating period of the seasonal source, where a seasonal source is a stationary source that remains in a single location on a permanent basis (at least two years) and that operates at that single location at least three months each year; or 
(C) the engine is moved from one location to another in an attempt to circumvent the 12 month residence time requirement. The period during which the engine is maintained at a storage facility shall be excluded from the residency time determination. 
(73) “Stationary Source” means any building, structure, facility, or installation that emits any pollutant directly or as fugitive emissions. Building, structure, facility, or installation includes all pollutant emitting activities which:
(A) are under the same ownership or operation, or which are owned or operated by entities which are under common control; and 
(B) belong to the same industrial grouping either by virtue of falling within the same two-digit standard industrial code or by virtue of being part of a common industrial process, manufacturing process, or connected process involving a common raw material; and 
(C) are located on one or more contiguous or adjacent properties. 
(74) “Stock Engine” means a certified CI engine that has never been placed in service and is part of a supply of engines offered for sale, rent, or lease by a person or firm who offers for sale, rent, or lease engines and related equipment for profit. 
(75) “Transmission Constrained Area” means the specific location that is subject to localized operating reserve deficiencies due to the failure of the normal electrical power distribution system.
(76) “Transmission Emergency” means an official forecast or declaration by the California Independent System Operator that the available electrical power transmission capacity to a transmission constrained area is insufficient and may result in an uncontrolled local grid collapse in the transmission constrained area.
(77) “Utility Distribution Company” means one of several organizations that control energy transmission and distribution in California. Utility Distribution Companies include, but are not limited to, the Pacific Gas and Electric Company, the San Diego Gas and Electric Company, Southern California Edison, Los Angeles Department of Water and Power, the Imperial Irrigation District, and the Sacramento Municipal Utility District.
(78) “Verification Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from Diesel Engines (Verification Procedure)” means the ARB regulatory procedure codified in title 13, CCR, sections 2700-2710, which is incorporated herein by reference, that engine manufacturers, sellers, owners, or operators may use to verify the reductions of diesel PM or NOx from in-use diesel engines using a particular emission control strategy.
(79) “Verified Diesel Emission Control Strategy” means an emission control strategy, designed primarily for the reduction of diesel PM emissions, which has been verified pursuant to the “Verification Procedure.”
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(d) and its subdivisions to new section 93115.4 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Change without regulatory effect amending subsections (a)(57), (a)(63)(A) and (a)(79) filed 4-21-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 17).
3. Amendment of subsection (a)(29), new subsection (a)(29)(C), subsection relettering and amendment of subsections (a)(30)(g), (a)(47)(A) and (a)(73) filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.5. ATCM for Stationary CI Engines -- Fuel and Fuel Additive Requirements for New and In-Use Stationary CI Engines That Have a Rated Brake Horsepower of Greater Than 50 (>50 bhp).
Note     •     History

(a) As of January 1, 2006, except as provided for in sections 93115.3 and 93115.5(c), no owner or operator of a new stationary CI engine or an in-use prime stationary diesel-fueled CI engine shall fuel the engine with any fuel unless the fuel is one of the following:
(1) CARB Diesel Fuel; or
(2) an alternative diesel fuel that is: 
(A) biodiesel; 
(B) a biodiesel blend that does not meet the definition of CARB Diesel Fuel;
(C) a Fischer-Tropsch fuel; or 
(D) an emulsion of water in diesel fuel; or
(3) any alternative diesel fuel that is not identified in section 93115.5(a)(2) above and meets the requirements of the Verification Procedure; or 
(4) an alternative fuel; or
(5) CARB Diesel Fuel used with fuel additives that meets the requirements of the Verification Procedure; or
(6) any combination of 93115.5(a)(1) through (5) above.
(b) As of January 1, 2006, except as provided for in section 93115.3, no owner or operator of an in-use emergency standby stationary diesel-fueled CI engine shall add to the engine or any fuel tank directly attached to the engine any fuel unless the fuel is one of the following:
(1) CARB Diesel Fuel; or
(2) an alternative diesel fuel that is:
(A) biodiesel; 
(B) a biodiesel blend that does not meet the definition of CARB Diesel Fuel;
(C) a Fischer-Tropsch fuel; or 
(D) an emulsion of water in diesel fuel; or
(3) any alternative diesel fuel that is not identified in section 93115.5(b)(2) above and meets the requirements of the Verification Procedure; or
(4) an alternative fuel; or
(5) CARB Diesel Fuel used with fuel additives that meets the requirements of the Verification Procedure; or
(6) any combination of 93115.5(b)(1) through (5) above.
(c) Upon the effective date of the amendments to add in-use stationary diesel-fueled agricultural engine requirements to the ATCM, no owner or operator of an in-use stationary diesel-fueled CI engine used in agricultural operations shall fuel the engine with any fuel unless the fuel is one of the following: 
(1) CARB Diesel Fuel; or 
(2) an alternative diesel fuel that is: 
(A) biodiesel; 
(B) a biodiesel blend that does not meet the definition of CARB Diesel Fuel;
(C) a Fischer-Tropsch fuel; or 
(D) an emulsion of water in diesel fuel; or
(3) any alternative diesel fuel that is not identified in section 93115.5(c)(2) above and meets the requirements of the Verification Procedure; or
(4) an alternative fuel; or 
(5) CARB Diesel Fuel used with fuel additives that meets the requirements of the Verification Procedure; or
(6) any combination of 93115.5(c)(1) through (5) above. 
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(e)(1) and its subdivisions to new section 93115.5 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93115.6. ATCM for Stationary CI Engines -- Emergency Standby Diesel-Fueled CI Engine (>50 bhp) Operating Requirements and Emission Standards.
Note     •     History

(a) New Emergency Standby Diesel-Fueled CI Engine (>50 bhp) Operating Requirements and Emission Standards. 
(1) At-School and Near-School Provisions. No owner or operator shall operate a new stationary emergency standby diesel-fueled CI engine for non-emergency use, including maintenance and testing, during the following periods:
(A) whenever there is a school sponsored activity, if the engine is located on school grounds, and
(B) between 7:30 a.m. and 3:30 p.m. on days when school is in session, if the engine is located within 500 feet of school grounds. Section 93115.6(a)(1) does not apply if the engine emits no more than 0.01 g/bhp-hr of diesel PM.
(2) No owner or operator shall operate any new stationary emergency
standby diesel-fueled CI engine (>50 bhp) in response to the notification of an impending rotating outage, unless all the following criteria are met:
(A) the engine's permit to operate allows operation of the engine in anticipation of a rotating outage, or the District has established a policy or program that authorizes operation of the engine in anticipation of a rotating outage; and
(B) the Utility Distribution Company has ordered rotating outages in the control area where the engine is located, or has indicated it expects to issue such an order at a specified time; and
(C) the engine is located in a specific location that is subject to the rotating outage; and
(D) the engine is operated no more than 30 minutes prior to the time when the Utility Distribution Company officially forecasts a rotating outage in the control area; and
(F) the engine operation is terminated immediately after the Utility Distribution Company advises that a rotating outage is no longer imminent or in effect.
(3) New Engines: As of January 1, 2005, except as provided in section 93115.3, no person shall sell, offer for sale, purchase, or lease for use in California any new stationary emergency standby diesel-fueled CI engine that has a rated brake horsepower greater than 50 unless it meets the following applicable emission standards, and no person shall operate any new stationary emergency standby diesel-fueled CI engine that has a rated brake horsepower greater than 50, unless it meets all of the following applicable operating requirements and emission standards specified in 93115.6(a)(3):
(A) Emissions Standards and Hours of Operating Requirements. 
1. New stationary emergency standby diesel-fueled engines (>50 bhp) shall:
a. meet the applicable emission standards for all pollutants for the same model year and maximum horsepower rating as specified in Table 1 Emission Standards for New Stationary Emergency Standby Diesel-Fueled CI Engines, in effect on the date of acquisition or submittal, as defined in section 93115.4, and 
b. after December 31, 2008, be certified to the new nonroad compression-ignition (CI) engine emission standards for all pollutants for 2007 and later model year engines as specified in 40 CFR, PART 60, Subpart III--Standards of Performance for Stationary Compression Ignition Internal Combustion Engines (2006); and
c. not operate more than 50 hours per year for maintenance and testing purposes, except as provided in 93115.6(a)(3)(A)2. This subsection does not limit engine operation for emergency use and for emission testing to show compliance with 93115.6(a)(3).
2. The District may allow a new stationary emergency standby diesel-fueled CI engine (> 50 hp) to operate up to 100 hours per year for maintenance and testing purposes on a site-specific basis, provided the diesel PM emission rate is less than or equal to 0.01 g/bhp-hr.

Table 1. Emission Standards for New Stationary Emergency Standby Diesel-Fueled CI Engines g/bhp-hr (g/kW-hr)

	Maximum
	Engine Power	Model year(s)	PM	NMHC+NOx	CO

	50 <UN-> HP < 75	2007	0.15 (0.20)	5.6 (7.5)	3.7 (5.0)
	(37 <UN-> kW < 56)	2008+		3.5 (4.7)

	75 <UN-> HP < 100	2007	0.15 (0.20)	5.6 (7.5)	3.7 (5.0)
	(56 <UN-> kW < 75)	2008+		3.5 (4.7)

	100 <UN-> HP < 175	2007	0.15 (0.20)	3.0 (4.0)	3.7 (5.0)
	(75 <UN-> kW < 130)	2008+

	175 <UN-> HP < 300	2007	0.15 (0.20)	3.0 (4.0)	2.6 (3.5)
	(130 <UN-> kW < 225)	2008+

	300 <UN-> HP < 600	2007	0.15 (0.20)	3.0 (4.0)	2.6 (3.5)
	(225 <UN-> kW < 450)	2008+

	600 <UN-> HP < 750	2007	0.15 (0.20)	3.0 (4.0)	2.6 (3.5)
	(450 <UN-> kW < 560)	2008+

	HP > 750	2007	0.15 (0.20)	4.8 (6.4)	2.6 (3.5)
	(kW > 560)	2008+

__________

1. May be subject to additional emission limitations as specified in current applicable district rules, regulations or policies.
(B) The District:
1. may establish more stringent diesel PM, NMHC+NOx, HC, NOx,
and CO emission rate standards; and
2. may establish more stringent limits on hours of maintenance and testing on a site-specific basis; and
3. shall determine an appropriate limit on the number of hours of operation for demonstrating compliance with other District rules and initial start-up testing.
(4) New Direct-Drive Emergency Standby Fire Pump Engines: Except as provided in section 93115.3, no person shall sell, offer for sale, purchase, or lease for use in California any new stationary emergency standby diesel-fueled direct-drive fire-pump CI engine that has a rated brake horsepower greater than 50 unless the fire pump engine meets the applicable emission standards and certification requirements specified in section 93115.6(a)(4), and no person shall operate any new stationary emergency standby diesel-fueled direct-drive fire pump CI engine that has a rated brake horsepower greater than 50, unless it meets all of the applicable operating requirements and emission standards specified in 93115.6(a)(4).
(A) Standards and Hours of Operating Requirements. 
1. New direct-drive emergency standby diesel-fueled fire-pump engines (>50 bhp) shall,
a. meet the applicable emissions standards for all pollutants as specified in Table 2 Emissions Standards for New Stationary Emergency Standby Direct-Drive Fire Pump Engines for the model year and NFPA nameplate power rating; and
b. meet the new fire pump engine certification requirements and emission standards required by 40 CFR §60.4202(d.) Standards of Performance for Stationary Compression Ignition Internal Combustion Engines (2006); and
c. not operate more than the number of hours necessary to comply with the testing requirements of the National Fire Protection Association (NFPA) 25 -- “Standard for the Inspection, Testing, and Maintenance of Water-Based Fire Protection Systems,” 2002 edition, which is incorporated herein by reference. This subsection does not limit engine operation for emergency use and for emission testing to show compliance with 93115.6(a)(4).

Table 2. Emission Standards for New Stationary Emergency Standby Direct-Drive Fire Pump Engines > 50 BHP g/bhp-hr (g/kW-hr)

	Maximum
	Engine Power	Model year(s)	PM	NMHC+NOx	CO

	50 <UN-> HP < 75	2010 and earlier	0.60 (0.80)	7.8 (10.5)	3.7 (5.0)
	(37 <UN-> kW < 56)	2011+1	0.30 (0.40)	3.5 (4.7)

	75 <UN-> HP < 100	2010 and earlier	0.60 (0.80)	7.8 (10.5)	3.7 (5.0)
	(56 <UN-> kW < 75)	2011+1	0.30 (0.40)	3.5 (4.7)

	100 <UN-> HP < 175	2009 and earlier	0.60 (0.80)	7.8 (10.5)	3.7 (5.0)
	(75 <UN-> kW < 130)	2010+2	0.22 (0.30)	3.0 (4.0)

	175 <UN-> HP < 300	2008 and earlier	0.40 (0.54)	7.8 (10.5)	2.6 (3.5)
	(130 <UN-> kW < 225)	2009+3	0.15 (0.20)	3.0 (4.0)

	300 <UN-> HP < 600	2008 and earlier	0.40 (0.54)	7.8 (10.5)	2.6 (3.5)
	(225 <UN-> kW < 450)	2009+3	0.15 (0.20)	3.0 (4.0)

	600 <UN-> HP < 750	2008 and earlier	0.40 (0.54)	7.8 (10.5)	2.6 (3.5)
	(450 <UN-> kW < 560)	2009+	0.15 (0.20)	3.0 (4.0)

	HP > 750	2007 and earlier	0.40 (0.54)	7.8 (10.5)	2.6 (3.5)
	(kW > 560)	2008+	0.15 (0.20)	4.8 (6.4)

__________

1. For model years 2011-2013, manufacturers, owners and operators of fire pump stationary CI ICE in this engine power category with a rated speed of greater than 2,650 revolutions per minute (rpm) may comply with the emission limitations for 2010 model year engines.

2. For model years 2010-2012, manufacturers, owners and operators of fire pump stationary CI ICE in this engine power category with a rated speed of greater than 2,650 rpm may comply with the emission limitations for 2009 model year engines.

3. In model years 2009-2011, manufacturers of fire pump stationary CI ICE in this engine power category with a rated speed of greater than 2,650 rpm may comply with the emission limitations for 2008 model year engines.
(B) The District:
1. may establish more stringent diesel PM, NMHC+NOx, HC, NOx, and CO emission rate standards; and
2. may establish more stringent limits on hours of maintenance and testing on a site-specific basis; and
3. shall determine an appropriate limit on the number of hours of operation for demonstrating compliance with other District rules and initial start-up testing.
(b) In-Use Emergency Standby Diesel-Fueled CI Engine (> 50 bhp) Operating Requirements and Emission Standards. 
(1) No owner or operator shall operate any in-use stationary emergency standby diesel-fueled CI engine in response to the notification of an impending rotating outage unless all the following criteria are met:
(A) the engine's permit to operate allows operation of the engine in anticipation of a rotating outage, or the District has established a policy or program that authorizes operation of the engine in anticipation of a rotating outage; and
(B) the Utility Distribution Company has ordered rotating outages in the control area where the engine is located, or has indicated it expects to issue such an order at a certain time; and
(C) the engine is located in a specific location that is subject to the
rotating outage; and 
(D) the engine is operated no more than 30 minutes prior to the time when the Utility Distribution Company officially forecasts a rotating outage in the control area; and
(E) the engine operation is terminated immediately after the Utility Distribution Company advises that a rotating outage is no longer imminent or in effect.
(2) At-School and Near-School Provisions. No owner or operator shall operate an in-use stationary emergency standby diesel-fueled CI engine for non-emergency use, including maintenance and testing, during the following periods:
(A) whenever there is a school sponsored activity, if the engine is located on school grounds, and
(B) between 7:30 a.m. and 3:30 p.m. on days when school is in session, if the engine is located within 500 feet of school grounds. Section 93115.6(b)(2) does not apply if the engine emits no more than 0.01 g/bhp-hr of diesel PM.
(3) Except as provided in section 93115.3, no owner or operator shall operate an in-use stationary emergency standby diesel-fueled CI engine (> 50 hp) in California unless it meets, in accordance with the applicable compliance schedules specified in sections 93115.11 and 93115.12, the following requirements (which are summarized in Table 3):

Table 3. Summary of the Emission Standards and Operating Requirements for In-Use Stationary Emergency Standby 
Diesel-Fueled CI Engines > 50 BHP 
(See section 93115.6(a)(3)) 

			Diesel PM		Other Pollutants 
						
			Maximum Allowable Annual Hours of  Operation for Engines Meeting 	
	Diesel PM 		Diesel PM Standards 		HC, NOx, NMHC+NOx, and 
	Standards 		            Non-Emergency Use		CO Standards (g/bhp-hr) 
	(g/bhp-hr) 	Emergency	Emission Testing	Maintenance & Testing
		Use	to show compliance1	 (hours/year)

	>0.402 	Not Limited by 	Not Limited by 	20 	Not limited by ATCM2 
		ATCM2 	ATCM2 
							
	>0.15 and 	Not Limited by 	Not Limited by  	21 to 30 	For engines with emission control strategies
 	<UN->0.40	ATCM2	ATCM2		not verified through the verification procedure:
 					Off-Road CI Engine Certification Standards
	>0.01 and 	Not Limited by	Not Limited by 	31 to 50	for an off-road engine of the model year and
	<UN->0.15	ATCM2	ATCM2	(Upon approval by	maximum rated power of the engine installed
 				the District)	to meet the applicable PM standard, or Tier 1
 					standards.3 
						     				      OR 

						
	<UN->0.01	Not Limited by	Not Limited by 	51 to 100	Both (i) and (ii) must be met: 
		ATCM2	ATCM2	(Upon approval by 	 (i) No increase in HC or NOx above 10%
				the District)	   from baseline levels 
					        OR 
					   No increase in NMHC+NOx emissions
 					   above baseline levels 
					 (ii) No increase in CO above 10% from 
					   baseline levels 
___________
1. Emission testing limited to testing to show compliance with section 93115.6(b)(3). 
2. May be subject to emission or operational restrictions as defined in current applicable district rules, regulations, or policies. 
3. The option to comply with the Tier 1 standards is available only if no off-road engine certification standards have been established for an off-road engine of the same model year and maximum rated power as the new stationary emergency standby diesel-fueled CI engine. 
(A) Diesel PM Standard and Hours of Operation Limitations. 
1. General Requirements: 
a. No owner or operator shall operate an in-use stationary emergency standby diesel-fueled CI engine (>50 bhp) that emits diesel PM at a rate greater than 0.40 g/bhp-hr more than 20 hours per year for maintenance and testing purposes. The District may approve up to 20 additional hours per year for the maintenance and testing of such in-use emergency standby diesel fueled CI engines operated at health facilities. This subsection does not limit engine operation for emergency use and for emission testing to show compliance with 93115.6(b)(3). 
b. No owner or operator shall operate an in-use stationary emergency standby diesel-fueled CI engine (>50 bhp) that emits diesel PM at a rate less than or equal to 0.40 g/bhp-hr more than 30 hours per year for maintenance and testing purposes, except as provided in 93115.6(b)(3)(A)2. This section does not limit engine operation for emergency use and for emission testing to show compliance with 93115.6(b)(3).
2. The District may allow in-use stationary emergency standby diesel-fueled CI engines (> 50 bhp) to operate more than 30 hours per year for maintenance and testing purposes on a site-specific basis, provided the following limits are met:
a. Up to 40 annual hours of operation are allowed for maintenance and testing purposes at a health facility if the diesel PM emission rate is greater than 0.15 g/bhp-hr but less than or equal to 0.40 g/bhp-hr.
b. Up to 50 annual hours of operation are allowed for maintenance and testing purposes if the diesel PM emission rate is greater than 0.01 g/bhp-hr but less than or equal to 0.15 g/bhp-hr.
c. Up to 100 annual hours of operation are allowed for maintenance and testing purposes if the diesel PM emission rate is less than or equal to 0.01 g/bhp-hr.
(B) Additional Standards: 
Owners or operators that choose to meet the diesel PM standards defined in section 93115.6(b)(3)(A) with emission control strategies that are not verified through the Verification Procedure shall either:
1. Meet the applicable HC, NOx, NMHC+NOx, and CO standards for off-road engines of the same model year and maximum rated power as specified in the Off-Road Compression-Ignition Engine Standards (title 13, CCR, section 2423). If no standards have been established for an off-road engine of the same model year and maximum rated power as the in-use stationary emergency standby diesel-fueled CI engine, then the in-use stationary emergency standby diesel-fueled CI engine shall meet the Tier 1 standards in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power, irrespective of the in-use stationary emergency standby diesel-fueled CI engine's model year; Or 
2. Not increase CO emission rates by more than 10% above baseline; and
Not increase HC or NOx emission rates by more than 10% above baseline; or
Not increase the sum of NMHC and NOx emission rates above baseline.
(C) The District:
1. may establish more stringent diesel PM, NMHC+NOx, HC, NOx, and CO emission rate standards; and
2. may establish more stringent limits on hours of maintenance and testing on a site-specific basis; and
3. shall determine an appropriate limit on the number of hours of operation for demonstrating compliance with other District rules and initial start-up testing.
(c) Operating Requirements and Emission Standards for New and In-Use Emergency Standby Stationary Diesel-Fueled CI Engines that Have a Rated Brake Horsepower of Greater than 50 (>50 bhp) Used in Demand Response Programs (DRP Engines). 
(1) New Emergency Standby Diesel-Fueled CI DRP Engines (>50 bhp) Operating Requirements and Emission Standards. 
(A) At-School and Near-School Provisions. No owner or operator shall operate a new stationary emergency standby diesel-fueled CI DRP engine for non-emergency use, including maintenance and testing, during the following periods: 
1. whenever there is a school sponsored activity, if the engine is located on school grounds; and 
2. between 7:30 a.m. and 3:30 p.m. on days when school is in session, if the engine is located within 500 feet of school grounds. Section 93115.6(c)(1)(A) does not apply if the engine emits no more than 0.01 g/bhp-hr of diesel PM. 
(B) No owner or operator shall operate any in-use new stationary emergency standby diesel-fueled CI DRP engine (>50 bhp) in response to the notification of an impending rotating outage, unless the engine is operating pursuant to a DRP, or all of the following criteria are met: 
1. the engine's permit to operate allows operation of the engine in anticipation of a rotating outage, or the District has established a policy or program that authorizes operation of the engine in anticipation of a rotating outage; and 
2. the Utility Distribution Company has ordered rotating outages in the control area where the engine is located, or has indicated it expects to issue such an order at a specified time; and 
3. the engine is in a specific location that is subject to the rotating outage in the control area; and 
4. the engine is operated no more than 30 minutes prior to the time when the Utility Distribution Company officially forecasts a rotating outage in the control area; and 
5. the engine operation is terminated immediately after the Utility Distribution Company advises that a rotating outage is no longer imminent or in effect. 
(C) Except as provided in section 93115.3, no owner or operator shall operate any new stationary emergency standby diesel-fueled CI DRP engine (>50 bhp), unless it meets all of the following applicable operating requirements and emission standards: 
1. Diesel PM Standard and Hours of Operating Requirements.
a. New DRP Engines enrolled in the RBRP on or after January 1, 2005, and prior to January 1, 2008, shall: 
(i.) meet the requirements specified in 93115.6(a)(3) and 
(ii.) not operate more than 75 hours per year for RBRP operation. 
b. New DRP Engines enrolled in the RBRP on or after January 1, 2008, shall: 
(i.) meet the more stringent diesel PM standard of either 0.01 g/bhp-hr of diesel PM; or
(ii.) the current model year diesel PM standard as specified in the Off-Road Compression Ignition Engine Standards for off-road engines with the same maximum rated power (title 13, CCR, section 2423) in effect on the date of RBRP enrollment; and 
(iii.) comply with the limitations on the hours of operation for maintenance and testing as specified in 93115.6(a)(3)(A)2.; and 
(iv.) not operate more than 75 hours per year for RBRP operation. 
c. New DRP Engines enrolled in an ISC on or after January 1, 2005, shall: 
(i.) meet the more stringent diesel PM standard of either 0.01 g/bhp-hr diesel PM; or 
(ii.) the current model year diesel PM standard as specified in the Off-Road Compression Ignition Engine Standards for off-road engines with the same maximum rated power (title 13, CCR, section 2423) in effect on the date of ISC enrollment; and 
(iii.) comply with the limitations on the hours of operation for maintenance and testing as specified in 93115.6(a)(3)(A)2.; and 
(iv.) not operate more than 150 hours per year for ISC operation. 
2. HC, NOx, NMHC + NOx, and CO standards: No owner or operator shall operate any new stationary emergency standby diesel-fueled CI DRP engine (>50 bhp), unless it meets the standards for off-road engines of the same model year and maximum rated power as specified in section 93115.6(a)(3)(A), irrespective of the new stationary emergency standby diesel-fueled CI DRP engine's model year. 
3. A District: 
a. may establish more stringent diesel PM, NMHC+NOx, HC, NOx, and CO emission rate standards; and 
b. may establish more stringent maintenance and testing hour of operation standards on a site-specific basis; and 
c. shall determine an appropriate limit on the number of hours of operation for demonstrating compliance with other District rules and initial start-up testing. 
(2) In-Use Emergency Standby Diesel-Fueled CI DRP Engine (> 50 bhp) Operating Requirements and Emission Standards. 
(A) At-School and Near-School Provisions. No owner or operator shall operate an in-use stationary emergency standby diesel-fueled CI engine for non-emergency use, including maintenance and testing during the following periods: 
1. whenever there is a school sponsored activity, if the engine is located on school grounds; and 
2. between 7:30 a.m. and 3:30 p.m. on days when school is in session, if the engine is located within 500 feet of school grounds. Section 93115.6(c)(2)(A) does not apply if the engine emits no more than 0.01 g/bhp-hr of diesel PM. 
(B) No owner or operator shall operate any in-use stationary emergency standby diesel-fueled CI DRP engine (>50 bhp) in response to the notification of an impending rotating outage, unless the engine is operating pursuant to a DRP, or all of the following criteria are met: 
1. the engine's permit to operate allows operation of the engine in anticipation of a rotating outage, or the District has established a policy or program that authorizes operation of the engine in anticipation of a rotating outage; and 
2. the Utility Distribution Company has ordered rotating outages in the control area where the engine is located, or has indicated it expects to issue such an order at a certain time; and 
3. the engine is in a specific location that is subject to the rotating outage in the control area; and 
4. the engine is operated no more than 30 minutes prior to the time when the Utility Distribution Company officially forecasts a rotating outage in the control area; and 
5. the engine operation is terminated immediately after the Utility Distribution Company advises that a rotating outage is no longer imminent or in effect. 
(C) Except as provided in section 93115.3, no owner or operator shall operate any in-use stationary emergency standby diesel-fueled CI DRP engine (> 50 hp) unless it meets all of the following applicable operating requirements and emission standards: 
1. Diesel PM Standard and Hours of Operation Requirements.
a. In-Use DRP Engines enrolled in the RBRP prior to January 1, 2005, shall: 
(i.) meet the diesel PM standards and hour of operation limitations specified in 93115.6(b)(3)(A) and (B); and 
(ii.) not operate more than 75 hours per year for RBRP operation. 
b. In-Use DRP Engines enrolled in the RBRP on or after January 1, 2005, and prior to January 1, 2008, shall: 
(i.) meet a diesel PM standard of 0.15 g/bhp-hr diesel PM; and 
(ii.) meet the requirements specified in 93115.6(b)(3)(A) for maintenance and testing hours of operation; and 
(iii.) not operate more than 75 hours per year for RBRP operation. 
c. In-Use DRP Engines enrolled in the RBRP on or after January 1, 2008, shall: 
(i.) meet a diesel PM standard of 0.01 g/bhp-hr diesel PM; and 
(ii.) meet the requirements specified in 93115.6(b)(3)(A) for maintenance and testing hours of operation; and 
(iii.) not operate more than 75 hours per year for RBRP operation.
d. In-Use DRP Engines enrolled in an ISC prior to January 1, 2005, shall as of January 1, 2006: 
(i.) meet a diesel PM standard of 0.15 g/bhp-hr diesel PM; and 
(ii.) meet the requirements specified in 93115.6(b)(3)(A) for maintenance and testing hours of operation; and 
(iii.) not operate more than 150 hours per year for ISC operation. 
e. In-Use DRP Engines enrolled in an ISC on or after January 1, 2005, and prior to January 1, 2008, shall: 
(i.) meet a diesel PM standard of 0.15 g/bhp-hr diesel PM; and 
(ii.) meet the requirements specified in 93115.6(b)(3)(A) for maintenance and testing hours of operation; and 
(iii.) not operate more than 150 hours per year for ISC operation. 
f. In-Use DRP Engines enrolled in an ISC on or after January 1, 2008, shall: 
(i.) meet a diesel PM standard of 0.01 g/bhp-hr diesel PM; and 
(ii.) meet the requirements specified in 93115.6(b)(3)(A) for maintenance and testing hours of operation; and 
(iii.) not operate more than 150 hours per year for ISC operation. 
2. Additional Standards. 
Owners or operators that choose to meet the diesel PM standards and hour of operation limits defined in section 93115.6(c)(2)(C) with emission control strategies that are not verified through the Verification Procedure shall either:
a. Meet the applicable HC, NOx, NMHC+NOx, and CO standards for off-road engines of the same model year and maximum rated power as specified in the Off-Road Compression Ignition Engine Standards (title 13, CCR, section 2423). If no standards have been established for an off-road engine of the same model year and maximum rated power as the in-use stationary emergency standby diesel-fueled CI DRP engine, then the in-use stationary emergency standby diesel-fueled CI DRP engine shall meet the Tier 1 standards in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power, irrespective of the in-use stationary emergency standby diesel-fueled CI DRP engine's model year; or
b. Not increase CO emission rates by more than 10% above baseline; and not increase HC or NOx emission rates by more than 10% above baseline, or not increase the sum of NMHC and NOx emission rates above baseline. 
3. A District: 
a. may establish more stringent diesel PM, NMHC+NOx, HC, NOx, and CO emission rate standards; and 
b. may establish more stringent limits on hours of maintenance and testing on a site-specific basis; and 
c. shall determine an appropriate limit on the number of hours of operation for demonstrating compliance with other District rules and initial start-up testing. 
(3) Other Requirements Specific to RBRP Engines and the San Diego. Gas and Electric Company (SDG&E). 
(A) The sum total electrical generation (also known as the “total load reduction capacity”) from all diesel-fueled engines dispatched in the RBRP shall not exceed 80.0 megawatts (MW) at any time. 
(B) RBRP Engines shall be dispatched by SDG&E into service in accordance with a district-approved dispatch protocol as specified in section 93115.10(h)(2). 
(4) Requirements Applicable to DRP Engines after a DRP is Terminated 
After a DRP is terminated by either the Utility Distribution Company or the engine owner or operator, the DRP engine shall remain subject to the requirements of section 93115.6(c) as if the DRP were still in effect.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

. 1. Renumbering and amendment of former subsections 93115(e)(2)-(e)(2)(B)2.c.III. to new section 93115.6 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Editorial correction of subsection (c)(2)(B) (Register 2008, No. 17).
3. Change without regulatory effect redesignating subsections (c)(2)(B)a.-e. as subsections (c)(2)(B)1.-5. filed 4-21-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 17).
4. Amendment filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.7. ATCM for Stationary CI Engines -- Stationary Prime Diesel-Fueled CI Engine (>50 bhp) Emission Standards.
Note     •     History

(a) New Stationary Prime Diesel-Fueled CI Engine (>50 bhp) Emission Standards. 
(1) As of January 1, 2005, except as provided in section 93115.3, no person shall sell, purchase, offer for sale, or lease for use in California a new stationary prime diesel-fueled CI engine that has a rated brake horsepower greater than 50 unless it meets the following applicable emission standards as specified in Table 4 Emission Standards for New Stationary Prime Diesel-Fueled CI Engines, and no owner or operator shall operate any new stationary prime diesel-fueled CI engine that has a rated brake horsepower greater than 50 unless it meets all of the following emission standards and installation and operational requirements as specified in section 93115.7(a).
(2) After December 31, 2008, owners and operators shall only purchase and install new prime diesel-fueled CI engines certified to the new nonroad compression-ignition engine emission standards for all pollutants for 2007 and later model year engines as specified in 40 CFR, PART 60, Subpart III--Standards of Performance for Stationary Compression Ignition Internal Combustion Engines (2006).
(3) Owners and operators shall not install new prime diesel-fueled CI engines from a previous model year unless it meets the applicable requirements and deadlines specified in 40 CFR §60.4208 (c)-(f) Standards of Performance for Stationary Compression Ignition Internal Combustion Engines (2006).

Table 4: Emission Standards for New Stationary Prime Diesel-Fueled CI Engines > 50 BHP g/bhp-hr (g/kW-hr)1

	Maximum
	Engine	Model 
	Power	year(s)	PM	NOx	NMHC+NOx	NMHC	CO

		2007	0.01 (0.02)		5.6 (7.5)		3.7 (5.0)
	50 <UN-> HP <75	2008-2012	0.01 (0.02)		3.5 (4.7)		3.7 (5.0)
	(37 <UN-> KW <56)	2013+	0.02 (0.03)		3.5 (4.7)		3.7 (5.0)

		2007	0.01 (0.02)		5.6 (7.5)		3.7 (5.0)
	75 <UN-> HP <100	2008-2011	0.01 (0.02)		3.5 (4.7)		3.7 (5.0)
	(56 <UN-> KW <75)	2012-2014	0.01 (0.02)	2.5 (3.4)		0.14 (0.19)	3.7 (5.0)
		2015+	0.01 (0.02)	0.30 (0.40)		0.14 (0.19)	3.7 (5.0)

		2007-2011	0.01 (0.02)				3.7 (5.0)
	100 <UN-> HP <175	2012-2014	0.01 (0.02)	2.5 (3.4)	3.0 (4.0)	0.14 (0.19)	3.7 (5.0)
	(75 <UN-> KW <130)	2015+	0.01 (0.02)	0.30 (0.40)		0.14 (0.19)	3.7 (5.0)

		2007-2010	0.01 (0.02)		3.0 (4.0)		2.6 (3.5)
	175 <UN-> HP <750	2011-2013	0.01 (0.02)	1.5 (2.0)		0.14 (0.19)	2.6 (3.5)
	(130 <UN-> KW <560)	2014+	0.01 (0.02)	0.30 (0.40)		0.14 (0.19)	2.6 (3.5)

	Maximum
	Engine	Model 
	Power	year(s)	PM	NOx	NMHC+NOx	NMHC	CO

		2007-2010	0.01 (0.02)		4.8 (6.4)		2.6 (3.5)
	750 < HP <UN->1,207	2011-2014	0.02 (0.03)	2.6 (3.5)		0.30 (0.40)	2.6 (3.5)
	(560 < KW <UN->900)	2015+	0.02 (0.03)	0.50 (0.67)		0.14 (0.19)	2.6 (3.5)
	Gen. sets
		2007-2010	0.01 (0.02)		4.8 (6.4)		2.6 (3.5)
	HP > 1,207	2011-2014	0.02 (0.03)	0.50 (0.67)		0.30 (0.40)	2.6 (3.5)
	(KW > 900)	2015+	0.02 (0.03)	0.50 (0.67)		0.14 (0.19)	2.6 (3.5)
	Gen. sets
___________
1. May be subject to additional emission limitations as specified in current district rules, regulations, or policies governing distributed generation.
(4) Emissions Standards: All new stationary prime diesel-fueled CI engines (> 50 bhp) shall meet the applicable emission standards for all pollutants for the model year and maximum horsepower rating as specified in Table 4 Emission Standards for New Stationary Prime Diesel-Fueled CI Engines in effect on the date of acquisition or submittal, as defined in section 93115.4;
(4) New stationary prime diesel-fueled CI engines that are used to provide electricity near the place of use (also known as “distributed generation”) may be subject to additional emission limitations as specified in current district rules, policies, or regulations governing distributed generation;
(5) The District may establish more stringent diesel PM, NMHC+NOx, HC, NOx, and CO emission rate limits on a site-specific basis.
(b) In-Use Stationary Prime Diesel-Fueled CI Engine (>50 bhp) Emission Standards. Except as provided in section 93115.3, no owner or operator shall operate an in-use stationary prime diesel-fueled CI engines (> 50 bhp) in California unless it meets the following requirements (which are summarized in Table 5):

Table 5. Summary of the Emission Standards for In-Use Stationary Prime Diesel-Fueled CI Engines > 50 BHP 
(See section 93115.7(b)(1)) 

	Diesel PM 			Other Pollutants
					
	Diesel PM Standards  			HC, NOx, NMHC+NOx, and CO 
	(g/bhp-hr)			Standards
      Applicability 		Standard 		(g/bhp-hr)

		85% reduction	For engines with emission control strategies not
 		from baseline levels	verified through the verification procedure: 
		(Option 1)	Off-Road CI Engine Certification Standards for an
			off-road engine of the model year and maximum 
			rated power of the engine installed to meet the 
		OR 	applicable PM standard, or Tier 1 standards. 1
 	All off-road certified in-use	 	
	prime engines 		
		0.01 g/bhp/hr	
	  	(Option 2)	
			
		85% reduction 	
		from baseline levels 	        OR 
		(Option 1)	Both (i) and (ii) must be met: 
		
	Only in-use prime engines	OR	(i) No increase in HC or NOx emissions 
	NOT certified in accordance 		above 10% from baseline levels 
	with the Off-Road Compression	0.01 g/bhp/hr 	      OR 
	 Ignition Standards	(Option 2)	No increase in NMHC+NOx emissions
 			above baseline levels 
		OR
			(ii) No increase in CO above 10% from baseline
 		[30% reduction	levels 
		from baseline levels 

		AND 

		0.01 g/bhp-hr by 
		no later than July 1, 2011] 
		(Option 3) 
__________
1. The option to comply with the Tier 1 standards is available only if no off-road engine certification standards have been established for an off-road engine of the same model year and maximum rated power as the new stationary emergency standby diesel-fueled CI engine. 
(1) Diesel PM Standards: All in-use stationary prime diesel-fueled CI engines (> 50 bhp) certified in accordance with the Off-Road Compression- Ignition Engine Standards (title 13, CCR, section 2423) shall comply with either option 1 or option 2 below. All engines not certified in accordance with the Off-Road Compression- Ignition Engine Standards (title 13, CCR, section 2423) shall comply with option 1, option 2, or option 3 below:
(A) Option 1: Reduce the diesel PM emission rate by at least 85 percent, by weight, from the baseline level, in accordance with the appropriate compliance schedule specified in sections 93115.11 and 93115.12;
(B) Option 2: Emit diesel PM at a rate less than or equal to 0.01 g/bhp-hr in accordance with the appropriate compliance schedule as specified in sections 93115.11 and 93115.12;
(C) Option 3: Reduce the diesel PM emission rate by at least 30% from the baseline level, by no later than January 1, 2006, and emit diesel PM at a rate of 0.01 g/bhp-hr or less by no later than July 1, 2011.
(2) Additional Standards: 
Owners or operators that choose to meet the diesel PM limits defined in section 93115.7(b) with emission control strategies that are not verified through the Verification Procedure shall either:
(A) Meet the applicable HC, NOx, NMHC+NOx, and CO standards for off-road engines of the same model year and maximum rated power as specified in the Off-Road Compression-Ignition Engine Standards (title 13, CCR, section 2423). If no standards have been established for an off-road engine of the same model year and maximum rated power as the in-use stationary prime diesel-fueled CI engine, then the in-use stationary prime diesel-fueled CI engine shall meet the Tier 1 standards in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power, irrespective of the new stationary emergency standby diesel-fueled CI engine's model year; or
(B) Not increase CO emission rates by more than 10% above baseline; and
Not increase HC or NOx emission rates by more than 10% above baseline, or
Not increase the sum of NMHC and NOx emission rates above baseline.
(3) The District may establish more stringent diesel PM, NMHC+NOx, HC, NOx, and CO emission rate standards.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsections 93115(e)(2)(C)- (e)(2)(D)3. to new section 93115.7 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Redesignation and amendment of portions of subsection (a) as new subsections (a)(1) and (a)(3), repealer and new subsection (a)(2), subsection renumbering and amendment of newly designated subsection (a)(4) and subsection (b) filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.8. ATCM for Stationary CI Engines -- Emission Standards for Stationary Diesel-Fueled CI Engines (>50 bhp) Used in Agricultural Operations.
Note     •     History

(a) Emission Standards for New Stationary Diesel-Fueled CI Engines (>50 bhp) Used in Agricultural Operations. 
(1) As of January 1, 2005, except as provided in sections 93115.3, 93115.8(a)(1)(A)5., and 93115.8(a)(2), no person shall sell, purchase, or lease for use in California any new stationary diesel-fueled engine to be used in agricultural operations that has a rated brake horsepower greater than 50, or operate any new stationary diesel-fueled engine to be used in agricultural operations that has a rated brake horsepower greater than 50, unless the engine meets all of the following emission performance standards (which are summarized in Table 6.):

Table 6: Summary of the Emission Standards for New Stationary Diesel-Fueled CI Engines > 50 BHP Used In Agricultural Operations (See section 93115.8(a)) 

		Diesel PM 	Other Pollutants 
	Horsepower	Diesel PM Standards	HC, NOx, NMHC+NOx, 
	Range (hp)	(g/bhp-hr)	and CO Standards (g/bhp-hr) 
				
		Less Than or Equal to 0.301

		OR
	All Applications
	Greater Than
	50 But Less	Off-Road CI Engine 
	Than 100,	Certification Standard 
	Other Than	for an off-road engine
	Generator Sets	of the same maximum 
		rated power, whichever is 
		more stringent

		Less Than or Equal to 0.221

		OR
	All Applications		Off-Road CI Engine Certification
	Greater Than		Standard for an off-road
	or Equal to		engine of the model year
	100 But Less 	Off-Road CI Engine	and maximum rated power
	Than 175,	Certification Standard 	of the engine installed
	Other Than	for an off-road engine 	to meet the applicable
	Generator	of the same maximum 	 PM standard, or Tier 1 
	Sets	rated power, whichever is	standards.1 
		more stringent 	  
			
		Less than or Equal to 0.151

	All Applications	
	Greater Than or
	Equal to 175,	OR
	Other Than
	Generator Sets	Off-Road Engine
		Certification Standard
		for an off-road engine
		of the same maximum rated
		power, whichever is more 
		stringent

		Less Than or Equal to 0.151

		OR
	Generator Set
	Engines	Off-Road CI Engine 
	Greater Than	Certification Standard 
	50	for an off-road engine
		of the same maximum 
		rated power, whichever is 
		more stringent.
				
1. Prior to January 1, 2008, these limits shall not apply to engines sold from one agricultural operation to another and funded under State or federal incentive funding programs, as specified in 93115.8(a)(2). 
(A) Diesel PM Standard: 
1. New agricultural stationary diesel-fueled CI engines, used in all agricultural operations except generator set applications with a maximum rated horsepower greater than 50 but less than 100 shall emit no more than 0.30 g/bhp-hr diesel particulate matter (PM) limit or shall meet the standards, as specified in the Off-Road Compression- Ignition Engine Standards for off-road engines of the same maximum rated power (title 13, CCR, section 2423), in effect on the date of acquisition or submittal, as defined in section 93115.4, whichever is more stringent; and
2. New agricultural stationary diesel-fueled CI engines, used in all agricultural operations except generator set applications with a maximum rated horsepower greater than or equal to 100 but less than 175 shall emit no more than 0.22 g/bhp-hr diesel particulate matter (PM) limit or shall meet the standards, as specified in the Off-Road Compression-Ignition Engine Standards for off-road engines of the same maximum rated power (title 13, CCR, section 2423), in effect on the date of acquisition or submittal, as defined in section 93115.4 whichever is more stringent; and
3. New agricultural stationary diesel-fueled CI engines, used in all agricultural operations except generator set applications with a maximum rated horsepower greater than or equal to 175 shall emit no more than 0.15 g/bhp-hr diesel PM or shall meet the standards, as specified in the Off-Road Compression Ignition Engine Standards for off-road engines of the same maximum rated power (title 13, CCR, section 2423), in effect on the date of acquisition or submittal, as defined in section 93115.4, whichever is more stringent; and 
4. New agricultural stationary diesel-fueled CI engines, used in generator set applications with a maximum rated horsepower greater than 50, shall emit no more than 0.15 g/bhp-hr diesel PM, or shall meet the standards, as specified in the Off-Road Compression-Ignition Engine Standards for off-road engines of the same maximum rated power (title 13, CCR, section 2423), in effect on the date of acquisition or submittal, as defined in section 93115.4, whichever is more stringent;
5. On a site-specific basis, a District may extend compliance with sections 93115.8(a)(1)(A)1. through 4. up to four years provided: 
a. The District determines that an engine meeting sections 93115.8(A)1. through 4. would exceed the District's threshold for significant risk pursuant to H&SC section 44391 (AB 2588 “Hot Spots” Program), and 
b. No later than four years after the applicable initial compliance date for sections 93115.8(a)(1)(A)1. through 4., one of the following is installed: 
(i.) an electric motor; 
(ii.) an engine greater than 50 bhp but less than 75 bhp that does not exceed 0.02 g/bhp-hr PM; or
(iii.) an engine greater than 75 bhp that does not exceed 0.01 g/bhp-hr diesel PM. 
(B) NMHC, NOx, and CO Standards: New agricultural stationary diesel-fueled CI engines shall meet the HC, NOx, (or NMHC+NOx, if applicable) and CO standards for off-road engines of the same model year and maximum rated power, as specified in the Off-Road Compression-Ignition Engine Standards (title 13, CCR, section 2423). If no limits have been established for an off-road engine of the same model year and maximum rated power as the new agricultural stationary diesel-fueled CI engine, then the new agricultural stationary diesel-fueled CI engine shall meet the Tier 1 standards in title 13, CCR, section 2423, for an off-road engine of the same maximum rated power, irrespective of the new agricultural diesel-fueled CI engine's model year.
(2) Prior to January 1, 2008, the requirements of section 93115.8(a)(1) shall not apply to any stationary diesel-fueled CI engine that:
(A) is used in agricultural operations; and
(B) was funded under a State or federal incentive funding program;
and
(C) was sold for use in another agricultural operation, provided the stationary diesel-fueled CI engine complies with Tier II Off-Road Compression Ignition Standards for off-road engines of the same maximum rated power (title 13, CCR, section 2423).
For purposes of this section, State or federal incentive funding programs include, but are not limited to, California's Carl Moyer Program, as set forth in title 17, Part 5, Chapter 9 of the California Health and Safety Code, and the U.S. Department of Agriculture's Environmental Quality Incentives Program (EQIP), as set forth in title 7, Chapter XIV, Part 1466 of the Code of Federal Regulations.
(b) Emission Standards for In-Use Stationary Diesel-Fueled CI Engines (>50 bhp) Used in Agricultural Operations. 
(1) Except as provided in sections 93115.3 and 93115.8(b)(5) through (7), no owner or operator shall operate an in-use stationary diesel-fueled CI engine greater than 50 bhp in an agricultural operation in California unless it meets the requirements in sections 93115.8(b)(2) through (4) (which are summarized in Tables 7 and 8): 

Table 7: Emission Standards
Noncertified Greater than 50 BHP In-Use Stationary
Diesel-Fueled Engines Used in Agricultural Operations
See sections 93115.8(b)(2) and (4)

Horsepower	Application	Compliance	Diesel PM	HC, NOx,
Range				NMHC+NOx, and
(hp)				CO
		On or After	Not to Exceed	Not to Exceed
		December 31	(g/bhp-hr)	(g/bhp-hr)

						Greater Than 50	Generator Sets	2015	0.02	Off-Road CI
But Less Than 75	All Other	2011	0.30	Engine
	Applications			Certification
				Standards for an
Greater Than or	Generator Sets	2015	0.01	off-road engine
Equal to 75 But	All Other	2011	0.30	of the model year
Less Than 100	Applications			and maximum
				rated power of
Greater Than or	Generator Sets	2015	0.01	the engine
Equal to 100 But	All Other	2010	0.22	installed to meet
Less Than 175	Applications			the applicable
				PM standard.1
Greater Than or	All Applications	2010	0.15	
Equal to 175 But				

Less Than or				
Equal to 750
Greater Than 750	All Applications	2014	0.075
__________
1. If no limits have been established for an off-road engine of the same model year and maximum rated power, then the in-use stationary diesel-fueled engine used in an agricultural operation shall not exceed Tier 1 standards in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power irrespective of model year. 

Table 8: Emission Standards
Tier 1- and Tier 2-Certified Greater than 50 BHP In-Use Stationary
Diesel-Fueled Engines Used in Agricultural Operations
See sections 93115.8(b)(3) and (4)

Horsepower Range	Compliance	Diesel PM	HC, NOx,
(hp)			NMHC+NOx, and CO
	On or After	Not to Exceed	Not to Exceed
	December 31	(g/bhp-hr)	(g/bhp-hr)

Greater Than 50 But	2015 or 12 years after	0.02	Off-Road CI Engine
Less Than 75	the date of initial		Certification
	installation, whichever		Standards for an
	is later		off-road engine of the
			model year and
Greater Than or Equal	2015 or 12 years after	0.01	maximum rated power
to 75 But Less Than	the date of initial		of the engine installed
175	installation, whichever		to meet the applicable
	is later		PM standard.1
			
Greater Than or Equal	2014 or 12 years after	0.01	
to 175 But Less Than	the date of initial
or Equal to 750	installation, whichever
	is later
Greater Than 750	2014 or 12 years after	0.075
	the date of initial
	installation, whichever
	is later
__________
1. If no limits have been established for an off-road engine of the same model year and maximum rated power, then the in-use stationary diesel-fueled engine used in an agricultural operation shall not exceed Tier 1 standards in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power irrespective of model year. 
(2) Diesel PM Standards for Noncertified In-use Stationary Diesel-fueled CI Engines Used in Agricultural Operations (except as provided in section 93115.3): 
(A) On or after December 31, 2015, no owner or operator shall operate any greater than 50 but less than 75 bhp noncertified stationary diesel-fueled generator set engine used in an agricultural operation unless such generator set engine's diesel PM emissions do not exceed 0.02 g/bhp-hr. 
(B) On or after December 31, 2015, no owner or operator shall operate any greater than or equal to 75 but less than 175 bhp noncertified stationary diesel-fueled generator set engine used in an agricultural operation unless such generator set engine's diesel PM emissions do not exceed 0.01 g/bhp-hr. 
(C) On or after December 31, 2011, no owner or operator shall operate any greater than 50 but less than 75 bhp noncertified stationary diesel-fueled engine (other than a generator set engine) used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.30 g/bhp-hr. 
(D) On or after December 31, 2011, no owner or operator shall operate any greater than or equal to 75 but less than 100 bhp noncertified stationary diesel-fueled engine (other than a generator set engine) used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.30 g/bhp-hr. 
(E) On or after December 31, 2010, no owner or operator shall operate any greater than or equal to 100 but less than 175 bhp noncertified stationary diesel-fueled engine (other than a generator set engine) used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.22 g/bhp-hr. 
(F) On or after December 31, 2010, no owner or operator shall operate any greater than or equal to 175 through 750 bhp noncertified stationary diesel-fueled engine used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.15 g/bhp-hr. 
(G) On or after December 31, 2014, no owner or operator shall operate any greater than 750 bhp noncertified stationary diesel-fueled engine used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.075 g/bhp-hr. 
(3) Diesel PM Standards for Tier 1- and Tier 2-Certified In-use Stationary Diesel-fueled Engines Used in Agricultural Operations (except as provided in section 93115.3): 
(A) On or after December 31, 2015, or 12 years after the date of initial installation, whichever is later, no owner or operator shall operate any greater than 50 but less than 75 bhp Tier 1- or Tier 2-certified stationary diesel-fueled engine used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.02 g/bhp-hr. 
(B) On or after December 31, 2015, or 12 years after the date of initial installation, whichever is later, no owner or operator shall operate any greater than or equal to 75 but less than 175 bhp Tier 1- or Tier 2-certified stationary diesel-fueled engine used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.01 g/bhp-hr. 
(C) On or after December 31, 2014, or 12 years after the date of initial installation, whichever is later, no owner or operator shall operate any greater than or equal to 175 through 750 bhp Tier 1- or Tier 2-certified stationary diesel-fueled engine used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.01 g/bhp-hr. 
(D) On or after December 31, 2014 or 12 years after the date of initial installation, whichever is later, no owner or operator shall operate any greater than 750 bhp Tier 1- or Tier 2-certified stationary diesel-fueled engine used in an agricultural operation unless such engine's diesel PM emissions do not exceed 0.075 g/bhp-hr. 
(4) HC, NOx, NMHC+NOx, and CO Standards: An agricultural engine shall not exceed the HC, NOx (or NMHC+NOx, if applicable) and CO standards for off-road engines of the same model year and maximum rated power, as specified in the Off-Road CI Engine Standards (title 13, CCR, section 2423). If no limits have been established for an off-road engine of the same model year and maximum rated power, then the in-use stationary diesel-fueled engine used in an agricultural operation shall not exceed Tier 1 standards in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power irrespective of model year. 
(5) The Executive Officer may extend the compliance dates in sections 93115.8(b)(1) through (4) up to one year, provided that verifiable information shows new engine packages for stationary diesel engine applications are not available in sufficient numbers or in a sufficient range of makes, models, and sizes to replace in-use stationary diesel agricultural engines. 
(6) On a site-specific basis, a District may extend compliance dates in sections 93115.8(b)(1), (2), and (4) up to four years provided: 
(A) A District determines that an engine meeting section 93115.8(b)(2) would exceed a District's threshold for significant risk pursuant to H&SC section 44391 (AB 2588 “Hot Spots” Program), and 
(B) No later than four years after the applicable initial compliance date for section 93115.8(b)(2), one of the following is installed: 
1. an electric motor; 
2. an engine greater than 50 bhp but less than 75 bhp that does not exceed 0.02 g/bhp-hr PM; or
3. an engine greater than 75 bhp that does not exceed 0.01 g/bhp-hr diesel PM. 
(7) A District may: 
(A) Allow an owner or operator up to two additional years to comply with sections 93115.8(b)(1) through (4), provided at least 60 days prior to the applicable compliance date or dates, the owner or operator submits to the District Air Pollution Control Officer documentation demonstrating that an affected engine or engines shall be replaced with an electric motor or electric motors within two years. Documentation for each engine replaced shall include identification of the engine, the purchasing agreement for the electric motor, and a copy of an agreement with a utility distribution company to provide electricity if electricity is not already available for electric motor operation. 
(B) Establish more stringent diesel PM, NMHC+NOx, HC, NOx, and CO emission limits, emission limit compliance dates, or other requirements. 
(c) Registration Requirements for Greater than 50 bhp Stationary Diesel-Fueled CI Agricultural Engines. 
(1) Registration Submittal. Except as provided in section 93115.2(a), the owner or operator of a greater than 50 bhp stationary diesel-fueled CI agricultural engine or engines shall submit the registration information specified in section (c)(2) below to the District according to the following schedule: 
(A) For each in-use stationary diesel-fueled CI agricultural engine, no later than March 1, 2008; 
(B) For each new stationary diesel-fueled CI agricultural engine installed on or after March 1, 2008, no later than 90 days after the date of initial installation; and 
(C) For each new stationary diesel-fueled CI agricultural engine installed on or after January 1, 2005, but before March 1, 2008, within 90 days after initial installation or the effective date of amendments adding section 93115.8(c) to the ATCM, whichever is later. 
(2) Registration Information. 
(A) At minimum, the owner or operator shall submit the following information for each greater than 50 bhp stationary diesel-fueled CI agricultural engine: 
1. Date of registration application submittal; 
2. Name, title (as applicable), and signature of person submitting the registration application; 
3. Name, address, mailing address (if differs from address), and telephone number of the engine owner and of the operator, if the owner is not also the operator; 
4. Date of installation or anticipated installation; 
5. Year of manufacture or approximate age, if unable to determine year of manufacture; 
6. Make; 
7. Model; 
8. Serial number; 
9. Maximum rated brake horsepower; 
10. Certification status with respect to Off-Road CI Engine Certification Standards (title 13, CCR, section 2413) (if available) 
11. Estimated annual average operating hours; 
12. Fuels Used; 
13. Estimated annual average gallons of each fuel used, if alternative diesel fuels are used; 
14. Location including, but not limited to, one of the following: latitude and longitude, universal trans meridian (UTM) coordinates, global positioning satellite data (GPS), address, town and nearest cross streets, parcel or plot number/designation, or other description that clearly identifies the location of the engine; and 
15. For an engine located within one-quarter mile of (1,320 feet) of a residential area, school, or hospital: 
a. Distance (in meters or feet) from engine to residential area, school, or hospital; 
b. Direction from engine to residential area, school, or hospital; 
c. Location of engine and residential area, school, or hospital including one or more of the following for each: latitude and longitude, universal trans meridian (UTM) coordinates, global positioning satellite data (GPS), address, town and nearest cross streets. 
(B) Any additional information required to evaluate the section 93115.3(a) exemption of an agricultural emergency standby generator set engine or a remotely-located agricultural engine from the requirements of section 93115.8(b). 
(3) The owner or operator of a stationary diesel-fueled CI agricultural engine registered under section 93115.8(c)(1) shall notify the District in writing no later than 14 days after any change of owner or operator, change in location, installation or commencement of an emissions control strategy, or replacement with an electric motor or noncompression ignition engine. 
(4) A District may provide stationary diesel-fueled CI agricultural engine owners and operators with alternatives to section 93115.8(c)(1) through (3) requirements, provided the Executive Officer finds such alternatives to be equivalent to sections 93115.8(c)(1) through (3). 
(5) Upon written request by the Executive Officer, an APCO shall provide to the Executive Officer a written report of information gathered under sections 93115.8(c)(1) through (4). 
(d) Fee Requirements for Greater than 50 bhp Stationary Diesel-Fueled CI Agricultural Engine Owners or Operators. 
The owner or operator of a greater than 50 bhp stationary diesel-fueled CI agricultural engine or engines shall pay any fees assessed by the District for the purpose of recovering the District's cost of implementing and enforcing section 93115.8 requirements, including section 93115.8(c) requirements. 
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering of former subsections 93115(e)(2)(E)-(F) to new section 93115.8, including repealer of subsection (e)(2)(F) and its subdivisions and amendment of section, filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Editorial correction of subsection (b)(1) (Register 2011, No. 20). 
3. Amendment of subsections (a)(1) and (b)(1) filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.9. ATCM for Stationary CI Engines -- Emission Standards for New Stationary Diesel-Fueled Engines, Less Than or Equal to 50 Brake Horsepower (<50 bhp).
Note     •     History

a. As of January 1, 2005, and prior to May 19, 2011, except as provided in section 93115.3, no person shall sell, offer for sale, or lease for use in California any stationary diesel-fueled CI engine that has a rated brake horsepower less than or equal to 50, unless the engine meets the current Off-Road Compression- Ignition Engine Standards (title 13, CCR, section 2423) for PM, NMHC+NOx, and CO for diesel off-road engines of the same maximum rated power.
b. As of the 19th of May, 2011, except as provided in section 93115.3, no person shall sell, offer for sale, or lease for use in California any stationary diesel-fueled CI engine that has a rated brake horsepower less than or equal to 50 hp unless the stationary diesel-fueled CI engine meets the following applicable emission standards for the same maximum rated power and operation.
1. New Prime Engines and New Emergency Standby Engines (less than 25 hp):
(A) shall meet the current Off-Road Compression Ignition Engine Standards (title 13, CCR, section 2423) for PM, NMHC+NOx, and CO.
2. New Emergency Standby Engines greater than or equal to 25 bhp but less than 50 hp:
(B) Shall meet the tier 4 interim Off-Road Compression Ignition Engine Standards (title 13, CCR, section 2423) for PM, NMHC+NOx, and CO.
3. New Direct-Drive Fire Pump Engines
(A) As of the 19th of May, 2011, except as provided in section 93115.3, no person shall sell, offer for sale, or lease for use in California any new stationary direct-drive emergency standby diesel-fueled fire pump engine with a maximum rated brake horsepower less than or equal to 50 hp unless it meets the requirements in 40 CFR, PART 60.4202, Standards of Performance for Stationary Compression Ignition Internal Combustion Engines (2006). 
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering of amendment of former subsection 93115(e)(3) to new section 93115.9 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Amendment filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.10. ATCM for Stationary CI Engines -- Recordkeeping, Reporting, and Monitoring Requirements.
Note     •     History

(a) Reporting Requirements for Owners or Operators of New and In-Use Stationary CI Engines, Including Non-Diesel-Fueled CI Engines, Having a Rated Horsepower Greater than 50 (> 50 bhp). 
(1) Except as provided in section 93115.3 and section 93115.10(a)(5) below, prior to the installation of any new stationary CI engine (> 50 bhp) at a facility, each owner or operator shall provide the information identified in section 93115.10(a)(3) to the District APCO.
(2) Except as provided in section 93115.3 and section 93115.10(a)(5) below, no later than July 1, 2005, each owner or operator of an in-use stationary CI engine (>50 bhp) shall provide the information specified in section 93115.10(a)(3) to the District APCO.
(3) Each owner or operator shall submit to the District APCO the following information for each new and in-use stationary CI engine (>50 bhp) in accordance with the requirements of sections 93115.10(a)(1) and (2) above:
(A) Owner/Operator Contact Information
1. Company name
2. Contact name, phone number, address, e-mail address 
3. Address of engine(s)
(B) Engine Information
1. Make,
2. Model,
3. Engine Family,
4. Serial number,
5. Year of manufacture (if unable to determine, approximate age),
6. Rated Brake Horsepower Rating,
7. Exhaust stack height from ground,
8. Engine Emission Factors and supporting data for PM, NOx and NMHC separately or NMHC+NOx, and CO, (if available) from manufacturers data, source tests, or other sources (specify),
9. Diameter of stack outlet,
10. Direction of outlet (horizontal or vertical),
11. End of stack (open or capped), 
12. Control equipment (if applicable) 
a. Turbocharger,
b. Aftercooler,
c. Injection Timing Retard, 
d. Catalyst,
e. Diesel Particulate Filter, 
f. Other;
(C) Fuel(s) Used
1. CARB Diesel,
2. Jet fuel,
3. Diesel,
4. Alternative diesel fuel (specify), 
5. Alternative fuel (specify),
6. Combination (Dual fuel) (specify), 
7. Other (specify);
(D) Operation Information, including: 
1. Describe general use of engine,
2. Typical load (percent of maximum bhp rating),
3. Typical annual hours of operation,
4. If seasonal, months of year operated and typical hours per month operated,
5. Fuel usage rate (if available);
(E) Receptor Information, including: 
1. Nearest receptor description (receptor type),
2. Distance to nearest receptor (feet or meters),
3. Distance to nearest school grounds;
(F) A statement whether the engine is included in an existing AB 2588 emission inventory.
(4) Except as provided in section 93115.3, no later than 180 days prior to the earliest applicable compliance date specified in sections 93115.11 or 93115.12, each owner or operator of an in-use stationary diesel-fueled CI engine greater than 50 brake horsepower (> 50 bhp) shall provide the following additional information to the District APCO: an identification of the control strategy for each stationary diesel-fueled CI engine that when implemented will result in compliance with sections 93115.6 and 93115.7. If applicable, the information should include the Executive Order number issued by the Executive Officer for a Diesel Emission Control Strategy that has been approved by the Executive Officer through the Verification Procedure.
(5) An APCO may exempt the owner or operator from providing all or part of the information identified in sections 93115.10(a)(3) or (4) if there is a current record of the information in the owner or operator's permit to operate, permit application, District registration program, or other District records.
(6) Upon written request by the Executive Officer, an APCO shall provide to the Executive Officer a written report of all information identified in sections 93115.10(a)(3) and (4).
(b) Demonstration of Compliance with Emission Limits. 
(1) Prior to the installation of a new stationary diesel-fueled CI engine at a facility, the owner or operator of the new stationary diesel-fueled CI engine(s) subject to the requirements of section 93115.6(a)(3), 93115.6(a)(4), 93115.6(c)(1)(C), and 93115.7(a)(1) shall provide emission data to the District APCO in accordance with the requirements of section 93115.13 for purposes of demonstrating compliance.
(2) By no later than the earliest applicable compliance date specified in sections 93115.11 or 93115.12, the owner or operator of an in-use stationary diesel-fueled CI engine(s) subject to the requirements of section 93115.6(b)(3), 93115.6(c)(2)(C), or 93115.7(b)(1) shall provide emissions and/or operational data to the District APCO in accordance with the requirements of section 93115.13 for purposes of demonstrating compliance.
(c) Notification of Loss of Exemption. 
(1) Owners or operators of in-use stationary diesel-fueled CI engines, who are operating under an exemption specified in sections 93115.3 or 93115.8(a)(2) from all or part of the requirements of sections 93115.6, 93115.7, or 93115.8 shall notify the District APCO within five days after they become aware that the exemption no longer applies and shall demonstrate compliance with the applicable requirements of:
(A) section 93115.6 or 93115.7, no later than 180 days after the date the exemption no longer applies; or 
(B) section 93115.8, no later than 18 months after the date the exemption no longer applies or no later than 18 months after the emission standard compliance date set forth in section 93115.8, whichever is later. 
(2) A District APCO shall notify owners or operators of in-use stationary diesel-fueled CI engines, operating under an exemption specified in section 93115.3(g) from the requirements of section 93115.5 and sections 93115.6, 93115.7, or 93115.8, when the exemption no longer applies and the owner or operator shall demonstrate compliance with the applicable requirements of
(A) section 93115.5, 93115.6, or 93115.7, no later than 180 days after notification by the District APCO; or 
(B) section 93115.8, no later than 18 months after notification by the District APCO or no later than 18 months after the emission standard compliance date set forth in section 93115.8, whichever is later. 
(3) An owner or operator of an in-use stationary diesel-fueled CI engine(s) subject to the requirements of sections 93115.6, 93115.7, or 93115.8 shall provide emissions data to the District APCO in accordance with the requirements of section 93115.13 for purposes of demonstrating compliance pursuant to section 93115.10(d)(1) or (2).
(d) Monitoring Equipment. 
(1) A non-resettable hour meter with a minimum display capability of 9,999 hours shall be installed upon engine installation, or by no later than January 1, 2005, on all engines subject to all or part of the requirements of sections 93115.6, 93115.7, or 93115.8(a) unless the District determines on a case-by-case basis that a non-resettable hour meter with a different minimum display capability is appropriate in consideration of the historical use of the engine and the owner or operator's compliance history.
(2) All DPFs installed pursuant to the requirements in sections 93115.6, 93115.7, or 93115.8(a) must, upon engine installation or by no later than January 1, 2005, be installed with a backpressure monitor that notifies the owner or operator when the high backpressure limit of the engine is approached.
(3) The District APCO may require the owner or operator to install and maintain additional monitoring equipment for the particular emission control strategy(ies) used to meet the requirements of sections 93115.6, 93115.7, or 93115.8(a).
(e) Reporting Provisions for Exempted Agricultural Emergency, Prime, and Nonagricultural Emergency Engines. 
An owner or operator of an agricultural emergency standby generator set engine subject to section 93115.3(a) or an engine subject to sections 93115.3(d) or 93115.3(j) shall keep records of the number of hours the engines are operated on a monthly basis. Such records shall be retained for a minimum of 36 months from the date of entry. Record entries made within 24 months of the most recent entry shall be retained on-site, either at a central location or at the engine's location, and made immediately available to the District staff upon request. Record entries made from 25 to 36 months from the most recent entry shall be made available to District staff within 5 working days from the district's request.
(f) Reporting Requirements for Emergency Standby Engines. 
(1) Starting January 1, 2005, each owner or operator of an emergency standby diesel-fueled CI engine shall keep records and prepare a monthly summary that shall list and document the nature of use for each of the following:
(A) emergency use hours of operation;
(B) maintenance and testing hours of operation;
(C) hours of operation for emission testing to show compliance with sections 93115.6(a)(3) and 93115.6(b)(3);
(D) initial start-up testing hours;
(E) if applicable, hours of operation to comply with the requirements of NFPA 25;
(F) hours of operation for all uses other than those specified in sections 93115.10(g)(1)(A) through (D) above; and
(G) if applicable, DRP engine hours of operation, and 
(F) the fuel used. 
1. For engines operated exclusively on CARB Diesel Fuel, the owner or operator shall document the use of CARB Diesel Fuel through the retention of fuel purchase records indicating that the only fuel purchased for supply to an emergency standby engine was CARB Diesel Fuel; or 
2. For engines operated on any fuel other than CARB Diesel Fuel, fuel records demonstrating that the only fuel purchased and added to an emergency standby engine or engines, or to any fuel tank directly attached to an emergency standby engine or engines, meets the requirements of section 93115.5(b).
(2) Records shall be retained for a minimum of 36 months. Records for the prior 24 months shall be retained on-site, either at a central location or at the engine's location, or at an offsite central location within California, and shall be made immediately available to the District staff upon request. Records for the prior 25 to 36 months shall be made available to District staff within 5 working days from request.
(g) Reporting Requirements for the San Diego Gas and Electric Company Regarding the RBRP. 
(1) The San Diego Gas and Electric Company shall provide to the San Diego County Air Pollution Control District the following information, by January 31, 2005, to the extent the District does not already have the information:
(A) For each diesel-fueled engine enrolled in the RBRP:
1. Owner's Company Name (if applicable);
2. Contact name, phone number, e-mail address;
3. Load reduction capacity of engine, which is the rated brake horsepower expressed in megawatts (megawatts); and
4. Model year and engine manufacturer;
5. Annual hours of operation engine under DRP and emergency use; and
6. Diesel PM emission rate of the engine (g/bhp-hr);
(B) The San Diego Gas and Electric Company shall update the information identified in section 93115.10 (g)(1)(A) annually as necessary to reflect the current inventory of RBRP engines and provide a complete and updated inventory/information to the SDAPCD and the Executive Office no later than 90 days after December 31st, of any given year thereafter.
1. The Executive Officer shall evaluate the submitted inventory and information annually to determine whether any subsequent year's submittal is necessary.
2. If the Executive Officer determines a submittal is not necessary for any subsequent year, the Executive Officer will notify San Diego Gas and Electric Company by December 31st of any given year of such determination.
(2) The San Diego Gas and Electric Company shall provide the San Diego County Air Pollution Control District with an environmental dispatch protocol for the RBRP that meets all of the following requirements:
(A) The protocol shall require the San Diego Gas and Electric Company to dispatch engines in an order that protects public health, with consideration given to factors including, but not limited to, diesel PM emission rate, location, and other factors to be determined by the District; and
(B) The protocol shall require the San Diego Gas and Electric Company to identify and report to the District the specific engines called for dispatch within 1 day of the dispatch; and
(C) The protocol shall require the San Diego Gas and Electric Company to report the following information to the District, within 30 days of the dispatch:
1. Identification of engine dispatched;
2. Load capacity of engine dispatched;
3. Cumulative total of load capacity of engines dispatched (megawatts); and
4. Cumulative total of diesel PM emission rate of engines dispatched (g/hr).
(D) Within 30 calendar days of receiving the environmental dispatch protocol, or a time period mutually agreed by the parties, the District APCO shall approve or disapprove the protocol.
(h) Additional Reporting Requirements for the Stationary Emergency Standby Diesel-Fueled CI Engines Used To Fulfill the Requirements of an Interruptible Service Contract (ISC). 
(1) The owner or operator of an ISC engine shall provide to the District the following information, as necessary to the extent the District does not already have the information:
(A) For each diesel-fueled engine enrolled in the ISC:
1. Owner's Company Name (if applicable);
2. Contact name, phone number, e-mail address; and 
3. Model year and engine manufacturer;
4. Annual hours of operation engine under ISC and emergency use; and
5. Diesel PM emission rate of the engine (g/bhp-hr).
(2) The owner or operator shall update the information identified in section 93115.10(h)(1)(A) as necessary to reflect the current inventory of ISC engines and shall provide a complete and updated inventory/information annually to the District and Executive Officer no later than 90 days after December 31st of any given year thereafter.
(A) The Executive Officer shall evaluate the submitted inventory and information annually to determine whether any subsequent year's submittal is necessary.
(B) If the Executive Officer determines a submittal is not necessary for any subsequent year, the Executive Officer will notify the owner or operator by December 31st of any given year of such determination.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(e)(4) and its subdivisions to new section 93115.10 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Change without regulatory effect redesignating subsection (c)(3) as subsection (c)(2) filed 4-21-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 17).
3. Amendment filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.11. ATCM for Stationary CI Engines -- Compliance Schedule for Owners or Operators of Three or Fewer Engines (>50 bhp) Located Within a District.
Note     •     History

(a) All owners and operators of three or fewer engines located within a District, who will meet the requirements of sections 93115.6(b) solely by maintaining or reducing the current annual hours of operation for maintenance and testing, shall be in compliance with the annual hours of operation limits beginning January 1, 2006.
(b) All owners and operators of three or fewer engines located within a District, which are not in compliance with section 93115.11(a) but are required to meet the requirements of sections 93115.6(b) or 93115.7(b), shall comply with section 93115.6(b) or 93115.7(b), whichever applies, according to the following schedule:
(1) All pre-1989 through 1989 model year engines, inclusive, shall be in compliance by no later than January 1, 2006;
(2) All 1990 through 1995 model year engines, inclusive, shall be in
compliance by no later than January 1, 2007; and
(3) All 1996 and later model year engines shall be in compliance by no later than January 1, 2008.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(f) and its subdivisions to new section 93115.11 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93115.12. ATCM for Stationary CI Engines -- Compliance Schedule for Owners or Operators of Four or More Engines (>50 bhp) Located Within a District.
Note     •     History

(a) All owners and operators of four or more engines located within a District, who will meet the requirements of sections 93115.6(b) solely by maintaining or reducing the current annual hours of operation for maintenance and testing, shall be in compliance with the annual hours of operation limits beginning January 1, 2006.
(b) All owners and operators of four or more engines located within a District, who are not in compliance with section 93115.12(a) but are required to meet the requirements of sections 93115.6(b) or 93115.7(b), shall comply with sections 93115.6(b) or 93115.7(b), whichever applies, according to the following schedule:

	Pre-1989 Through 1989 Model Year Engines, Inclusive
	
	Percent of Engines	Compliance date
	
	50% 	January 1, 2007 
	75% 	January 1, 2008 
	100% 	January 1, 2009 
	
	1990 through 1995 Model Year Engines, Inclusive
	
	Percent of Engines	Compliance date
	
	30% 	January 1, 2007 
	60% 	January 1, 2008 
	100%	 January 1, 2009 

	1996 and Later Model Year Engines
	
	Percent of Engines	Compliance date
	
	50% 	January 1, 2008 
	100% 	January 1, 2009 
	
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(g) and its subdivisions to new section 93115.12 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93115.13. ATCM for Stationary CI Engines -- Compliance Demonstration.
Note     •     History

(a) Upon approval by the District APCO, the following sources of data may be used in whole or part to demonstrate compliance with the emissions standards or requirements of sections 93115.6 through 93115.9:
(1) off-road engine certification test data for the stationary diesel-fueled CI engine,
(2) engine manufacturer test data,
(3) emissions test data from a similar engine,
(4) emissions test data used in meeting the requirements of the Verification Procedure for the emission control strategy implemented, or
(5) An alternative compliance demonstration as described in section 93115.13(f). 
(b) Emissions testing of a stationary diesel-fueled CI engine, for purposes of showing compliance with the requirements of sections 93115.6 through 93115.9, shall be done in accordance with the methods specified in section 93115.14.
(c) For purposes of emissions testing, the particulate matter (PM) emissions from a dual-fueled stationary CI engine, which uses as its fuel a mixture of diesel fuel and other fuel(s), shall be deemed to be 100% diesel PM.
(d) Emissions testing for the purposes of determining the percent change from baseline shall include baseline and emission control strategy testing subject to the following conditions:
(1) Baseline testing may be conducted with the emission control strategy in place, provided the test sample is taken upstream of the emission control strategy and the presence of the emission control strategy is shown to the District APCO's satisfaction as having no influence on the emission test results;
(2) Control strategy testing shall be performed on the stationary diesel-fueled CI engine with full implementation of the emission control strategy; 
(3) The percent change from baseline shall be calculated as the baseline emissions minus control strategy emissions, with the difference being divided by the baseline emissions and the result expressed as a percentage; and
(4) The same test method shall be used for determining both baseline emissions and control strategy emissions.
(e) Emission testing for the purposes of demonstrating compliance with an emission level shall be performed on the stationary diesel-fueled CI engine with the emission control strategy fully implemented.
(f) Alternative Compliance Demonstration: The owner or operator of a new or in-use stationary diesel-fueled CI engine greater than 50 bhp may demonstrate compliance with the 0.01 g/bhp-hr PM emission standard of sections 93115.6 through 93115.9 by using one of the following: 
(1) A Level 3 Verified Diesel Emission Control Strategy in combination with a certified CI engine that meets the 0.15 g/bhp-hr PM emission standard, or 
(2) An 85 percent PM emission reduction control strategy in combination with a certified CI engine that meets 0.15 g/bhp-hr PM emission standard, or 
(3) A certified CI engine that meets the 0.15 g/bhp-hr PM emission standard in combination with one of the emission control strategies identified in section 93115.13(f)(1) or (f)(2) and meets the requirements of  section 93115.3(u), or
(4) Off-road CI equipment manufactured in compliance with the Transitional Implementation Flexibility Provisions for Equipment Manufacturers specified in title 13, CCR, section 2423(d); title 40 CFR, section 89.102(d); or title 40, CFR, section 1039.625 in combination with one of the emission control strategies  identified in sections 93115.13(f)(1) or (f)(2) provided the CI engine meets the 0.15 g/bhp-hr PM emission standard, or
(5) A certified CI engine in an engine family identified by the manufacturer to participate in the averaging, banking, or trading program for that model year in compliance with the applicable subparts of title 40, CFR, section 89; title 40, CFR, section 1039; or title 13, CCR, section 2423(b)(2), provided the CI engine meets the 0.15 g/bhp-hr PM emission standard and is used in combination with one of the emission control strategies identified in sections 93115.13(f)(1) or (f)(2), or 
(6) A Tier 4 certified CI engine or a new piece of equipment identified in section (f)(4) that emits no more than 0.015 g/bhp-hr PM.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(h) and its subdivisions to new section 93115.13 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
2. Amendment of subsection (a)(3) filed 5-19-2011; operative 5-19-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 20). 
§93115.14. ATCM for Stationary CI Engines -- Test Methods.
Note     •     History

(a) The following test methods shall be used to determine diesel PM, HC, NOx, CO and NMHC emission rates:
(1) Diesel PM emission testing shall be done in accordance with one of the following methods:
(A) California Air Resources Board Method 5 (ARB Method 5), “Determination of Particulate Matter Emissions from Stationary Sources,” as amended July 28, 1997, which is incorporated herein by reference.
1. For purposes of this section, diesel PM shall be measured only by the probe catch and filter catch and shall not include PM captured in the impinger catch or solvent extract.
2. The tests are to be carried out under steady state operation. Test cycles and loads shall be in accordance with ISO-8178 Part 4 or alternative test cycle approved by the District APCO.
3. The District APCO may require additional engine or operational duty cycle data if an alternative test cycle is requested; or
(B) International Organization for Standardization (ISO) 8178 Test procedures: ISO 8178-1:1996(E) (“ISO 8178 Part 1”) ISO 8178-2: 1996(E) (“ISO 8178 Part 2”); and ISO 8178-4:1996(E) (“ISO 8178 Part 4”), which are incorporated herein by reference; or
(C) Title 13, California Code of Regulations, section 2423, “Exhaust Emission Standards and Test Procedures - Off-Road Compression Ignition Engines,” which is incorporated herein by reference.
(2) NOx, CO and HC emission testing shall be done in accordance with one of the following methods:
(A) California Air Resources Board Method 100 (ARB Method 100), “Procedures for Continuous Gaseous Emission Stack Sampling,” as amended July 28, 1997, which is incorporated herein by reference.
1. Tests using ARB Method 100 shall be carried out under steady state operation. Test cycles and loads shall be in accordance with ISO-8178 Part 4 or alternative test cycle approved by the District APCO.
2. The District APCO may require additional engine or operational duty cycle data if an alternative test cycle is requested; or
(B) International Organization for Standardization (ISO) 8178 Test procedures: ISO 8178-1:1996(E) (“ISO 8178 Part 1”) ISO 8178-2: 1996(E) (“ISO 8178 Part 2”); and ISO 8178-4:1996(E) (“ISO 8178 Part 4”), which are incorporated herein by reference; or
(C) Title 13, California Code of Regulations, section 2423, “Exhaust Emission Standards and Test Procedures - Off-Road Compression Ignition Engines,” which is incorporated herein by reference.
(3) NMHC emission testing shall be done in accordance with one of the following methods:
(A) International Organization for Standardization (ISO) 8178 Test procedures: ISO 8178-1:1996(E) (“ISO 8178 Part 1”) ISO 8178-2:1996(E) (“ISO 8178 Part 2”); and ISO 8178-4:1996(E) (“ISO 8178 Part 4”), which are incorporated herein by reference; or
(B) Title 13, California Code of Regulations, section 2423, “Exhaust Emission Standards and Test Procedures - Off-Road Compression Ignition Engines,” which is incorporated herein by reference.
(b) The District APCO may approve the use of alternatives to the test methods listed in section 93115.14(a), provided the alternatives are demonstrated to the APCO's satisfaction as accurate in determining the emission rate of diesel PM, HC, NOx, NMHC, or CO.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code. 
HISTORY

1. Renumbering and amendment of former subsection 93115(i) and its subdivisions to new section 93115.14 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93115.15. ATCM for Stationary CI Engines -- Severability.
Note     •     History

Each part of this ATCM shall be deemed severable, and in the event that any part of this ATCM is held to be invalid, the remainder of this ATCM shall continue in full force and effect.
NOTE

Authority cited: Sections 39600, 39601, 39658, 39659, 39666, 41511 and 43013, Health and Safety Code. Reference: Sections 39002, 39650, 39658, 39659, 39666, 40000, 41511 and 43013, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former subsection 93115(j) to new section 93115.15 filed 9-18-2007; operative 10-18-2007 (Register 2007, No. 38).
§93116. Purpose.
Note     •     History

The purpose of this airborne toxic control measure (ATCM) is to reduce diesel particulate matter (PM) emissions from portable diesel-fueled engines having a rated brake horsepower of 50 and greater (> 50 bhp). 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41752, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39666 and 41752, Health and Safety Code. 
HISTORY

1. New section filed 2-9-2005; operative 3-11-2005 (Register 2005, No. 6).
§93116.1. Applicability.
Note     •     History

(a) Except as provided below, all portable engines having a maximum rated horsepower of 50 bhp and greater and fueled with diesel are subject to this regulation. 
(b) The following portable engines are not subject to this regulation: 
(1) Any engine used to propel mobile equipment or a motor vehicle of any kind; 
(2) Any portable engine using an alternative fuel; 
(3) Dual-fuel diesel pilot engines that use an alternative fuel or an alternative diesel fuel; 
(4) Tactical support equipment; 
(5) Portable diesel-fueled engines operated on either San Clemente or San Nicolas Island; 
(6) Engines preempted from State regulation under 42 USC §7543(e)(1);
(7) Portable diesel-fueled engines operated at airports that satisfy the following requirements: 
(A) the equipment is subject to the South Coast Ground Service Equipment Memorandum of Understanding (MOU); and 
(B) the participating airlines have demonstrated to the satisfaction of the Executive Officer that the diesel PM reductions achieved by satisfying the requirements of the MOU are equivalent to the reductions achieved by this control measure. 
(8) Engines used exclusively on cranes shall meet all applicable requirements in title 13, Cal. Code Regs., commencing with section 2449;
(9) Engines used exclusively on street sweepers that are not subject to title 13, Cal. Code Regs., section 2022, shall meet all applicable requirements in title 13, Cal. Code Regs., commencing with section 2025; 
(10) Engines used exclusively on two-engine water well drilling rigs as defined in title 13, Cal. Code Regs., section 2449(c), shall meet all applicable requirements in title 13, Cal. Code Regs., commencing with section 2449; and
(11) Engines used exclusively on dedicated snow removal vehicles as defined in title 13, Cal. Code Regs., section 2449(c).
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41752, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39666 and 41752, Health and Safety Code. 
HISTORY

1. New section filed 2-9-2005; operative 3-11-2005 (Register 2005, No. 6).
2. Amendment of subsection (b)(7) filed 9-12-2007; operative 9-12-2007 (Register 2007, No. 37).
3. Amendment of subsection (b)(6) and new subsections (b)(8)-(9) filed 12-3-2009; operative 12-3-2009 pursuant to Government Code section 11343.4(c) with respect to all equipment other than street sweepers; operative with respect to street sweepers upon filing of proposed section 2025 (Register 2009, No. 49).
4. Amendment of subsection (b)(9) and new subsection (b)(10) filed 10-19-2010; operative 10-19-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 43).
5. Amendment of subsections (b)(8)-(10) and new subsection (b)(11) filed 1-20-2011; operative 2-19-2011 (Register 2011, No. 3).
§93116.2. Definitions.
Note     •     History

(a) For the purposes of these regulations, the following definitions apply:
(1) “Air Pollution Control Officer or APCO” means the air pollution control officer of a district, or his/her designee. 
(2) “Alternative Fuel” means gasoline, natural gas, propane, liquid petroleum gas (LPG), hydrogen, ethanol, or methanol. 
(3) “Alternative Diesel Fuel” means any fuel used in a compression ignition (CI) engine that is not, commonly or commercially known, sold or represented by the supplier as diesel fuel No. 1-D or No. 2-D, pursuant to the specifications in ASTM Standard Specification for Diesel Fuel Oils D975-81, or an alternative fuel, and does not require engine or fuel system modifications for the engine to operate, although minor modifications (e.g., recalibration of the engine fuel control) may enhance performance. An emission control strategy using a fuel additive will be treated as an alternative diesel fuel based strategy unless: 
(A) the additive is supplied to the engine fuel by an on-board dosing mechanism, or 
(B) the additive is directly mixed into the base fuel inside the fuel tank of the engine, or 
(C) the additive and base fuel are not mixed until engine fueling commences, and no more additive plus base fuel combination is mixed than required for a single fueling of a single engine. 
(4) “CARB Diesel Fuel” means any diesel fuel that is commonly or commercially known, sold, or represented by the supplier as diesel fuel No. 1-D or No. 2-D, pursuant to the specification for Diesel Fuel Oils D975-81, and that meets the specifications defined in title 13, Cal. Code Regs., sections 2281, 2282, 2284. 
(5) “Certified Engine” refers to an engine meeting an applicable engine emission standard as set forth in 40 CFR Part 89, Part 86, Part 1039, or set forth in the equivalent categories in title 13, Cal. Code Regs. 
(6) “Crane” means the same as “Two-Engine Crane” defined in title 13, Cal. Code Regs., section 2449(c).
(7) “Diesel Fuel” means any fuel that is commonly or commercially known, sold, or represented by the supplier as diesel fuel, including any mixture of primarily liquid hydrocarbons--organic compounds consisting exclusively of the elements carbon and hydrogen--that is sold or represented as suitable for use in an engine. 
(8) “Diesel-Fueled” means fueled by diesel fuel, or CARB diesel fuel, in whole or part. 
(9) “Diesel Particulate Matter (PM)” means the particles found in the exhaust of diesel-fueled engines which may agglomerate and adsorb other species to form structures of complex physical and chemical properties. 
(10) “District” means a District as defined in Health and Safety Code section 39025. 
(11) “Dual-fuel Diesel Pilot Engine” means a dual-fueled engine that uses diesel fuel as a pilot ignition source at an annual average ratio of less than 5 parts diesel fuel to 100 parts total fuel on an energy equivalent basis. 
(12) “Emergency” means providing electrical power or mechanical work during any of the following events and subject to the following conditions: 
(A) the failure or loss of all or part of normal electrical power service or normal natural gas supply to the facility: 
1. which is caused by any reason other than the enforcement of a contractual obligation the owner or operator has with a third party or any other party; and 
2. which is demonstrated by the owner or operator to the district APCO's satisfaction to have been beyond the reasonable control of the owner or operator; 
(B) the failure of a facility's internal power distribution system: 
1. which is caused by any reason other than the enforcement of a contractual obligation the owner or operator has with a third party or any other party; and 
2. which is demonstrated by the owner or operator to the district APCO's satisfaction to have been beyond the reasonable control of the owner or operator; 
(C) the pumping of water or sewage to prevent or mitigate a flood or sewage overflow; 
(D) the pumping of water for fire suppression or protection; 
(E) the pumping of water to maintain pressure in the water distribution system for the following reasons: 
1. pipe break; or 
2. high demand on water supply system due to high use of water for fire suppression; 
(F) the breakdown of electric-powered pumping equipment at sewage treatment facilities or water delivery facilities; 
(G) the training of personnel in the use of portable equipment for emergency purposes. 
(13) “Emergency Event” refers to a situation arising from a sudden and reasonably unforeseen natural disaster such as an earthquake, flood, fire, or other unforeseen event that requires the use of portable engines to help alleviate the threat to public health and safety. 
(14) “Engine” means any piston-driven internal combustion engine. 
(15) “Engines Used Exclusively in Emergency Applications” refer to engines that are used only during an emergency or emergency event, and includes appropriate maintenance and testing. 
(16) “Executive Officer” means the Executive Officer of the California Air Resources Board (CARB) or his/her designee. 
(17) “Fleet” refers to a portable engine or group of portable engines that are owned and managed by an individual operational entity, such as a business, business unit within a corporation, or individual city or state department under the control of a Responsible Official. Engines that are owned by different business entities that are under the common control of only one Responsible Official shall be treated as a single fleet. 
(18) “Fuel Additive” means any substance designed to be added to fuel or fuel systems or other engine-related systems such that it is present in-cylinder during combustion and has any of the following effects: decreased emissions, improved fuel economy, increased performance of the engine; or assists diesel emission control strategies in decreasing emissions, or improving fuel economy or increasing performance of the engine. Fuel additives used in conjunction with diesel fuel may be treated as an alternative diesel fuel. 
(19) “In-Use Engines” refers to portable diesel-fueled engines operating under valid permits or registrations as of December 31, 2009. 
(20) “Level-3 Verified Technology” means a technology that has satisfied the requirements of the “Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines” in title 13, Cal. Code Regs., commencing with section 2700, and has demonstrated a reduction in diesel particulate matter of 85 percent or greater. 
(21) “Location” means any single site at a building, structure, facility, or installation. 
(22) “Low-Use Engines” refers to portable diesel-fueled engines that operate 80 hours or less in a calendar year. 
(23) “Maximum Rated Horsepower (brake horsepower (bhp))” is the maximum brake horsepower rating specified by the portable engine manufacturer and listed on the nameplate of the portable engine. 
(24) “Nonroad Engine” means: 
(A) Except as discussed in paragraph (2) of this definition, a nonroad engine is any engine: 
1. in or on a piece of equipment that is self-propelled or serves a dual purpose by both propelling itself and performing another function (such as garden tractors, off-highway mobile cranes and bulldozers); or 
2. in or on a piece of equipment that is intended to be propelled while performing its function (such as lawnmowers and string trimmers); or 
3. that, by itself or in or on a piece of equipment, is portable or transportable, meaning designed to be and capable of being carried or moved from one location to another. Indicia of transportability include, but are not limited to, wheels, skids, carrying handles, dolly, trailer, or platform. 
(B) An engine is not a nonroad engine if: 
1. the engine is used to propel a motor vehicle or a vehicle used solely for competition, or is subject to standards promulgated under section 202 of the federal Clean Air Act; or 
2. the engine is regulated by a federal New Source Performance Standard promulgated under section 111 of the federal Clean Air Act; or 
3. the engine otherwise included in paragraph (1)(C) of this definition remains or will remain at a location for more than 12 consecutive months or a shorter period of time for an engine located at a seasonal source. Any engine(s) that replace(s) an engine at a location and that is intended to perform the same or similar function as the engine replaced will be included in calculating the consecutive time period. An engine located at a seasonal source is an engine that remains at a seasonal source during the full annual operating period of the seasonal source. A seasonal source is a stationary source that remains in a single location on a permanent basis (at least two years) and that operates at that single location approximately three (or more) months each year. 
(25) “Off-Road Engine” means the same as nonroad engine. 
(26) “Outer Continental Shelf (OCS)” shall have the meaning provided by section 2 of the Outer Continental Shelf Lands Act (43 USC Section 1331 et seq.). 
(27) “Participating Airlines” means the collective group of Individual Participating Airlines under the MOU, which currently is as follows: ABX Air, Inc. (formerly Airborne Express), Alaska Airlines, America West Airlines, American Airlines, ATA Airlines (formerly American Trans Air), Continental Airlines, Delta Air Lines, Astar Air Cargo (formerly DHL Airways), Federal Express, Hawaiian Airlines, Jet Blue Airways Corp., Midwest Airlines (formerly Midwest Express Airlines), Northwest Airlines, Southwest Airlines, United Airlines, United Parcel Service, and US Airways. Participating Airlines does not mean the Air Transportation Association of America, Inc. 
(28) “Permit” refers to a certificate issued by the Air Pollution Control Officer acknowledging expected compliance with the applicable requirements of the district's rules and regulations. 
(29) “Portable” means designed and capable of being carried or moved from one location to another. Indicia of portability include, but are not limited to, wheels, skids, carrying handles, dolly, trailer, or platform. For the purposes of this regulation, dredge engines on a boat or barge are considered portable. The engine is not portable if: 
(A) the engine or its replacement is attached to a foundation, or if not so attached, will reside at the same location for more than 12 consecutive months. The period during which the engine is maintained at a storage facility shall be excluded from the residency time determination. Any engine, such as a back-up or stand-by engine, that replace engine(s) at a location, and is intended to perform the same or similar function as the engine(s) being replaced, will be included in calculating the consecutive time period. In that case, the cumulative time of all engine(s), including the time between the removal of the original engine(s) and installation of the replacement engine(s), will be counted toward the consecutive time period; or 
(B) the engine remains or will reside at a location for less than 12 consecutive months if the engine is located at a seasonal source and operates during the full annual operating period of the seasonal source, where a seasonal source is a stationary source that remains in a single location on a permanent basis (at least two years) and that operates at that single location at least three months each year; or 
(C) the engine is moved from one location to another in an attempt to circumvent the portable residence time requirements. 
(30) “Project” means the use of one or more registered or permitted portable engines or equipment units operated under the same or common ownership or control to perform a single activity. 
(31) “Registration” refers to either: 
(A) a certificate issued by the Executive Officer acknowledging expected compliance with the applicable requirements of the Statewide Portable Equipment Registration Program; or 
(B) a certificate issued by the Air Pollution Control Officer acknowledging expected compliance with the applicable requirements of the district's Portable Equipment Registration Program. 
(32) “Responsible Official” refers to an individual employed by the company or public agency with the authority to certify that the portable engines under his/her jurisdiction comply with applicable requirements of this regulation. A company or public agency may have more than one Responsible Official. 
(33) “Selective Catalytic Reduction (SCR) System” refers to an air pollution emissions control system that reduces oxides of nitrogen (NOx) emissions through the catalytic reduction of NOx by injecting nitrogen-containing compounds into the exhaust stream, such as ammonia or urea. 
(34) “Stationary Source” means any building, structure, facility or installation that emits any air contaminant directly or as a fugitive emission. Building, structure, facility, or installation includes all pollutant emitting activities which: 
(A) are under the same ownership or operation, or which are owned or operated by entities which are under common control; and 
(B) belong to the same industrial grouping either by virtue of falling within the same two-digit standard industrial classification code or by virtue of being part of a common industrial process, manufacturing process, or connected process involving a common raw material; and 
(C) are located on one or more contiguous or adjacent properties. 

[Note: For the purposes of this regulation a stationary source and nonroad engine are mutually exclusive.] 
(35) “Stock Engine” means a certified diesel-fueled engine that has never been placed in service and is part of a supply of engines offered for sale, rent, or lease by a person or company who offers for sale, rent, or lease engines and related equipment for profit.
(36) “Storage” means a warehouse, enclosed yard, or other area established for the primary purpose of maintaining portable engines when not in operation. 
(37) “Street Sweeper” means the same as “Dual-engine Street Sweeper” defined in title 13, Cal. Code Regs., section 2022(b)(2).
(38) “Tactical Support Equipment (TSE)” means equipment using a portable engine, including turbines, that meets military specifications, owned by the U.S. Department of Defense and/or the U.S. military services or its allies, and used in combat, combat support, combat service support, tactical or relief operations, or training for such operations. Examples include, but are not limited to, engines associated with portable generators, aircraft start carts, heaters and lighting carts. 
(39) “Tier 4 Emission Standards” refers to the final emission standards adopted by the U.S. EPA for newly manufactured nonroad engines. 
(40) “Transportable” means the same as portable. 
(41) “Verified Emission Control Strategy” refers to an emission control strategy, designed primarily for the reduction of diesel PM emissions which has been verified pursuant to the “Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines” in title 13, Cal. Code Regs., commencing with section 2700, and incorporated by reference. 
(42) “U.S. EPA” refers to the United States Environmental Protection Agency. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41752, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39666 and 41752, Health and Safety Code. 
HISTORY

1. New section filed 2-9-2005; operative 3-11-2005 (Register 2005, No. 6).
2. New subsection (nn) filed 12-27-2006 as an emergency; operative 12-27-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-26-2007 or emergency language will be repealed by operation of law on the following day.
3. New subsection (nn) refiled 4-26-2007 as an emergency; operative 4-26-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment filed 9-12-2007; operative 9-12-2007 (Register 2007, No. 37).
5. New subsections (a)(6) and (a)(37) and subsection renumbering filed 12-3-2009; operative 12-3-2009 pursuant to Government Code section 11343.4(c) with respect to all equipment other than street sweepers; operative with respect to street sweepers upon filing of proposed section 2025 (Register 2009, No. 49).
6. Amendment of subsection (a)(19) filed 10-19-2010; operative 10-19-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 43).
7. Amendment of subsections (a)(4)-(6), (a)(13), (a)(20), (a)(37) and (a)(41) filed 1-20-2011; operative 2-19-2011 (Register 2011, No. 3).
§93116.3. Requirements.
Note     •     History

(a) Diesel-fueled portable engines shall only use one of the following fuels: 
(1) CARB diesel fuel; or 
(2) alternative diesel fuel that has been verified through the Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines; or 
(3) CARB diesel fuel utilizing fuel additives that have been verified through the Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines. 
[Note that credit for diesel PM reductions for diesel fuel or CARB diesel fuel blends that use an alternative diesel fuel such as biodiesel, Fischer-Tropsch fuels, or emulsions of water in diesel fuel is available only for fuel blends that been verified through the Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines. The credit granted is based upon the verified level approved by the Executive Officer within the Executive Order for the fuel blend.] 
(b) Diesel PM Standards 
(1) Requirements for in-use portable diesel-fueled engines operating under valid permits or registrations as of December 31, 2009:
(A) Except as provided in sections 93116.3(b)(1)(B) and 93116.3(b)(1)(C), starting January 1, 2010, all portable diesel-fueled engines shall be certified to meet a federal or California standard for newly manufactured engines pursuant to 40 CFR Part 89, Part 86, or the equivalent categories in Title 13 of the California Code of Regulations.
(B) In lieu of complying with section 93116.3(b)(1)(A), owners of portable diesel-fueled engines that are not certified and are used exclusively in emergency applications or portable diesel-fueled engines that qualify as low-use engines shall commit by December 31, 2011 to removing these engines from service or replacing these engines no later than January 1, 2017. The replacement engines shall be certified to the most stringent of either the federal or California emission standards for the appropriate class and category of nonroad engine in effect at the time of replacement. 
(C) Notwithstanding the requirements of section 93116.3(b)(1)(A), any company, public agency, or military base may select specific engines to continue to operate until December 31, 2010. The selections shall be submitted to the appropriate regulatory agency no later than 30 days after the effective date of these amendments, and are subject to the requirements below: 
1. The engine(s) selected shall have current, valid permits or registrations as of December 31, 2009; and 
2. one engine with no restriction for maximum rated horsepower; or
3. no more than five engines not to exceed 500 cumulative brake horsepower for the selected engines. 
4. If an owner has selected one spark ignition engine per title 13 Cal. Code Regs. subsection 2456(f)(11)(A), then section 93116.3(b)(1)(C)(2) shall not be used. 
5. If an owner has selected less than five spark ignition engines per title 13 Cal. Code Regs. subsection 2456(f)(11)(B) then the combined total of selected spark-ignition engines and compression-ignition engines shall not exceed five engines with a cumulative size of 500 brake horsepower. 
(2) Portable diesel-fueled engines that have not been permitted or registered prior to January 1, 2010, shall not be permitted or registered unless they are certified to the most stringent standard contained in the federal or California emission standards for nonroad engines, with the following exceptions:
(A) Engines meeting the definition of portable that have never been permitted or registered may be permitted or registered by a district or registered in the Statewide Portable Equipment Registration Program if they are certified to the on-road emission standards pursuant to 40 CFR Part 86, or the equivalent category in title 13, Cal. Code Regs.;
(B) An engine owner, operator, dealer, or distributor may permit or register an engine not meeting the most stringent emission standard providing the following are met: 
1. The engine met the most stringent emission standard in effect prior to the change for that horsepower range; and 
2. The application for permit or registration of the engine is submitted within six months of the effective date of the change in emission standards.
(C) Engines built under flexibility provisions for equipment and vehicle manufacturers and post-manufacture marinizers pursuant to 40 CFR Part 89 or title 13, Cal. Code Regs;
(D) Certified engines that lost permit exemption due to a change in district rules; or
(E) Until January 1, 2017, a district may issue a permit or registration for an engine not meeting the most stringent of the federal or California emission standard for nonroad engines if:
1. The engine is certified to meet an emission standard set pursuant to 40 CFR Part 89, Part 1039 or set forth in the equivalent categories of title 13, Cal. Code Regs.; and
2. For Tier 1 and Tier 2 engines only, the engine shall have operated in California at any time during the period from January 1, 2008 to December 31, 2010. The responsible official shall provide documentation to prove the engine's operation to the satisfaction of the Air Pollution Control Officer. Engines certified to a more stringent emission standard than Tier 2 are not subject to subsection (E)2.
(3) Certified diesel-fueled engines used exclusively in emergency applications or qualifying as low-use engines shall satisfy one of the following requirements by January 1, 2020: 
(A) the portable diesel-fueled engine is certified to Tier 4 emission standards for newly manufactured nonroad engines; or 
(B) the portable diesel-fueled engine is equipped with a properly functioning level-3 verified technology; or 
(C) the portable diesel-fueled engine is equipped with a combination of verified emission control strategies that have been verified together to achieve at least 85 percent reduction in diesel PM emissions. 
(c) Fleet Requirements 
(1) Each fleet is subject to and shall comply with the following weighted PM emission fleet averages expressed as grams per brake horsepower-hour (g/bhp-hr) by the listed compliance dates: 

	Fleet Standard 		Engines 175 to	
	Compliance 	Engines <175 hp	750 hp	Engines >750 hp
	Date	(g/bhp-hr)	(g/bhp-hr)	(g/bhp-hr)

	1/1/13	0.3	0.15	0.25
	1/1/17	0.18	0.08	0.08
	1/1/20	0.04	0.02	0.02 
(2) For the purposes of this regulation, the portable diesel-fueled engines affected by the fleet provisions of this regulation include all portable diesel-fueled engines operated in California, including portable diesel-fueled engines registered with the Statewide Portable Equipment Registration Program or permitted by or registered with a local district. 
(3) The following portable diesel-fueled engines shall be excluded from the fleet requirements: 
(A) portable diesel-fueled engines operated exclusively outside of California or operated only within the OCS. 
(B) portable diesel-fueled engines used exclusively in emergency applications. 
(C) portable diesel-fueled engines that qualify as low-use engines. 
(4) Portable diesel-fueled engines that qualify as low-use engines and subsequently exceed the allowed hours of operation in a calendar year, or portable diesel-fueled engines that are identified to be used exclusively in emergency applications but subsequently are used in non-emergency applications, become immediately subject to the requirements of section 93116.3(c) in the year such exceedence or use occurs. For low-use engines, the hours of operation used for an emergency event shall not be counted toward the allowed hours of operation. 
(5) Portable alternative-fueled engines may be included in a fleet if the engine satisfies the requirements in section 93116.3(d)(2)(B). 
(6) Portable diesel-fueled portable engines equipped with SCR systems. 
(A) The diesel PM fleet emission standards in section 93116.3(c)(1) do not apply to: 
1. portable diesel-fueled engines equipped with properly operating SCR systems as of January 1, 2004; and 
2. with the approval of the Executive Officer, portable diesel-fueled engines equipped with properly operating SCR systems after January 1, 2004. 
(B) At the request of the Responsible Official, portable diesel-fueled engine(s) equipped with a SCR system(s) may be included in the company's fleet for the purpose of complying with an applicable fleet emission standard. Once the engine(s) is included in a fleet, compliance with applicable fleet emission standards shall always include these diesel-fueled portable engine(s). 
(C) For all diesel-fueled portable engines equipped with SCR systems, the following information shall be submitted to the Executive Officer to demonstrate that the SCR system is operating properly: 
1. Tests results for NOx, PM, and ammonia slip 
a. the following tests methods shall be used to demonstrate compliance: 
i. NOX shall be measured with CARB test method 100 dated July 1997, or equivalent district-approved test method; and 
ii. diesel PM shall be measured with CARB test method 5 dated July 1997 or equivalent district-approved test method. For the purposes of this requirement, only the probe catch and filter catch (“front half”) is used to determine the emission rate, g/bhp-hr, and shall not include PM captured in the impinger catch or solvent extract; and 
iii. ammonia slip shall be measured with Bay Area Air Quality Management District Source Test Procedure ST-1B, Ammonia Integrated Sampling, dated January 1982, or other equivalent district approved test method. 
b. the duration of the emission test shall be sufficient to document the typical operation of the portable diesel-fueled engine(s); and 
c. testing shall be performed at the frequency required by the permit or registration. In no event shall the time between emission tests exceed three years. 
(7) Beginning on January 1, 2013, the weighted average PM emission rate for the fleet cannot exceed the fleet standard that is in effect. Changes in the fleet, including portable engine additions and deletions, shall not result in noncompliance with this standard. 
(d) Fleet Average Calculations 
(1) General Provisions 
(A) The average PM emission factor for the fleet is determined by the following formula: 

View Graphic 

	where: 
	bhp 	= maximum rated horsepower. 
	emission	= diesel PM emission rate, as determined below: 
	factor 
(B) The following diesel PM emission rates shall be used with the above formula to determine the weighted average fleet emission rate: 
1. for portable diesel-fueled engines certified to a nonroad engine standard, the results of emission measurements submitted to either the U. S. EPA or CARB for the purposes of satisfying the appropriate emission standard; or 
2. for Tier 1 engines less than 175 bhp for which no particulate matter emission standard exists, an emission rate of 0.87 g/bhp-hr shall be used for engines less than 120 bhp and 0.46 shall be used for engines 120 to 174 bhp; or
3. for engines built under the flexibility provisions for equipment and vehicle manufacturers and post-manufacture marinizers pursuant to 40 CFR Part 89 or title 13, Cal. Code Regs., that do not have a family name indicated on the engine, the emission standard of the tier level to which the engine was built shall be used; or
4. results from emission measurements from a verified emission control strategy may be used in conjunction with engine emission information; or 
5. for portable diesel-fueled engine(s) equipped with SCR system(s), results from valid emission tests. 
(2) The following incentives may be used to revise the fleet average, as outlined below: 
(A) Where equipment uses grid power for more than 200 hours in lieu of operating a portable diesel-fueled engine for a given project, the time period grid power is used may be used to reduce each affected engine's emission factor. The emission factor for each affected portable engine will be reduced proportionally by the percentage of time the equipment uses grid power. To receive credit for grid power in the fleet calculation, the recordkeeping and reporting requirements in section 93116.4(c)(3) shall be satisfied. 
(B) Alternative-fueled portable engines 
1. Alternative-fueled portable engines operating 100 or more hours may be included toward determining compliance with the applicable fleet emission standards. A diesel PM emission rate of zero shall be used in the fleet calculations for these engines. 
2. Alternative-fueled portable engines operating 100 or more hours per calendar year and added to a fleet prior to January 1, 2009, may be counted twice in the company's fleet average determination toward compliance with the 2013 and 2017 fleet emission standards. The alternative-fueled engine shall be certified to meet a federal or California standard for newly manufactured nonroad engines pursuant to 40 CFR Part 89 or title 13, Cal. Code Regs. 
(C) Portable diesel-fueled engines certified to Tier 4 nonroad engine standards that are added to a fleet prior to January 1, 2015, may be counted twice in the company's fleet average determination toward compliance with the 2013 and 2017 fleet emission standards. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41752, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39666 and 41752, Health and Safety Code. 
HISTORY

1. New section filed 2-9-2005; operative 3-11-2005 (Register 2005, No. 6).
2. Amendment of subsection (b)(2)(A) and new subsections (b)(5)-(8) filed 12-27-2006 as an emergency; operative 12-27-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-26-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b)(2)(A) and new subsections (b)(5)-(8) refiled 4-26-2007 as an emergency, including additional amendments to subsections (b)(2)(A)-(B) and (b)(5)-(b)(8); operative 4-26-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-2007 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(2)(A), (b)(5) and (b)(7)-(b)(7)(A) and repealer of subsection (b)(8) filed 9-12-2007; operative 9-12-2007 (Register 2007, No. 37).
5. Amendment of subsections (b)(1)(A) and (b)(2)(A), repealer of subsections (b)(4)-(b)(4)(B)3., subsection renumbering and repealer of subsection (c)(3)(D) filed 12-3-2009; operative 12-3-2009 pursuant to Government Code section 11343.4(c) (Register 2009, No. 49).
6. Amendment of subsection (b)(1)(A) and new subsections (b)(1)(C)-(b)(1)(C)5. filed 10-19-2010; operative 10-19-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 43).
7. Amendment filed 1-20-2011; operative 2-19-2011 (Register 2011, No. 3).
§93116.3.1. Compliance Flexibility for Diesel PM Standards.
History

If the Executive Officer finds, based on verifiable information from the engine manufacturer, distributor, or dealer, that current model year engines meeting the current emission standards are not available or not available in sufficient numbers or in a sufficient range of makes, models, and horsepower ratings, then the Executive Officer may allow the sale, purchase, or installation of a new stock engine meeting the emission standards from the previous model year to meet the emission standards in sections 93116.3(b).
HISTORY

1. New section filed 12-27-2006 as an emergency; operative 12-27-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-26-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-26-2007 as an emergency; operative 4-26-2007 (Register 2007, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-24-2007 or emergency language will be repealed by operation of law on the following day.
3. Amendment filed 9-12-2007; operative 9-12-2007 (Register 2007, No. 37).
§93116.4. Fleet Recordkeeping and Reporting Requirements.
Note     •     History

(a) The owner or operator of a fleet is not subject to the requirements of this section if each portable diesel-fueled engine in the fleet satisfies any one of the following requirements: 
(1) the portable diesel-fueled engine is certified to Tier 4 emission standards for newly manufactured nonroad engines; or 
(2) the portable diesel-fueled engine is equipped with a properly functioning level-3 verified technology; or 
(3) the portable diesel-fueled engine is equipped with a combination of verified emission control strategies that have been verified together to achieve at least 85% reduction in diesel PM emissions. 
(b) Portable diesel-fueled engine(s) equipped with properly operating SCR system(s) shall be excluded from the requirements of section 93116.4(a) if the engine(s) is not subject to section 93116.3(c)(1). 
(c) Effective January 1, 2012, the Responsible Official of a fleet shall: 
(1) Keep and maintain records for: 
(A) alternative-fueled portable engines used as part of a company's fleet average, except as provided in section 93116.4(d); and 
(B) portable diesel-fueled engines affected by the use of electrification; and 
(C) portable diesel-fueled engines qualifying as low-use engines; and 
(D) portable diesel-fueled engines used exclusively in emergency applications. 
(2) The Responsible Official, for all portable engines subject to section 93116.4(c)(1), shall: 
(A) install or cause to be installed and properly maintained on each portable engine subject to recordkeeping a non-resettable hour-meter; and 
(B) maintain on a calendar year basis a record of the total hours of operation for each portable engine. If the portable engine is used out-of-state, then the records may account for operation within California only, excluding operation within the OCS; and 
(C) maintain all required records at a central place of business for five years. The records shall clearly identify each portable engine subject to the recordkeeping requirement as well as the annual hours of operation. These records are to be made available, upon request for inspection, to local air pollution control district or CARB personnel. The requested records shall be provided to the appropriate personnel within ten business days of the request. 
(3) The Responsible Official of a fleet electing to use electrification in determining the fleet average shall: 
(A) notify the Executive Officer identifying the dates, location, duration of the project, and a description of the project that will rely on electrification instead of using portable diesel-fueled engines. The notification shall be provided prior to the start of the project; and 
(B) identify each affected portable diesel-fueled engine, including: make, model, serial number, year of manufacture for each engine, emission factor (g/bhp-hr) and district permit or State/district registration number; and 
(C) shall clearly identify the electrification activity, including indicating the amount of electricity used and the time period for the project; and 
(D) shall retain copies of contracts or other documentation, with the project proponent and/or applicable utility, supporting the use of grid power. 
(4) Test results for SCR compliance shall be maintained at a central place of business for five years. At the request of CARB or district personnel, the Responsible Official shall have three business days to provide a copy of the most recent test results. 
(d) Effective January 1, 2008, for alternative-fueled engines added to a fleet prior to January 1, 2009, the Responsible Official shall: 
(1) install or cause to be installed and properly maintained on each portable engine subject to recordkeeping a non-resettable hour-meter; and 
(2) maintain on a calendar year basis a record of the total hours of operation for each portable engine. If the portable engine is used out-of-state, then the records may account for operation within California only, excluding operation within the OCS; and 
(3) maintain all required records at a central place of business for five years. The records shall clearly identify each portable engine subject to the recordkeeping requirement as well as the annual hours of operation. These records are to be made available, upon request for inspection, to local air pollution control district or CARB personnel. The requested records shall be provided to the appropriate personnel within ten business days of the request. 
(e) The Responsible Official of the fleet shall provide the following reports to the Executive Officer: 
(1) A status report, due to the Executive Officer by March 1, 2011, that includes the following items: 
(A) the fleet's weighted average PM emission rate for the 2010 calendar year, including a summary for each portable engine that is part of the fleet and each engine's emission rate (g/bhp-hr); and 
(B) inventory of portable engines in the fleet identifying whether the engine is state-registered or permitted/registered with the district. Alternative-fueled engines should be identified by fuel type. The inventory shall identify the make, model, serial number, year of manufacture, primary fuel type, emission factor (g/bhp-hr), and district permit or State/district registration number for each engine to be used in the fleet average determination; and 
(C) identify, if applicable, each portable diesel-fueled engine that the owner commits to replacing with a Tier 4 engine, including: make, model, serial number, year of manufacture for each engine, and district permit or State/district registration number; and 
(D) listing of portable diesel-fueled engines, if applicable, used exclusively in emergency applications. The listing shall identify each engine claiming use only in emergency applications, including: make, model, serial number, year of manufacture for each engine, emission factor (g/bhp-hr), and district permit or State/district registration number; and 
(E) listing of portable diesel-fueled engines, if applicable, satisfying the low-use engine requirements. The listing shall identify each engine, including: make, model, serial number, year of manufacture for each engine, emission factor (g/bhp-hr), and district permit or State/district registration number; and 
(F) listing of portable alternative-fueled engines, if applicable, added to the fleet prior to January 1, 2009, pursuant to section 93116.3(d)(2)(B)2. The listing shall identify each engine, including: make, model, serial number, year of manufacture for each engine, U.S. EPA engine family name, emission factor (g/bhp-hr), and district permit or State/district registration number; and 
(G) for portable diesel-fueled engine(s) equipped with SCR system(s), documentation demonstrating that the SCR system is operating properly. 
(2) A statement of compliance signed by the Responsible Official that the fleet standards are being achieved and a summary that identifies each portable engine in the fleet and the associated emission rate (g/bhp-hr). Portable engines included in the fleet are those that are part of the fleet at the time the fleet standard became effective. The engine identification shall include, at a minimum, the make, model, serial number, and year of manufacture for each engine. Alternative-fueled engines should be identified by fuel type. The statements of compliance are due to the Executive Officer by the following dates: 
(A) March 1, 2013, for the fleet standards that become effective January 1, 2013; and 
(B) March 1, 2017, for the fleet standards that become effective January 1, 2017; and 
(C) March 1, 2020 for the fleet standards that become effective January 1, 2020. 
(3) The Responsible Official shall identify to the Executive Officer, as part of each compliance report, the specific portable diesel-fueled engines, if any, used exclusively in emergency applications and the specific portable diesel-fueled engines, if any, claimed to be low-use engine. The list shall include for each portable diesel-fueled engine: the make, model, serial number, year of manufacture for each engine, emission factor (g/bhp-hr), and district permit or State/district registration number. 
(4) The Responsible Official shall identify to the Executive Officer, as part of each compliance report, the specific portable diesel-fueled engines, if any, excluded from the fleet because the portable diesel-fueled engine operated exclusively outside of California or operated only within the OCS. The list shall include for each portable diesel-fueled engine: the make, model, serial number, year of manufacture, and, district permit or State/district registration number for each engine. 
(5) If compliance with the fleet average includes the use of electrification, the Responsible Official shall provide documentation supporting the credit claimed for electrification. 
(6) As part of each compliance report, the Responsible Official shall, if applicable, certify the following: 
(A) all portable alternative-fueled engines included in the fleet average operated at least 100 hours during the previous 12 months prior to the fleet emission standard becoming effective. 
(B) for all portable diesel-fueled engines used exclusively in emergency applications, the engines were used only for emergency applications. 
(C) for all portable diesel-fueled engines using the low-use designation, the engines operated no more than 80 hours for the reporting period. 
(D) for all portable diesel-fueled engines equipped with SCR, the engine complies with applicable district or Statewide Portable Equipment Registration Program requirements. 
(7) After March 1, 2013, the APCO or the Executive Officer may require the submittal of information demonstrating compliance with the applicable fleet standard. Upon receiving the request, the Responsible Official shall provide the requested information within 30 days. 
(f) For fleets that are exempted from the requirements of section 93116.4 pursuant to section 93116.4(a), the Responsible Official shall certify that all portable diesel-fueled engines in the fleet satisfy the requirements of section 93116.4(a). The Responsible Official shall provide the certification statement and a list of the portable diesel-fueled engines in the fleet to the Executive Officer when the fleet initially satisfies the requirements of section 93116.4(a). The list of engines shall identify the make, model, serial number, and district permit or State/district registration number for each engine. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41752, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39666 and 41752, Health and Safety Code. 
HISTORY

1. New section filed 2-9-2005; operative 3-11-2005 (Register 2005, No. 6).
§93116.5. Enforcement of Fleet Requirements.
Note     •     History

(a) Both the Executive Officer and the APCO have the authority to review or seek enforcement action for violation of the fleet emission standard. 
(b) The CARB will make available to the districts the information the Responsible Official has provided to CARB to demonstrate compliance with the fleet standard. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41752, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39666 and 41752, Health and Safety Code. 
HISTORY

1. New section filed 2-9-2005; operative 3-11-2005 (Register 2005, No. 6).
§93117. Airborne Toxic Control Measure to Reduce Particulate Emissions from Diesel-Fueled Engines -- Standards for Nonvehicular Diesel Fuel Used in Intrastate Diesel-Electric Locomotives and Harborcraft.
Note     •     History

(a) Requirements. 
(1) Standards for Nonvehicular Diesel Fuel Used in Harborcraft in the South Coast Air Quality Management District (SCAQMD) Beginning January 1, 2006. Beginning January 1, 2006, California nonvehicular diesel fuel sold, offered for sale, or supplied within the SCAQMD for use in harborcraft is subject to all of the requirements of Title 13 CCR sections 2281 (sulfur content), 2282 (aromatic hydrocarbons content) and 2284 (lubricity) applicable to vehicular diesel fuel, and shall be treated under those sections as if it were vehicular diesel fuel. 
(2) Standards for Nonvehicular Diesel Fuel Used in Intrastate Diesel-Electric Locomotives and Harborcraft Beginning January 1, 2007. Beginning January 1, 2007, California nonvehicular diesel fuel sold, offered for sale, or supplied for use in diesel-electric intrastate locomotives or harborcraft is subject to all of the requirements of title 13 CCR sections 2281 (sulfur content), 2282 (aromatic hydrocarbons content) and 2284 (lubricity) applicable to vehicular diesel fuel, and shall be treated under those sections as if it were vehicular diesel fuel. 
(3) Exemption for military specification fuel used in military vessels. The requirements of this section do not apply to military specification fuel that is sold, offered for sale, or supplied for use in marine vessels owned or operated by the armed forces of the United States. 
(b) Definitions. 
(1) “California nonvehicular diesel fuel” means any diesel fuel that is not vehicular diesel fuel as defined respectively in title 13 CCR sections 2281(b), 2282(b), 2284(b) and that is sold or made available for use in engines in California. 
(2) “Diesel-electric locomotive” means a locomotive using electric power provided by a diesel engine that drives a generator or alternator; the electrical power produced then drives the wheels using electric motors. 
(3) “Diesel fuel” means any fuel that is commonly or commercially known, sold or represented as diesel fuel, including any mixture of primarily liquid hydrocarbons that is sold or represented as suitable for use in an internal combustion, compression-ignition engine. 
(4) “Harborcraft” means any marine vessel that meets all of the following criteria: 
(A) The vessel does not carry a “registry” (foreign trade) endorsement on its United States Coast Guard certificate of documentation, and is not registered under the flag of a country other than the United States; 
(B) The vessel is less than 400 feet in length overall (LOA) as defined in 50 CFR § 679.2 as adopted June 19, 1996; 
(C) The vessel is less than 10,000 gross tons (GT ITC) per the convention measurement (international system) as defined in 46 CFR § 69.51-.61, as adopted September 12, 1989; and 
(D) The vessel is propelled by a marine diesel engine with a per-cylinder displacement of less than 30 liters. 
(5) “Intrastate diesel-electric locomotive” means: 
(A) A diesel-electric locomotive that operates within California for which at least 90 percent of its annual fuel consumption, annual hours of operation, or annual rail miles traveled occur within California. This definition would typically include, but not be limited to, diesel-electric locomotives used in the following operations: passenger intercity and commuter, short haul, short line, switch, industrial, port, and terminal operations; 
(B) An intrastate diesel-electric locomotive does not include those diesel-electric locomotives that: 
1. Meet the U.S. Environmental Protection Agency Tier II locomotive emission standards, and 
2. Primarily move freight into and out of the South Coast Air Quality Management District, and 
3. Have been included as a diesel-electric locomotive operating in the South Coast Nonattainment Area under paragraph IV.B. of the Memorandum of Mutual Understandings and Agreements for the South Coast Locomotive Fleet Average Emissions Program, dated July 2, 1998. 
(C) (This subsection reserved for consideration of diesel-electric locomotives that meet the U.S. Environmental Protection Agency Tier II locomotive emission standards and primarily move freight within California outside of the South Coast Air Quality Management District.) 
(6) “Locomotive” means a piece of on-track equipment designed for moving or propelling cars that are designed to carry freight, passengers or other equipment, but which itself is not designed or intended to carry freight, passengers (other than those operating the locomotive) or other equipment. 
(7) “Marine vessel” means any ship, boat, watercraft, or other artificial contrivance used as a means of transportation on water. 
(c) Alternative Emission Reduction Plan for Intrastate Diesel-Electric Locomotives. For an owner or operator of an intrastate diesel-electric locomotive who has submitted an alternative emission reduction plan (plan) that contains a substitute fuel(s) and/or emission control strategy(s) and has been approved by the Executive Officer, compliance with the alternative emission reduction plan (plan) shall constitute compliance with the requirements of subsection (a)(2). In order to be approved, the plan must do all of the following: 
(1) Identify or define the total fuel consumption and total emissions that would be associated with the activities of the diesel-electric locomotives were the owner or operator to comply with subsection (a)(2). 
(2) Define a substitute fuel(s) and/or emission control strategy(s) for the plan. 
(3) Identify the emission reductions that are attributable to the substitute fuel(s) and/or emission control strategy(s) relative to the emission reductions achieved through compliance with subsection (a)(2). 
(4) Demonstrate that the substitute fuel(s) and/or emission control strategy(s) in the plan provide equivalent or better emission benefits than would be achieved through compliance with subsection (a)(2). The emission benefits achieved under the plan shall be targeted towards residents in those parts of the state most impacted by diesel-electric locomotive emissions. 
(5) The plan shall contain adequate enforcement provisions. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 7-5-2005; operative 8-4-2005 (Register 2005, No. 27).
§93118. Airborne Toxic Control Measure for Auxiliary Diesel Engines and Diesel-Electric Engines Operated on Ocean-Going Vessels Within California Waters and 24 Nautical Miles of the California Baseline.
Note     •     History

[NOTE: This section is not presently being enforced by the Air Resources Board because of a court injunction against enforcement of provisions in this section. See Pacific Merchant Shipping Ass'n v. Goldstene (9th Cir. 2008) 517 F.3d 1108, which discusses the parallel regulatory requirements in 13 CCR, section 2299.1. Consistent with the court's ruling, this section will only be enforced if the Air Resources Board obtains authorization to do so from the United States Environmental Protection Agency.] 
(a) Purpose. 
The purpose of this section is to reduce emissions of diesel particulate matter (PM), nitrogen oxides, and sulfur oxides from the use of auxiliary diesel engines and diesel-electric engines on ocean-going vessels within any of the waters subject to this regulation (“Regulated California Waters”). 
(b) Applicability. 
(1) Except as provided in subsection (c), this section applies to any person who owns, operates, charters, rents, or leases any ocean-going vessel that operates in any of the Regulated California Waters, which include all of the following: 
(A) all California internal waters; 
(B) all California estuarine waters; 
(C) all California ports, roadsteads, and terminal facilities (collectively “ports”); 
(D) all waters within 3 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive; 
(E) all waters within 12 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive; 
(F) all waters within 24 nautical miles of the California baseline, starting at the California-Oregon border to 34.43 degrees North, 121.12 degrees West, inclusive; and 
(G) all waters within the area, not including islands, between the California baseline and a line starting at 34.43 degrees North, 121.12 degrees West; thence to 33.50 degrees North, 118.58 degrees West; thence to 32.65 degrees North, 117.81 degrees West; and ending at the California-Mexico border at the Pacific Ocean, inclusive. 
(2) Except as provided in subsection (c), this section applies to tanker and nontanker ocean-going vessels that are flagged in, registered in, entitled to fly the flag of, or otherwise operating under the authority of the United States (“U.S.-flagged”) or any other country (“foreign-flagged”). 
(3) Nothing in this section shall be construed to amend, repeal, modify, or change in any way any applicable U.S. Coast Guard requirements. Any person subject to this section shall be responsible for ensuring compliance with both U.S. Coast Guard regulations and the requirements of this section, including but not limited to, obtaining any necessary approvals, exemptions, or orders from the U.S. Coast Guard. 
(c) Exemptions. 
(1) The requirements of this section do not apply to ocean-going vessel voyages that are comprised of continuous and expeditious navigation through any of the Regulated California Waters for the purpose of traversing such bodies of water without entering California internal or estuarine waters or calling at a port, roadstead, or terminal facility. “Continuous and expeditious navigation” includes stopping and anchoring only to the extent such stopping and anchoring are required by the U.S. Coast Guard; rendered necessary by force majeure or distress; or made for the purpose of rendering assistance to persons, ships, or aircraft in danger or distress. This exemption does not apply to the passage of an ocean-going vessel that engages in any of the prejudicial activities specified in United Nations Convention on the Law of the Seas (UNCLOS) 1982, Article 19, subpart 2. Further, notwithstanding any Coast Guard mandated stops or stops due to force majeure or the rendering of assistance, this exemption does not apply to a vessel that was otherwise scheduled or intended to enter California internal or estuarine waters or call at a port, roadstead or terminal facility. 
(2) The requirements of this section do not apply to slow-speed two-stroke diesel engines as defined in subsection (d). 
(3) The requirements of this section do not apply to auxiliary engines on-board ocean-going vessels owned or operated by any branch of local, state, federal government, or by a foreign government, when such vessels are operated within the Regulated California Waters on government non-commercial service. However, such vessels are encouraged to act in a manner consistent, so far as is reasonable and practicable, with this section. 
(4) The requirements of this section do not apply to auxiliary engines while operating on liquefied natural gas or compressed natural gas. 
(5) The requirements of this section, including the payment of Noncompliance Fees as provided in subsection (h), do not apply to the master of the vessel (“master”) if the master reasonably and actually determines that compliance with this section would endanger the safety of the vessel, its crew, its cargo or its passengers because of severe weather conditions, equipment failure, fuel contamination, or other extraordinary reasons beyond the master's reasonable control. This exemption applies only as long as and to the extent necessary to secure the safety of the vessel, its crew, its cargo, or its passengers and provided that; 
(A) the master takes all reasonable precautions after the conditions necessitating the exemption have ended to avoid or minimize repeated claims of exemption under this subsection; 
(B) the master notifies the Executive Officer of a safety exemption claim within 24 hours after the end of each such episode (i.e., the period of time during which the emergency conditions exist that necessitate the safety exemption claim, as provided in paragraph (5) above); and 
(C) the master submits to the Executive Officer, within 4 working days after the notification in paragraph (B) above, all documentation necessary to establish the conditions necessitating the safety exemption and the date(s), local time, and position of the vessel (longitude and latitude) in Regulated California Waters at the beginning and end of the time period during which a safety exemption is claimed under this subsection. All documentation required under this paragraph shall be provided in English. 
(d) Definitions. 
For purposes of this section, the following definitions apply: 
(1) “ASTM” means ASTM International. 
(2) “Auxiliary engine” means an engine on an ocean-going vessel designed primarily to provide power for uses other than propulsion, except that all diesel-electric engines shall be considered “auxiliary diesel engines” for purposes of this regulation. 
(3) “Baseline” means the mean lower low water line along the California coast, as shown on the following National Oceanic and Atmospheric Administration (NOAA) Nautical Charts as authored by the NOAA Office of Coast Survey, which are incorporated herein by reference: 
(A) Chart 18600, Trinidad Head to Cape Blanco (January 2002); 
(B) Chart 18620, Point Arena to Trinidad Head (June 2002); 
(C) Chart 18640, San Francisco to Point Arena (August 2005); 
(D) Chart 18680, Point Sur to San Francisco (June 2005); 
(E) Chart 18700, Point Conception to Point Sur (July 2003); 
(F) Chart 18720, Point Dume to Purisima Point (January 2005); and 
(G) Chart 18740, San Diego to Santa Rosa Island (April 2005). 
(4) “Compliance Period” means the calendar year or other continuous period during which an approved Alternative Control of Emissions (ACE) plan is or will be in effect as specified in subsection (g). 
(5) “Diesel Engine” means an internal combustion, compression-ignition (CI) engine with operating characteristics significantly similar to the theoretical diesel combustion cycle. The regulation of power by controlling fuel supply in lieu of a throttle is indicative of a compression ignition engine. 
(6) “Diesel Particulate Matter” means the particles found in the exhaust of diesel engines, which may agglomerate and adsorb other species to form structures of complex physical and chemical properties. 
(7) “Diesel-electric engine” means a diesel engine connected to a generator that is used as a source of electricity for propulsion or other uses. 
(8) “Emission Control Strategy” means any device, system, or strategy employed to reduce emissions from a diesel engine, including, but not limited to, utilization of shore-side electrical power, diesel oxidation catalysts, selective catalytic reduction systems, diesel particulate filters, alternative diesel fuels, water emulsified fuels, lower sulfur fuels, and any combination of the above. 
(9) “Estuarine Waters” means an arm of the sea or ocean that extends inland to meet the mouth of a river. 
(10) “Executive Officer” means the executive officer of the Air Resources Board (ARB), or his or her designee. 
(11) “Hydrocarbon (HC)” means the sum of all hydrocarbon air pollutants. 
(12) “Internal Waters” means any navigable river or waterway within the State of California. 
(13) “IMO” means the International Maritime Organization. 
(14) “ISO” means the International Organization for Standardization. 
(15) “Marine Diesel Oil” means any fuel that meets all the specifications for DMB grades as defined in Table I of International Standard ISO 8217, as revised in 2005, which is incorporated herein by reference. 
(16) “Marine Gas Oil” means any fuel that meets all the specifications for DMX or DMA grades as defined in Table I of International Standard ISO 8217, as revised in 2005, which is incorporated herein by reference. 
(17) “Master” means the person who operates a vessel or is otherwise in charge of the vessel's operations. 
(18) “Military Vessel” means any ship, boat, watercraft, or other contrivance used for any purpose on water, and owned or operated by the armed services. 
(19) “Nitrogen Oxides (NOx)” means compounds of nitric oxide (NO), nitrogen dioxide (NO2), and other oxides of nitrogen, which are typically created during combustion processes and are major contributors to smog formation and acid deposition. 
(20) “Non-Methane Hydrocarbons (NMHC)” means the sum of all hydrocarbon air pollutants except methane. 
(21) “Ocean-going Vessel” means a commercial, government, or military vessel meeting any one of the following criteria: 
(A) a vessel with a “registry” (foreign trade) endorsement on its United States Coast Guard certificate of documentation, or a vessel that is registered under the flag of a country other than the United States; 
(B) a vessel greater than or equal to 400 feet in length overall (LOA) as defined in 50 CFR §679.2, as adopted June 19, 1996; 
(C) a vessel greater than or equal to 10,000 gross tons (GT ITC) pursuant to the convention measurement (international system) as defined in 46 CFR 69.51-.61, as adopted September 12, 1989; or 
(D) a vessel propelled by a marine compression ignition engine with a per-cylinder displacement of greater than or equal to 30 liters. 
(22) “Operate” means steering or otherwise running the vessel or its functions while the vessel is underway, moored, anchored, or at dock. 
(23) “Own” means having all the incidents of ownership, including the legal title, of a vessel whether or not that person lends, rents, or pledges the vessel; having or being entitled to the possession of a vessel as the purchaser under a conditional sale contract; or being the mortgagor of a vessel. 
(24) “Particulate Matter” means any airborne finely divided material, except uncombined water, which exists as a liquid or solid at standard conditions (e.g., dust, smoke, mist, fumes or smog). 
(25) “Person” includes all of the following: 
(A) any person, firm, association, organization, partnership, business trust, corporation, limited liability company, or company; 
(B) any state or local governmental agency or public district, or any officer or employee thereof; 
(C) the United States or its agencies, to the extent authorized by federal law. 
(26) “Regulated California Waters” means all of the following: 
(A) all California internal waters; 
(B) all California estuarine waters; 
(C) all California ports, roadsteads, and terminal facilities (collectively “ports”); 
(D) all waters within 3 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive; 
(E) all waters within 12 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive; 
(F) all waters within 24 nautical miles of the California baseline, starting at the California-Oregon border to 34.43 degrees North, 121.12 degrees West, inclusive; and 
(G) all waters within the area, not including any islands, between the California baseline and a line starting at 34.43 degrees North, 121.12 degrees West; thence to 33.50 degrees North, 118.58 degrees West; thence to 32.65 degrees North, 117.81 degrees West; and ending at the California-Mexico border at the Pacific Ocean, inclusive. 
(27) “Roadstead” means any facility that is used for the loading, unloading, and anchoring of ships. 
(28) “Slow Speed Engine” means an engine with a rated speed of 150 revolutions per minute or less. 
(29) “Sulfur Oxides” means compounds of sulfur dioxide (SO2), and other oxides of sulfur, which are typically created during combustion of sulfur containing fuels. 
(30) “Tanker” means a self-propelled vessel constructed or adapted primarily to carry, or that carries, oil or hazardous material in bulk as cargo or cargo residue. 
(31) “Two-stroke Engine” means an internal combustion engine which operates on a two stroke cycle where the cycle of operation completes in one revolution of the crankshaft. 
(32) “Vessel” means any tugboat, tanker, freighter, passenger ship, barge, or other boat, ship, or watercraft, except those used primarily for recreation and any of the following: 
(A) a seaplane on the water; 
(B) a watercraft specifically designed to operate on a permanently fixed course, the movement of which is restricted to a fixed track or arm to which the watercraft is attached or by which the watercraft is controlled. 
(e) Requirements. 
(1) Emission Limits.
Except as provided in subsections (c), (g) and (h), no person subject to this section shall operate any auxiliary diesel engine, while the vessel is operating in any of the Regulated California Waters, which emits levels of diesel PM, NOx, or SOx in exceedance of the emission rates of those pollutants that would result had the engine used the following fuels: 
(A) Beginning January 1, 2007: 
1. marine gas oil, as defined in subsection (d); or 
2. marine diesel oil, as defined in subsection (d), with a sulfur content of no more than 0.5 percent by weight; 
(B) Beginning January 1, 2010: marine gas oil with a sulfur content of no more than 0.1 percent by weight. 
(C) Compliance with subsection (e)(1) is presumed if the person operates the regulated engine(s) with the fuels as specified in subsection (e)(1)(A) and (e)(1)(B). 
(2) Recordkeeping, Reporting, and Monitoring Requirements. 
(A) Recordkeeping. 
Beginning January 1, 2007, any person subject to this section shall retain and maintain records in English that contain the following information for at least three years following the date when the records were made: 
1. The date, local time, and position (longitude and latitude) of the vessel for each entry into and departure from any of the Regulated California Waters, excluding any voyages exempted from the requirements of this section under subsection (c)(1); 
2. The date, local time, and position (longitude and latitude) of the vessel at the initiation and completion of any fuel switching procedures used to comply with subsection (e)(1) prior to entry into any of the Regulated California Waters; 
3. The date, local time, and position (longitude and latitude) of the vessel at the initiation and completion of any fuel switching procedures within any of the Regulated California Waters; completion of fuel switching procedures occurs the moment all engines subject to this section have completely transitioned from operation on one fuel to another fuel; 
4. The type of each fuel used (e.g. marine gas oil) in each auxiliary engine operated in any of the Regulated California Waters; and 
5. The types, amounts, and the actual percent by weight sulfur content of all fuels purchased for use on the vessel, as reported by the fuel supplier or a fuel testing firm.
(B) Reporting and Monitoring. 
1. Any person subject to this section shall provide in writing the information specified in subsection (e)(2)(A) to the Executive Officer upon request, either within 24 hours or by a later date approved by the Executive Officer on a case-by-case basis. To the extent the person already collects the information specified in subsection (e)(2)(A) in English to comply with other regulatory requirements or standard practices, the person may provide the requested information in a format consistent with those other regulatory requirements or standard practices. 
2. Any person subject to this section shall provide to the Executive Officer upon request additional information the Executive Officer determines to be necessary to determine compliance with this section, including, but not limited to: 
a. the make, model, rated power, and serial numbers of all auxiliary engines subject to subsection (e)(1); 
b. the capacity and locations of all fuel tanks on the vessel; and 
c. piping diagrams and specifications for mixing tanks or other fuel handling equipment applicable to auxiliary engines. 
3. Any person subject to this section shall provide to the Executive Officer access to the vessel for the purpose of determining compliance with this section, including but not limited to, access to and review of records and information required under subsection (e)(2)(A) or (e)(2)(B)2., and for the purpose of collecting fuel samples for testing and analysis. 
(f) Violations. 
(1) Any person who is subject to this section and commits a violation of any provision, standard, criteria or requirement in this section is subject to the penalties, injunctive relief, and other remedies specified in Health and Safety Code, section 42400 et seq.; other applicable sections in the Health and Safety Code; and other applicable provisions as provided under California law for each violation. Nothing in this section shall be construed to limit or otherwise affect any applicable penalties or other remedies available under federal law. 
(2) Any failure to meet any provision, standard, criteria or requirement in this section, including but not limited to the applicable emission limits; recordkeeping requirements; Noncompliance Fee provision; and Alternative Control of Emissions (ACE) provision, including the requirements of any approved ACE plans, shall constitute a single, separate violation of this section for each hour that a person operates an ocean-going vessel within the Regulated California Waters until such provision, standard, criteria or requirement has been met. 
(3) Any person who is subject to this section is liable for meeting the requirements of this section, notwithstanding any contractual arrangement that person may have with any third-parties. 
(g) Alternative Control of Emissions (ACE) Plan In Lieu of Meeting Subsection (e)(1). 
For purposes of this subsection, the terms “ACE” and “ACE plan” shall have the same meaning, unless otherwise noted. 
(1) Requirements. 
(A) The purpose of this subsection is to allow any person (“person” or “applicant”) the option of complying with the requirements of this subsection (g) in lieu of the requirements of subsection (e)(1). Under this subsection (g), alternative emission control strategies can be implemented in lieu of meeting the requirements of subsection (e)(1), provided the alternative strategies result in emissions of diesel PM, NOx, and SOx from the auxiliary diesel engines that are no greater than the emissions that would have occurred under subsection (e)(1), over the applicable compliance period. 
(B) An applicant wishing to participate in an ACE may include one or more vessels in the ACE, but the applicant shall only include vessels that the person owns or operates under their direct control. For purposes of this subsection, “direct control” shall include, but not be limited to, vessels for which the applicant has a contract, lease, or other arrangement with a third-party for the third-party to operate the vessel. 
(C) No vessel shall be included in more than one ACE plan. 
(D) No ACE plan shall have a compliance period greater than 1 calendar year or a continuous 12-month period. Except as provided in paragraph (E) below, upon completion of a compliance period, an approved ACE plan shall continue to be in effect for another compliance period of equal length, provided the following are met: 
1. the applicant provides updated information for all elements of the approved ACE plan to the Executive Officer at least 30 days prior to the end of the first compliance period; and 
2. the updated information demonstrates that compliance with this subsection will continue for the next compliance period. 
(E) No ACE plan shall be extended for another compliance period if: 
1. the Executive Officer has determined that violations of the ACE provisions have occurred and the Executive Officer revokes the ACE plan as specified in subsection (g)(3); 
2. the applicant elects to cancel an approved ACE plan. Applicants who cancel operation under an approved ACE are subject to the emission requirements of subsection (e)(1) and all other requirements of this section upon the effective date of the cancellation. An ACE plan that is cancelled prior to the end of its approved compliance period shall have its compliance period adjusted to end at the effective date of cancellation; or 
3. the applicant proposes to substantially change the alternative emission control strategies in their approved ACE plan, as determined by the Executive Officer. Applicants proposing to substantially change the alternative emission control strategies in their ACE plan shall be subject to the application process for new applications, as specified in subsection (g)(2). 
(F) In addition to other requirements specified in this subsection (g), no proposed ACE plan shall be approved unless the applicant demonstrates to the satisfaction of the Executive Officer all of the following: 
1. the alternative emission control strategies under the proposed ACE plan will result in emissions of diesel PM, NOx, and SOx from the auxiliary diesel engines that are no greater than the emissions that would have occurred under subsection (e)(1) over the applicable compliance period; and 
2. surplus emission reductions achieved at one port will not result in increased emissions at a second port, relative to the emissions that would have occurred at the second port prior to implementation of this section. 
(G) Emission control strategy is as defined in subsection (d)(8). 
(H) The ACE plan application demonstrating compliance with this subsection shall contain, at a minimum, the following information: 
1. the company name, address, and contact information; 
2. the vessel(s) name, country flag, and IMO identification number; 
3. the make, model, serial numbers and other information that uniquely identify each engine on the affected vessel(s) subject to the ACE; 
4. documentation, calculations, emissions test data, or other information that demonstrates that the emission reductions from the auxiliary engines subject to the ACE will be equivalent to or greater than the emission reductions that would have been achieved upon compliance with subsection (e)(1). The emission reductions shall be calculated for diesel PM, NOx, and SOx, and shall be expressed in pounds of each pollutant; 
5. information on the California ports expected to be visited by the affected vessel(s) during the compliance period that the ACE will be in effect, the anticipated dates of those visits, and the potential planned oversea routes to and from these ports; and 
6. the proposed recordkeeping, reporting, monitoring, and testing procedures that the applicant plans to use to demonstrate continued compliance with the ACE. 
(I) Emission reduction calculations used to demonstrate equivalence with the requirements of subsection (e)(1) shall include only diesel PM, NOx, and SOx emissions from auxiliary engines operating within any of the Regulated California Waters. 
(J) Use of Shore-Side Power. 
1. Except as otherwise provided in this subsection (g)(1)(J), vessels in an ACE that utilize shore-side power in lieu of their auxiliary diesel engines while at dockside shall be considered to meet the emission reduction requirements of the ACE during: 
a. all travel within Regulated California Waters from a previous port to the California port terminal where shore-side power is used; 
b. time spent secured (“docked”) at the California port terminal where shore-side power is used; and 
c. all travel within Regulated California Waters from the California port where shore-side power is utilized to the next port visited. 
2. For the purposes of paragraph 1 above, “utilizing shore-side power” means: 
a. connecting to electricity supplied by a utility company, or another source with emissions per unit of delivered energy equivalent to or lower than the January 1, 2007 levels specified in title 17, CCR, sections 94200-94214, “Distributed Generation Certification Program;” and 
b. shutting down all auxiliary engines subject to this control measure no later than one hour after the vessel is secured at the port terminal, and continuously thereafter until no more than one hour prior to when the vessel leaves the terminal. 
3. Except as otherwise provided in paragraph 5 below, if a vessel operating under an approved ACE visits two California ports in succession, and the vessel utilizes shore-side power at the first port but not at the second port visited, the vessel shall not be considered to meet the emission reduction requirements of the ACE during the time it is docked at the second port and any subsequent travel within Regulated California Waters from this port. 
4. Except as otherwise provided in paragraph 5 below, if a vessel operating under an approved ACE visits two California ports in succession, and the vessel utilizes shore-side power at the second port but not at the first port visited, the vessel shall not be considered to meet the emission reduction requirements of the ACE during travel within Regulated California Waters to this first port or during the time the vessel is docked at the first port. Travel from the first port to the second port where shore-side power is utilized shall be deemed to meet the emission reduction requirements of the ACE. 
5. The provisions in paragraphs 3 and 4 above notwithstanding, if a passenger cruise vessel operating under an approved ACE visits a California port, utilizes shore-side power at that port, then leaves that port and moors (i.e., drops anchor) at another offshore location away from a port, roadstead or terminal facility (e.g., Catalina Island or off Monterey), the mooring stop shall not be deemed as a second port visit. However, a person subject to this provision shall meet the emission limits in subsection (e)(1) for all auxiliary diesel engines on the passenger cruise vessel (i.e., all diesel-electric engines) during the entire time the vessel is moored. 
(K) Any person subject to an approved ACE shall maintain operating records in a manner and form as specified by the Executive Officer in the approved ACE. Required records may include, but are not limited to, information on fuel usage, routes, port calls, maintenance procedures, and emissions test results. Such records and reports shall be retained for a period of not less than three (3) years and shall be submitted to the Executive Officer in the manner specified in the approved ACE and upon request by the Executive Officer, either within 24 hours or by a later date approved by the Executive Officer. 
(L) Emission reductions included in an ACE shall not include reductions that are otherwise required by any State, federal or international rule, regulation, or statute. 
(M) No person may comply with this section by operating under an ACE unless the applicant has first been notified in writing by the Executive Officer that the ACE application has been approved. Prior to such approval, applicants shall comply with the provisions of this section, including the emission limits in subsection (e)(1). 
(N) No person may comply with this section by operating under an ACE that has been revoked as provided in subsections (g)(2)(G) and (g)(3). 
(2) Application Process. 
(A) Applications for an ACE shall be submitted in writing to the Executive Officer for evaluation. 
(B) The Executive Officer shall establish an internet site (“ACE internet site”) in which all documents pertaining to an ACE application will be made available for public review. The Executive Officer shall also provide a copy of all such documents to each person who has requested copies of the documents; these persons shall be treated as interested parties. The Executive Officer shall provide two separate public comment periods during the ACE Application process, as specified in this subsection (g)(2). 
(C) Completeness Determination. 
Within 15 days after receiving an ACE application, the Executive Officer shall notify the applicant whether the application is deemed sufficiently complete to proceed with further evaluation. If the application is deemed incomplete, the notification shall identify the application's deficiencies. The Executive Officer shall have an additional 15-day period for reviewing each set of documents or information submitted in response to an incomplete determination. Nothing in this subsection prohibits the Executive Officer from requesting additional information from the applicant, during any part of the ACE application process, which the Executive Officer determines is necessary to evaluate the application. 
(D) Notice of Completeness and 30-Day First Public Comment Period. 
After an ACE application has been deemed complete, the Executive Officer shall provide a 30-day public comment period to receive comments on any element of the ACE application and whether the Executive Officer should approve or disapprove the ACE application based on the contents and merits of the application. The Executive Officer shall notify all interested parties of the following: 
1. the applicant(s); 
2. the start and end dates for the 30-day first comment period; and 
3. the address of the ACE internet site where the application is posted. 
The Executive Officer shall also make this notification available for public review on the ACE internet site. 
(E) Proposed Action and 15-Day Second Public Comment Period. 
Within 30 days after the first public comment period ends, the Executive Officer shall notify the applicant and all interested parties of ARB's proposed approval or disapproval. This notification shall propose to approve the application as submitted, disapprove the application, or approve the ACE application with modifications as deemed necessary by the Executive Officer. The notification shall identify the start and end dates for the 15-day second public comment period. During the second public comment period, any person may comment on the Executive Officer's proposed approval or disapproval of the ACE application and any element of the application. The Executive Officer shall also make this notification available for public review on the ACE internet site. 
(F) Final Action. 
Within 15 days after the second public comment period ends, the Executive Officer shall take final action to either approve or deny an ACE application and shall notify the applicant accordingly. If the application is denied or modified, the Executive Officer shall state the reasons for the denial or modification in the notification. The notification to the applicant and approved ACE plan, if applicable, shall be made available to the public on the ACE internet site. In addition, the Executive Officer shall consider and address all comments received during the first and second public comment periods, and provide responses to each comment on the ACE internet site. 
(G) Notification to the Executive Officer of Changes to an Approved ACE. 
The applicant shall notify the Executive Officer in writing within 30 days upon learning of any information that would alter the emissions estimates submitted during any part of the ACE application process. If the Executive Officer has reason to believe that an approved ACE has been granted to a person that no longer meets the criteria for an ACE, the Executive Officer may, pursuant to subsection (g)(3) below, modify or revoke the ACE as necessary to assure that the applicant and subject vessel(s) will meet the emission reduction requirements in this section. 
(3) Revocation or Modification of Approved ACEs. 
With 30-days notice to the ACE holder, the Executive Officer may revoke or modify, as needed, an approved ACE if there have been multiple violations of the ACE provisions or the requirements of the approved ACE plan; or if the Executive Officer has reason to believe that an approved ACE has been granted that no longer meets the criteria or requirements for an ACE or the applicant can no longer comply with the requirements of the approved ACE in its current form. Public notification of a revocation or modification of an approved ACE shall be made available on the ACE internet site. 
(h) Noncompliance Fee In Lieu of Meeting Subsection (e)(1). 
The Executive Officer may permit a person to pay noncompliance fees in lieu of meeting the requirements of subsection (e)(1). Payment of the fees notwithstanding, all other provisions of this section shall continue to apply. No person shall be permitted to pay the fees unless the person meets the notification requirements in subsection (h)(1) and the requirements in either subsections (h)(2), (h)(3), or (h)(4), as specified below: 
(1) Notification Requirements. 
Before the person's vessel enters Regulated California Waters, the Executive Officer must receive notice that the person will not meet the requirements of subsection (e)(1) while operating within Regulated California Waters, but the person will instead meet the requirements of this subsection (h). If the Executive Officer has not received such notice and the person enters Regulated California Waters, the person will be in violation of this section and will not be permitted to pay the fees in lieu of meeting the requirements of subsection (e)(1). 
(2) Noncompliance for Reasons Beyond a Person's Reasonable Control. 
Any person wishing to pay the fees under this subsection (h)(2) shall meet the following criteria: 
(A) Demonstration of Need. 
The person shall, through adequate documentation, demonstrate to the Executive Officer's satisfaction that the person's noncompliance with the requirements of subsection (e)(1) is beyond the person's reasonable control. For the purposes of this paragraph, “beyond the person's reasonable control” applies only when one or more of the following sets of circumstances (1, 2, or 3) applies: 
1. Unplanned Redirection. 
This provision applies only when all of the following criteria are met: 
a. after leaving the last port of call, the person's vessel was redirected from his/her original, officially logged, non-California destination to a California port, roadstead, or terminal facility (“port”); and 
b. the vessel does not contain a quantity of fuel sufficient for the auxiliary engines to meet the requirements of subsection (e)(1) and cannot comply using the alternative emission control strategies under an approved ACE. 
2. Inadequate Fuel Supply. 
This provision applies only when all of the following criteria are met: 
a. the person made good faith efforts to acquire a quantity of fuel sufficient for the vessel's auxiliary engines to meet the requirements of subsection (e)(1); and 
b. the person was unable to acquire fuel sufficient for the engines to meet the requirements of subsection (e)(1) and cannot comply using the alternative emission control strategies under an approved ACE. 
3. Inadvertent Purchase of Defective Fuel. 
This provision applies only when all of the following criteria are met: 
a. based on the fuel supplier's certification of the fuel specifications, the person reasonably believed, and relied on such belief, that the fuel the person purchased on the route from the vessel's home port to California would enable the auxiliary engines to meet the requirements of subsection (e)(1); 
b. the person determined that the vessel's auxiliary engines in fact will not meet the requirements of subsection (e)(1) using any of the fuel purchased under paragraph 3.a. above and the person cannot comply using the alternative emission control strategies under an approved ACE; and 
c. the vessel is already on its way to California, and there are no other ports of call on the vessel's route where fuel can be purchased sufficient to meet the requirements of subsection (e)(1). 
(B) Payment of Fees. 
Upon meeting the requirements of paragraph (A) in this subsection (h)(2), the person shall pay the fees for every port visit, as specified in subsection (h)(5) below. 
(C) Executive Officer Review. 
For the purposes of verifying the demonstration of need as specified in paragraph (A) above, the Executive Officer may consider and rely on any facts or circumstances the Executive Officer believes are appropriate, including but not limited to: the fuel supplier's ability or failure to provide adequate fuel ordered by the person; any material misrepresentation by the fuel supplier concerning the fuel specifications; the reasonableness of the person's reliance on fuel suppliers with a history of supplying fuel inadequate for meeting the requirements of subsection (e)(1); and force majeure. 
(3) Noncompliance for Vessels to Be Taken Out of Service for Modifications. 
If a person cannot meet the requirements of subsection (e)(1) without vessel modifications, and such modifications cannot be completed prior to the effective date of subsection (e)(1), the Executive Officer may permit the person to pay the fees as specified in this subsection. This provision also applies to vessels that will undergo modifications pursuant to an Executive Officer approved Alternative Control of Emissions (ACE) Plan. The vessel must be scheduled to complete the necessary modifications (e.g. during a dry dock operation) as soon as possible, but no later than 5 years after the effective date of this section. For this provision to apply, the person shall meet all of the following criteria: 
(A) Demonstration of Need. 
The person shall provide the Executive Officer a Compliance Retrofit Report, signed by the Chief Engineer of the person's vessel, which: 
1. identifies the specific vessel modifications (“modifications”) (e.g. installation of additional fuel tanks) the person plans to use for meeting the requirements of subsection (e)(1) or an ACE Plan; 
2. identifies the specific date by which the modifications will be completed (e.g. while the vessel is in dry dock); and 
3. demonstrates to the satisfaction of the Executive Officer that the modifications will be made at the earliest possible date (e.g. the vessel has been scheduled for the earliest available dry dock appointment). 
(B) Payment of Fees. 
Upon meeting the requirements of paragraph (A) in this subsection (h)(3), the person shall pay the fees for every port visit, as specified in subsection (h)(5) below. 
(C) Proof of Modifications Actually Performed. 
Within ten (10) business days after the scheduled or actual completion of the modifications, whichever occurs first, the person shall provide written certification to the Executive Officer that the modifications specified under this subsection (h)(3) have been completed. If the modifications have not been completed, the person shall certify which modifications have been completed, which have not, and the anticipated completion date for the remaining modifications. The notification requirement specified in this paragraph, the notification requirements in subsection (h)(1) above, and the fee provisions in subsection (h)(5) below shall apply until all the modifications have been completed. 
(4) Noncompliance Based on Infrequent Visits and Need for Vessel Modifications. 
If a person cannot meet the requirements of subsection (e)(1) without modifications for the vessel at issue, and that vessel will make no more than two California port visits per calendar year, and no more than 4 California port visits after January 1, 2007 during the life of the vessel, the Executive Officer may permit the person to pay the fees as specified in this subsection. 
(A) Demonstration of Need. 
The person shall demonstrate to the satisfaction of the Executive Officer that modifications to the vessel are necessary to meet the requirements of subsection (e)(1), and that the vessel shall meet the visitation limits specified in this subsection (h)(4). 
(B) Payment of Fees. 
Upon meeting the requirements of paragraph (A) above, the person shall pay the fees for every port visit up to a maximum of 4 visits, as specified in subsection (h)(5) below. 
(5) Calculation and Payment of Fees. 
For each port visit, the person who elects to pay the fees pursuant to this subsection (h) shall pay the applicable fees shown in Table 1. For purposes of this provision, “port visit” shall include all stops at a port, roadstead, or terminal facility in Regulated California Waters, as well as all moorings (i.e., the ship drops anchor) at an offshore location in Regulated California Waters away from a port, roadstead or terminal facility (e.g., Catalina Island or off Monterey). For each port visit, the person shall deposit the fees in the port's Noncompliance Fee Settlement and Air Quality Mitigation Fund prior to leaving the California port or by a later date approved by the Executive Officer on a case-by-case basis: 
(A) After January 1, 2007, each instance of a vessel stopping or anchoring at a port or offshore in Regulated California Waters shall count as one port visit, and the port visits shall be cumulative. 

Table 1: Noncompliance Fee Schedule, Per Vessel 

	Visit		      Fee
			Diesel-Electric
			Vessels	Other Vessels

1st Port Visited	$32,500	$13,000 
2nd Port Visited	$65,000	$26,000
3rd Port Visited 	$97,500	$39,000
4th Port Visited	$130,000	$52,000
5th or more Port Visited	$162,500	$65,000

(B) The fees shown in Table 1 shall be assessed by the Executive Officer at the time of the port visit. However, if for any reason the person is not notified by the Executive Officer of the assessed fee by the end of the port visit, the person shall nevertheless be responsible for payment of the appropriate fee as specified in this subsection (h) prior to leaving the California port or by a later date approved by the Executive Officer on a case-by-case basis. 
(C) The Executive Officer shall enter into enforceable agreements with each port that will receive the fees. The agreements shall require that the fees be used by the ports only to fund projects that will substantially reduce emissions of diesel PM, NOx, and SOx from on-site sources, sources within 2 miles of port boundaries, or ocean-going vessels operated within the Regulated California Waters, except that the fees shall not be used to fund projects on vessels from which noncompliance fees were paid. Fees intended for ports that do not have such agreements at the time the fees are paid shall be deposited into the California Air Pollution Control Fund. 
(i) Test Methods. 
The following test methods or alternative test methods that are demonstrated to the written satisfaction of the Executive Officer to be equally or more accurate, shall be used to determine compliance with this section: 
(1) Test methods used to determine whether fuels meet the requirements of marine gas oil (DMA or DMX) or marine diesel oil (DMB), as specified in subsection (e)(1), shall be the methods specified in International Standard ISO 8217 (as revised in 2005), which is incorporated herein by reference. 
(2) The sulfur content of fuels shall be determined pursuant to International Standard ISO 8754 (as adopted in 2003), which is incorporated herein by reference. 
(j) Sunset, Technology Re-evaluation, and Baseline and Test Method Review. 
(1) If the Executive Officer determines that the International Maritime Organization or the United States Environmental Protection Agency have adopted regulations for auxiliary diesel engines and diesel-electric engines that will achieve equivalent or greater emission reductions from ocean-going vessels in California compared to the emission reductions resulting from this regulation, the Executive Officer shall propose to the Board for its consideration the termination of the requirements of this section or other modifications to the section as deemed appropriate by the Executive Officer. 
(2) On or before July 1, 2008, the Executive Officer shall re-evaluate the feasibility of the emission limits based on using marine gas oil with no greater than 0.1 percent sulfur by weight specified in subsection (e)(1)(B). The re-evaluation shall consider, but not be limited to: 
(A) the availability of 0.1 percent sulfur marine gas oil at bunkering ports worldwide; 
(B) the ability of petroleum refiners and marine fuel suppliers to deliver 0.1 percent sulfur fuel by January 1, 2010; 
(C) fuel lubricity; 
(D) compatibility of the 0.1 percent sulfur marine gas oil with heavy fuel oil during fuel transitions; and 
(E) the additional cost of 0.1 percent sulfur fuel compared to marine gas oil with other sulfur content levels. 
(3) Pursuant to paragraph (2) of this subsection (j), if the Executive Officer determines that modifications to subsection (e)(1)(B) are necessary, the Executive Officer shall propose appropriate changes to the Board prior to January 1, 2009. 
(4) The Executive Officer shall periodically review the California baseline determinations by the National Oceanic and Atmospheric Administration (NOAA) to determine if updates to the baseline maps incorporated by reference in this section are necessary. If modifications to the baseline maps are determined to be necessary, the Executive Officer shall conduct a public hearing as soon as practicable to amend this section accordingly. 
(5) The Executive Officer shall periodically review the test methods incorporated by reference in this section to determine if updates to the referenced methods are necessary. If updates to the test methods are determined to be necessary, the Executive Officer shall conduct a public hearing as soon as practicable to amend this section accordingly. 
(k) Severability. 
Each part of this section shall be deemed severable, and in the event that any part of this section is held to be invalid, the remainder of this section shall continue in full force and effect. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666, 41510 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-6-2006; operative 12-6-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 49).
2. Change without regulatory effect amending subsections (b)(1)(G) and (d)(26)(G) filed 7-2-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 27).
3. Change without regulatory effect adding explanatory note referencing court injunction preventing enforcement of this section pursuant to the decision in Pacific Merchant Shipping Ass'n. v. Goldstene (9th Cir. 2008) 517 F.3d 1108 filed 5-29-2009 (Register 2009, No. 22).
§93118.2. Airborne Toxic Control Measure for Fuel Sulfur and Other Operational Requirements for Ocean-Going Vessels Within California Waters and 24 Nautical Miles of the California Baseline.
Note     •     History

(a) Purpose. 
The purpose of this section is to require the use of low sulfur marine distillate fuels in order to reduce emissions of particulate matter (PM), diesel particulate matter, nitrogen oxides, and sulfur oxides from the use of auxiliary diesel and diesel-electric engines, main propulsion diesel engines, and auxiliary boilers on ocean-going vessels within any of the waters subject to this regulation (“Regulated California Waters”). 
(b) Applicability.
(1) Except as provided in subsection (c), this section applies to any person who owns, operates, charters, rents, or leases any ocean-going vessel that operates in any of the Regulated California Waters, which include all of the following: 
(A) all California internal waters;
(B) all California estuarine waters;
(C) all California ports, roadsteads, and terminal facilities (collectively “ports”);
(D) all waters within 3 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive;
(E) all waters within 12 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive; and
(F) all waters within 24 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive, except for the region within the area defined by 34.8 degrees North, 121.14 degrees West, thence to 34.46 degrees North, 120.82 degrees West, thence to 34.36 degrees North, 120.82 degrees West, thence to 34.29 degrees North, 120.99 degrees West, and following the boundary 24 nautical miles from the California baseline from 34.29 degrees North, 120.99 degrees West to 34.8 degrees North, 121.14 degrees West.
(2) Except as provided in subsection (c), this section applies to ocean-going vessels that are flagged in, registered in, entitled to fly the flag of, or otherwise operating under the authority of the United States (“U.S.-flagged”) or any other country (“foreign-flagged”).
(3) Nothing in this section shall be construed to amend, repeal, modify, or change in any way any applicable U.S. Coast Guard requirements. Any person subject to this section shall be responsible for ensuring compliance with both U.S. Coast Guard regulations and the requirements of this section, including but not limited to, obtaining any necessary approvals, exemptions, or orders from the U.S. Coast Guard.
(c) Exemptions. 
(1) The requirements of this section do not apply to ocean-going vessel voyages that are comprised of continuous and expeditious navigation through any Regulated California Waters for the purpose of traversing such bodies of water without entering California internal or estuarine waters or calling at a port, roadstead, or terminal facility. “Continuous and expeditious navigation” includes stopping and anchoring only to the extent such stopping and anchoring are required by the U.S. Coast Guard; rendered necessary by force majeure or distress; or made for the purpose of rendering assistance to persons, ships, or aircraft in danger or distress. This exemption does not apply to the passage of an ocean-going vessel that engages in any of the prejudicial activities specified in United Nations Convention on the Law of the Seas (UNCLOS) 1982, Article 19, subpart 2. Further, notwithstanding any Coast Guard mandated stops or stops due to force majeure or the rendering of assistance, this exemption does not apply to a vessel that was otherwise scheduled or intended to enter California internal or estuarine waters or call at a port, roadstead or terminal facility.
(2) The requirements of this section do not apply to emergency generators.
(3) The requirements of this section do not apply to auxiliary engines, main engines or auxiliary boilers onboard ocean-going vessels owned or operated by any branch of local, state, or federal government, or by a foreign government, when such vessels are operated within Regulated California Waters on government non-commercial service. However, such vessels are encouraged to act in a manner consistent, so far as is reasonable and practicable, with this section.
(4) The requirements of this section do not apply to auxiliary engines, main engines, and auxiliary boilers while such engines and boilers are operating on alternative fuel in Regulated California Waters.
(5) The requirements of this section, including the payment of Noncompliance Fees as provided in subsection (h), do not apply if the master reasonably and actually determines that compliance with this section would endanger the safety of the vessel, its crew, its cargo or its passengers because of severe weather conditions, equipment failure, fuel contamination, or other extraordinary reasons beyond the master's reasonable control. This exemption applies only as long as and to the extent necessary to secure the safety of the vessel, its crew, its cargo, or its passengers and provided that;
(A) the master takes all reasonable precautions after the conditions necessitating the exemption have ended to avoid or minimize repeated claims of exemption under this subsection;
(B) the master notifies the Executive Officer of a safety exemption claim within 24 hours after the end of each such episode (i.e., the period of time during which the emergency conditions exist that necessitate the safety exemption claim, as provided in paragraph (5) above); and
(C) the master submits to the Executive Officer, within 4 working days after the notification in paragraph (B) above, all documentation necessary to establish the conditions necessitating the safety exemption and the date(s), local time, and position of the vessel (longitude and latitude) in Regulated California Waters at the beginning and end of the time period during which a safety exemption is claimed under this subsection. All documentation required under this paragraph shall be provided in English.
(6) Temporary Experimental or Research Exemption. As provided in this paragraph, the requirements of this section do not apply to vessels that have been granted a temporary experimental exemption by the Executive Officer for the duration of the approved exemption. A temporary experimental exemption may be granted by the Executive Officer for experimental purposes for up to three years with one extension for up to three additional years. The exemption will be limited in duration as specified by the Executive Officer in the Executive Order granting such an exemption or extension. All documentation and information submitted in support of an application for a temporary experimental exemption or extension shall be deemed non-confidential and available for public review under the Public Records Act.
(A) Pursuant to this paragraph, a person may operate an auxiliary engine, main engine or auxiliary boiler with fuel that does not meet the provisions of (e)(1), provided the person meets all of the following requirements: 
1. the person obtains written approval for this exemption or extension, in the form of an Executive Order from the Executive Officer, before the vessel enters Regulated California Waters;
2. the person or master of the vessel takes all measures available to minimize emissions of diesel PM, NOx, and SOx to the extent feasible during the period in which the temporary experimental exemption is in effect; 
3. the request for an exemption or extension is provided in writing, submitted to the Executive Officer at least 30 days before the vessel enters Regulated California Waters, and contains the following:
a. specifications for the non-compliant fuel that the person is proposing to use pursuant to this paragraph, including but not limited to, sulfur content (expressed to the nearest tenth weight percent); whether the fuel meets ASTM specifications for marine diesel oil (MDO), marine gas oil (MGO), or some other fuel (identify which ASTM specifications the fuel meets, if any); and 
b. a clear and convincing demonstration that the use of the proposed non-compliant fuel will generate data as part of research that advances the state of knowledge of exhaust control technology or characterization of emissions. For purposes of this paragraph, the Executive Officer's determination that the person has provided a “clear and convincing demonstration” shall be based on whether the person's use of the proposed noncompliant fuel is an express part of a formal, executed research contract or project; a doctoral dissertation; or a master's thesis. A demonstration of the “state of knowledge” includes specific citations to scientific, academic, industry or regulatory literature existing or in progress at the time of the request; 
c. identification of the purpose, goals, and objectives of the project, measures taken to minimize emission of air contaminants, and testing procedures and testing schedules;
(B) A person with an exemption granted pursuant to this provision shall:
1. bring the vessel into full compliance with the requirements of this section, including subsection (e)(1), prior to the expiration of the temporary experimental exemption as specified; and
2. provide a progress report annually from the date of the executive order, to the Executive Officer providing interim test data or other interim results, description of vessel modifications or retrofitting done as part of the projects or other information generated from the date of the prior progress report.
3. provide all official test data and all other results, data, or other information generated during the exemption period to the Executive Officer, in writing and final form, no more than 90 days after the expiration of the temporary experimental exemption or extension.
(C) No modifications to the terms and conditions of an approved temporary experimental exemption shall be valid unless in writing and agreed to by both the Executive Officer and the person. Any variance, deviance, or nonconformance with the terms and conditions of an approved temporary experimental exemption or extension shall be deemed a separate violation of this section.
(d) Definitions.
For purposes of this section, the following definitions apply:
(1) “Alternative fuel” means natural gas, propane, ethanol, methanol, hydrogen, electricity, or fuel cells. Alternative fuel also means any mixture that only contains these fuels. 
(2) “ASTM” means ASTM International.
(3) “Auxiliary boiler” means any fuel-fired combustion equipment designed primarily to produce steam for uses other than propulsion, including, but not limited to, heating of residual fuel and liquid cargo, heating of water for crew and passengers, powering steam turbine discharge pumps, freshwater generation, and space heating of cabins. Exhaust gas economizers that exclusively use diesel engine exhaust as a heat source to produce steam are not auxiliary boilers.
(4) “Auxiliary engine” means a diesel engine on an ocean-going vessel designed primarily to provide power for uses other than propulsion or emergencies, except that all diesel-electric engines shall be considered “auxiliary diesel engines” for purposes of this section. 
(5) “Baseline” means the mean lower low water line along the California coast, as shown on the following National Oceanic and Atmospheric Administration (NOAA) Nautical Charts as authored by the NOAA Office of Coast Survey, which are incorporated herein by reference:
(A) Chart 18600, Trinidad Head to Cape Blanco (January 2002);
(B) Chart 18620, Point Arena to Trinidad Head (June 2002);
(C) Chart 18640, San Francisco to Point Arena (August 2005);
(D) Chart 18680, Point Sur to San Francisco (June 2005);
(E) Chart 18700, Point Conception to Point Sur (July 2003);
(F) Chart 18720, Point Dume to Purisima Point (August 2008); and
(G) Chart 18740, San Diego to Santa Rosa Island (March 2007).
(6) “Diesel Engine” means an internal combustion, compression-ignition (CI) engine with operating characteristics significantly similar to the theoretical diesel combustion cycle. The regulation of power by controlling fuel supply in lieu of a throttle is indicative of a compression ignition engine.
(7) “Diesel Particulate Matter” means the particles found in the exhaust of diesel engines, which may agglomerate and adsorb other species to form structures of complex physical and chemical properties.
(8) “Diesel-electric engine” means a diesel engine connected to a generator that is used as a source of electricity for propulsion or other uses. 
(9) “Emergency Generator” means a diesel-electric engine operated only during emergencies or to perform maintenance and testing necessary to ensure readiness for emergencies.
(10) “Essential Modification” means the addition of new equipment, or the replacement of existing components with modified components, that can be demonstrated to be necessary to comply with this regulation. Essential modifications do not include: (1) changes that are made for convenience or automation of fuel switching; or (2) replacement of components that would be replaced in the absence of this regulation, based on measured component wear, visual inspection, or expected service life, even if accelerated due to the fuel requirements. Additional tankage is considered essential only if existing available tankage has less than the capacity required for a complete voyage within Regulated California Waters. 
(11) “Estuarine Waters” means an arm of the sea or ocean that extends inland to meet the mouth of a river.
(12) “Executive Officer” means the executive officer of the Air Resources Board (ARB), or his or her designee.
(13) “Hydrocarbon (HC)” means the sum of all hydrocarbon air pollutants.
(14) “Internal Waters” means any navigable river or waterway within the State of California.
(15) “IMO” means the International Maritime Organization.
(16) “ISO” means the International Organization for Standardization.
(17) “Main Engine” means a diesel engine on an ocean-going vessel designed primarily to provide propulsion, except that diesel-electric engines shall not be considered “main engines” for purposes of this section.
(18) “Marine Diesel Oil (MDO)” means any fuel that meets all the specifications for DMB grades as defined in Table I of International Standard ISO 8217, as revised in 2005, which is incorporated herein by reference, or DMB grades as defined in Table I of International Standard ISO 8217, as revised on June 15, 2010, which is incorporated herein by reference.
(19) “Marine Gas Oil (MGO)” means any fuel that meets all the specifications for DMX or DMA grades as defined in Table I of International Standard ISO 8217, as revised in 2005, which is incorporated herein by reference, or DMX, DMA, or DMZ grades as defined in Table I of International Standard ISO 8217, as revised on June 15, 2010, which is incorporated herein by reference.
(20) “Master” means the person who operates a vessel or is otherwise in charge of the vessel's operations.
(21) “Military Vessel” means any ship, boat, watercraft, or other contrivance used for any purpose on water, and owned or operated by the armed services.
(22) “Nitrogen Oxides (NOx)” means compounds of nitric oxide (NO), nitrogen dioxide (NO2), and other oxides of nitrogen, which are typically created during combustion processes and are major contributors to smog formation and acid deposition.
(23) “Non-Methane Hydrocarbons (NMHC)” means the sum of all hydrocarbon air pollutants except methane.
(24) “Ocean-going Vessel (OGV)” means a commercial, government, or military vessel meeting any one of the following criteria:
(A) a non-tanker vessel greater than or equal to 400 feet in length overall (LOA) as defined in 50 CFR §679.2, as adopted June 19, 1996;
(B) a non-tanker vessel greater than or equal to 10,000 gross tons (GT ITC) per the convention measurement (international system) as defined in 46 CFR 69.51-.61, as adopted September 12, 1989;
(C) a non-tanker vessel propelled by a marine compression ignition engine with a per-cylinder displacement of greater than or equal to 30 liters; or
(D) a tanker that meets any one of the criteria in subsections (A)-(C).
For purposes of this section, “ocean-going vessel” does not include tugboats, towboats, or pushboats.
(25) “Operate” means steering or otherwise running the vessel or its functions while the vessel is underway, moored, anchored, or at dock.
(26) “Own” means having all the incidents of ownership, including the legal title, of a vessel whether or not that person lends, rents, or pledges the vessel; having or being entitled to the possession of a vessel as the purchaser under a conditional sale contract; or being the mortgagor of a vessel.
(27) “Particulate Matter” means any airborne finely divided material, except uncombined water, which exists as a liquid or solid at standard conditions (e.g., dust, smoke, mist, fumes or smog).
(28) “Person” includes all of the following:
(A) any person, firm, association, organization, partnership, business trust, corporation, limited liability company, or company;
(B) any state or local governmental agency or public district, or any officer or employee thereof;
(C) the United States or its agencies, to the extent authorized by federal law.
(29) “Port Visit” means any of the following:
(A) each separate and distinct entry of a vessel into a port, roadstead, or terminal facility (collectively “port”) in Regulated California Waters that results in the vessel stopping, docking, mooring, or otherwise dropping anchor (collectively “stopping”) at the port. The “port visit” continues if the vessel moves to a different berth within the same port, but the “port visit” ends when the vessel leaves for or is otherwise moved to another port within the same bay or any other port;
(B) except as provided in paragraph (C) below, each separate and distinct entry of a vessel into an offshore location in Regulated California Waters away from a port that results in the vessel stopping at that offshore location (e.g., Catalina Island or off Monterey). The “port visit” ends when the vessel leaves for or is otherwise moved to a port or another offshore location; or
(C) each separate and distinct entry of a vessel into an offshore location in Regulated California Waters away from a port that results in the vessel stopping, followed by entry into that port, shall constitute one “port visit”, provided the offshore stop was conducted solely because the port could not accept the vessel as scheduled due to reasons beyond the reasonable control of the vessel operator or master. 
(30) “Regulated California Waters” means all of the following:
(A) all California internal waters;
(B) all California estuarine waters;
(C) all California ports, roadsteads, and terminal facilities (collectively “ports”);
(D) all waters within 3 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive;
(E) all waters within 12 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive; and
(F) all waters within 24 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive, except for the region within the area defined by 34.8 degrees North, 121.14 degrees West, thence to 34.46 degrees North, 120.82 degrees West, thence to 34.36 degrees North, 120.82 degrees West, thence to 34.29 degrees North, 120.99 degrees West, and following the boundary 24 nautical miles from the California baseline from 34.29 degrees North, 120.99 degrees West to 34.8 degrees North, 121.14 degrees West.
(31) “Roadstead” means any facility that is used for the loading, unloading, and anchoring of ships.
(32) “Steamship” means a self-propelled vessel in which the primary propulsion and electrical power are provided by steam boilers. 
(33) “Slow Speed Engine” means an engine with a rated speed of 150 revolutions per minute or less.
(34) “Sulfur Oxides” means compounds of sulfur dioxide (SO2), and other oxides of sulfur, which are typically created during combustion of sulfur containing fuels.
(35) “Tanker” means a self-propelled vessel constructed or adapted primarily to carry, or that carries, oil or hazardous material in bulk as cargo or cargo residue.
(36) “Two-stroke Engine” means an internal combustion engine which operates on a two stroke cycle where the cycle of operation completes in one revolution of the crankshaft.
(37) “Vessel” means any tugboat, tanker, freighter, passenger ship, barge, or other boat, ship, or watercraft, except those used primarily for recreation and any of the following:
(A) a seaplane on the water;
(B) a watercraft specifically designed to operate on a permanently fixed course, the movement of which is restricted to a fixed track or arm to which the watercraft is attached or by which the watercraft is controlled.
(38) “Voyage” means each separate and distinct journey that begins when a vessel reaches Regulated California Waters from a point beyond Regulated California Waters, includes at least one port visit, and ends when the vessel departs from Regulated California Waters. 
(e) Operational Requirements.
(1) Fuel Sulfur Content Limits.
(A) Auxiliary Diesel Engines:
1. Except as provided in subsections (c) and (h), beginning June 28, 2009, a person subject to this section shall operate any auxiliary diesel engine, while the vessel is operating in Regulated California Waters, with either marine gas oil (MGO), with a maximum of 1.5 percent sulfur by weight, or marine diesel oil (MDO), with a maximum of 0.5 percent sulfur by weight, rounded as specified in subsection (i)(3);
2. Except as provided in subsections (c) and (h), beginning August 1, 2012, a person subject to this section shall operate any auxiliary diesel engine, while the vessel is operating in Regulated California Waters, with either marine gas oil (MGO), with a maximum of 1.0 percent sulfur by weight, or marine diesel oil (MDO), with a maximum of 0.5 percent sulfur by weight, rounded as specified in subsection (i)(3);
3. Except as provided in subsections (c) and (h), beginning January 1, 2014, a person subject to this section shall operate any auxiliary diesel engine, while the vessel is operating in Regulated California Waters, with marine gas oil (MGO) with a maximum of 0.1% sulfur by weight or marine diesel oil (MDO) with a maximum of 0.1% sulfur by weight, rounded as specified in subsection (i)(3).
(B) Main Engines and Auxiliary Boilers:
1. Except as provided in subsections (c) and (h), beginning July 1, 2009, a person subject to this section shall operate any main engine or auxiliary boiler, while the vessel is operating in Regulated California Waters, with either marine gas oil (MGO), with a maximum of 1.5 percent sulfur by weight, or marine diesel oil (MDO), with a maximum of 0.5 percent sulfur by weight, rounded as specified in subsection (i)(3);
2. Except as provided in subsections (c) and (h), beginning August 1, 2012, a person subject to this section shall operate any auxiliary diesel engine, while the vessel is operating in Regulated California Waters, with either marine gas oil (MGO), with a maximum of 1.0 percent sulfur by weight, or marine diesel oil (MDO), with a maximum of 0.5 percent sulfur by weight, rounded as specified in subsection (i)(3);
3. Except as provided in subsections (c) and (h), beginning January 1, 2014, a person subject to this section shall operate any main engine or auxiliary boiler, while the vessel is operating in Regulated California Waters, with marine gas oil (MGO) with a maximum of 0.1% sulfur by weight or marine diesel oil (MDO) with a maximum of 0.1% sulfur by weight, rounded as specified in subsection (i)(3).
(2) Recordkeeping, Reporting, and Monitoring Requirements.
(A) Recordkeeping. 
Upon the effective date of this regulation, any person subject to this section shall retain and maintain records in English that contain the following information for at least three years following the date when the records were made:
1. The date, local time, and position (longitude and latitude) of the vessel for each entry into Regulated California Waters from waters outside Regulated California Waters, and each departure from Regulated California Waters to waters outside Regulated California Waters;
2. The date, local time, and position (longitude and latitude) of the vessel at the initiation and completion of any fuel switching procedures used to comply with subsection (e)(1) prior to entry into Regulated California Waters from waters outside Regulated California Waters;
3. The date, local time, and position (longitude and latitude) of the vessel at the initiation and completion of any fuel switching procedures within Regulated California Waters; completion of fuel switching procedures occurs the moment all engines subject to this section have completely transitioned from operation on one fuel to another fuel;
4. The type of fuel used (e.g., marine gas oil, marine diesel oil or heavy fuel oil) in each auxiliary engine, main engine, and auxiliary boiler operated in Regulated California Waters; and
5. The types, amounts, and the actual percent by weight sulfur content of all fuels purchased for use on the vessel, as reported by the fuel supplier or a fuel testing firm.
(B) Documentation of Fuel Switch Over Procedures. 
Any person subject to this section that complies with the fuel sulfur content limits by switching fuels shall retain and maintain records in English on-board ship that contain the following information for auxiliary engines, main engines and auxiliary boilers: 
1. A fuel system diagram that shows all storage, service, and mixing tanks, fuel handling, pumping, and processing equipment, valves, and associated piping. The diagram or other documentation shall list the fuel tank capacities and locations, and the nominal fuel consumption rate of the machinery at rated power; 
2. Description of the fuel switch over procedure with detailed instructions and clear identification of responsibilities; and
3. The make, model, rated power, and serial numbers of all main engines, and auxiliary engines and make, model, rated output, and serial numbers of all auxiliary boilers subject to subsection (e)(1). 
(C) Reporting and Monitoring. 
1. Any person subject to this section shall provide in writing the information specified in subsection (e)(2)(A) and (e)(2)(B) to the Executive Officer upon request, either within 24 hours or by a later date approved by the Executive Officer. To the extent the person already collects the information specified in subsections (e)(2)(A) and (e)(2)(B) in English to comply with other regulatory requirements or standard practices, the person may provide the requested information in a format consistent with those other regulatory requirements or standard practices.
2. Any person subject to this section shall provide to the Executive Officer upon request additional information the Executive Officer determines to be necessary to determine compliance with this section.
3. Any person subject to this section shall provide to the Executive Officer access to the vessel for the purpose of determining compliance with the this section, including but not limited to, access to and review of records and information required under subsections (e)(2)(A) and (e)(2)(B), and for the purpose of collecting fuel samples for testing and analysis.
(f) Violations.
(1) Any person who is subject to this section and commits a violation of any provision, criteria or requirement in this section is subject to the penalties, injunctive relief, and other remedies specified in Health and Safety Code, sections 39674-39675 and 42400 et seq.; other applicable sections in the Health and Safety Code; and other applicable provisions as provided under California law for each violation. Nothing in this section shall be construed to limit or otherwise affect any applicable penalties or other remedies available under Federal law.
(2) Any failure to meet any provision, criteria or requirement in this section, including but not limited to the applicable fuel sulfur content limits; recordkeeping requirements; and Noncompliance Fee provision shall constitute a single, separate violation of this section for each hour that a person operates an ocean-going vessel in Regulated California Waters until such provision, criteria or requirement has been met.
(3) Any person who is subject to this section is liable for meeting the requirements of this section, notwithstanding any contractual arrangement that person may have with any third-parties.
(g) Noncompliance for Vessels Based on the Need for Essential Modifications. 
If a person cannot meet the requirements of subsection (e)(1) without essential modifications, as defined in subsection (d), the Executive Officer will grant the person an exemption in whole or in part to subsection (e)(1). For this provision to apply, the person shall meet all of the following criteria:
(1) Notification Requirements.
For each voyage before the person's vessel enters Regulated California Waters from waters outside Regulated California Waters, a person who has demonstrated need under subsection (g)(2) must notify the Executive Officer that the person will not meet the requirements of subsection (e)(1) while operating within Regulated California Waters, but the person will instead meet the requirements of this subsection (g). If the Executive Officer has not received such notice and the person enters Regulated California Waters, the person will be in violation of this section.
(2) Demonstration of Need. 
At least 45 days prior to a vessel's first reliance on subsection (g) when entering Regulated California Waters, or at the earliest practicable date prior to entry into Regulated California Waters if first reliance on subsection (g) is less than 45 days after the effective date of this section, the person shall provide, in writing, the Executive Officer with an Essential Modification Report attested to under the penalty of perjury by the Chief Engineer of the person's vessel. The Executive Officer has 30 days to act on the Essential Modification Report. Additional information may be provided by the applicant or requested by the Executive officer after submittal of the original Essential Modification Report. The Executive Officer will have an additional 15 days to review the additional submittal and act on the amended Essential Modification Report. The Essential Modification Report shall, to the satisfaction of the Executive Officer: 
(A) identify the specific essential vessel modifications (“essential modifications” as defined in subsection (d)) required to meet the requirements of subsection (e)(1);
(B) demonstrate that modifications to the vessel are necessary to meet the requirements of subsection (e)(1); and
(C) identify the maximum extent, with respect to trip distance or regulated equipment type, to which the vessel can meet the requirements of (e)(1) without essential modifications where feasible and safe for each of the auxiliary engines, main engines, and auxiliary boilers.
(3) While the vessel is operating in Regulated California Waters, a person subject to this subsection shall:
(A) operate each main engine meeting the requirements of (e)(1) to the extent identified in (g)(2)(C);
(B) operate each auxiliary boiler meeting the requirements of (e)(1) to the extent identified in (g)(2)(C); and 
(C) operate each auxiliary engine meeting the requirements of (e)(1) to the extent identified in (g)(2)(C).
(h) Noncompliance Fee in Lieu of Meeting Subsection (e)(1).
The Executive Officer may permit a person (“person”) to pay noncompliance fees (“fees”) in lieu of meeting the requirements of subsection (e)(1). Payment of the fees notwithstanding, all other provisions of this section shall continue to apply. No person shall be permitted to pay the fees unless the person meets the notification requirements in subsection (h)(1) and the requirements in either subsections (h)(2), (h)(3), or (h)(4), as specified below:
(1) Notification Requirements.
Before the person's vessel enters Regulated California Waters from waters outside Regulated California Waters, the Executive Officer must receive notice that the person will not meet the requirements of subsection (e)(1) while operating within Regulated California Waters, but the person will instead meet the requirements of this subsection (h). If the Executive Officer has not received such notice and the person enters Regulated California Waters, the person will be in violation of this section and will not be permitted to pay the fees in lieu of meeting the requirements of subsection (e)(1).
(2) Noncompliance for Reasons Beyond a Person's Reasonable Control.
Any person wishing to pay the fees under this subsection (h)(2) shall meet the following criteria:
(A) Demonstration of Need.
The person shall, through adequate documentation, demonstrate to the Executive Officer's satisfaction that the person's noncompliance with the requirements of subsection (e)(1) is beyond the person's reasonable control. For the purposes of this paragraph, “beyond the person's reasonable control” applies only when one or more of the following sets of circumstances (1, 2, or 3) applies:
1. Unplanned Redirection. 
This provision applies only when all of the following criteria are met:
a. after leaving the last port of call, the person's vessel was redirected from his/her original, officially logged, non-California destination to a California port, roadstead, or terminal facility (collectively “port”); and
b. the vessel does not contain a quantity of fuel sufficient for the auxiliary engines, main engines, and auxiliary boilers to meet the requirements of subsection (e)(1).
2. Inadequate Fuel Supply.
This provision applies only when all of the following criteria are met:
a. the person made good faith efforts to acquire a quantity of fuel sufficient for the auxiliary engines, main engines, and auxiliary boilers to meet the requirements of subsection (e)(1); and
b. the person was unable to acquire fuel sufficient for auxiliary engines, main engines, and auxiliary boilers to meet the requirements of subsection (e)(1). 
3. Inadvertent Purchase of Defective Fuel.
This provision applies only when all of the following criteria are met:
a. based on the fuel supplier's certification of the fuel specifications, the person reasonably believed, and relied on such belief, that the fuel the person purchased on the route from the vessel's home port to California would enable the auxiliary engines, main engines, and auxiliary boilers to meet the requirements of subsection (e)(1);
b. the person determined that the auxiliary engines, main engines, and auxiliary boilers in fact will not meet the requirements of subsection (e)(1) using any of the fuel purchased under paragraph 3.a; and
c. the vessel is already on its way to California, and there are no other ports of call on the vessel's route where fuel can be purchased sufficient to meet the requirements of subsection (e)(1).
(B) Payment of Fees.
Upon meeting the requirements of paragraph (A) in this subsection (h)(2), the person shall pay the fees for every port visit, as specified in subsection (h)(5) below.
(C) Executive Officer Review.
For the purposes of verifying the demonstration of need as specified in paragraph (A) above, the Executive Officer may consider and rely on any facts or circumstances the Executive Officer believes are appropriate, including but not limited to: the fuel supplier's ability or failure to provide adequate fuel ordered by the person; any material misrepresentation by the fuel supplier concerning the fuel specifications; the reasonableness of the person's reliance on fuel suppliers with a history of supplying fuel inadequate for meeting the requirements of subsection (e)(1); and force majeure. 
(3) Noncompliance for Vessels to Be Taken Out of Service for Modifications.
If a person cannot meet the requirements of subsection (e)(1) without vessel modifications, and elects not to comply under section (g), and such modifications cannot be completed prior to the effective date of subsection (e)(1), the Executive Officer may permit the person to pay the fees as specified in this subsection. The vessel must be scheduled to complete the necessary modifications (e.g. during a dry dock operation) as soon as possible, but no later than December 31, 2014. For this provision to apply, the person shall meet all of the following criteria:
(A) Demonstration of Need. 
The person shall provide the Executive Officer a Compliance Report, signed by the Chief Engineer of the person's vessel, which: 
1. identifies the specific vessel modifications (“modifications”) (e.g., installation of additional fuel tanks, fuel cooling systems) the person plans to use for meeting the requirements of subsection (e)(1);
2. identifies the specific date by which the modifications will be completed (i.e., while the vessel is in dry dock); and
3. demonstrates to the satisfaction of the Executive Officer that the modifications will be made at the earliest possible date (e.g., the vessel has been scheduled for the earliest available dry dock appointment).
(B) Payment of Fees. 
Upon meeting the requirements of paragraph (A) in this subsection (h)(3), the person shall pay the fees for every port visit, as specified in subsection (h)(5) below.
(C) Proof of Modifications Actually Performed. 
Within ten (10) business days after the scheduled or actual completion of the modifications, whichever occurs first, the person shall provide written certification to the Executive Officer that the modifications specified under this subsection (h)(3) have been completed. If the modifications have not been completed, the person shall certify which modifications have been completed, which have not, and the anticipated completion date for the remaining modifications. The notification requirement specified in this paragraph, the notification requirements in subsection (h)(1) above, and the fee provisions in subsection (h)(5) below shall apply until all the modifications have been completed.
(4) Noncompliance Based on Infrequent Visits and Need for Vessel Modifications.
If a person cannot meet the requirements of subsection (e)(1) without modifications for the vessel at issue, and elects not to comply under section (g), and that vessel will make no more than two California voyages per calendar year, and no more than 4 California voyages after the effective date of the regulation, during the life of the vessel, the Executive Officer may permit the person to pay the fees as specified in this subsection. This provision terminates on December 31, 2014.
(A) Demonstration of Need. 
The person shall demonstrate to the satisfaction of the Executive Officer that modifications to the vessel are necessary to meet the requirements of subsection (e)(1), and that the vessel shall meet the visitation limits specified in this subsection (h)(4). 
(B) Payment of Fees. 
Upon meeting the requirements of paragraph (A) above, the person shall pay the fees for every port visit as specified in subsection (h)(5) below.
(5) Calculation and Payment of Fees.
Fees will be calculated based on the number of port visits made by a person using fuel that does not comply with subsection (e)(1). For each port visit, the person who elects to pay the fees pursuant to this subsection (h) shall pay the applicable fees shown in Table 1 prior to leaving the California port or by a later date approved by the Executive Officer. For persons that purchase fuels complying with subsection (e)(1) during their California port visit, and use these complying fuels during their port visit and upon departure, the fees specified in Table 1 shall be halved. The person shall deposit the fees in the port's Noncompliance Fee Settlement and Air Quality Mitigation Fund. If no such port fund exists, the person shall deposit the fees into the California Air Pollution Control Fund, as directed by the Executive Officer. Port visits shall be cumulative for all non-compliant port visits over the life of the vessel. For the purposes of this paragraph, any port visit where the non-compliance fee is waived shall not be included in the cumulative total.
(A) Noncompliance Fee Schedule.

Table 1: Noncompliance Fee Schedule, Per Vessel

	Port Visit	Per-Port Visit Fee
1st Port Visited	$45,500 
2nd Port Visited	$45,500 
3rd Port Visited	$91,000 
4th Port Visited	$136,500 
5th or more Port Visited	$182,000
(B) The fees shown in Table 1 shall be assessed by the Executive Officer at the time of the port visit. For the purposes of assessing fees under subsection (h), offshore anchorages made in conjunction with a port visit shall not be considered as a separate port visit.
(C) For subsection (h)(2), beginning January 1, 2014, the fee will be waived once per vessel during each calendar year until December 31, 2014, when all of the following are met:
1. a person acquires fuel and meets the requirements of subsection (e)(1) prior to leaving the first port visited during the voyage and meets the requirements of (e)(1) for the remainder of the voyage; and
2. during any non-compliant portion of the voyage, a person operates each auxiliary engine, main engine, and auxiliary boiler with either marine gas oil (MGO), with a maximum of 1.0 percent sulfur by weight, or marine diesel oil (MDO), with a maximum of 0.5 percent sulfur by weight, rounded as specified in subsection (i)(3).
(D) The Executive Officer may enter into enforceable agreements with each port that will receive the fees. The agreements shall require that the fees be used by the ports only to fund projects that will substantially reduce emissions of diesel PM, NOx, and SOx from on-site sources, sources within 2 miles of port boundaries, or ocean-going vessels operated within the Regulated California Waters, except that the fees shall not be used to fund projects on vessels from which noncompliance fees were paid. Fees intended for ports that do not have such agreements at the time the fees are paid shall be deposited into the California Air Pollution Control Fund.
(E) If for any reason the person is not notified by the Executive Officer of the assessed fee by the end of the port visit, the person shall nevertheless be responsible for payment of the appropriate fee as specified in this subsection (h) prior to leaving the California port or by a later date approved by the Executive Officer.
(i) Test Methods.
The following test methods or alternative test methods that are demonstrated to the written satisfaction of the Executive Officer to be equally or more accurate, shall be used to determine compliance with this section:
(1) Test methods used to determine whether fuels meets the requirements of marine gas oil (DMA or DMX) or marine diesel oil (DMB), as specified in subsection (e)(1), shall be the methods specified in International Standard ISO 8217 (as revised in 2005), which is incorporated herein by reference.
(2) The sulfur content of fuels shall be determined pursuant to International Standard ISO 8754 (as adopted in 2003), which is incorporated herein by reference. 
(3) For purposes of determining compliance with the specifications in (e)(1)(A), an observed value or a calculated value shall be rounded “to the nearest unit” in the last right-hand digit used in expressing the specification limit, in accordance with the rounding method of ASTM E 29-93a Standard Practice for Using Significant Digits in Test Data to Determine Conformance Specifications (published May 1993), which is incorporated herein by reference.
(j) Sunset, Baseline, and Test Method Review.
(1) The requirements specified in subsection (e) shall cease to apply if the United States adopts and enforces requirements that will achieve emissions reductions within the Regulated California Waters that are equivalent to those achieved by this section. Equivalent requirements may be from IMO regulations that are adopted and enforced by the United States or may be contained in regulations that are initiated by the U.S. Environmental Protection Agency. Subsection (e) shall remain in effect under this subsection until the Executive Officer issues written findings that federal requirements are in place that will achieve equivalent emissions reductions within the Regulated California Waters and are being enforced within the Regulated California Waters. 
(2) The Executive Officer shall periodically review the California baseline determinations by the National Oceanic and Atmospheric Administration (NOAA) to determine if updates to the baseline charts incorporated by reference in this section are necessary. If modifications to the baseline charts are determined to be necessary, the Executive Officer shall conduct a public hearing as soon as practicable to amend this section accordingly.
(3) The Executive Officer shall periodically review the test methods incorporated by reference in this section to determine if updates to the referenced methods are necessary. If updates to the test methods are determined to be necessary, the Executive Officer shall conduct a public hearing as soon as practicable to amend this section accordingly.
(k) Severability.
Each part of this section shall be deemed severable, and in the event that any part of this section is held to be invalid, the remainder of this section shall continue in full force and effect.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666, 41510 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 5-29-2009; operative 6-28-2009 (Register 2009, No. 22).
2. Amendment filed 10-27-2011; operative 10-27-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 43).
§93118.3. Airborne Toxic Control Measure for Auxiliary Diesel Engines Operated on Ocean-Going Vessels At-Berth in a California Port.
Note     •     History

(a) Purpose.
The purpose of this section is to reduce oxides of nitrogen (NOx) and diesel particulate matter (PM) emissions from the operation of auxiliary engines on container vessels, passenger vessels, and refrigerated cargo vessels while these vessels are docked at berth at a California port. This section reduces emissions by limiting the time during which auxiliary diesel engines are operated on the regulated vessels while such vessels are docked at-berth in a California port, as well as by applying other requirements. This section implements provisions of the Goods Movement Emission Reduction Plan, adopted by the Air Resources Board (ARB) in April 2006, to reduce emissions and health risk from ports and the movement of goods in California. This section also helps achieve the goals specified in the California Global Warming Solutions Act of 2006, established under California law by Assembly Bill 32 (Stats. 2006, ch. 488) and set forth in Health and Safety Code §38500 et seq.
(b) Applicability and General Exemptions.
(1) Except as provided in this subsection (b), this section applies to any person who owns, operates, charters, rents, or leases any U.S. or foreign-flagged container vessel, passenger vessel, or refrigerated cargo vessel that visits a California port. In addition, this section also applies to any person who owns or operates a port or terminal located at a port where container, passenger, or refrigerated cargo vessels visit.
(2) Nothing in this section shall be construed to amend, repeal, modify, or change in any way any applicable U.S. Coast Guard requirements. Any person subject to this section shall be responsible for ensuring compliance with both U.S. Coast Guard regulations and the requirements of this section, including but not limited to, obtaining any necessary approvals, exemptions, or orders from the U.S. Coast Guard.
(3) The requirements of this section do not apply to:
(A) Ocean-going vessel voyages that consist of continuous and expeditious navigation through any of the Regulated California Waters for the purpose of traversing such bodies of water without entering California internal or estuarine waters or calling at a port, roadstead, or terminal facility. “Continuous and expeditious navigation” includes:
1. Stopping and anchoring only to the extent such stopping and anchoring are required by the U.S. Coast Guard; 
2. Rendered necessary by force majeure or distress; or 
3. Made for the purpose of rendering assistance to persons, ships, or aircraft in danger or distress. 
This exemption does not apply to the passage of an ocean-going vessel that engages in any of the prejudicial activities specified in United Nations Convention on the Law of the Seas (UNCLOS) 1982, Article 19, subpart 2. Further, notwithstanding any Coast Guard mandated stops or stops due to force majeure or the rendering of assistance, this exemption does not apply to a vessel that was otherwise scheduled or intended to enter California internal or estuarine waters or call at a port, roadstead or terminal facility.
(B) Auxiliary engines onboard ocean-going vessels owned or operated by any branch of local, state, federal government, or by a foreign government, when such vessels are operated on government non-commercial service. However, such vessels are encouraged to act in a manner consistent, so far as is reasonable and practicable, with this section. 
(C) Steamships while berthed at a California port.

(D) 	Auxiliary engines while such engines are operating primarily on liquefied natural gas or compressed natural gas.
(E) Except as otherwise specified in subsection (d)(1)(I), fleets meeting the following criteria:
1. A fleet composed solely of container or refrigerated cargo vessels that visits the same California port fewer than 25 times total in a calendar year; and 
2. A fleet composed solely of passenger vessels that visits the same California port fewer than 5 times total in a calendar year.
(c) Definitions.
For purposes of this section, the definitions in Health and Safety Code sections 39010 through 39060 shall apply, except as otherwise specified in this section:
(1) “Alternative Control Technologies” means technologies, techniques, or measures that reduce the emissions of NOx and PM from an auxiliary diesel engine other than shutting down the engine.
(2) “Auxiliary Engine” means an engine on an ocean-going vessel designed primarily to provide power for uses other than propulsion, except that all diesel-electric engines shall be considered “auxiliary diesel engines” for purposes of this section.
(3) “Baseline Fleet Emissions” means the total emissions from all vessels in a fleet during all berthing times in a calendar year or other specified time period. For purposes of calculating the baseline fleet emissions, the auxiliary engines on the vessels in the fleet shall be assumed to use marine gas oil or marine diesel oil while at berth. 
(4) “Baseline Fleet Power Generation” refers to the electrical power used by all vessels in the fleet while the vessels are docked at berths located at a California Port during a calendar quarter or other time period specified in the regulation. 
(5) “Berthing Time” means the time period that begins when the vessel is first tied to the berth and ends when the vessel is untied from the berth.
(6) “California Ports” means:
(A) The Port of Hueneme, the Port of Los Angeles (POLA) and Port of Long Beach (POLB), the Port of Oakland, the Port of San Diego, and the Port of San Francisco; and 
(B) For purposes of this section, POLA and POLB are treated as one port.
(7) “Charter Agreement” means a lease or agreement to hire a vessel or other means of conveyance to transport goods or passengers to one or more designated locations.
(8) “Container Vessel” means a self-propelled ocean-going vessel constructed or adapted primarily to carry uniform-sized ocean freight containers.
(9) “Diesel Engine” means an internal combustion, compression-ignition (CI) engine with operating characteristics significantly similar to the theoretical diesel combustion cycle. The regulation of power by controlling fuel supply in lieu of a throttle is indicative of a compression ignition engine.
(10) “Diesel-Electric Engine” means a diesel engine connected to a generator that is used as a source of electricity for propulsion or other uses.
(11) “Diesel Particulate Matter” means the particles found in the exhaust of diesel engines, which may agglomerate and adsorb other species to form structures of complex physical and chemical properties.
(12) “Distributed Generation” shall have the same meaning as that term is defined in title 17, CCR, section 94202.
(13) “Docked at the Berth” means the state of being tied to a berth.
(14) “Emergency Event” means the period of time during which any of the following events occurs; the emergency event begins when such an event begins and ends when the event is over:
(A) Any situation arising from a sudden and reasonably unforeseeable event beyond the control of the master that threatens the safety of the vessel; or
(B) The utility serving the port cannot provide electrical power to the port as a result of equipment failure, a transmission emergency, distribution emergency, a California Independent System Operator (CAISO) or Los Angeles Department of Water and Power (LADWP) Stage 3 emergency, or the utility needs to reduce power to the port because of a sudden and reasonably unforeseeable natural disaster, such as, but not limited to, an earthquake, flood, or fire; or
(C) When the utility providing electrical power to the port notifies the terminal operator(s) to reduce the use of grid-based electrical power in response to a transmission or distribution emergency, a CAISO or LADWP Stage 3 emergency, or to avoid a Stage 3 emergency if one is anticipated. The emergency event ends when CAISO or LADWP cancels the Stage 3 emergency or the utility notifies the terminal operator(s) that reduction in the use of grid-based electrical power is no longer necessary. The port may contact the terminal operator(s) on behalf of the utility if such an agreement exists between the utility and the port; or
(D) The electrical system at the terminal cannot provide electrical power as a result of equipment failure. 
(15) “Executive Officer” means the executive officer of the Air Resources Board (ARB), or his or her designee.
(16) “Fleet” means all container, passenger, and refrigerated cargo vessels, visiting a specific California port, which are owned and operated by, or otherwise under the direct control, of the same person. Direct control includes, but is not limited to, vessels that carry cargo or passengers for the person pursuant to a charter agreement or other arrangement with a third-party for the third-party to operate the vessel. For purposes of this definition, “direct control” does not include the vessel master or any other member of the vessel crew, unless the crew member is also the owner of the vessel. For the purposes of this section, a person shall be deemed to have separate fleets for each California port visited and each fleet is composed of one type of vessel. For example, if a person owns or operates vessels that visit both the Port of Los Angeles and Port of Oakland, that person is deemed to have two fleets, one a “POLA-based fleet” and the other a “Port of Oakland-based fleet.” 
(17) “Marine Diesel Oil” means any fuel that meets all the specifications for DMB grades as defined in Table I of International Standard ISO 8217, as revised in 2005, which is incorporated herein by reference.
(18) “Marine Gas Oil” means any fuel that meets all the specifications for DMX or DMA grades as defined in Table I of International Standard ISO 8217, as revised in 2005, which is incorporated herein by reference.
(19) “Master” means the person who operates an ocean-going vessel or is otherwise in charge of the vessel's operations.
(20) “Ocean-Going Vessel” means a commercial, government, or military vessel meeting any one of the following criteria:
(A) A vessel greater than or equal to 400 feet in length overall (LOA) as defined in 50 Code of Federal Regulations (CFR) §679.2, as adopted June 19, 1996;
(B) A vessel greater than or equal to 10,000 gross tons (GT ITC) pursuant to the convention measurement (international system) as defined in 46 CFR §69.51-.61, as adopted September 12, 1989; or
(C) A vessel propelled by a marine compression ignition engine with a per-cylinder displacement of greater than or equal to 30 liters.
For the purposes of this section, “ocean-going vessel” will be used interchangeably with the term “vessel.”
(21) “Operate” means steering or otherwise running the vessel or its functions while the vessel is underway, moored, anchored, or at berth.
(22) “Own” means having all the incidents of ownership, including the legal title, of a vessel whether or not that person lends, rents, or pledges the vessel; having or being entitled to the possession of a vessel as the purchaser under a conditional sale contract; or being the mortgagor of a vessel.
(23) “Oxides of Nitrogen” (NOx) means compounds of nitric oxide (NO), nitrogen dioxide (NO2), and other oxides of nitrogen, which are typically created during combustion processes and are major contributors to smog formation and acid deposition.
(24) “Particulate Matter” means any airborne finely divided material, except uncombined water, which exists as a liquid or solid at standard conditions (e.g., dust, smoke, mist, fumes, or smog).
(25) “Passenger Vessel” means a self-propelled vessel constructed or adapted primarily to carry people.
(26) “Person” includes all of the following:
(A) Any person, agent, firm, association, organization, partnership, business trust, corporation, limited liability company, company, consortium, or any other commercial relationship;
(B) Any state or local governmental agency or public district, or any officer or employee thereof; and
(C) The United States or its agencies, to the extent authorized by federal law.
(27) “Post-Baseline Fleet Emissions” means the total emissions from all vessels in a fleet after the application of one or more control techniques, such as alternative control technologies, electrical power from the utility grid, and electrical power from sources that are not part of the utility's electrical grid (distributed generation), during all berthing times in a calendar year or other specified time period. For purposes of calculating the baseline fleet emissions, the auxiliary engines on the vessels in the fleet shall be assumed to use marine gas oil or marine diesel oil while at berth. 
(28) “Refrigerated Cargo Vessel” (commonly known as “reefer”) means a self-propelled vessel constructed or adapted primarily to carry refrigerated cargo. Refrigerated cargo vessels include vessels where the cargo may be stored in large refrigerated rooms within the vessel or vessels that carry refrigerated cargo containers exclusively.
(29) “Regulated California Waters” means all of the following:
(A) all California internal waters;
(B) all California estuarine waters;
(C) all California ports, roadsteads, and terminal facilities (collectively “ports”);
(D) all waters within 3 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive;
(E) all waters within 12 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive;
(F) all waters within 24 nautical miles of the California baseline, starting at the California-Oregon border to 34.43 degrees North, 121.12 degrees West; inclusive; and 
(G) all waters within the area, not including any islands, between the California baseline and a line starting at 34.43 degrees North, 121.12 degrees West; thence to 33.50 degrees North, 118.58 degrees West; thence to 32.65 degrees North, 117.81 degrees West; and ending at the California-Mexico border at the Pacific Ocean, inclusive. 
(30) “Responsible Official” means the individual(s) with the authority to certify that all vessels in a fleet comply with applicable requirements of this regulation.
(31) “Shore power” refers to electrical power being provided by either the local utility or by distributed generation.
(32) “Steamship” means a self-propelled vessel in which the primary propulsion and electrical power are provided by steam boilers.
(33) “Synchronous Power Transfer” means the synchronized switchover in vessel-based power to shore-based power without a loss in power during such transfer. 
(34) “Terminal” means a facility consisting of wharves, piers, docks and other berthing locations and adjacent storage, which are used primarily for loading and unloading of passengers, cargo or material from vessels or for the temporary storage of this cargo or material on-site. 
(35) “Terminal Operator” means a person who leases terminal property from a port for the purpose of loading and unloading of passengers, cargo or material from vessels or for the temporary storage of this cargo or material on-site. 
(36) “Utility” shall have the same meaning and be used interchangeably with the term “Electric Utility” as defined in Public Resources Code section 25108.
(37) “Verified Emission Control Strategy” means an emission control strategy that has been verified pursuant to the “Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines” in title 13, California Code of Regulations, commencing with section 2700, which is incorporated herein by reference.
(38) “Visit” means the time period that begins when an ocean-going vessel initially ties to a berth (the beginning of the visit) and ends when it casts off the lines (the end of the visit) at a berth in a California port. For the purposes of determining the number of visits by a fleet, separate and sequential visits shall collectively be deemed a single visit when a vessel ties to two or more berths at the same California port and the time interval between leaving one berth and tying to another berth in the same port is less than two hours.
(d) Vessel In-Use Operational Requirements.
(1) Reduced Onboard Power Generation Option
(A) 2014 Requirements
Except as provided in subsection (d)(2), beginning January 1, 2014, the following shall apply to a fleet visiting a California port: 
1. At least 50 percent of the fleet's visits to the port shall meet the onboard auxiliary diesel engine operational time limits in subsection (d)(1)(D); and 
2. The fleet's onboard auxiliary-diesel-engine power generation while docked at the berth shall be reduced by at least 50 percent from the fleet's baseline power generation.
(B) 2017 Requirements
Except as provided in subsection (d)(2), beginning January 1, 2017, the following shall apply to a fleet visiting a California port:
1. At least 70 percent of the fleet's visits to the port shall meet the onboard auxiliary diesel engine operational time limits in subsection (d)(1)(D); and 
2. The fleet's onboard auxiliary-diesel-engine power generation while docked at the berth shall be reduced by at least 70 percent from the fleet's baseline power generation.
(C) 2020 Requirements
Except as provided in subsection (d)(2), beginning January 1, 2020, the following shall apply to a fleet visiting a California port:
1. At least 80 percent of a fleet's visits to the port shall meet the onboard auxiliary diesel engine operational time limits in subsection (d)(1)(D); and 
2. The fleet's onboard auxiliary-diesel-engine power generation while docked at the berth shall be reduced by at least 80 percent from the fleet's baseline power generation.
(D) Limits on Hours of Operation
1. Except as exempt in subsection (d)(1)(E), auxiliary diesel engines onboard vessels subject to subsection (d)(1)(A), (d)(1)(B), and (d)(1)(C) shall meet the following operational limits while at berth for the specified percentage of visits by the fleet:
a. Three hours total per visit to a berth, provided the visiting vessel uses a synchronous power transfer process to change from vessel-based power to shore-based power; or
b. Five hours total per visit to a berth, provided the visiting vessel does not use a synchronous power transfer process to change from vessel-based power to shore-based power.
For example, if a fleet is subject to subsection (d)(1)(A) and makes 10 visits to a California port in a calendar quarter, in at least 5 of those visits, the auxiliary diesel engines on the vessels shall be operated no more than a combined 3 or 5 hours total, depending on whether a synchronous power transfer is used. The 3- and 5-hour limit applies to the combined operating time for all auxiliary diesel engines used in a vessel visit, rather than on a per-engine basis.
(E) Exemptions to Limits on Hours of Operation
1. Emergency Event
All of the following requirements apply to claimed exemptions to limits on hours of operation based on emergency events:
a. If the master of the vessel reasonably and actually determines that an emergency event, as defined in subsection (c)(14), occurs during the vessel's visit to a California port, the master of the vessel may operate the vessel's auxiliary engines during the emergency event:
b. The master shall not operate the vessel's auxiliary engines for more than one hour beyond the time when the master receives notification that the emergency event is over or determines that the emergency event is over; and
c. The provisions of paragraph (b) above notwithstanding, the master may continue to operate the auxiliary engines for no more than five hours if the master receives notification that the emergency event is over or determines that the emergency event is over, and the vessel is scheduled to leave port within five hours.
2. Delays Caused By the United States (U.S.) Coast Guard or Department of Homeland Security Inspections
The Executive Officer may extend the three-hour/five-hour operational requirement in subsection (d)(1)(D) if the following criteria are met:
a. The initial inspection and clearance of the vessel by the Department of Homeland Security exceeds one hour. The time extension granted shall be commensurate with the excess time necessary for inspection and clearance; or
b. After the auxiliary engines have been put back into service pending departure from the berth, the scheduled departure of the vessel has been delayed by U.S. Coast Guard or the Department of Homeland Security.
(F) Adjustments for Visits Meeting Exemption Criteria 
The following adjustments can be made to visits meeting the exemption criteria where the vessel is capable of using shore power:
1. Visits exceeding the operational time limits in (d)(1)(D) that meet the exemption criteria in (d)(1)(E) shall be counted towards compliance with the minimum-visit requirements of (d)(1)(A), (d)(1)(B), and (d)(1)(C). 
2. The onboard auxiliary diesel engine power generation associated with each visit meeting the exemption criteria in (d)(1)(E) above shall be excluded from the fleet's power reduction calculations pursuant to section (e)(1)(D).
(G) Compliance Periods 
Compliance with the requirements in subsection (d)(1)(A), (d)(1)(B), and (d)(1)(C), shall be determined quarterly for the periods specified as follows:
1. January 1 through March 31, inclusive;
2. April 1 through June 30, inclusive;
3. July 1 through September 30, inclusive; and
4. October 1 through December 31, inclusive.
(H) No person shall sell, supply, offer to supply, or purchase electrical power for use on a vessel during a visit in lieu of using the on-board auxiliary diesel engines, unless such electrical power is either supplied by the local utility or is otherwise generated by equipment that meets the following emission standards:
1. NOx emissions no greater than 0.03 gram per kilowatt-hour (g/kW-hr); 
2. PM emissions equivalent to the combustion of natural gas with a fuel sulfur content of no more than one grain per 100 standard cubic foot;
3. Carbon dioxide (CO2) emissions shall be no greater than 500 g/kW-hr; and
4. Ammonia emissions no greater than five parts per million on a dry volume basis (ppmdv), if selective catalytic reduction (SCR) is used.
(I) Notwithstanding the requirements specified in subsection (d)(1)(A), (d)(1)(B), and (d)(1)(C), any ocean-going vessel equipped to receive shore power that visits a terminal with a berth equipped to provide compatible shore power shall utilize the shore power during every visit to that berth, unless the berth is already occupied with a vessel receiving shore power. This requirement shall not apply under the following circumstances:
1. The master of the vessel reasonably and actually determines that an emergency event, as defined in subsection (c)(14)(A), is in effect and the use of shore power during the emergency event would endanger the vessel's safety. Shore power shall be used for the remainder of the visit once the master determines that the emergency event no longer exists; 
2. An emergency event, as defined in subsection (c)(14)(B), (c)(14)(C), or (c)(14)(D) is in effect. Shore power shall be used for the remainder of the visit once the emergency event is no longer in effect; or
3. The equipment on the vessel that allows the use of electricity from the terminal fails to function and the master of the vessel has made the necessary effort to repair the equipment as documented pursuant to subsection (g)(1)(B)1g. 
(2) Equivalent Emissions Reduction Option
The purpose of this provision is to allow any person the option of complying with the requirements of this subsection (d)(2) in lieu of meeting the requirements of subsection (d)(1).
(A) Requirements
For fleets using one or more control techniques including electric power from the utility grid, electrical power from sources that are not part of an utility's electrical grid (distributed generation), or alternative control technologies to reduce the emissions of the fleet, the owner or operator of the fleet shall comply with the following schedule and compliance period:
1. For each calendar year beginning on January 1, 2010 through December 31, 2011, inclusive, the NOx and PM emissions from the fleet's auxiliary engines when the vessels in the fleet are docked at the berth must be reduced by10 percent from the baseline fleet emissions.
2. For each calendar year beginning on January 1, 2012, through December 31, 2013, inclusive, the NOx and PM emissions from the fleet's auxiliary engines when the vessels in the fleet are docked at the berth must be reduced by 25 percent from the baseline fleet emissions.
3. For the quarter beginning on January 1, 2014, and each subsequent quarter through December 31, 2016, inclusive, the NOx and PM emissions from the fleet's auxiliary engines when the vessels in the fleet are docked at the berth must be reduced by 50 percent from the baseline fleet emissions.
4. For the quarter beginning on January 1, 2017, and each subsequent quarter through December 31, 2019, inclusive, the NOx and PM emissions from the fleet's auxiliary engines when the vessels in the fleet are docked at the berth must be reduced by 70 percent from the baseline fleet emissions.
5. For the quarter beginning on January 1, 2020, and each subsequent quarter thereafter, the NOx and PM emissions from the fleet's auxiliary engines when the vessels in the fleet are docked at the berth must be reduced by 80 percent from the baseline fleet emissions.
(B) Vessels Using Grid-Based Shore Power as a Control Technique
If a vessel is equipped to receive shore power provided by the utility grid but is unable to do so while at berth due to an emergency event, the onboard diesel auxiliary engine emissions from such visits shall be excluded from the fleet's emissions reduction calculations pursuant to (e)(2)(C).
(C) Applying Early or Excess Emissions Reduction to the 2010, 2012, or 2017 Emission Requirements
Early or excess emissions reduction that are approved by the Executive Officer pursuant to section (e)(2)(D) can be used towards compliance with requirements in (d)(2)(A)1, (d)(2)(A)2, or (d)(2)(A)4 as follows: 
1. Reductions achieved before January 1, 2010 can be used towards complying with requirements in (d)(2)(A)1, (d)(2)(A)2, or (d)(2)(A)4. 
2. Reductions achieved between January 1, 2010 and December 31, 2011, which exceed the amount required by (d)(2)(A)1, can be used towards complying with requirements in (d)(2)(A)2 and (d)(2)(A)4.
3. Reductions achieved between January 1, 2012 and December 31, 2013, which exceed the amount required by (d)(2)(A)2, can be used towards complying with (d)(2)(A)4.

4. 	Early or excess emission reductions cannot be used towards complying with the requirements in (d)(2)(A)3 or (d)(2)(A)5.
(D) Compliance with the requirements of subsection (d)(2)(A)3, (d)(2)(A)4, and (d)(2)(A)5 shall be determined quarterly for the periods specified as follows:
1. January 1 through March 31, inclusive;
2. April 1 through June 30, inclusive;
3. July 1 through September 30, inclusive; and
4. October 1 through December 31, inclusive.

(E) 	No person shall sell, supply, offer to supply, or purchase electrical power for use on a vessel during a visit in lieu of using the on-board auxiliary diesel engines, unless such electrical power is either supplied by the local utility or is otherwise generated by equipment that meet the following emission standards:
1. NOx Emissions;
a. Up to and including December 31, 2013, the NOx emissions shall be no greater than 2 g/kW-hr at any time; and
b. Beginning January 1, 2014, the NOx emissions shall be no greater than 0.2 g/kW-hr at any time.
2. PM emissions shall be no greater than the PM emissions from combustion of natural gas with a fuel sulfur content of no more than one grain per 100 standard cubic foot;
3. CO2 emissions shall be no greater than 500 g/kW-hr; and 
4. Ammonia emissions shall be no greater than five ppmdv if selective catalytic reduction is used.
(F) Alternative control technologies using SCR to comply with subsection (d)(2)(A) shall have ammonia emissions no greater than five ppmdv. 
(3) Limitations on Changing Compliance Options
Prior to January 1, 2014, fleets cannot change compliance options from (d)(1), the reduced onboard power generation option, to (d)(2), the equivalent emission reduction option, unless all of the following have been satisfied:
(A) Adequate emission reductions were achieved by the fleet prior to switching compliance options such that the requirements of (d)(2)(A)1 or (d)(2)(A)2, whichever is applicable, are satisfied;
(B) The Responsible Official of the fleet has submitted to the Executive Officer an application for the compliance option change that contains the following information: 
1. A demonstration that the requirements of (d)(2)(A)1 or (d)(2)(A)2, whichever is applicable, are satisfied at the time of the application; and
2. An updated vessel plan demonstrating compliance with (d)(2).
(C) The Executive Officer determines that the information in the application satisfies (d)(3)(A) and that the fleet will comply with all applicable requirements of (d)(2). 
(e) Calculations for Reduced Onboard Power Generation Option in Subsection (d)(1) and Equivalent Emissions Reduction Option in Subsection (d)(2).
(1) Reduced Onboard Power Generation
For the purposes of subsection (d)(1), the percent reduction of onboard electrical generation from auxiliary diesel engines while vessels are docked at berth shall be calculated as follows: 

Percent Reduction =	[Baseline fleet power generation (BFPG) -
	Power provided by fleet's auxiliary engines] /
	(BFPG)
Where the baseline fleet power generation and the power provided by the fleet's auxiliary engines are calculated as follows:
(A) Baseline Fleet Power Generation (BFPG)
The baseline power generation for the fleet shall be calculated using the following formula:
Baseline Fleet Power Generation = S (berthing time x power 
                 requirement)
Where:
“Berthing time” is the actual berthing time for each visit falling within the applicable period specified in subsection (d)(1)(G);
“Power requirements” means the electrical power requirement for the vessel making each visit as determined pursuant to subsection (e)(1)(C); and 
“S” means the summation of all visits made by the fleet in the applicable period specified in subsection (d)(1)(G). 
(B) Power provided by fleet's auxiliary engines
The power provided by the fleet's auxiliary engines is calculated as follows:

	Power provided by the = S  (Auxiliary engine operating time x fleet's
	auxiliary engines       power requirement)
Where:
“Auxiliary engine operating time” is the actual time period these engines operated for each visit falling within the applicable period specified in subsection (d)(1)(G). Three hours for vessels using synchronous power transfer to grid-based shore power or five hours for vessels not using synchronous power transfer to grid-based shore power can be substituted for the actual operating times of the engines;
“Power requirements” means the electrical power requirement for the vessel making each visit as determined pursuant to subsection (e)(1)(C); and
“S ” means the summation of all visits made by the fleet in the applicable period specified in subsection (d)(1)(G).
(C) Power Requirements

1. 	The following values in Table 1 may be used as default values for power requirements:

Table 1.

		Default Power
 Vessel Category	Size/Type	Requirement (kW)
			
Container Vessel	<1000 TEU	1,000
	1,000-1,999 TEU	1,300
	2,000-2,999 TEU	1,600
	3,000-3,999 TEU	1,900
	4,000-4,999 TEU	2,200
	5,000-5,999 TEU	2,300
	6,000-6,999 TEU	2,500
	7,000-7,999 TEU	2,900
	8,000-9,999 TEU	3,300
	10,000-12,000 TEU	3,700
			
Passenger Vessel		No Default Value 
		Use Actual Load
			
Refrigerated Cargo	Break Bulk	1,300 
Vessel
			
	Fully Containerized	3,300

TEU = twenty-foot equivalent unit.

kW = kilowatt
2. In lieu of the default values above, the fleet operator may, with adequate supporting documentation, use the actual power usage, on a monthly basis, rounded to the nearest whole kW-hrs.

(D) 	The onboard auxiliary diesel engine power generation associated with each visit that meets the exemption criteria in (d)(1)(E) shall be excluded from the calculation for the fleet's baseline power generation and the calculation for the power provided by the fleet's auxiliary engines. 
(2) Equivalent Emissions Reduction Option
For the purposes of subsection (d)(2)(A) the percent emission reduction shall be calculated as follows:
Percent Reduction = (BFE - PBFE - FEC) / BFE
Where, the baseline fleet emissions, post-baseline fleet emissions, and fleet emission credits are calculated as follows:
(A) Baseline Fleet Emissions (BFE)
The baseline fleet emissions of NOx and PM shall be calculated using the following formula:
Baseline Fleet Emissions =  S (emission rate x average berthing time x power requirement x visits)
Where:
“Emission rate” for each auxiliary engine is determined pursuant to subsection (e)(3);
“Average berthing time” for each vessel is determined for the applicable period specified in (d)(2)(D);
“Power requirements” means the electrical power requirement for each vessel as determined pursuant to subsection (e)(1)(C);
“Visits” means the total number of visits by the vessel during the applicable period specified in the appropriate subsection in (d)(2)(A) or subsection (d)(2)(D); and 
“S”  means the summation over the entire fleet subject to the emission reduction option.
(B) Post-Baseline Fleet Emissions (PBFE)
The post-baseline fleet emissions of NOx and PM shall be calculated using the following formula:
Post-Baseline Fleet Emissions = S  (emission rate x average berthing time x power requirement x visits x control factor)
Where:
“Emission rate” for each auxiliary engine is determined pursuant to subsection (e)(3);
“Average berthing time” for each vessel is determined for the applicable period specified in the appropriate subsection in (d)(2)(A) or subsection (d)(2)(D);
“Power requirements” means the electrical power requirement for each vessel as determined pursuant to subsection (e)(1)(C);
“Visits” means the total number of visits by the vessel during the applicable period specified in the appropriate subsection in (d)(2)(A) or subsection (d)(2)(D); 
“Control factor” means the applicable control factor specified in subsection (e)(4); and 
“S” means the summation over the entire fleet subject to the emission reduction option.
(C) Adjustments to Baseline Fleet Emissions and Post-Baseline Fleet Emissions Calculations for Vessels Choosing to Use Grid-Based Shore Power
Emissions from a vessel capable of using shore power during a visit that can be classified as an emergency event shall be excluded from paragraphs (A) and (B) above.
(D) Fleet Emission Credits (FEC)
Fleets that achieve reductions of NOx and PM emissions earlier than January 1, 2010, or in excess of the requirements of (d)(2)(A)1 or (d)(2)(A)2 may apply for fleet emission credits (FEC) that can be used toward compliance with the requirements in (d)(2)(A)1, (d)(2)(A)2, or (d)(2)(A)4. FECs can only be used by a fleet achieving the early or excess emission reductions, can be used only at the port where the early or excess emission reductions occurred, cannot be used in any other program administered by the Air Resources Board or local air district, and expire on March 1, 2018. 
1. Eligible emission reductions are as follows:
a. Emission reductions achieved prior to January 1, 2010.
b. Emission reductions achieved between January 1, 2010, to December 31, 2011, beyond the amount required by (d)(2)(A)1.
c. Emission reductions achieved between January 1, 2012, to December 31, 2013, beyond the amount required by (d)(2)(A)2.
2. Ineligible emission reductions
Emission reductions which are a result of a project that has received incentive funds through a contract or other binding agreement from the Air Resources Board or a local air district are not eligible emission reductions.
3. Applying for fleet emission credits
Applications for fleet emission credits must demonstrate that the emission reductions are quantifiable and occurred earlier than January 1, 2010, or were in excess of the requirements of (d)(2)(A)1 or (d)(2)(A)2. The information shall be submitted on forms specified by the Executive Officer according to the following schedule: 
a. Application for fleet emission credits for reductions achieved prior to January 1, 2010, shall be submitted to the Executive Officer by March 1, 2010. 
b. Application for fleet emission credits for excess reductions beyond those required for (d)(2)(A)1 shall be submitted to the Executive Officer as part of the fleet's March 1, 2012 annual statement of compliance required pursuant to subsection (g)(2)(A)3.

c. 	Application for fleet emission credits for excess reductions beyond those required for (d)(2)(A)2 shall be submitted to the Executive Officer as part of the fleet's March 1, 2014 annual statement of compliance required pursuant to subsection (g)(2)(A)3.
4. Approval of fleet emission credits

a. 	Within 30 calendar days of receipt of an application, the Executive Officer shall inform the Applicant in writing if the application is complete or deficient. If deemed deficient, the Executive Officer shall identify the specific information required to make the application complete.
b. Within 60 calendar days of the application being deemed complete, the Executive Officer shall approve or deny the fleet emission credit.
c. An applicant dissatisfied with the decision of the Executive Officer regarding the approval or denial of the fleet emission credit may appeal the decision within 30 calendar days in accordance with the Administrative Hearing Procedure for Petitions for Review of Executive Officer Decisions, Title 17 California Code of Regulations, commencing with section 60055.1.
d. Upon approval of the fleet emission credit, the Executive Officer shall issue a Certificate to the applicant. The Certificate shall identify the recipient of the certificate, the quantity of the fleet emission credit of each pollutant in tons per year, the port at which the reduction was created, and any other data deemed appropriate by the Executive Officer.
5. Using fleet emission credits
a. Fleet emission credits may be applied to the percent emission reduction calculations used by the fleet to demonstrate compliance with the requirements in (d)(2)(A)1, (d)(2)(A)2, and (d)(2)(A)4. The fleet shall surrender the FEC Certificate(s) as part of the applicable annual compliance statement. If the entire FEC is used, the Executive Officer shall retain the Certificate. If only part of the FEC is used, the Executive Officer shall retain the old Certificate and issue a new Certificate identifying the remaining portion of the FEC. 
b. The Executive Officer shall monitor the accumulation and use of the fleet emission credits.
c. Fleet emission credits cannot be used to comply with requirements in (d)(2)(A)3 or (d)(2)(A)5.
d. Fleets that switch compliance options from (d)(1), the reduced onboard power generation option, to (d)(2), the equivalent emission reduction option, cannot accumulate or use fleet emission credits.
(3) A person complying with the requirements of subsection (d)(2) may choose any of the following emissions rates for use in the calculations specified in subsection (e)(2)(A) and (e)(2)(B):
(A) Results from emission measurements for similar auxiliary diesel engines that are used to satisfy a marine engine standard, including U.S. Environmental Protection Agency (EPA) emission standards for marine engines (40 CFR Part 94), and the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 (MARPOL 73/78), both of which are incorporated herein by reference;
(B) Emission measurements approved by the Executive Officer and using the test methods specified in subsection (e)(4)(B)(3); or
(C) In lieu of test data measured pursuant to paragraph (A) or (B) above, the following emission rates may be used as default values:
1. 13.9 g/kW-hr for NOx.
2. 0.38 g/kW-hr for PM if 0.11 to 0.5 percent sulfur marine gas oil or marine diesel oil is used as a fuel.
3. 0.25 g/kW-hr for PM if 0.10 or less sulfur content marine gas oil or marine diesel oil is used as a fuel.
(4) Control Factors
(A) The emissions from vessels using grid power in lieu of the vessel's auxiliary engines when the vessels are at berth are presumed to be reduced by 90 percent.
(B) No control efficiencies for alternative control technologies shall be used to comply with the requirements of this provision unless the control efficiencies are calculated or measured as follows:
1. The control efficiencies shall be based on an emission test protocol that is approved by the Executive Officer prior to conducting the emission measurements; 
2. The results of the emission measurements conducted pursuant to paragraph 1 above are approved by the Executive Officer; and
3. Emission measurements are conducted using the following test methods. Alternative tests methods may be used upon written approval from the Executive Officer:
a. NOx and CO2 shall be measured using California Air Resources Board (CARB) Test Method 100, dated July 1997, which is incorporated herein by reference, or equivalent district-approved test method;
b. Diesel PM shall be measured using ISO 8178 Test Procedures: ISO 8178-1: 1996(E) (“ISO 8178 Part 1”); ISO 8178-2:1996(E) (“ISO 8178 Part 2”); and ISO 8178-4: 1996(E)(“ISO 8178 Part 4”), all of which are incorporated herein by reference;
c. Ammonia slip shall be measured using the Bay Area Air Quality Management District Source Test Procedure ST-1B, Ammonia Integrated Sampling, dated January 1982, which is incorporated herein by reference, or other equivalent district approved test method; and
d. The sulfur content of fuels shall be determined pursuant to International Standard ISO 8754 (as adopted in 2003), which is incorporated herein by reference.
(C) Results from emission measurements from a verified emission control strategy may be used in conjunction with engine emission information.
(D) The Executive Officer may request periodic emission testing or other types of monitoring to verify the proper operation of alternative control technologies or distributed generation equipment, or to verify the emission rate of an auxiliary engine. 
1. At a minimum, emission control technologies shall be tested as follows and the results of such testing provided to the Executive Officer within 30 days of the testing:
a. Shore-based systems shall be tested annually to demonstrate the overall percentage of emission reduction being achieved.
b. Catalyst based air pollution control systems installed on vessels shall be tested after every 1,000 hours of operation to determine the overall percentage of emission reduction being achieved.
c. If SCR is used as a control technology, the emissions of ammonia shall also be measured at the same time the NOx emissions are being measured.
2. The Executive Officer may modify the testing frequency as he/she deems appropriate.
(f) Terminal Plan Requirements.
(1) The operator of a terminal that receives more than 50 vessel visits in 2008 shall submit for the Executive Officer's approval, a plan, and subsequent updates, that discusses how the terminal will accommodate the vessels that will visit the terminal and are subject to subsection (d)(1) and (d)(2). The initial plan shall address requirements in subsection (d)(1) and (d)(2) through 2020. The plan updates shall address any contingencies that may be necessary for the vessels to meet the requirements of subsection (d)(1) and (d)(2) by the applicable dates.
(A) Schedule for Plan Submittals
The terminal operator shall submit the initial plan and subsequent updates to the plan according to the schedule below (Table 2). 

Table 2.

 Vessel Compliance Option	Initial Terminal	Subsequent Terminal
	Plan Due Date 	Plan Updates
			
Reduced Onboard Power 	July 1, 2009	July 1, 2013
Generation Option: (d)(1) 		July 1, 2016
		July 1, 2019
			
Equivalent Emissions 	July 1, 2009	July 1, 2011
Reduction Option: (d)(2)		July 1, 2013
		July 1, 2016
		July 1, 2019
			
(B) Approval of Plans
a. Within 30 calendar days of receipt of a plan, the Executive Officer shall inform the terminal operator in writing if the plan is complete or deficient. If deemed deficient, the Executive Officer shall identify the specific information required to make the plan complete.
b. Within 60 calendar days of the plan being deemed complete, the Executive Officer shall approve or disapprove the plan based on a determination of it meeting the requirements of (f)(2) or (f)(3), whichever is applicable.
(2) Plan Requirements for Reduced Onboard Power Generation Option
The plan shall include discussion of necessary infrastructure modifications needed for affected fleets to satisfy the requirements of subsection (d)(1) by the 2014, 2017, and 2020 compliance dates. The plan shall also include the schedule for implementing the modifications. The discussion shall include the following:
(A) Discussion of ship activity and projected power demands at the terminal:
1. Number of ships and visits to the terminal;
2. The projected amount of electric power needed from the utility grid on an annual basis and the maximum power capacity;
(B) Discussion of available power at the terminal;
(C) Discussion of major infrastructure improvements to terminal that would be needed to provide projected power loads at the berth, including identification of existing berths to be modified or new berths to be constructed;
(D) Discussion of improvements to port infrastructure that would be needed to provide projected power loads; 
(E) Discussion of utility infrastructure improvements, if any, outside the port boundary that would be needed to provide projected power loads; and
(F) A schedule for each activity needed to implement (C), (D), and (E) above. 
(3) Plan Requirements for Equivalent Emissions Reduction Option
(A) The plan shall include a description of the control techniques that will be used to reduce in-berth vessel emissions needed for affected fleets to satisfy requirements of subsection (d)(2) by the 2010, 2012, 2014, 2017, and 2020 compliance dates. These techniques would include electric power from the utility grid (grid-based shore power), electrical power from sources that are not part of a utility's electrical grid (distributed generation), and alternative control technologies;
(B) For berths where grid-based shore power will be implemented, the plan shall contain the information specified in subsection (f)(2);
(C) For berths where distributed generation will be implemented, the plan shall contain the following information:
1. Identification and description of distributed generation equipment, including estimated electrical output and fuel input;
2. Berth(s) where the equipment will be used;
3. Number of ships and corresponding visits to the berth(s);
4. Projected amount of electric power that will be needed at the berth(s) from the distributed generation equipment, calculated on an annual and maximum capacity basis;
5. Schedule for deploying distributed generation equipment; and
6. The estimated reductions in NOx and PM emissions from vessels using the distributed generation equipment, including documentation supporting the anticipated reductions.
(D) For berths where alternative controls will be implemented, the plan shall contain the following information;
1. Identification and description of equipment, including whether it will be located on the ship or on the shore;
2. Number of ships and corresponding visits using ship-side equipment;
3. Number of ships and corresponding visits using shore-side equipment;
4. Berth(s) where shore-side equipment will be used;
5. Schedule for implementing equipment; and 
6. Estimated reductions in NOx and PM emissions from vessels using the ship-side and shore-side equipment, including documentation supporting the anticipated reductions.
(4) A port may submit terminal plans required under subsection (f)(1) on behalf of the terminals located at that port.
(g) Reporting and Recordkeeping Requirements.
(1) Reporting and Recordkeeping Requirements for Persons that Comply with Subsection (d)(1)
(A) The Responsible Official shall provide the following reports to the Executive Officer:
1. A vessel fleet plan for each California port visited by a fleet, where the fleet is not exempt pursuant to section (b)(3)(E).
a. The plan is due to the Executive Officer by July 1, 2013, and an updated plan is due by July 1, 2016, and July 1, 2019.
b. The plan must address the vessels in the fleet that visit the port and would be affected by the requirements specified in subsection (d)(1). The following information shall be included in the vessel fleet plan and subsequent updates:
i. Fleet information, including: vessel category for the fleet (container, passenger, or refrigerated cargo), name of the port visited by the fleet, name of terminals visited, number of ships visiting the port annually, and total number of ship visits to the port annually. 
ii. Information on the vessels in the fleet that will have their emissions reduced to satisfy the requirements of subsection (d)(1).
I. Vessel plans that are due July 1, 2013, shall include the following vessel information: 
1. Name and Lloyd's number of each vessel capable of using shore power by January 1, 2014, maximum power requirement of the vessel while at berth, and total number of annual visits to the port; 
2. The number of vessels that will have the capabilities for using shore power by January 1, 2017, the maximum amount of power expected to be used by these vessels while at berth, and the total number of annual visits expected to be made by these ships to the port; and 
3. The number of vessels that will have the capabilities for using shore power by January 1, 2020, the maximum amount of power expected to be used by these vessels while at berth, and the total number of annual visits expected to be made by these ships to the port.
II. Vessel plan updates that are due July 1, 2016, shall have the following vessel information: 
1. Name and Lloyd's number of each vessel capable of using shore power by January 1, 2017, maximum power requirement of the vessel while at berth, and total number of annual visits to the port; and
2. The number of vessels that will have the capabilities for using shore power by January 1, 2020, the maximum amount of power expected to be used by these vessels while at berth, and the total number of annual visits expected to be made by these ships to the port. 
III. Vessel plan updates that are due July 1, 2019, shall include the following vessel information: 
Name and Lloyd's number of each vessel capable of using shore power by January 1, 2020, maximum power requirement of the vessel while at berth, and total number of annual visits to the port.
2. An annual statement of compliance pursuant to subsection (d)(1). 
a. The initial annual statement of compliance is due to the Executive Officer by March 1, 2015. This statement is for the 2014 calendar year. Thereafter, the annual statement is due to the Executive Officer by March 1 of each year, certifying compliance with the requirements for the previous calendar year.
b. The following information shall be included with the statement of compliance:
i. A statement signed by the Responsible Official that the requirements specified in subsection (d)(1) have been met for each California port visited by a fleet, where the fleet is not exempt pursuant to section (b)(3)(E). 
ii. Information on visits and power requirements while at berth for all vessels within the fleet that visited the California port including:
I. Current name of the vessel;
II. Lloyd's number for the vessel;
III. Vessel type (container, passenger, refrigerated cargo); 
IV. TEU capacity (container vessels only);
V. Total visits, by terminal; 
VI. Number of visits where the vessel satisfied the requirements of (d)(1)(D);
VII. Number of visits where the visit for the vessel would fall within the exemptions identified in (d)(1)(E);
VIII. Average berthing time at the port; and
IX. Average power requirement for the vessel while at berth, in MW-hr.
iii. The information submitted pursuant to paragraph ii. above shall be reported for the following periods:
I. January 1 through March 31, inclusive;
II. April 1 through June 30, inclusive;
III. July 1 through September 30, inclusive; and
IV. October 1 through December 31, inclusive.
(B) Recordkeeping
1. The following records shall be kept at a central location by the vessel operator. A logbook that records, for each visit, the dates, times, and other information as specified below:
a. Name of the vessel, the port and terminal visited;
b. Power requirement while at berth;

c. 	When the vessel initially tied to the berth and when the vessel cast-off the tie lines;
d. When the auxiliary engines were shut down and subsequently restarted;
e. Whether departure from the berth was delayed by the U.S. Coast Guard or other federal agency. Identification of the agency that caused the delay, reason for the delay, and when the federal agency released the vessel; 
f. If an emergency event occurred, a description and duration of that emergency event; and
g. For vessels subject to (d)(1)(I), a discussion of any onboard equipment failure that prevents the usage of shore power equipment. This discussion should include the date when equipment initially failed, identification of equipment that failed, and dates and description of each effort to repair the equipment.
2. All records required pursuant to this provision shall be retained for a minimum of five years. This information shall be supplied to the Executive Officer within 30 days of a request from ARB staff.
(2) Reporting and Recordkeeping Requirements for Persons Opting to Comply with the Equivalent Emissions Reduction Option in Subsection (d)(2)
(A) The Responsible Official shall provide the following reports to the Executive Officer:
1. A vessel fleet plan for each California port visited by a fleet, where the fleet is not exempt pursuant to section (b)(3)(E). 
a. The plan is due to the Executive Officer by July 1, 2009, and an updated plan is due by July 1, 2011, July 1, 2013, July 1, 2016, and July 1, 2019.
b. The plan must address the vessels in the fleet that visit the port and would be affected by the requirements specified in subsection (d)(2). The following information shall be included in the vessel fleet plan and subsequent updates:
i. Fleet information, including: vessel category for the fleet (container, passenger, or refrigerated cargo), name of the port visited by the fleet, name of terminals visited, number of ships visiting the port annually, and total number of ship visits to the port annually.
ii. Information on the vessels in the fleet that will have their emissions reduced to satisfy the requirements of subsection (d)(2).
I. Vessel plans that are due July 1, 2009, shall include the following vessel information: 
1. Name and Lloyd's number of each vessel that will have its emissions reduced to satisfy the requirements of (d)(2) as of January 1, 2010, type of control technique used (electric power from the utility grid, electrical power from sources that are not part of an utility's electrical grid (distributed generation), or alternative control technologies), maximum power requirement of the vessel while at berth (if using power from the grid or distributed generation), and total number of annual visits to the port, and
2. The number of vessels that are expected to have their emissions reduced, by each type of control technique, to satisfy the requirements of (d)(2) by January 1, 2012, January 1, 2014, January 1, 2017 and January 1, 2020, and the total number of annual visits expected to be made by these ships to the port.
II. Vessel plan updates that are due July 1, 2011, shall include the following vessel information: 
1. Name and Lloyd's number of each vessel that will have its emissions reduced to satisfy the requirements of (d)(2) as of January 1, 2012, type of control technique used, maximum power requirement of the vessel while at berth (if using power from the grid or distributed generation), and total number of annual visits to the port; and
2. The number of vessels that are expected to have their emissions reduced, by each type of control technique, to satisfy the requirements of (d)(2) by January 1, 2014, January 1, 2017 and January 1, 2020, and the total number of annual visits expected to be made by these ships to the port.
III. Vessel plan updates that are due July 1, 2013, shall include the following vessel information: 
1. Name and Lloyd's number of each vessel that will have its emissions reduced to satisfy the requirements of (d)(2) as of January 1, 2014, type of control technique used, maximum power requirement of the vessel while at berth (if using power from the grid or distributed generation), and total number of annual visits to the port; and
2. The number of vessels that are expected to have their emissions reduced, by each type of control technique, to satisfy the requirements of (d)(2) by January 1, 2017, and January 1, 2020, and the total number of annual visits expected to be made by these ships to the port.
IV. Vessel plan updates that are due July 1, 2016, shall include the following vessel information: 
1. Name and Lloyd's number of each vessel that will have its emissions reduced to satisfy the requirements of (d)(2) as of January 1, 2017, type of control technique used, maximum power requirement of the vessel while at berth (if using power from the grid or distributed generation), and total number of annual visits to the port; and
2. The number of vessels that are expected to have their emissions reduced to satisfy the requirements of (d)(2) by January 1, 2020, by each type of control technique, and the total number of annual visits expected to be made by these ships to the port.
V. Vessel plan updates that are due July 1, 2019, shall include the following information: 
Name and Lloyd's number of each vessel that will have its emissions reduced to satisfy the requirements of (d)(2) by January 1, 2020, type of control technique used, maximum power requirement of the vessel while at berth (if using power from the grid or distributed generation), and total number of annual visits to the port.
iii. Description of the control technique(s) that will be used to reduce the vessels' auxiliary engine emissions to achieve the requirements specified in subsection (d)(2), including identifying the pollutant being reduced, the expected emission reduction (percent reduced), and the basis for determining the expected emission reduction, including submittal of emission testing results or other documentation.
2. If the Responsible Official submits an update to the vessel fleet plan for a fleet switching from the reduced onboard power generation compliance option to the equivalent emissions reduction option pursuant to (d)(3), the updated plan shall contain the same information required in (g)(2)(A)1.
3. An annual statement of compliance. 
a. The initial annual statement of compliance is due to the Executive Officer by March 1, 2011. This statement is for the 2010 calendar year. Thereafter, the annual compliance statement is due to the Executive Officer by March 1 of each year, certifying compliance with the requirements for the previous year.
b. The following items should be included with the statement of compliance:
i. A statement signed by the Responsible Official indicating that the NOx and PM emission reductions specified by (d)(2) have been achieved for each California port visited by a fleet, where the fleet is not exempt pursuant to section (b)(3)(E); 
ii. The calculated NOx and PM baseline and post-baseline emissions for each fleet. The emissions must be calculated on a calendar year basis if complying with subsection (d)(2)(A)1 or subsection (d)(2)(A)2 and on a quarterly basis if complying with subsection (d)(2)(A)3, (d)(2)(A)4 and (d)(2)(A)5 as specified in (d)(2)(D). The following information shall be included for each vessel in the fleet: 
I. Current name;
II. Lloyd's number;
III. Vessel type (container, passenger, refrigerated cargo);
IV. Total visits by terminal;
V. Average berthing time at the port;
VI. Average power requirement for the vessel while at berth, in MW-hr; 
VII. TEU capacity (container vessels only);
VIII. Type of control technique used (electrical power from the utility grid, distributed generation, or alternative control technologies); and
IX. Emissions of NOx and PM, in pounds, for the reporting period.
iii. The fleet emission credits that will be applied to the NOx and PM emission reduction calculations for the fleet and the Certificate(s) for these credits that were issued pursuant to section (e)(2)(D); and 
iv. Description of the control technique(s) used, achievable emission reductions, and supporting documentation (e.g., reference source test results pursuant to (e)(4)(D)1 or verification documentation). For subsequent statements of compliance, the supporting documents can be referenced, including the most recent source test submitted to the Executive Officer.
(B) Recordkeeping
The following records shall be kept at a central location by the fleet vessel operator. 
1. For each calendar year of vessel activity, an annual summary of emissions that demonstrates compliance with the applicable emission reduction for 2010 and 2012, and a quarterly summary of emissions that demonstrates compliance with the applicable emission reduction for 2014, 2017, or 2020, which includes the following:
a. The fleet's baseline and post-baseline levels for NOx and PM emissions for each California port; and
b. Each vessel's contribution to fleet's baseline and post-baseline NOx and PM emissions, including the following information:
i. Name of each vessel;
ii. Lloyd's number for each vessel;
iii. Fuel type and average sulfur content of fuel for each vessel;
iv. NOx and PM emissions for each vessel, in pounds;
v. Average berthing time for each vessel;
vi. Average power requirements for each vessel while at berth;
vii. Total visits to each terminal at the California port made by the vessel; 
viii. Technology used to reduce emissions and associated control factor used; and
ix. Any equipment failure aboard a vessel that prevented the vessel from using the emissions reduction technology. 
2. Additional recordkeeping requirements for fleets using grid-based shore power to satisfy (d)(2): 
If the vessel could not use shore power as a result of an emergency event, a description and duration of that emergency event.
3. Records made pursuant to paragraph (2)(B) above shall be kept for a minimum of five years. This information shall be supplied to the Executive Officer within 30 days of a request from ARB staff.
(3) Reporting Requirements for Ports and Terminals
(A) Each California port shall provide wharfinger information to the Executive Officer annually, beginning with the wharfinger information for calendar year 2010.
1. This information shall be provided to the Executive Officer no later than April 1 of the following year. 
2. At a minimum, the wharfinger information shall include for each vessel visiting the port: 
a. Name of the vessel;
b. Vessel type;
c. Company operating the vessel;
d. Lloyd's number for each vessel;
e. Berth used by the vessel; and
f. Date(s) and time the vessel was initially tied to the berth and subsequently released from the berth.
(B) The terminal operator shall keep the following records. These records shall be supplied to the Executive Officer within 30 days of a request from ARB staff:
1. Electricity usage for shore power: 
a. Monthly utility billing statements that separately identify electricity supplied for shore power;
b. Episodes of electrical service interruption by local utility company, as confirmed and documented by local utility company; and
c. For distributed generation, monthly records that contain the following:
i. Names of vessels serviced;
ii. Location of vessels serviced, by berth;
iii. Date and time of use; and
iv. Power, in megawatts, supplied to the vessels.
2. Date, time, and description of equipment failure located at the terminal that affected the ability of vessels to turn off their auxiliary engines or use alternative control technologies to reduce emissions pursuant to (d)(2);
3. Record of each vessel that did not operate its auxiliary engines while the vessel was docked at the berth:
a. Name of vessel; and
b. Date and time each vessel was initially tied to the terminal.
4. Records made pursuant to paragraph (3)(B) above shall be kept for five years. 
(4) Electronic submittals of records and other information required under this section may be approved by the Executive Officer upon request, provided such electronic submittals use digital signatures that meet the requirements specified in Government Code section 16.5. Notwithstanding the approved submittal of electronic records, the Executive Officer may request the submittal of a hard copy of any electronic submittal.
(h) Violations.
(1) Except as otherwise specified in this subsection, any person who is subject to this section and commits a violation of any provision, prohibition, limit, standard, criteria, or requirement in this section is subject to the penalties, injunctive relief, and other remedies specified in Health and Safety Code section 42400 et seq., other applicable sections in the Health and Safety Code; and other applicable provisions as provided under California law for each violation. Nothing in this section shall be construed to limit or otherwise affect any applicable penalties or other remedies available under federal law.
(2) Except as otherwise specified in this subsection, any failure to meet any provision, prohibition, limit, standard, criteria, or requirement in this section, including but not limited to the applicable emission limits for supplied shore power and hours of engine operation limits, shall constitute a single, separate violation of this section for each hour that a person operates the auxiliary diesel engine until such provision, prohibition, limit, standard, criteria, or requirement has been met.
(A) The number of violations if the provisions of (d)(1) are not satisfied are determined as given below:
1. If the fleet fails to achieve the baseline power reduction requirement as specified in (d)(1)(A), (d)(1)(B), or (d)(1)(C), the number of violations shall be determined with the formula in (h)(2)(C)1; 
2. If the fleet fails to achieve the applicable percentage of visits satisfying (d)(1)(D) as specified in (d)(1)(A), (d)(1)(B), or (d)(1)(C), the number of violations shall be determined with the formula in (h)(2)(C)2; 
3. If the fleet fails to achieve both the baseline power reduction and the applicable percentage of visits satisfying (d)(1)(D) as specified in (d)(1)(A), (d)(1)(B), or (d)(1)(C), the number of violations shall be determined with the formula in (h)(2)(C)3; and 
4. If a vessel subject to (d)(1)(I) does not use shore power for every visit to terminals that have available shore power, the number of violations shall be determined with the formula in (h)(2)(C)2. 
(B) If the emission reductions, pursuant to (d)(2), do not achieve the applicable percentage of reduction, the number of violations shall be determined with the formula in (h)(2)(C)4. 
(C) Formulas for Determining Number of Violations:
1. Number of reduced onboard power violations =   MW-Hr shortfall / 1.8
2. Number of visits violations = visits * MW-Hr per visit / 1.8
“Visits” refers to the shortfall in the number of visits in the applicable quarter that should have satisfied the requirements of (d)(1)(A), (d)(1)(B), or (d)(1)(C). 
“MW-Hr per visit” shall be based on the average MW-Hr for a visit for the applicable quarter (S total MW-Hr in quarter / total visits in quarter).
3. Number of both reduced onboard power and visits violations =    MW-Hr shortfall for the applicable quarter / 1.2
4. Number of emission reduction violations =    [NOx + PM shortfall (pounds)] / 57
(3) A violation of the recordkeeping and reporting requirements in this section shall constitute a single, separate violation of this section for each day that the applicable recordkeeping or reporting requirement has not been met.
(i) Severability.
If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion of this regulation is, for any reason, held invalid, unconstitutional, or unenforceable by any court of competent jurisdiction, such portion shall be deemed as a separate, distinct, and independent provision, and such holding shall not affect the validity of the remaining portions of the regulation.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41511, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666, 41510 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-3-2008; operative 1-2-2009 (Register 2008, No. 49).
§93118.5. Airborne Toxic Control Measure for Commercial Harbor Craft.
Note     •     History

(a) Purpose.
The purpose of this section is to reduce diesel particulate matter (PM), oxides of sulfur (SOx), and oxides of nitrogen (NOx) from diesel propulsion and auxiliary engines on harbor craft that operate in any of the waters subject to this section (“Regulated California Waters”). This section implements provisions of the Goods Movement Emission Reduction Plan, adopted by the California Air Resources Board (ARB or CARB) in April 2006, to reduce emissions and health risk from ports and the movement of goods in California.
(b) Applicability.
(1) Except as provided in subsections (b) and (c), this section applies to any person who sells, supplies, offers for sale, purchases, owns, operates, leases, charters, or rents any new or in-use diesel fueled harbor craft that is operated in any of the Regulated California Waters.
(2) Engine Subject to Multiple ARB Regulations. In the event an engine that is permanently affixed to a harbor craft is subject to the requirements of this section, and either:
(A) the regulation for portable compression ignition (CI) engines and equipment (sections 93116-93116.5, title 17, California Code of Regulations (CCR)), or 
(B) the regulation for in-use off-road diesel vehicles (sections 2420-2427, title 13, CCR), the requirements of this section shall supersede the requirements of either of the regulations cited in 93118.5(b)(2)(A) or 93118.5(b)(2)(B) above. 
(3) This section applies to towboats and tugboats engaged in or intending to engage in the service of pulling, pushing, or hauling alongside tank vessels or tank barges.
(4) Notwithstanding the provisions of title 13, CCR, section 2299.1 and title 17, CCR, section 93118, this section shall apply to any ocean-going tugboats and towboats and shall supersede the requirements of 13 CCR 2299.1 and 17 CCR 93118 in their entirety for ocean-going tugboats and towboats. For purposes of this paragraph, “ocean-going tugboats and towboats” shall mean tugboats and towboats with a “registry” (foreign trade) endorsement on its United States (U.S.) Coast Guard certificate of documentation, or tugboats and towboats that are registered under the flag of a country other than the United States. 
(5) Nothing in this section shall be construed to amend, repeal, modify, or change in any way any other applicable State, U.S. Coast Guard, or other federal requirements. Any person subject to this section shall be responsible for ensuring compliance with both U.S. Coast Guard regulations and the requirements of this section and any other applicable State and federal requirements, including but not limited to, obtaining any necessary approvals, exemptions, or orders from the U.S. Coast Guard. 
(6) This section shall not apply to any engine and equipment that fall within the scope of the preemption of Section 209(e)(1)(A) of the Federal Clean Air Act (42 United States Code (U.S.C.) 7543(e)(1)(A)) and as defined by regulation of the U.S. Environmental Protection Agency (U.S. EPA). 
(c) Exemptions.
All or portions of this section do not apply to the following, as provided below, but vessels that are partly or wholly exempt from this section may be subject to other State or federal regulations and requirements. A person subject to such other State or federal regulations and requirements is solely responsible for ensuring the vessel complies with those regulations and requirements. All other portions of this section shall apply unless otherwise specified: 
(1) The requirements of this section do not apply to harbor craft voyages that are comprised of continuous and expeditious navigation through any of the Regulated California Waters for the purpose of traversing such bodies of water without entering California internal or estuarine waters or calling at a port, roadstead, or terminal facility. “Continuous and expeditious navigation” includes stopping and anchoring only to the extent such stopping and anchoring are required by the U.S. Coast Guard; rendered necessary by force majeure or distress; or made for the purpose of rendering assistance to persons, ships, or aircraft in danger or distress. This exemption does not apply to the passage of a harbor craft that engages in any of the prejudicial activities specified in United Nations Convention on the Law of the Seas (UNCLOS) 1982, Article 19, subpart 2. Further, notwithstanding any U.S. Coast Guard mandated stops or stops due to force majeure or the rendering of assistance, this exemption does not apply to a vessel that was otherwise scheduled or intended to enter California internal or estuarine waters or call at a port, roadstead or terminal facility;
(2) Except as provided in Paragraph (3) below, a temporary replacement vessel is exempt only from the requirements set forth in subsection (e)(6) and only upon written approval by the ARB's Executive Officer (E.O.). All other provisions in this section shall apply to a temporary replacement vessel subject to this paragraph. An owner or operator, who has or will have a vessel taken out of service, may apply in writing to the E.O. to operate a temporary replacement vessel pursuant to the following:
(A) The E.O. shall approve or disapprove such a request within 15 days of receipt. The E.O. shall not unreasonably withhold approval of the request to operate the temporary replacement vessel; 

(B) 	If the approval is granted, the temporary replacement vessel's operating time will be specified in the approval by the E.O., along with any other terms, conditions, or requirements the E.O. deems necessary, but in no case shall the approved operating time in Regulated California Waters for a specific temporary replacement vessel exceed one year total for any single vessel that is temporarily replaced; and
(C) No temporary replacement vessel exemptions shall be approved for a vessel that is taken out of service more than 12 months in any 24-month period or if the E.O. cannot determine the length of time a vessel has been taken out of service within any 24-month period; 
(3) A temporary replacement vessel used to replace a vessel that has its homeport in the South Coast Air Quality Management District (SCAQMD) is exempt only from the compliance dates set forth in Table 8 of subsection (e)(6) and only upon written approval from the E.O. All other provisions in this section, including but not limited to, the compliance dates specified in Table 7, Table 9, and Table 10 of subsection (e)(6), shall apply to a temporary replacement vessel subject to this paragraph. An owner or operator, who has or will have a vessel taken out of service, may apply in writing to the E.O. to operate a temporary replacement vessel pursuant to the following:
(A) The E.O. shall approve or disapprove such a request within 15 days of receipt. The E.O. shall not unreasonably withhold approval of the request to operate the temporary replacement vessel; 
(B) If the approval is granted, the temporary replacement vessel's operating time will be specified in the approval by the E.O., along with any other terms, conditions, or requirements the E.O. deems necessary, but in no case shall the approved operating time in Regulated California Waters for a specific temporary replacement vessel exceed one year total for any single vessel that is temporarily replaced; and 
(C) No temporary replacement vessel exemptions shall be approved for a vessel that is taken out of service more than 12 months in any 24-month period or if the E.O. cannot determine the length of time a vessel has been taken out of service within any 24-month period;
(4) A temporary emergency rescue/recovery vessel is exempt from this section in its entirety;
(5) A recreational vessel is exempt from this section in its entirety;
(6) An ocean-going vessel, except for ocean-going tugboats and towboats as provided in subsection (b)(4), is exempt from this section in its entirety;
(7) A registered historic vessel is exempt only from subsection (e)(6); 
(8) A U.S. Coast Guard vessel is exempt from this section in its entirety;
(9) A military tactical support vessel is exempt from this section in its entirety; 
(10) An engine rated less than 50 horsepower (hp) is exempt only from subsection (e)(6); 
(11) Near-Retirement Vessels. A harbor craft is exempt from the requirements of subsection (e)(6)(C) and (e)(6)(D) if all of the following criteria have been met:
(A) the vessel is scheduled to be taken out of service and retired permanently; 
(B) the vessel is actually taken out of service and retired on or before the retirement date scheduled under (A) above; and
(C) the vessel has an engine with a compliance date, as set forth in subsection (e)(6)(D), that is within one year of the vessel's scheduled retirement date under (A) above. 
Operation of a vessel subject to this provision after the scheduled retirement date or the engine's compliance date, whichever occurs later, is a separate violation of this section for each and every engine and each and every day of operation during which an engine on the vessel does not meet the requirements of subsection (e)(6)(C) or other parts of this section. 
(d) Definitions.
For purposes of this section, the definitions of Health and Safety Code (H&S) sections 39010 through 39060 shall apply except as otherwise specified in this section:
(1) “Air District” means one of the local air pollution control districts (APCDs) or air quality management districts (AQMDs) established under H&S section 40000 et seq.
(2) “Alternative Diesel Fuel” means any fuel used in a diesel engine that is not commonly or commercially known, sold, or represented by the supplier as diesel fuel No. 1-D or No. 2-D, pursuant to the specifications in American Society for Testing and Materials (ASTM) D975-81, “Standard Specification for Diesel Fuel Oils,” as modified in May 1982, which is incorporated herein by reference, and does not require engine or fuel system modifications for the engine to operate, although minor modifications (e.g., recalibration of the engine fuel control) may enhance performance. Examples of alternative diesel fuels include, but are not limited to, biodiesel and biodiesel blends not meeting the definition of CARB diesel fuel; Fischer-Tropsch fuels; emulsions of water in diesel fuel; and fuels with a fuel additive, unless: 
(A) the additive is supplied to the engine fuel by an on-board dosing mechanism, or
(B) the additive is directly mixed into the base fuel inside the fuel tank of the engine, or
(C) the additive and base fuel are not mixed until engine fueling commences, and no more additive plus base fuel combination is mixed than required for a single fueling of a single engine.
(3) “Alternative Fuel” means natural gas, propane, ethanol, methanol, gasoline, hydrogen, electricity, or other technologies that do not meet the definition of CARB diesel or alternative diesel fuel. “Alternative fuel” also means any mixture that only contains these fuels.
(4) “Annual Hours of Operation” means the total number of hours, rounded to the nearest whole hour, a vessel engine is used for all commercial purposes in Regulated California Waters in the calendar year (January 1 to December 31) immediately prior to the engine's applicable compliance date set forth in subsection (e)(6)(D). For example, if a vessel is used for commercial fishing and commercial non-fishing purposes, the total number of hours combined for both uses shall be the total annual hours of operation for that vessel.
(5) “Auxiliary Engine” means an engine designed primarily to provide power for uses other than propulsion.
(6) “Averaging” means an exchange of excess reduced regulated emissions among engines on vessels in the same owner's or operator's fleet. 
(7) “Baseline” means the emissions level of a diesel engine using CARB diesel fuel as configured upon initial marine installation. 
(8) “Barge” means a vessel having a flat-bottomed rectangular hull with sloping ends and built with or without a propulsion engine. 
(9) “California Air Resources Board (CARB) Diesel Fuel” means any diesel fuel that meets the specifications of vehicular diesel fuel, as defined in title 13 CCR, sections 2281, 2282, 2284, 2299, and title 17 CCR section 93116. 
(10) “California Baseline” means the mean lower low water line along the California coast, as shown on the following National Oceanic and Atmospheric Administration (NOAA) Nautical Charts as authored by the NOAA Office of Coast Survey, which are incorporated herein by reference:
(A) Chart 18600, Trinidad Head to Cape Blanco (January 2002);
(B) Chart 18620, Point Arena to Trinidad Head (June 2002);
(C) Chart 18640, San Francisco to Point Arena (August 2005);
(D) Chart 18680, Point Sur to San Francisco (June 2005);
(E) Chart 18700, Point Conception to Point Sur (July 2003);
(F) Chart 18720, Point Dume to Purisima Point (January 2005); and
(G) Chart 18740, San Diego to Santa Rosa Island (March 2007). 
(11) “CARB” means the California Air Resources Board. CARB may also be referred to as “ARB.”
(12) “Carbon Monoxide (CO)” is a colorless, odorless gas resulting from the incomplete combustion of hydrocarbon fuels.
(13) “Category 1 engine” means any marine engine with a displacement of less than 5.0 liters per cylinder and with a maximum horsepower (hp) rating of 50 hp or greater. 
(14) “Category 2 engine” means any marine engine with a displacement of 5.0 to less than 30 liters per cylinder. 
(15) “Category 3 engine” means any marine engine with a displacement of greater than 30 liters per cylinder. 
(16) “Certified marine engine” means an engine that is certified by U.S. EPA as meeting the requirements of title 40, Code of Federal Regulations (CFR), Part 94 or Part 1042. 
(17) “Certified nonroad engine” means an engine that is certified by U.S. EPA as meeting the requirements of title 40, CFR, Part 89 or Part 1039.
(18) “Coast Guard Vessel” means any vessel or boat owned or operated by the U.S. Coast Guard, including, but not limited to, U.S. Coast Guard cutters and patrol boats that are used for law enforcement, defense operations, marine science, search and rescue missions, training missions, coastal surveillance, servicing aids to navigation, and marine environmental response.
(19) “Compliance Date” means the date by which time a vessel engine must meet the requirements set forth in subsection (e)(6)(C). The “compliance date” for a vessel engine is set forth in Table 7, Table 8, Table 9, or Table 10 in subsection (e)(6)(D), whichever is applicable.
(20) “Crew and Supply Vessel” means a self-propelled vessel used for carrying personnel and/or supplies to and from off-shore and in-harbor locations (including, but not limited to, off-shore work platforms, construction sites, and other vessels).
(21) “Date of Acquisition” means, for a vessel or engine subject to this regulation, the date of purchase as defined by the date shown on the front of the cashed check, the date of the financial transaction, or the date on the vessel or engine purchasing agreement, whichever is earliest of the three dates. 
(22) “Diesel Engine” means an internal combustion, compression-ignition (CI) engine, or pilot ignition engine with operating characteristics significantly similar to the theoretical diesel combustion cycle. The regulation of power by controlling fuel supply in lieu of a throttle is indicative of a compression ignition engine.
(23) “Diesel Fuel” means any fuel that is commonly or commercially known, sold, or represented by the supplier as diesel fuel, including any mixture of primarily liquid hydrocarbons (HC) -- organic compounds consisting exclusively of the elements carbon and hydrogen -- that is sold or represented by the supplier as suitable for use in an internal combustion, compression-ignition engine.
(24) “Diesel-Fueled” means a diesel engine fueled in whole or part by diesel fuel.
(25) “Diesel Oxidation Catalyst (DOC)” means an emission control technology that employs a catalyst to promote oxidation processes in diesel exhaust gases, usually designed to reduce emissions of the organic fraction of diesel particulates, gas-phase HC, and CO.
(26) “Diesel Particulate Filter (DPF)” means an emission control technology that reduces diesel PM emissions in engine exhaust gases by trapping the particles in a flow filter substrate and periodically removes the collected particles by either physical action or by oxidizing (burning off) the particles in a process called regeneration.
(27) “Diesel Particulate Matter (Diesel PM)” means the particles found in the exhaust of diesel engines, which may agglomerate and adsorb other species to form structures of complex physical and chemical properties.
(28) “Direct Control” means owning, operating, having a contract, lease, or other arrangement to operate a harbor craft.
(29) “Dredge” means a vessel designed to remove earth from the bottom of waterways, by means of including, but not limited to, a scoop, a series of buckets, or a suction pipe. Dredges include, but are not limited to, hopper dredges, clamshell dredges, or pipeline dredges. 
(30) “Emission Control Strategy” means any device, system, or strategy employed to reduce emissions from an engine, including, but not limited to, diesel oxidation catalysts, selective catalytic reduction systems, diesel particulate filters, alternative diesel fuels, water emulsified fuels, and any combination of the above. 
(31) “Estuarine Waters” means an arm of the sea or ocean that extends inland to meet the mouth of a river.
(32) “Excursion Vessel” means a self-propelled vessel that transports passengers for purposes including, but not limited to, dinner cruises; harbor, lake, or river tours; scuba diving expeditions; and whale watching tours. “Excursion Vessel” does not include crew and supply vessels, ferries, and recreational vessels. 
(33) “Executive Officer” means the Executive Officer (E.O.) of the California Air Resources Board or his/her designee.
(34) “Family Emission Limit (FEL)” means an emission level that is declared by the manufacturer to serve in lieu of an emission standard for certification purposes and for the averaging, banking, and trading program, as defined in title 13, California Code of Regulations, section 2423 or 40 CFR Parts 89.112(d) or 1039.101, as they existed on April 27, 2010. 
(35) “Ferry” means a harbor craft having provisions only for deck passengers or vehicles, operating on a short run, on a frequent schedule between two points over the most direct water route, and offering a public service of a type normally attributed to a bridge or tunnel. 
(36) “Fishing Vessel” means a self-propelled vessel that is either: 

(A) 	a commercial vessel dedicated to the search for, and collection of, fish for the purpose of sale at market or directly to a purchaser(s), or 

(B) 	a charter vessel used for hire by the general public and dedicated to the search for and collection of, fish for the purpose of general consumption. 
(37) “Fleet” means the total number of harbor craft owned, rented, or leased by an owner or operator in an air district or distinct locale within Regulated California Waters or the statewide population of a specific vessel type. 
(38) “Fuel Additive” means any substance designed to be added to fuel or fuel systems or other engine-related engine systems such that it is present in-cylinder during combustion.
(39) “Harbor Craft” (also called “Commercial Harbor Craft”) means any private, commercial, government, or military marine vessel including, but not limited to, passenger ferries, excursion vessels, tugboats, ocean-going tugboats, towboats, push-boats, crew and supply vessels, work boats, pilot vessels, supply boats, fishing vessels, research vessels, U.S. Coast Guard vessels, hovercraft, emergency response harbor craft, and barge vessels that do not otherwise meet the definition of ocean-going vessels or recreational vessels.
(40) “Homeport” means the port in which a vessel is registered or permanently based.
(41) “In-Use Harbor Craft” means a harbor craft that is not a new harbor craft. 
(42) “In-Use Marine Engine” means a marine engine that is not a new marine engine.
(43) “Lease” means a contract by which the owner (lessor) of a property, such as a vessel or engine, grants the right to use or occupy the property to another person (lessee) for a specified term and for a specified rent.
(44) “Level” means, unless the context requires otherwise, one of three categories of ARB-verified diesel emission control strategies as set forth in title 13, CCR, section 2700 et seq.: Level 1 means the strategy reduces engine diesel PM emissions by between 25 and 49 percent; Level 2 means the strategy reduces engine diesel PM emissions by between 50 and 84 percent; and Level 3 means the strategy reduces engine diesel PM emissions by 85 percent or greater, or reduces engine diesel PM emissions to less than or equal to 0.01 grams per brake horsepower-hour (g/bhp-hr).
(45) “Low-Use” means the operation of any compression-ignition engine associated with a harbor craft vessel for less than the total annual hours of operation in Regulated California Waters, based on the immediately preceding calendar year, that deems it subject to the in-use engine requirements.
(46) “Military Tactical Support” means a vessel that meets military specifications, is owned by the U.S. Department of Defense, the U.S. Coast Guard, the U.S. Military services or its allies, and is used in combat, combat support, combat services support, tactical or relief operations or training for such operations.
(47) “Model Year” means the diesel engine manufacturer's annual production period, which includes January 1st of a calendar year, or if the manufacturer has no annual production period, the calendar year.
(48) “New Harbor Craft” means a harbor craft for which both of the following criteria are true:
(A) it is built, or its keel is laid, on or after January 1, 2009, and
(B) the equitable or legal title to the harbor craft has never been transferred to an ultimate purchaser. 
Where the equitable or legal title to the harbor craft is not transferred to an ultimate purchaser prior to the harbor craft being placed into service, the harbor craft ceases to be new when it is placed into service. A harbor craft is placed into service when it is used for its functional purposes. 
(49) “New Marine Engine” means a marine engine for which both of the following criteria are true:
(A) it is manufactured or imported on or after January 1, 2009, and 
(B) the equitable or legal title to the engine has never been transferred to an ultimate purchaser. 
Where the equitable or legal title to the engine is not transferred to an ultimate purchaser prior to the engine being placed into service, the engine ceases to be new when it is placed into service. An engine is placed into service when it is used for its functional purposes. 
(50) “Nitrogen Oxides or Oxides of Nitrogen (NOx)” means compounds of nitric oxide (NO), nitrogen dioxide (NO2), and other oxides of nitrogen, which are typically created during combustion processes and are major contributors to smog formation and acid deposition.
(51) “Non-Methane Hydrocarbons (NMHC)” means the sum of all hydrocarbon (HC) air pollutants except methane.
(52) “Ocean-going Vessel” means a commercial, government, or military vessel meeting any one of the following criteria: 
(A) a vessel greater than or equal to 400 feet in length overall (LOA) as defined in 50 CFR §679.2, as adopted June 19, 1996;
(B) a vessel greater than or equal to 10,000 gross tons (GT ITC) per the convention measurement (international system) as defined in 46 CFR 69.51-.61, as adopted September 12, 1989; or
(C) a vessel propelled by a marine compression-ignition engine with a per-cylinder displacement of greater than or equal to 30 liters.
(53) “Operate” means steering or otherwise running the vessel or its functions while the vessel is underway, moored, anchored, or at dock.
(54) “Own” means having all the incidents of ownership, including the legal title, whether or not that person lends, rents, or pledges the vessel; having or being entitled to the possession of a vessel as the purchaser under a conditional sale contract; or being the mortgagor of a vessel.
(55) “Particulate Matter (PM)” means any airborne finely divided material, except uncombined water, which exists as a liquid or solid at standard conditions (e.g., dust, smoke, mist fumes, or smog).
(56) “Permanently affixed to a harbor craft” means the engine, its fueling system, or its exhaust system is welded or otherwise physically connected to the vessel or other vessel system in such a way that the engine cannot be easily removed for use in a land-based application without modifications. 
(57) “Person” includes all of the following:
(A) any person, firm, association, organization, partnership, business trust, corporation, limited liability company, or company; 
(B) any state or local governmental agency or public district, or any officer or employee thereof; and 
(C) the United States or its agencies, to the extent permitted by federal law.
(58) “Pilot Vessel” means a vessel designed for, but not limited to, the transfer and transport of maritime pilots to and from ocean-going vessels while such vessels are underway.
(59) “Port” means any facility used for water-borne commerce. “Port” includes, but is not limited to, facilities also known as “marine terminals” and “roadsteads.” 
(60) “Portable CI Engine” means a compression-ignition (CI) engine designed and capable of being carried or moved from one location to another. Indicators of portability include, but are not limited to, wheels, skids, carrying handles, dolly, trailer, or platform. Portable engines are not self-propelled.
(61) “Portable Equipment Registration Program (PERP)” means the statewide program designed to promote the use of clean portable engines in California, as provided for in title 13, CCR, sections 2450 through 2465. Once registered in the program, engines and equipment units can operate throughout the State without being required to obtain individual permits from each air pollution control or air quality management district in which they operate. 
(62) “Pre-Tier 1 Engine” means an engine that was built before the effective date of U.S. EPA's Tier 1 marine engine emission standards (Tier 1 marine standards), as set forth in 40 CFR 94, or U.S. EPA's Tier 1 emission standards for nonroad compression ignition engines, as set forth in 40 CFR 89. 
(63) “Propulsion Engine” means an engine that provides power to move a vessel through the water or directs the movement of a vessel.
(64) “Purchase Date” means the date shown on the front of the cashed check; the date of the financial transaction; or the date on the engine or harbor craft purchase, rental, or lease agreement, whichever is earliest.
(65) “Push Boat” means any self-propelled vessel engaged in or intending to engage in the service of pulling, pushing, or hauling along side barges or other vessels, or any combination of pulling, pushing, or hauling along side barges or other vessels. “Push boats” is interchangeable with “towboats.” 
(66) “Recreational Vessel” means a vessel that is intended by the vessel manufacturer to be operated primarily for pleasure or leased, rented, or chartered to another for the latter's pleasure, excluding the following vessels: (1) vessels of less than 100 gross tons that carry more than 6 passengers, (2) vessels of 100 gross tons or more that carry one or more passengers, and (3) vessels used solely for competition.
(67) “Registered Historic Vessel” means a vessel listed in the National Register of Historic Places pursuant to the National Historic Preservation Act of 1966 (16 U.S.C. 470).
(68) “Regulated California Waters” means all of the following:
(A) all California internal waters;
(B) all California estuarine waters;
(C) all California ports, roadsteads, and terminal facilities (collectively “ports”);
(D) all waters within 3 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive;
(E) all waters within 12 nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive;
(F) all waters within 24 nautical miles of the California baseline, starting at the California-Oregon border to 34.43 degrees North, 121.12 degrees West; inclusive; and 
(G) all waters within the area, not including any islands, between the California baseline and a line starting at 34.43 degrees North, 121.12 degrees West; thence to 33.50 degrees North, 118.58 degrees West; thence to 32.65 degrees North, 117.81 degrees West; and ending at the California-Mexico border at the Pacific Ocean, inclusive.
(69) “Regulated In-Use Vessel” means a vessel that operates as one of the vessel categories subject to in-use engine standards in subsection (e)(6).
(70) “Rent” means payment for the use of harbor craft or diesel engine for a specified term.
(71) “Retirement” means the act of taking an engine or harbor craft out of service (i.e., to “retire”) so that it subsequently never again operates in any of the Regulated California Waters. “Retirement” does not include an engine or harbor craft that is sold for use outside California then subsequently operated in any of the Regulated California Waters.
(72) “SCAQMD” means the South Coast Air Quality Management District, as defined in Health and Safety Code section 40410 et seq. and described in section 60104, title 17, California Code of Regulations, and shall include all waters subject to the jurisdiction of the SCAQMD. 
(73) “Supply Vessel” means a self-propelled vessel used for carrying supplies to and from off-shore and in-harbor locations including, but not limited to, off-shore work platforms, construction sites, and other vessels.
(74) “Swing Engine” means an engine maintained at a dockside location for use in a vessel or fleet of vessels which can be installed as a replacement for an engine that has been removed from a vessel for repair or routine maintenance. The removed engine may then become the swing engine once repair or maintenance has been completed. 
(75) “Take Out of Service” means the act of dry-docking, mooring, anchoring, or otherwise tying up a harbor craft at dock to conduct maintenance, repairs, replacements, or upgrades such that the vessel cannot be operated in Regulated California Waters while such acts are conducted on the vessel.
(76) “Tank Barge” means a non-self-propelled vessel constructed or adapted primarily to carry, or that carries, oil or hazardous material in bulk as cargo or cargo residue.
(77) “Tank Vessel” or “Tanker” means a self-propelled vessel constructed or adapted primarily to carry, or that carries, oil or hazardous material in bulk as cargo or cargo residue. 
(78) “Temporary emergency rescue/recovery vessel” means a self-propelled vessel that performs duties including, but not limited to, policing harbor areas, fire fighting, rescue operations, oil spill prevention, and on-water oil removal whose homeport is not within California and is brought into California for the immediate use of emergency rescue or recovery and returns to its homeport outside of California at the conclusion of its emergency rescue/recovery mission.
(79) “Temporary replacement vessel” means a self-propelled vessel that is brought into service to temporarily replace a California vessel that has been temporarily taken out of service. For purposes of this section, “temporary replacement vessel” includes only the following:
(A) vessels that are used in the SCAQMD but have a homeport in California outside of the SCAQMD; and
(B) vessels that are used anywhere in California, including the SCAQMD, but have a homeport outside of California.
(80) “Tier 1 Marine Engine Emission Standards (Tier 1 marine standards)” means the U.S. EPA marine engine Tier 1 emission standards, as promulgated by U.S. EPA and set forth in “Control of Emissions of Air Pollution from New Marine Compression-Ignition Engines at or Above 37 kW” (64 Federal Register (FR) 73299-73373, December 29, 1999)(40 CFR Part 94), both of which are incorporated herein by reference. The standards from 40 CFR Part 94 are summarized in Table 1.  In the event of a conflict between a Tier 1 marine standard in this section and its corresponding standard in 40 CFR Part 94, the standard in 40 CFR Part 94 controls. 

Table 1: U.S. EPA Tier 1 Marine Engine Emission Standards

	Power (kilowatt
	(kW)) & 
	Displacement 	Engine Speed
	(liters/cylinder 	(Revolutions per minute	Tier 1	PM 	NOx	CO
  Category	(l/cyl))	 (rpm))	Model Year	(g/bhp-hr)	(g/bhp-hr)*	(g/bhp-hr)
							
  1, 2, 3,  	> 37 kW & > 2.5	rpm > 2000	2004	-	7.3	-
 including	l/cyl	130 <UN-> rpm <2000	2004	-	33.57xrpm-0.2	-	
 Recreational 		rpm <130	2004	-	12.7	-
							
(40 CFR Part 94)

*converted emission standards from 40 CFR 94, which are expressed in grams per kilowatt-hour (g/kW-hr) to g/hp-hr by the following: 
g/kW-hr * (0.746) = g/hp-hr. 
(81) “Tier 2 Marine Engine Emission Standards (Tier 2 marine standards)” means the U.S. EPA marine engine Tier 2 emission standards, as promulgated by U.S. EPA and set forth in “Control of Emissions of Air Pollution from New Marine Compression-Ignition Engines at or Above 37 kW” (64 FR 73299-73373, December 29, 1999)(40 CFR Part 94), both of which are incorporated herein by reference. In the event of a conflict between a Tier 2 marine standard in this section and its corresponding standard in 40 CFR Part 94, the standard in 40 CFR Part 94 controls. 

Table 2: U.S. EPA Tier 2 Marine Engine Emission Standards for 
NOx + HC, PM, and CO

	Displacement (Disp.) 		NOx+HC	PM	CO       
Category	(liters/cylinder)	Date	(g/bhp-hr)* 	(g/bhp-hr)*	 (g/bhp-hr)*

	Disp.<0.9 and power >50hp*	2005	5.6	0.30	3.7
	0.9 <UN-> Disp. < 1.2	2004	5.4	0.22	3.7
1 	1.2 <UN-> Disp. < 2.5	2004	5.4	0.15	3.7	
	2.5 < Disp. < 5.0	2007	5.4	0.15	3.7

	5.0 <UN-> Disp.  < 15	2007	5.8	0.20	3.7
	15 <UN-> Disp. < 20
	(power < 4424 hp*)	2007	6.5	0.37	3.7
2	15 <UN-> Disp. < 20
	(power > 4424 hp*)	2007	7.3	0.37	3.7
	20 <UN-> Disp. < 25	2007	7.3	0.37	3.7
	25 <UN->  Disp. < 30	2007	8.2	0.37	3.7

(40 CFR Part 94) 

*converted emission standards and maximum power rating from 40 CFR 94, which are expressed in g/kW-hr and kW to g/hp-hr and hp, respectively, by the following: g/kW-hr (0.746) = g/hp-hr or kW (1.34) = hp
(82) “Tier 3 Marine Engine Emission Standards (Tier 3 marine standards)” means the U.S. EPA marine engine Tier 3 emission standards, as promulgated by U.S. EPA and set forth in “Final Rule: Control of Emissions of Air Pollution from Locomotive and Marine Compression-Ignition Engines Less Than 30 Liters Per Cylinder” (73 FR 25245 et seq., May 6, 2008) (40 CFR Part 1042), both of which are incorporated herein by reference. The standards from 40 CFR Part 1042 are summarized in Table 3, Table 4, and Table 5. In the event of a conflict between a Tier 3 marine standard in this section and its corresponding standard in 40 CFR Part 1042, the standard in 40 CFR Part 1042 controls. [Note: No Tier 3 marine standards apply for commercial Category 1 engines at or above 3700 kW. See “Tier 4 Marine Engine Emission Standards” for the standards that apply to these engines.] 

Table 3: U.S. EPA Tier 3 Marine Standards for Marine Diesel
Category 1 Commercial Standard Power Density Engines 
below 3700 kW 

		PM	NOx + HCd 	
Rated kW	L/Cylinder	g/bhp-hre	g/bhp- hre	Model Year
					
19 to < 75 kW 	<0.9a	0.22	5.6	2009
		0.22b	3.5b	2014
					
	<0.9	0.10	4.0	2012
	0.9-<1.2	0.09	4.0	2013
75 to <3700 kW 	1.2-<2.5	0.08c	4.2	2014
	2.5-<3.5	0.08c	4.2	2013
	3.5-< 7.0	0.08c	4.3	2012
					
(a) < 75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 75-3700 kW standards.

(b) Option: 0.15 g/bhp-hr PM / 4.3 g/bhp-hr NOx+HC in 2014.

(c) This standard level drops to 0.07 g/bhp-hr in 2018 for <600 kW engines
(d) Tier 3 NOx+HC standards do not apply to 2000-3700 kW engines. 

(e) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to g/hp-hr by the following: g/kW-hr (0.746) = g/hp-hr. 

Table 4: U.S. EPA Tier 3 Marine Standards for Marine Diesel
Category 1 Recreational and Commercial High Power Density 
Engines below 3700 kW

		PM	NOx + HC 	
Rated kW	L/Cylinder	g/bhp-hrc	g/bhp- hrc	Model Year
					
19 to < 75 kW 	<0.9a	0.22	5.6	2009
		0.22b	3.5b	2014
					
	<0.9	0.11	4.3	2012
	0.9-<1.2	0.10	4.3	2013
75 to <3700 kW 	1.2-<2.5	0.09	4.3	2014
	2.5-<3.5	0.09	4.3	2013
	3.5-< 7.0	0.08	4.3	2012
					
(a) < 75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 75-3700 kW standards.

(b) Option: 0.15 g/bhp-hr PM / 4.3 g/bhp-hr NOx+HC in 2014.

(c) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to g/bhp-hr by the following: g/kW-hr (0.746) = g/bhp-hr. 

Table 5: U.S. EPA Tier 3 Marine Standards for
Marine Diesel Category 2 Engines below 3700 kWa,b

		PM 	NOx+HC	
L/Cylinder	Rated kW	g/bhp- hrc	g/bhp- hrc	Model Year
					
7-<15	<2000	0.10	4.6	2013
	>2000	0.10	5.8	2013
					
15-<20a	<2000	0.25	5.2	2014
20-<25a	<2000	0.20	7.3	2014
25-<30a	<2000	0.20	8.2	2014
					
(a) No Tier 3 marine standards apply for Category 2 engines with per-cylinder displacement above 15.0 liters if maximum engine power is at or above 2000 kW. See “Tier 4 Marine Engine Emission Standards” for the standards that apply for these engines.
(b) For Category 2 engines at or above 1400 kW, optional Tier 3 and Tier 4 standards are available with some manufacturer restrictions, PM/NOx+HC at 0.10 / 5.8 g/bhp-hr in 2012, with Tier 4 standards in 2015.
(c) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to g/bhp-hr by the following: g/kW-hr * (0.746) = g/bhp-hr. 
(83) “Tier 4 Marine Engine Emission Standards (Tier 4 marine standards)” means the U.S. EPA marine engine Tier 4 emission standards, as promulgated by U.S. EPA and set forth in “Final Rule: Control of Emissions of Air Pollution from Locomotive and Marine Compression-Ignition Engines Less Than 30 Liters Per Cylinder” (73 FR 25245 et seq., May 6, 2008) (40 CFR Part 1042), both of which are incorporated herein by reference. Table 6 summarizes the Tier 4 marine standards from 40 CFR Part 1042. In the event of a conflict between a Tier 4 marine standard in this section and its corresponding standard in 40 CFR Part 1042, the marine standard in 40 CFR Part 1042 controls. 

Table 6: U.S. EPA Tier 4 Marine Standards for Marine Diesel
Category 1 and Category 2 Engines above 600 kW

		PM 	NOx 	HC 
Rated kW	L/Cylinder	g/bhp- hra	g/bhp- hra	g/bhp- hra	Model Year
						
	<15.0	0.09	1.3	0.14	2014b
	15.0 to
At or above 3700 kW	<30.0	0.19	1.3	0.14	2014b
	all	00.4	1.3	0.14	2016b
						
2000 to <3700kW	all	0.03d	1.3	0.14	2016b,c,d
1400 to <2000 kW	all	0.03	1.3	0.14	2014b,c
600 to <1400 kW	all	0.03	1.3	0.14	2017
						
(a) Converted emission standards from 40 CFR part 1042, which are expressed in g/kW-hr to g/bhp-hr by the following: g/KW-hr (0.746) = g/bhp-hr
(b) Optional compliance start dates may be used within these model years; see 40 CFR part 1042.
(c) For Category 2 engines at or above 1400 kW, optional Tier 3 and Tier 4 marine standards are available with some manufacturer restrictions, PM / NOx+HC at 0.10 / 5.8 g/bhp-hr in 2012, with Tier 4 marine standards in 2015. 
(d) The Tier 3 PM standards continue to apply for Category 1 and Category 2 engines with per-cylinder displacements below 15.0 liters in model years 2014 and 2015 only. For Category 2 engines with per-cylinder displacement at or above 15.0 liters, the PM standard is 0.25 g/bhp-hr for engines at or above 2000 kW and below 3300 kW, and 0.20 g/bhp-hr for engines at or above 3300 kW and below 3700 kW, in model years 2014 and 2015 only. 
(84) “Tier 1 Off-Road or Nonroad Emission Standards (Tier 1 off-road standards)” means an engine subject to the Tier 1 new engine emission standards in Title 13, CCR, Section 2423(b)(1)(A) or Title 40, CFR, Part 89.112(a) as they existed on April 27, 2010, both of which are incorporated herein by reference. This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 1 Family Emission Limits (FEL) listed in Title 13, CCR, Section 2423(b)(2)(A) or Title 40, CFR, Part 89.112(d), as they existed on April 27, 2010, both of which are incorporated herein by reference.
(85) “Tier 2 Off-Road or Nonroad Emission Standards (Tier 2 off-road standards)” means an engine subject to the Tier 2 new engine emission standards in Title 13, CCR, Section 2423(b)(1)(A) or Title 40, CFR, Part 89.112(a) as they existed on April 27, 2010, both of which are incorporated herein by reference. This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 2 FEL listed in Title 13, CCR, Section 2423(b)(2)(A) or Title 40, CFR, Part 89.112(d), as they existed on April 27, 2010, both of which are incorporated herein by reference.
(86) “Tier 3 Off-Road or Nonroad Emission Standards (Tier 3 off-road standards)” means an engine subject to the Tier 3 new engine emission standards in Title 13, CCR, Section 2423(b)(1)(A) or Title 40, CFR, Part 89.112(a), as they existed on April 27, 2010, both of which are incorporated herein by reference. This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 3 FEL listed in Title 13, CCR, Section 2423(b)(2)(A) or Title 40, CFR, Part 89.112(d), as they existed on April 27, 2010, both of which are incorporated herein by reference.
(87) “Final Tier 4 Off-Road or Nonroad Emission Standards” means an engine subject to the final after-treatment-based Tier 4 emission standards in Title 13, CCR, Section 2423(b)(1)(B) or Title 40, CFR, Part 1039.101, as they existed on April 27, 2010, both of which are incorporated herein by reference. This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 4 FEL listed in Title 13, CCR, Section 2423(b)(2)(B) or Title 40, CFR, Part 1039.101, as they existed on April 27, 2010, both of which are incorporated herein by reference.
(88) “Interim Tier 4 Off-Road or Nonroad Emission Standards” means an engine subject to the interim Tier 4 emission standards (also known as transitional) in Title 13, CCR, Section 2423(b)(1)(B) or Title 40, CFR, Part 1039.101, as they existed on April 27, 2010, both of which are incorporated herein by reference. This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 4 FEL listed in Title 13, CCR, Section 2423(b)(2)(B) or Title 40, CFR, Part 1039.101, as they existed on April 27, 2010, both of which are incorporated herein by reference.
(89) “Total Hydrocarbons (THC)” or “Hydrocarbons (HC)” means the total mass of open chain and cyclic hydrocarbon molecules.
(90) “Towboat” means any self-propelled vessel engaged in or intending to engage in the service of pulling, pushing, or hauling along side barges or other vessels, or any combination of pulling, pushing, or hauling along side barges or other vessels. 
(91) “Tugboat” means any self-propelled vessel engaged in, or intending to engage in, the service of pulling, pushing, maneuvering, berthing, or hauling along side other vessels, or any combination of pulling, pushing, maneuvering, berthing or hauling along side such vessels in harbors, over the open seas, or through rivers and canals. Tugboats generally can be divided into three groups: harbor or short-haul tugboats, ocean-going or long-haul tugboats, and barge tugboats. “Tugboat” is interchangeable with “towboat” and “push boat” when the vessel is used in conjunction with barges. 
(92) “Verification Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from Diesel Engines (Verification Procedure)” means the ARB regulatory procedure codified in title 13, CCR, commencing with section 2700, which is incorporated herein by reference, that engine manufacturers, sellers, owners, or operators may use to verify the reductions of diesel PM or NOx from in-use diesel engines through the use of a particular diesel emission control strategy.
(93) “Verified Diesel Emission Control Strategy (VDECS)” means an emission control strategy, designed primarily for the reduction of diesel PM emissions, which has been verified pursuant to the “Verification Procedure for In-Use Strategies to Control Emissions from Diesel Engines” in title 13, CCR, commencing with section 2700. VDECS can be verified to achieve Level 1 diesel PM reductions (25-49 percent), Level 2 diesel PM reductions (50-84 percent), or Level 3 diesel PM reductions (85 percent or greater). VDECS may also be verified to achieve NOx reductions.
(94) “Vessel” or “Marine Vessel” means any tugboat, tanker, freighter, passenger ship, barge, or other boat, ship, or watercraft, except those used primarily for recreation. 
(95) “Work Boat” means a self-propelled vessel that is used to perform duties such as fire/rescue, law enforcement, hydrographic surveys, spill/response, research, training, and construction (including drilling). 
(e) Fuel Use and Engine Emission Requirements.
[Note: The plain English narrative in this overview is intended as a convenient guide for the reader and in no way adds, deletes, modifies, or otherwise affects the legal requirements and substantive provisions specified in subsection (e) or any other part of this section. Subsection (e) sets forth the various fuel and emission requirements for harbor craft subject to this regulation, and can be broken down as follows:
· Subsection (e)(1) specifies low sulfur fuel use requirements that apply to all harbor craft, new and in-use. 
· Subsection (e)(2) specifies the requirement for installing hour-meters on all harbor craft, new and in-use. 
· Subsection (e)(3) establishes requirements that apply to transactions involving new engines to be installed on in-use vessels, including a limited 6-month “sell-through” provision for non-complying engines, and engine replacement in cases where a compliant engine meeting the required physical or performance characteristics is not available. 
· Subsection (e)(4) sets forth requirements that apply to newly acquired new harbor craft, including ferries. 
· Subsection (e)(5) sets forth requirements that apply only to newly acquired new ferries, above and beyond those established in subsection (e)(4). These provisions include requirements for applying Best Available Control Technology (BACT) to new ferries and their engines.
· Subsection (e)(6) is the key provision of this regulation, as it achieves emission reductions by requiring the eventual replacement or cleanup of engines in the fleet of in-use ferries, excursion vessels, tugboats, towboats, push boats, crew and supply vessels, and barge and dredge vessels. This subsection requires that owners and operators eventually replace or otherwise bring into compliance with the specified engine standards all of their pre-Tier 1 and Tier 1-certified engines in their in-use vessels by the dates shown in the specified compliance schedules. The compliance dates are designed to clean up the fleet's oldest and dirtiest engines first, while giving more time for relatively newer, Tier 1 engines to be upgraded or replaced. Vessels (ferries, excursion vessels, tugboats, and towboats) with their homeport in the SCAQMD have an accelerated compliance schedule to reflect that district's greater need for expedited emission reductions. The compliance schedules are grouped by vessel type, location of the vessel's homeport, the engine's model year, and the engine's annual hours of operation.
· Subsection (e)(6)(E) provides for a limited set of circumstances under which the E.O. may grant short extensions to the compliance dates if warranted.] 
(1) All Harbor Craft -- Low Sulfur Fuel Use Requirement.
Beginning January 1, 2009, a person subject to this section may only fuel a diesel engine on a harbor craft with one of the following:
(A) CARB diesel fuel; or
(B) an alternative diesel fuel as defined in subsection (d)(2); or
(C) any alternative diesel fuel that does not meet subsection (e)(1)(B) above but is certified by CARB as meeting the requirements of the Verification Procedure; or
(D) CARB diesel fuel used with fuel additives that meet the requirements of the Verification Procedure; or
(E) any combination of subsection (e)(1)(A) through (D) above; or
(F) if a harbor craft subject to this section is traveling from a port located outside of California, and that port does not have any fuels listed in subsections (e)(1)(A) through (E), that vessel's diesel engines can be fueled with either: U.S. EPA on-road diesel fuel meeting the specifications contained in 40 CFR §§80.500 et seq., as they existed on April 27, 2010, or U.S. EPA nonroad diesel fuel meeting the specifications contained in 40 CFR §80.29 as it existed on April 27, 2010, and 69 FR 38958 (June 29, 2004). The vessel owner or operator must retain records documenting the fuel purchase, the location and the name of the non-California port, and its lack of availability of fuels listed in subsections (e)(1)(A) through (E) on-board the vessel for a minimum of one year after the purchase of the fuel, and must make such records available upon the request of the Executive Officer.
(2) All Harbor Craft -- Installation and Use of Non-Resettable Hour Meters.
Beginning January 1, 2009, a person subject to this section may not operate a harbor craft without an installed and properly operating, non-resettable hour meter, which accurately measures the number of hours an engine operates. The hour meter must be installed on each diesel engine on the vessel in a manner that allows reasonable personnel access to the hour meter without impediment. 
(3) All In-Use Harbor Craft -- Requirements for Newly Acquired Engines.
Beginning January 1, 2009, a person subject to this section may not sell, purchase, offer for sale, lease, rent, import, or otherwise acquire a new or in-use diesel engine for an in-use harbor craft, which is intended to operate or actually operates in any of the Regulated California Waters, unless that engine on the date of acquisition:
(A) is certified to meet the Tier 2 or Tier 3 marine standards in effect on that date for a new engine of the same power rating and displacement. The newly acquired engine is not required to meet the Tier 4 marine standards unless it is replacing an engine on the in-use vessel that was certified as meeting Tier 4 marine standards. Engines certified to meet the Tier 2, Tier 3, or interim Tier 4 off-road standards in effect on the date of acquisition for a new engine of the same power rating and displacement may only be acquired for use as an auxiliary or propulsion engine on harbor craft if the engine or vessel manufacturer has complied with 40 CFR §1042.605 (Marinized land-based engines already certified to other standards for nonroad or heavy-duty highway engines for marine use), as it existed on April 27, 2010; or 
(B) is newly acquired within the allowable 6 month “sell-through” period, as set forth in this paragraph. For purposes of this paragraph only, the allowable sell-through period runs through 6 months after the date the Tier 2, Tier 3, or Tier 4 marine standards or Tier 3, interim Tier 4, or final Tier 4 off-road standards have come into effect for a new engine of the same power rating and displacement as the engine being replaced on the in-use vessel. Engines that are subsequently sold, supplied, offered for sale, or otherwise newly acquired after the 6 month sell-through period are subject to the requirements specified in paragraph (A) of this subsection, even if the engine was previously newly acquired within the 6 month sell-through period; or
(C) is replacing an engine that is non-functioning due to equipment failure, and the E.O. has determined, pursuant to the provisions of 40 CFR §1042.615 engine replacement exemption, as it existed on April 27, 2010, that no engine certified to the current standards is produced by any manufacturer with the appropriate physical or performance characteristics to repower the vessel. In such event, an alternate engine may be acquired for the replacement. Pursuant to 40 CFR §1042.615, a separate determination, addressing each tier of emission standards that is more stringent than the emission standards for the engine being replaced must be made. For example, if the engine being replaced was built before the Tier 2 standards applied, and engines of that size are currently subject to Tier 3 standards, a person must consider whether any Tier 2 or Tier 3 engines have the appropriate physical and performance characteristics for replacing the old engine. If a Tier 2 engine is determined to have the appropriate physical and performance characteristics, it may be selected as the replacement engine. Documentation of these determinations must be supplied to the E.O. and the E.O.'s determination must be obtained before an engine replacement is made pursuant to this provision. 
(4) All New Harbor Craft (Including All New Ferries) -- Requirements for Newly Acquired Vessels.
Beginning January 1, 2009, a person subject to this section may not sell, purchase, offer for sale, lease, rent, import, or otherwise acquire a new harbor craft for use in any of the Regulated California Waters unless each diesel propulsion and auxiliary engine on the vessel meets the applicable Tier 2, Tier 3, or Tier 4 marine standards in effect on the date of vessel acquisition. Auxiliary or propulsion engines meeting the applicable Tier 2, Tier 3, interim Tier 4, or final Tier 4 off-road standards in effect on the date of vessel acquisition may be sold, purchased, offered for sale, leased, rented, imported, or otherwise acquired for use if the engine or vessel manufacturer has complied with 40 CFR §1042.605 (Marinized land-based engines already certified to other standards for nonroad or heavy-duty highway engines for marine use), as it existed on April 27, 2010. Diesel propulsion engines in new ferries with a capacity to transport more than 75 passengers in Regulated California Waters must also meet the requirements specified in subsection (e)(5) below.
(5) Selected New Ferries Only -- Additional Requirements for All Newly Acquired Propulsion Engines.
(A) Beginning January 1, 2009, any person who owns or operates a new ferry with the capacity to transport 75 or more passengers and that is used in any of the Regulated California Waters must demonstrate that each diesel propulsion engine that is certified to either the Tier 2 or Tier 3 marine standards will be operated in conjunction with the use of Best Available Control Technology (BACT) as determined and pre- approved by the E.O. pursuant to this provision. 
(B) For purposes of this section, “BACT” is the diesel emission control strategy (DECS), whether verified or unverified pursuant to 13 CCR section 2700 et seq., that is determined by the E.O. as meeting all of the following criteria:
1. it provides or is expected to continuously provide the greatest reduction feasible of NOx or diesel PM when used with the ferry's propulsion diesel engine; 
2. the use of BACT does not result in an increase of 10 percent or more of any air pollutant, including NOx and diesel PM, relative to the engine's emissions of that air pollutant without the use of BACT; and
3. either the DECS manufacturer or an authorized dealer of the DECS determines or otherwise agrees with the E.O. that use of the DECS on or with the new ferry's propulsion engine(s) would not invalidate or otherwise adversely affect the propulsion engine's original warranty.
For purposes of this section, DECS may include, but is not limited to, exhaust treatment controls and the use of alternative fuels or fuel additives. 
(C) The E.O. shall determine the appropriate level of BACT and specify such BACT in an Executive Order granting such approval. Applications to comply with the requirements of paragraph (A)2 by using BACT must follow the application and review procedure set forth below:
1. Application Process. 
For all new ferries for which the keel is laid on or after January 1, 2009, the application for BACT approval must be submitted in writing to the E.O. for evaluation before the keel is laid. The BACT application must contain, at a minimum, the following information:
a. the applicant company's name, address, and contact information;
b. information specific to the harbor craft and engine(s) on which BACT will be used, including the vessel name and identification number(s); engine make, model, and serial numbers; and all other information that uniquely identify the engine; 
c. certification documentation, engineering calculations, emissions test data, or other information that establishes the diesel PM and NOx emissions of the engine in combination with the proposed BACT. Emissions and emission reduction estimates must include both diesel PM and NOx emissions and be expressed in grams per brake horsepower-hour (g/bhp-hr) unless otherwise specified by the E.O. Information submitted pursuant to this provision will be used as follows: 
i. The E.O. shall use the information to compare the emissions resulting from the proposed use of BACT with the emissions quantified in BACT determinations previously approved by the E.O.; 
ii. If there are no previous BACT determinations available for comparison, the E.O. shall use ARB staff's best engineering judgment to determine if the proposed BACT provides the greatest feasible reduction of diesel PM or NOx; and
iii. The E.O. may require the applicant to submit additional emissions data for other air pollutants if the E.O. believes that the proposed use of BACT may increase any air pollutant by 10 percent or more relative to the engine emissions without the proposed BACT; and
d. the proposed recordkeeping, reporting, monitoring, and testing procedures that the applicant plans to use to demonstrate continued effectiveness of the BACT.
2. E.O. Review and Final Decision-Making Process.
a. Within 15 days after receiving a BACT application, the E.O. shall notify the applicant whether the application is deemed sufficiently complete to proceed with further evaluation. If the application is deemed incomplete, the notification must identify the application's deficiencies. The E.O. shall have an additional 15-day period for reviewing each set of documents or information submitted in response to an incomplete determination. Nothing in this subsection prohibits the E.O. from requesting additional information from the applicant, during any part of the BACT application process, which the E.O. determines is necessary to evaluate the application.
b. Within 30 days of deeming an application complete, the E.O. shall take final action to either approve or deny a BACT application, and the E.O. shall notify the applicant accordingly. If the application is denied or modified, the E.O. shall state the reasons for the denial or modification in the notification. The E.O. shall specify all terms, conditions, and requirements the E.O. believes are necessary for the ferry engine and BACT to operate properly and reduce emissions of air pollutants consistent with this section. The reporting and recordkeeping requirements specific to the use of BACT must include, at a minimum:
i. hours of operation for the engine and BACT and fuel usage;
ii. usage of any alternative fuels, additives, agents, flow rates, and emission test results;
iii. maintenance procedures for the engine(s) and its BACT; and
iv. any other measurements or recordings specified by the E.O.
The E.O. shall make the approval/disapproval notification to the applicant and identification of the approved/disapproved BACT available to the public on ARB's internet site.
3. Post-Approval Vessel, Engine, and BACT Operation.
A person who owns or operates a new ferry with the capacity to transport 75 or more passengers and that is used in Regulated California Waters must maintain operating records and other information in the manner and form specified by the E.O. in the BACT approval and must submit to ARB upon request all records and reports created pursuant to this provision, which must be maintained and retained for ARB inspection a minimum of three years after the records or reports were created.
(6) In-Use Engines and Vessels -- Schedules for Meeting Tier 2 or Tier 3 Standards.
(A) For Pre-Tier 1- and Tier 1-Certified Engines on Ferries, Excursion Vessels, Tugboats, Towboats, Push Boats, Crew and Supply Vessels, and Barge and Dredge Vessels Only.
1. Applicability.
This subsection (e)(6) applies to any person who owns, operates, sells, purchases, offers for sale, leases, rents, imports, or otherwise acquires an in-use ferry, excursion vessel, tugboat, towboat, push boat, crew and supply vessel, or barge and dredge vessel (in-use regulated category vessel) with a pre-Tier 1- or Tier 1-certified marine or off-road engine operating in any one of the above regulated in-use vessel categories for:
a. a total of 300 hours per calendar year or more if operating in either ferry, excursion vessel, tugboat, towboat, push boat, or crew and supply vessel categories, or 
b. a total of 80 hours per calendar year if operating in either barge or dredge vessel categories
in Regulated California Waters. This subsection applies to all such engines on all such vessels. 
2. General Requirement.
a. After January 1, 2009, a person who owns, operates, sells, purchases, offers for sale, leases, rents, imports, or otherwise acquires an in-use ferry, excursion vessel, tugboat, towboat, or push boat with a pre-Tier 1- or Tier 1-certified marine or off-road engine and that operates in any of the above regulated in-use vessel categories may not own, operate, sell, purchase, offer for sale, lease, rent, import, or otherwise acquire an in-use engine, or a vessel with an in-use engine, unless that engine complies with at least one of the compliance methods set forth in subsection (e)(6)(C) by the applicable compliance date. The compliance methods set forth in subsection (e)(6)(C) involve either replacement of the in-use engine with a cleaner engine or demonstrating that the in-use engine already meets specified standards, as set forth below. 
b. After July 1, 2011, a person who owns, operates, sells, purchases, offers for sale, leases, rents, imports, or otherwise acquires an in-use crew and supply vessel, or barge and dredge vessel with a pre-Tier 1- or Tier 1-certified marine or off-road engine and that operates in any of the above regulated in-use vessel categories may not own, operate, sell, purchase, offer for sale, lease, rent, import, or otherwise acquire an in-use engine, or a vessel with an in-use engine, unless that engine complies with at least one of the compliance methods set forth in subsection (e)(6)(C) by the applicable compliance date. The compliance methods set forth in subsection (e)(6)(C) involve either replacement of the in-use engine with a cleaner engine or demonstrating that the in-use engine already meets specified standards, as set forth below. 
For purposes of this subsection, “applicable compliance date” is either the compliance date, as set forth in subsection (e)(6)(D) for the in-use engine, or the compliance date from subsection (e)(6)(D) for the in-use engine, as extended pursuant to subsection (e)(6)(E), whichever applies and occurs later.
(B) [Reserved for Future Use]
(C) Compliance Methods.
1. Method C1 -- Replacement of the in-use engine with a U.S. EPA certified marine or off-road Tier 2 engine or one with a higher certification level (e.g., Tier 3-certified).
A person may comply under this method by replacing the in-use engine with an engine certified to Tier 2 or Tier 3 marine or off-road engine emission standards as set forth in this paragraph. The replacement engine must meet the U.S. EPA Tier 2 or Tier 3 marine or off-road engine emission standards that would apply to a new engine, of the same size and configuration as the in-use engine, at the time of the applicable compliance date set forth in subsection (e)(6)(D). The replacement engine must meet the provisions of section 93118.5(e)(3). 
[Note: For example, if the applicable compliance date is January 1, 2010, and the Tier 2 marine or off-road emission standards would be in effect at that time for a new engine of the same size and configuration as the in-use engine, the replacement would need to meet Tier 2 marine or off-road emission standards. However, if the applicable compliance date is instead January 1, 2013, and the Tier 3 marine or off-road emission standards would be in effect for a new engine of the same size and configuration as the in-use engine, the replacement engine would need to meet Tier 3 marine or off-road emission standards.]
Once the in-use engine has been replaced with an engine that is U.S. EPA-certified to meet Tier 2 or Tier 3 marine or off-road emission standards, as set forth above, the engine is deemed to be in compliance with this subsection (e)(6) and no further replacements of this engine are required under this subsection. Tier 3-certified marine or off-road engines may be used as the replacement engine to comply with this paragraph, even if Tier 4-certified marine or off-road emission engines become available by the applicable compliance date;
2. Method C2 -- Demonstrate to the E.O.'s written satisfaction that the in-use engine already meets the Tier 2 marine standards or Tier 2 off-road standards for auxiliary or propulsion engines greater than 50 hp or less than 75 hp, or greater than 750 hp that apply or would apply to new engines on the date the Tier 2 marine or off-road standards became effective. 
a. A person may comply under this method by demonstrating to the E.O.'s written satisfaction that:
i. the in-use engine already meets the Tier 2 marine standards or Tier 2 off-road standards for engines greater than 50 hp or less than 75 hp, or greater than 750 hp,
ii. which apply to new engines of the same power rating and displacement as the in-use engine.
b. This compliance method is available only if the person makes the required demonstration before the date Tier 3 marine or off-road emission standards become effective for new engines of the same size and configuration as the in-use engine. The person may rebuild the in-use engine to a cleaner standard or implement a diesel emission control strategy to aid in meeting these standards. [Note: For example, if the Tier 3 marine or off-road emission standards would have become effective on January 1, 2015 for a new engine of the same size and configuration as the in-use engine, the person would need to provide the Tier 2-compliance demonstration to the E.O.'s written satisfaction by January 1, 2015.] 
c. For purposes of the demonstration, the person may, upon approval by the E.O., rely on any source of reliable and credible information, including but not limited to, any of the following:
i. the results from using the test method specified in section (j) or an alternative method approved by the E.O.;
ii. the in-use engine manufacturer's certification test data or other emissions test data for that in-use engine;
iii. emissions test data derived from another in-use engine that is configured and used in a substantially similar way to the in-use engine;
iv. emissions test data used to meet the regulatory requirements of ARB's Verification Procedure for the non-verified emission control strategy implemented; or
v. emissions test data used to meet the requirements for U.S. EPA certification for systems providing remanufacture to a cleaner standard. 
The E.O. may, in his/her sole discretion and based on good engineering judgment, exclude any information he/she determines is not reliable or credible.
3. Method C3 -- Demonstrate to the E.O.'s written satisfaction that the in-use engine already meets the Tier 2 or Tier 3 marine or Tier 2 or Tier 3 off-road emission standards for auxiliary or propulsion engines  in effect or would be in effect for new engines at the time of the applicable compliance date. 
a. A person may comply under this method by demonstrating to the E.O.'s written satisfaction that:
i. the in-use engine already meets the Tier 2 or Tier 3 marine or Tier 2 or Tier 3 off-road emission standards for auxiliary or propulsion engines,
ii. which apply to new engines of the same power rating and displacement as the in-use engine, 
iii. at the time of the applicable compliance date for the in-use engine.
b. To comply with this method, the person may demonstrate that the in-use engine meets the Tier 3 marine or off-road engine emission standards, even if Tier 4 marine or off-road engine emission standards come into effect by the applicable compliance date. The person may rebuild the in-use engine to a cleaner standard or implement a diesel emission control strategy to aid in meeting these standards. 
c. For purposes of the demonstration, the person may, upon E.O. approval, rely on any source of reliable and credible information, including but not limited to, any of the following:
i. the results from using the test method specified in section (j) or an alternative method approved by the E.O.; 
ii. the in-use engine manufacturer's certification test data or other emissions test data for that in-use engine;
iii. emissions test data derived from another in-use engine that is configured and used in a substantially similar way to the in-use engine;
iv. emissions test data used to meet the regulatory requirements of ARB's Verification Procedure for the non-verified emission control strategy implemented; or
v. emissions test data used to meet the requirements for U.S. EPA certification for systems providing remanufacture to a cleaner standard. 
The E.O. may, in his/her sole discretion and based on good engineering judgment, exclude any information he/she determines is not reliable or credible.
4. Method C4 -- Demonstrate to the E.O's written satisfaction that the in-use engine has not and will not operate 300 or more hours per calendar year in any of the regulated in-use vessel categories or 80 or more hours per calendar year in the barge or dredge vessel categories.
A person may comply under this method by demonstrating to the E.O.'s written satisfaction that the engine is a low-use engine. This compliance method requires the person to provide records to the E.O. of the engine's total annual hours of operation while operating in any of the regulated in-use vessel categories for the calendar year immediately preceding the demonstration. The person must also provide documentation sufficient for the E.O. to project future annual hours of operation for the engine. The person will be deemed in compliance with this method only if such records and documentation demonstrate to the E.O.'s written satisfaction that the in-use engine has not and will not operate 300 or more hours per calendar year in any of the regulated in-use vessel categories with the exception of the dredge or barge categories, or 80 or more hours per calendar year in either the dredge or barge categories.
(D) Compliance Dates.
Table 7, Table 8, Table 9, and Table 10 below set forth the compliance dates by which a person must meet the requirements of subsection (e)(6)(A). Table 7 applies only to engines on ferries, excursion vessels, tugboats, towboats, and push boats with a homeport outside of the SCAQMD; Table 8 applies only to engines on ferries, excursion vessels, tugboats, towboats, and push boats with a homeport within the SCAQMD; Table 9 applies only to engines on crew and supply vessels; and Table 10 applies only to engines on barge and dredge vessels. The compliance dates are set forth by engine model year and total annual hours of operation (for use in any regulated in-use vessel category) of the vessel in Regulated California Waters. For Table 7, Table 9, and Table 10, Method D1, D2, or D3 below may be used for determining the actual or effective engine model year. For Table 8, only Method D1 or D3 may be used for determining the actual or effective engine model year.
1. Method D1 -- the engine's actual model year of manufacture.
A person may determine an engine's compliance date under this method by using the engine's actual model year of manufacture, as documented by the sales contract, invoice, purchase order, or other legitimate proof of purchase for the engine. The actual model year of manufacture may also be shown on a label permanently affixed to the engine by the manufacturer. In the event of a conflict between the proof of purchase and the permanent label, the date of manufacture shown on the permanent label controls.
2. Method D2 -- the engine's effective model year based on the “Engine's Model Year + 5” method. 
A person may determine an engine's compliance date under this method by calculating the engine's effective model year as the actual model year, using Method D1 above, and adding to that number 5 more years. To use this method, the person must use a diesel emissions control strategy (DECS) with the engine, as set forth below:
a. Relative to the emissions without the use of the DECS, the engine with the DECS must be demonstrated to the E.O.'s written satisfaction as emitting at least 25 percent less diesel PM or NOx, and neither of those pollutants are increased by more than 10 percent. This requirement is met automatically if the DECS is a verified DECS (VDECS);
b. If the DECS is not a VDECS, the person must demonstrate compliance with this paragraph by submitting to the E.O. emissions data that demonstrate the non-verified emission control technology achieves a diesel PM or NOx emission reduction of 25 percent or better, using the test methods specified in subsection (j). Upon approval of the E.O., the person may submit data derived from the use of other test methods to demonstrate to the E.O.'s written satisfaction the required 25 percent minimum emission reductions, such as:
i. marine engine certification test data for the harbor craft propulsion or auxiliary engine, or engine manufacturer emissions test data;
ii. emissions test data derived from another engine that is configured and used in a substantially similar way to the in-use engine on which the emission control strategy is to be used; or
iii. emissions test data used to meet the regulatory requirements of the ARB Verification Procedure for the non-verified emission control strategy implemented.
The E.O. may, in his/her sole discretion and based on good engineering judgment, exclude any data derived from the test methods under paragraph b above that he/she determines are not reliable or credible.
A person's use of a DECS or VDECS, which meets the requirements of this provision, extends the engine's compliance date to the compliance date for a similar engine that is five model years newer (i.e., the actual model year for the engine with the emissions control strategy + 5). 
[Note: For example, the owner of a 1995 model year engine on a tugboat, which has a homeport outside of SCAQMD and operates in Regulated California Waters for 750 hours in 2013, would normally be required to meet a December 31, 2014 compliance date, as set forth in Table 7. However, if a DECS that meets the requirements of this provision is implemented with this engine prior to the 2014 nominal compliance date, the engine's actual compliance date would be extended to the compliance date for a 2000 model year engine (i.e., the effective model year = the 1995 model year + 5). Accordingly, in that scenario, the engine's effective model year would extend the compliance date to December 31, 2016];
3. Method D3 -- the engine's effective model year based on the “Engine's Tier 1 Rebuild Model Year” method.
A person may determine an engine's compliance date by demonstrating, to the E.O.'s written satisfaction, that the engine is an existing pre-2004 model year engine that was rebuilt to conform with U.S. EPA Tier 1 marine standards prior to January 1, 2008. If the E.O. is thus satisfied, the effective model year of the Tier 1 rebuilt engine, for purposes of determining the compliance date in Table 7, Table 8, Table 9, or Table 10, is the actual year in which the Tier 1 rebuild occurred.

Table 7: Compliance Dates for Engines on Ferries, Excursion Vessels, Tugboats, Towboats, and Push Boats with Homeports
Outside SCAQMD

		Total Annual Hours of 	Compliance 
	Engine Model Year	Operation	Date
				
	1975 and earlier	> 1500	12/31/2009
	1975 and earlier	>300 and <1500	12/31/2010
	1976-1985	> 1500	12/31/2011
	1976-1985	> 300 and <1500	12/31/2012
	1986-1995	>1500	12/31/2013
	1986-1995	> 300 and < 1500	12/31/2014 
	Ferries Only
	1996-1999	> 300	12/31/2014
	Vessels Other Than 
	Ferries	> 1500	12/31/2015
	1996-1999
	Vessels Other Than 
	Ferries	> 300 and <1500	12/31/2016
	1996-1999
	2000	> 1500	12/31/2015
	2000	> 300 and <1500	12/31/2016
	2001-2002	> 300	12/31/2017
	2003	> 300	12/31/2018
	2004	> 300	12/31/2019
	2005	> 300	12/31/2020
	2006	> 300	12/31/2021
	2007	> 300	12/31/2022

[Note: For example, if a 1982-model year diesel engine on a tugboat operating in Regulated California Waters is used for 750 hours in 2011, the owner or operator must bring the engine into compliance with the requirements of subsection (e)(6)(C) by December 31, 2012.].

Table 8: Compliance Dates for Engines on Ferries, Excursion Vessels, Tugboats, Towboats, and Push Boats with Homeports in SCAQMD

		Total Annual Hours of 	
	Engine Model Year	Operation	Compliance Date
				
	1979 and earlier	> 300	12/31/2009
	1980-1985	> 300	12/31/2010
	1986-1990	> 300	12/31/2011
	1991-1995	> 300	12/31/2012
	1996-2000	> 300	12/31/2013
	2001	> 300	12/31/2014
	2002	> 300	12/31/2015
	2003	> 300	12/31/2016
	2004	> 300	12/31/2017
	2005	> 300	12/31/2018
	2006	> 300	12/31/2019
	2007	> 300	12/31/2020

[Note: For example, if a 1982-model year diesel engine on a tugboat operating in Regulated California Waters is used for 300 or more hours in 2009, the owner or operator must bring the engine into compliance with the requirements of subsection (e)(6)(C) by December 31, 2010.].

Table 9: Compliance Dates for Engines on Crew and 
Supply Vessels Statewide 

		Total Annual Hours of 	
	Engine Model Year	Operation	Compliance Date
				
	1985 and earlier	> 1500	12/31/2011
	1985 and earlier	> 300 and < 1500	12/31/2012
	1986-1995	> 1500	12/31/2013
	1986-1995	> 300 and < 1500	12/31/2014
	1996-2000	> 1500	12/31/2015
	1996-2000	> 300 and < 1500	12/31/2016
	2001-2002	> 300	12/31/2017
	2003	> 300	12/31/2018
	2004	> 300	12/31/2019
	2005	> 300	12/31/2020
	2006	> 300	12/31/2021
	2007	> 300	12/31/2022

Table 10: Compliance Dates for pre-Tier 1 and Tier 1 Engines on Dredge and Barge Vessels Statewide

		Total Annual Hours of 	
	Engine Model Year	Operation	Compliance Date
				
	1975 and earlier	>80	12/31/2011
	1976-1980	>80	12/31/2012
	1981-1985	>80	12/31/2013
	1986-1990	>80	12/31/2014
	1991-1995	>80	12/31/2015
	1996-1999	>80	12/31/2016
	2000-2001	>80	12/31/2017
	2002	>80	12/31/2018
	2003	>80	12/31/2019
	2004	>80	12/31/2020
	2005	>80	12/31/2021
	2006	>80	12/31/2022
				
(E) Compliance Extensions.
Pursuant to this subsection (e)(6)(E), a person subject to the requirements of subsection (e)(6)(C) may request in writing to the E.O. an extension to a compliance date set forth in subsection (e)(6)(D) (i.e., extension to the “nominal” compliance date). The E.O. may grant the person an extension to the nominal compliance date for any one of the reasons set forth below. A person granted such an extension is deemed to be in compliance with the requirements of subsection (e)(6)(C) during the extension period, but only upon written authorization from the E.O. made pursuant to this provision and only until the end of the extension period. During the extension, the person must meet all other requirements of this section. Immediately upon the end of the extension period, the person must meet all the applicable requirements of this section, including but not limited to, subsection (e)(6)(C). 
Except as provided in paragraph (e)(6)(E)3 below, the E.O. may not combine compliance extensions granted pursuant to this provision with any other compliance date extensions, including those set forth in this provision and in subsection (e)(6)(D)2 and (D)3. And except as provided in paragraphs (e)(6)(E)2 and (e)(6)(E)3 below, under no circumstances may the E.O. grant more than one compliance extension for any individual engine, set of engines, or harbor craft. 
1. Change in Annual Hours of Operation. 
The E.O. may grant a one-time, maximum one year extension to the nominal compliance date set forth in subsection (e)(6)(D), provided the person demonstrates to the E.O.'s written satisfaction that the all of the following have occurred:
a. The person reasonably determined the vessel engine's nominal compliance date based on the engine's hours of operation two years before the nominal compliance date; and
b. In the year immediately prior to the nominal compliance date, the engine's annual hours of operation increased significantly from the prior year such that the engine's nominal compliance date would have been accelerated from one compliance date to an earlier compliance date.
[Note: For example, suppose an operator has a 1982-model year engine on a tugboat, which has a homeport outside of SCAQMD and operates for 750 hours in Regulated California Waters in 2010. If it is reasonable for the operator to assume the annual hours of operation in 2011 will be similar to 2010, the operator would project from Table 7 that the engine's compliance date is December 31, 2012, and would plan his operations accordingly. However, if the vessel engine's operation increased substantially to 1600 hours in 2011, the engine normally would then have its compliance date accelerated to December 31, 2011, according to Table 7. The one-year extension would, therefore, extend the engine's actual compliance date back to what it would have been without the change in hours of operation (i.e., back to December 31, 2012).]. 
2. No Suitable Engine Replacement for Harbor Craft. 
The E.O. may grant to a person a one year extension, which can be renewed annually, only if the person demonstrates to the E.O.'s written satisfaction that there is no suitable Tier 2 or Tier 3 marine or off-road-certified replacement engine available anywhere that can be used in the person's specific vessel, and the person cannot otherwise meet the requirements of subsection (e)(6)(C). 
The E.O., in his/her sole discretion, may use any information available to the E.O. to rebut the person's demonstration. For purposes of this paragraph, the E.O. may deem an engine as suitable to replace an existing engine if the replacement engine is similar in horsepower to the existing engine, the replacement engine can fit within the vessel's engine compartment, and installation of the replacement engine would not cause the vessel to violate U.S. Coast Guard or other applicable safety regulations. The E.O. may not consider the cost of the replacement engine, by itself or including installation and downtime costs, in determining its suitability as a replacement. 
The application for and issuance of an initial extension and subsequent extensions pursuant to this paragraph are subject to the following requirements:
a. For an initial extension and all subsequent annual extensions to be granted pursuant to this paragraph, the E.O. shall follow the same procedures for applying, determining completeness, allowing public review and considering public comments, taking final action, and publishing E.O. decisions that are set forth in subsection (f) for Alternative Control of Emissions (ACE) applications;
b. The E.O. shall consider all information submitted by the public, including but not limited to, information related to the availability of replacement engines suitable for the person's vessel;
c. Except for the engine(s) for which the extension is sought, the person must demonstrate that all other engines subject to the person's direct control meet the requirements of subsection (e)(6);
d. The person must submit the application for an extension so that it is received by the E.O. no later than 6 months before the nominal compliance date of the engine for which the extension is requested;
e. The person must identify in the application each engine for which the extension is requested;
f. For each engine identified in paragraph 2 above, the person must provide in the application a detailed description of the reasons and factors that serve as the basis for the claim that no suitable replacement engine is available. This description must include, at a minimum, detailed engineering diagrams, calculations, and citations to applicable U.S. Coast Guard regulations that support the person's claim that there are no suitable replacement engines available.
g. After the initial extension, the E.O. may grant additional one year extensions, provided the following requirements are met:
i. All procedures specified in paragraph (e)(6)(E)2.a and (e)(6)(E)2.b above are followed;
ii. The application for an additional extension demonstrates the engines identified in paragraph (e)(6)(E)2.c remain in compliance with this section;
iii. The application is received by the E.O. no sooner than 6 months but no later than 2 months before the expiration of the previous extension;
iv. The application identifies the engine(s) for which the additional extension is requested;
v. For each engine identified in paragraph (e)(6)(E)2.g.iv above, the person must provide in the application a detailed description of the reasons and factors that serve as the basis for the claim that suitable replacement engines remain unavailable. This description must include, at a minimum, detailed engineering diagrams, calculations, and citations to applicable U.S. Coast Guard regulations that support the person's claim that there are still no suitable replacement engines available.
3. Equipment Manufacturer Delays or Installation Difficulties. 
Upon written request, the E.O. may grant to a person a 6-month extension to the nominal compliance date set forth in subsection (e)(6)(D), provided all the following criteria are met:
a. the person ordered the new replacement engine or other equipment necessary to comply with the requirements of subsection (e)(6)(C) prior to the nominal compliance date set forth in subsection (e)(6)(D);
b. the purchase order identified in paragraph a above was placed with the manufacturer no later than 6 months before the engine's nominal compliance date;
c. the new engine or equipment has not been received or installed since it was ordered due to manufacturing delays or excessive difficulties encountered by the engine or equipment installer; and
d. the applicant for the extension provides documentation to the E.O.'s satisfaction that demonstrates the criteria in subparts a. through c. above have been met. The E.O. may, in his/her sole discretion, use any information available to rebut any of the documentation submitted pursuant to subparts a through c above. 

4. 	Multiple Engines on Multiple Vessels Within Same Fleet and With Same Compliance Dates. 
This provision applies only to fleets of 2 or more vessels that are owned by the same person. Upon written request, the E.O. may grant to the person an extension to the nominal compliance date(s) for engines on vessels within such fleets, as set forth below;
a. For each set of engines on two or more vessels or for each single engine in three or more vessels with compliance dates of 2009 or 2010 for ferries, excursion vessels, tugboats, towboats, and push boats and 2011 or 2012 for crew and supply vessels and barge and dredge vessels (a “set” means 2 or more engines), the E.O. may grant a one-time extension of the compliance date to December 31, 2013 for ferries, excursion vessels, tugboats, towboats, and push boats and to December 31, 2015 for crew and supply vessels and barge and dredge vessels, provided the E.O. receives and approves a compliance schedule from the person that meets the requirements set forth below:
i. The compliance schedule is received by the E.O. no later than December 31, 2009 for ferries, excursion vessels, tugboats, towboats, and push boats and prior to December 31, 2011 for crew and supply, barge, and dredge vessels;
ii. For each year, up to and including 2013 for ferries, excursion vessels, tugboats, towboats, and push boats and 2015 for crew and supply vessels and barge and dredge vessels, that the extension will be in effect, the compliance schedule must identify, at a minimum, the engines on specified vessels in the fleet that will meet the requirements of subsection (e)(6)(C) within any given year;
iii. The compliance schedule must show that all engines with compliance dates of 2009 or 2010 for ferries, excursion vessels, tugboats, towboats, and push boats and 2011 or 2012 for crew and supply vessels and barge and dredge vessels on the specified vessels in the fleet will be in compliance with subsection (e)(6)(C) by December 31, 2013 for ferries, excursion vessels, tugboats, towboats, and push boats and December 31, 2015 for crew and supply vessels and barge and dredge vessels. [Note: For example, an approvable plan may show that 25% of these engines on the specified vessels in a fleet will be in compliance in 2010, 50% in 2011, 75% in 2012, and 100% by December 31, 2013.]; and 
iv. The compliance schedule must include all other information the E.O. deems necessary and appropriate for implementing this provision.
b. For each set of engines on two or more vessels or each single engine on three or more vessels with a compliance date of 2011 or later for ferries, excursion vessels, tugboats, towboats, and push boats and 2013 or later for crew and supply vessels and barge and dredge vessels (a “set” means 2 or more engines), the E.O. may grant to a person a one-time, maximum one-year extension of the nominal compliance date. To receive an extension under this provision, the person must submit a written request to the E.O. that meets the following requirements:
i. The request must be received by the E.O. no later than December 31st of the year immediately preceding the nominal compliance date for the set of engines; and
ii. The request identifies the engines in each set of engines and the vessels in the person's fleet that are subject to the requested extension.
For all engines within a person's fleet that have not been granted an extension pursuant to paragraphs a or b above, the compliance dates for such engines remain as set forth in subsection (e)(6)(D). 
(F) Special Provisions Applicable to the Use of a Diesel Emission Control Strategy (DECS), including Verified Diesel Emission Control Strategies (VDECS).
The following requirements apply to any person's use of a DECS pursuant to subsections (e)(5) or (e)(6) and are in addition to any other applicable requirements: 
1. Once the DECS is installed or otherwise employed on a person's vessel, the person must continue to operate and maintain the DECS, in accordance with the manufacturer's directions, to achieve the original level of emission reductions that the DECS was designed and intended to achieve; 
2. In the event a DECS fails, breaks down, or is otherwise damaged (collectively referred to hereinafter as “fail” or “failure”), the vessel owner or operator must, within 90 days of the DECS failure, do at least one of the following:
a. repair the DECS to good working order; 
b. replace the failed DECS with another working DECS, if it cannot be repaired; or
c. employ another method that meets the requirements of subsection (e)(6)(C) and other applicable provisions of this section, if the DECS cannot be repaired.
3. The determination in subpart 2.b and 2.c above of whether a DECS cannot be repaired may only be made by either the DECS manufacturer or an authorized dealer. 
4. For each replacement DECS installed under subpart 2.b above, the person must provide to the E.O. the same documentation for the replacement DECS that was required for the DECS that failed, and the person must obtain the same E.O. approvals that were required with the failed DECS.
(f) Alternative Control of Emissions (ACE).
(1) Requirements.
(A) The purpose of this subsection is to allow a person (“person” or “applicant”) the option of complying with the requirements of this subsection in lieu of the requirements of subsection (e). As set forth in this subsection, a person may be deemed in compliance with subsection (e) by implementing an alternative emission control strategy(ies) (AECS) approved by the E.O. In no case may the E.O. approve an AECS that results in or has the potential to result in any increase of diesel PM and NOx emissions or any increase in emissions greater than 10 percent for any other pollutant, relative to the emissions of diesel PM, NOx, and other pollutants that would have occurred under compliance with subsection (e). 
(B) An applicant wishing to participate in an ACE may include one or more harbor craft in the ACE, but the applicant may only include harbor craft that the person owns or operates under the person's direct control. 
(C) No harbor craft may be included in more than one ACE plan.

(D) 	Harbor craft included in an ACE must continue to be included in and operated pursuant to the approved ACE for the duration of the ACE. 
(E) AECS may include, but are not limited to, any combination of the following:
1. engine modifications;
2. exhaust treatment control;
3. engine repower;
4. use of alternative fuels or fuel additives;
5. shore-side power;
6. fleet averaging; and
7. any other measures that sufficiently reduce emissions.
(F) A person complying under this provision must obtain E.O. approval of an ACE application that demonstrates compliance with this subsection and contains, at a minimum, the following information:
1. the company name, address, and contact information;
2. the harbor craft and engine(s) subject to the ACE, including the vessel name and identification number(s), engine make, model, and serial numbers, and other information that uniquely identify the engine;
3. documentation, calculations, emissions test data, or other information that establishes the diesel PM and NOx reductions, expressed in pounds, are equal to or greater than the emission reductions that would have been achieved upon compliance with subsection (e), including but not limited to the requirements specified in subsection (e)(6)(C) and (e)(6)(D); and
4. the proposed recordkeeping, reporting, monitoring, and testing procedures that the applicant will use to demonstrate continued compliance with the ACE.
(G) For each ACE, the emission reduction calculations demonstrating equivalence with the requirements of subsection (e) may include only those diesel PM and NOx emissions from harbor craft with its homeport within a single specified California air district, or another defined geographic area approved by the E.O.
(H) A person subject to an approved ACE must maintain operating records in the manner and form as specified by the E.O as an element of any approved ACE. Required records must include, at a minimum:
1. all the reporting and recordkeeping requirements specified in subsections (g) and (h);
2. maintenance procedures; and
3. emissions test results. 
A person subject to an approved ACE must retain records and reports on each vessel or at an office at the vessel's homeport for the lifetime of each engine and must submit these records and reports to the E.O. in the manner specified in the approved ACE or upon request by the E.O. 
(I) Emission reductions included in an ACE may not include reductions that are otherwise required by any local, State, or federal rule, regulation, or statute, or that are achieved or estimated from equipment not located in the region to which the ACE applies.

(J) 	A person subject to an approved ACE may not operate any harbor craft under the ACE unless the person has first been notified in writing by the E.O. of the ACE's approval. Prior to such approval, the applicant must comply with the provisions of this section, including the requirements in subsection (e)(6)(C) and (e)(6)(D).
(2) Application Process.
(A) Applications for an ACE must be submitted in writing to the Executive Officer for evaluation by February 28 of the first year that vessel engine compliance is required. 
(B) The E.O. shall establish an internet site (“ACE internet site”) in which all documents pertaining to an ACE application shall be made available for public review. The E.O. shall also provide a copy of all such documents to each person who has requested copies of the documents; these persons shall be treated as interested parties. The E.O. shall provide two separate public comment periods during the ACE application process, as specified in subsection (f)(2)(D) and (f)(2)(E).
(C) Completeness Determination.
Within 15 days after receiving an ACE application, the E.O. shall notify an applicant whether the application is deemed sufficiently complete to proceed with further evaluation. If the application is deemed incomplete, the notification shall identify the application's deficiencies. The E.O. shall have an additional 15-day period for reviewing each set of documents or information submitted in response to an incomplete determination. Nothing in this subsection prohibits the E.O. from requesting additional information from the applicant, during any part of the ACE application process, which the E.O. determines is necessary to evaluate the application.
(D) Notice of Completeness and 30-Day First Public Comment Period.
After an ACE application has been deemed complete, the E.O. shall provide a 30-day public comment period to receive comments on any element of the ACE application and whether the E.O. should approve or disapprove the ACE application based on the contents and merits of the application. The E.O. shall notify all interested parties of the following:
1. the applicant(s);
2. the start and end dates for the 30-day first comment period; and
3. the address of the ACE internet site where the application is posted.
The E.O. shall also make this notification available for public review on the ACE internet site.
(E) Proposed Action and 15-Day Second Public Comment Period.
Within 30 days after the first public comment period ends, the E.O. shall notify the applicant and all interested parties of ARB's proposed approval or disapproval. This notification shall propose to approve the application as submitted, disapprove the application, or approve the ACE application with modifications as deemed necessary by the E.O. The notification shall identify the start and end dates for the 15-day second public comment period.
During the second public comment period, any person may comment on the E.O.'s proposed approval or disapproval of the ACE application and any element of the application. The E.O. shall also make this notification available for public review on the ACE internet site.
(F) Final Action.
Within 15 days after the second public comment period ends, the E.O. shall take final action to either approve or deny an ACE application and shall notify the applicant accordingly. If the application is denied or modified, the E.O. shall state the reasons for the denial or modification in the notification. The notification to the applicant and approved ACE plan, if applicable, shall be made available to the public on the ACE internet site. In addition, the E.O. shall consider and address all comments received during the first and second public comment periods, and provide responses to each comment on the ACE internet site.
(G) Renewal of an Approved ACE. 
An applicant may apply for renewal of an approved ACE by forwarding the E.O. updated information for all elements of the approved ACE for review and re-approval. The applicant must submit the renewal application so that the E.O. receives the application no later than 30 days prior to the end of the ACE compliance period. 
(H) Notification to the E.O. of Changes to an Approved ACE.
A person with an approved ACE must notify the E.O. in writing within 30 days upon learning of any information that would alter the emissions estimates submitted during any part of the ACE application process. If the E.O. has reason to believe that an approved ACE has been granted to a person that no longer meets the criteria for an ACE, the E.O. may, pursuant to subsection (f)(3) below, modify or revoke the ACE as necessary to assure that the applicant and subject vessel(s) meet the emission reduction requirements in this section. 
(3) Revocation or Modification of Approved ACEs.
With 30 days of notice of violation to the ACE holder, the E.O. may revoke or modify, as needed, an approved ACE if any of the following apply:

(A) 	there have been multiple violations of the ACE provisions or the requirements of the approved ACE plan;
(B) the E.O. has reason to believe that an approved ACE has been granted that no longer meets the criteria or requirements for an ACE; or
(C) the person can no longer comply with the requirements of the approved ACE in its current form. 
Public notification of a revocation or modification of an approved ACE shall be made available on the ACE internet site.
(g) Recordkeeping Requirements.
Beginning January 1, 2009, the owner or operator of a harbor craft must maintain the records specified in this subsection on the vessel or at the vessel's homeport for the life of each engine subject to this section, including fleet swing engines and marinized land-based engines. The owner or operator must provide such records for inspection to an agent or employee of ARB upon request for all harbor craft subject to this section. Records may be provided as a hard copy, electronic, or any alternative reporting strategy approved by the E.O. Records provided by the person under this provision must include, at a minimum, the following:
(1) Owner or Operator Contact Information:
(A) Company name;
(B) Contact name, phone and fax number, address, e-mail address;
(C) Address where vessel is registered; and
(D) Reporting year.
(2) Vessel information:
(A) Harbor craft name;
(B) Specify vessel use(s) (ferry, excursion vessel, tugboat, ocean-going tugboat, towboat, push boat, work boat, commercial fishing vessel, charter fishing vessel, crew and supply vessel, pilot vessel, or other if none of the preceding apply); 
(C) Vessel homeport;
(D) Vessel build year;
(E) U.S. Coast Guard documentation number;
(F) California Fish and Game license number;
(G) International Maritime Organization (IMO) number;
(H) Call Sign number; and
(I) Maritime Mobile Service identity number.
(3) Engine Information (for each diesel engine on the vessel, including swing engines):
(A) Current hour meter reading;
(B) Make of engine;
(C) Model of engine;
(D) Engine family (if applicable);
(E) Engine serial number;
(F) Year of manufacture of engine (if unable to determine, provide its approximate age);
(G) Rated brake horsepower;
(H) Total engine displacement; and
(I) Number of cylinders.
(4) Operational Information:
(A) Describe the general use of engine (propulsion or auxiliary engine);
(B) Total annual hours of operation, based upon readings of the non-resettable hour meters for previous calendar year per engine (for engines without an hour meter before 2009, provide an estimate); 
(C) Total hours of operation per calendar year in each of the regulated in-use vessel categories, based upon readings of the non-resettable hour meters for previous calendar year per engine;
(D) Estimated annual fuel usage per engine; and
(E) Estimated percent operating time as a function of distance from shore at the distances below: 
1. 0-3 nautical miles; and
2. >3-24 nautical miles; and
3. >24 nautical miles from shore.
(5) Control Equipment (if applicable):
(A) Type of diesel emission control strategy;
(B) Manufacturer of installed diesel emission control strategy;
(C) Model of installed diesel emission control strategy;
(D) Level of control -- air pollutants controlled and percent reductions;
(E) Emission control serial number; and
(F) Date control equipment installed. 
(6) Maintenance records for each installed engine and diesel emission control strategy:
(A) Hour meter reading at last top end rebuild (i.e., less than full rebuild); 
(B) Hour meter reading at last full engine rebuild; and 
(C) Number of times full engine rebuild completed. 
(7) The retirement date for each near-retirement vessel for which an owner or operator is claiming an exemption pursuant to subsection (c)(13).
(8) For each engine for which the model year is determined using the “Engine's Model Year + 5” method pursuant to subsection (e)(6)(D)(2):
(A) the name and contact information (representative, address, and phone number) for the manufacturer of the emission control strategy;
(B) the name and type of emission control strategy; 
(C) the installation date of the emission control strategy; and,
(D) if a VDECS is not being used for this purpose, the test plan, and the data demonstrating the emission reductions achieved due to the emission control strategy. 
(9) For each engine for which an owner or operator is claiming an extension pursuant to subsection (e)(6)(E)(3), the purchase order or signed contract between the owner or operator and seller of the new engine or equipment that has been purchased to comply with subsection (e)(6)(C) and (e)(6)(D).
(10) For each engine an owner or operator claims to have replaced, for purposes of compliance with the requirements of (e)(6), written documentation that the engine has been: dismantled, destroyed, or sold out of state. Alternately, the engine may be used to replace an older engine if: 
(A) The older engine is subject to the in-use engine requirements, and
(B) the original compliance date of the older engine is retained for the newer engine. 
(11) Records for each engine must be retained by the owner or operator for the entire engine life. 
(12) All records specific to an E.O. approved ACE plan. 
(13) All records specific to a BACT approved by the E.O. pursuant to subsection (e)(5). 
(h) Initial and Compliance Plan Reporting Requirements.
(1) Initial Reporting of California Harbor Craft Fleet. By February 28, 2009, a person subject to this section must submit the information specified in subsections (g)(1) through (g)(6) for all harbor craft vessels in his/her California fleet. For purposes of this paragraph, “California fleet” means the total population of harbor craft under the person's direct control as of January 1, 2009. 
(2) Compliance Plan. By February 28 of the year vessel engine compliance is required, a person subject to the requirements of subsection (e)(6)(C) and (e)(6)(D) must submit a Compliance Plan to the E.O. that describes in detail the engine replacements, rebuilds, upgrades, use of DECS, and any other measures the person plans to use to meet the requirements of subsection (e)(6)(C) and (e)(6)(D) for each of the person's engines and harbor craft. The person may revise the Compliance Plan, as needed, but the person must notify the E.O. within 10 business days of any changes to the Compliance Plan after the initial Compliance Plan is submitted. The Compliance Plan is for the E.O.'s informational and planning use only, and the substantive contents of the plan are not binding on either the E.O. or the person who submitted the Compliance Plan. The E.O.'s receipt and acceptance of a submitted Compliance Plan shall not constitute or be interpreted as evidence of compliance with the requirements of subsection (e)(6)(C) or (e)(6)(D).
(3) Demonstration of Compliance. By no later than the applicable compliance date specified in subsection (e)(6)(D), a person subject to the requirements of subsection (e) must provide the following information to the E.O.: 
(A) All information specified in subsections (g)(1) through (g)(6), and
(B) The implementation date and the emission control strategy implemented for each engine in accordance with the requirements of subsection (e)(6)(D) and (e)(6)(C), respectively, for purposes of demonstrating compliance.
(4) Reporting for Change of Annual Hours of Operation, Vessel Category/Use, Transfers of Vessels, Change of Ownership of Vessel or Engine, or Vessel Operation in Regulated California Waters. 
(A) A person subject to this section must submit to the E.O. the information specified in subsection (g)(1) through (g)(6) within 30 days of a significant change of annual hours of operation (i.e., enough to change the engine's compliance date), vessel category/use, purchase, lease, rental, or change of ownership of the vessel or engine. In the case of a purchase, lease, rental, or change in ownership, the party in control or possession of the engine or vessel after the transaction is responsible for meeting the requirements of this paragraph; 
(B) A person subject to this section must submit to the E.O. the information specified in subsection (g)(1) through (g)(6) within 30 days of the initial operation of a vessel brought into Regulated California Waters;
(C) Within 90 days of a significant change of annual hours of operation, vessel category/use, purchase, lease, rental, change of ownership, or initial operation of a vessel brought into Regulated California Waters, or by the earliest applicable compliance date specified in subsection (e)(6)(D), whichever is later, a person subject to subsection (e)(6) shall submit a new Compliance Plan with the updated information pursuant to the Compliance Plan requirements specified in paragraph 2 above. 
(i) Violations.
(1) A person who is subject to this section and commits a violation of any provision, standard, criteria, or requirement in this section is subject to the penalties, injunctive relief, and other remedies specified in H&S section 42400 et seq.; H&S section 42402 et seq.; other applicable sections in the Health and Safety Code; and other applicable provisions as provided under California law for each violation. Nothing in this section shall be construed to limit or otherwise affect any applicable penalties or other remedies available under federal law.
(2) Any failure to meet any provision, standard, criteria, or requirement in this section, including but not limited to the applicable emission limits; recordkeeping requirements; and ACE provision, including the requirements of any approved ACE plans, shall constitute a single, separate violation of this section for each hour that a person operates a vessel within the Regulated California Waters until such provision, standard, criteria, or requirement has been met.
(3) A person who is subject to this section is liable for meeting the requirements of this section, notwithstanding any contractual arrangement that person may have with any third-parties.
(j) Methods to Demonstrate Compliance with Engine and Fuel Standards.
(1) Diesel PM, NOx, NO, CO, HC, NMHC, and CO2 testing must be done in accordance with the applicable method specified in the following procedures: International Organization for Standardization (ISO) 8178-2: 1996(E) (“ISO 8178 Part 2”); (2) ISO 8178-4: 1996(E) (“ISO 8178 Part 4”); and applicable methods and procedures specified in 40 CFR Part 94 (as amended in 2007), all of which are incorporated herein by reference, or 40 CFR Part 1042 for marine engines or in 40 CFR Part 89 or 40 CFR Part 1039 for nonroad (off-road) engines, as those Parts existed on April 27, 2010. Each of the procedures specified in this subsection is incorporated by reference herein.
(2) The E.O. may approve in writing any alternative test method not specified in paragraph (1) above that the method's proponent has demonstrated to the E.O.'s satisfaction provides equivalent or better results to the methods in paragraph (1). 
(k) Right of Entry.
An agent or employee of the ARB has the right of entry to board any harbor craft for the purpose of inspecting propulsion and auxiliary engines, emission control strategies, fuel systems, and fuel storage; collecting fuel sample(s) not to exceed one liter per fuel tank; and acquiring and inspecting records required pursuant to this section.
(l) Severability.
If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion of this regulation is, for any reason, held invalid, unconstitutional, or unenforceable by any court of competent jurisdiction, such portion shall be deemed as a separate, distinct, and independent provision, and such holding shall not affect the validity of the remaining portions of the regulation.
(m) Submittal of Documents.
(1) All documents required under this regulation must be submitted to the Executive Officer as follows:

CALIFORNIA AIR RESOURCES BOARD
STATIONARY SOURCE DIVISION 
EMISSIONS ASSESSMENT BRANCH
CONTROL STRATEGIES SECTION, HARBOR CRAFT
P.O. BOX 2815
SACRAMENTO, CALIFORNIA 95812-2815
(2) Electronic submittals of information associated with compliance with this section may be approved by the E.O. upon request, provided such electronic submittals use digital signatures that meet the requirements specified in Government Code section 16.5. The E.O. may request the submittal of a hard copy of any electronic submittal. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39666, 41510, 41511, 43013 and 43018, Health and Safety Code.
HISTORY

1. New section filed 10-20-2008; operative 11-19-2008 (Register 2008, No. 43).
2. Amendment of section and Note filed 6-20-2011; operative 7-20-2011 (Register 2011, No. 25).
§93119. Airborne Toxic Control Measure Limiting Onboard Incineration on Cruise Ships and Oceangoing Ships.
Note     •     History

(a) Purpose. 
The purpose of this control measure is to reduce emissions of toxic air contaminants from the use of incinerators aboard cruise ships and oceangoing ships. Specifically, this regulation prohibits cruise ships and oceangoing ships from conducting onboard incineration while operating within three miles of the California coast. This control measure is expected to reduce exposure to toxic air contaminants for residents living near ports and along the California coast.
(b) Applicability. 
This section applies to any person who owns or operates a cruise ship, as defined in subsection (c)(2), including foreign flagged cruise ships. This section also applies to any person who owns or operates an oceangoing ship as defined in subsection (c)(5), including foreign flagged oceangoing ships.
(c) Definitions. For the purposes of this section, the following definitions apply:
(1) “Calling on California ports or places” means bound for or leaving a port or terminal located in California.
(2) “Cruise ship” means a commercial vessel which has berths or overnight accommodations for passengers and which has the capacity to carry 250 or more passengers for hire, calling on California ports or places. Cruise ship does not include an oceangoing ship, noncommercial vessels, warships, vessels operated by nonprofit entities as determined by the Internal Revenue Service, and vessels operated by the State of California, the United States, or a foreign government.
(3) “Executive Officer of the Air Resources Board” means the executive officer of the California Air Resources Board or his or her delegate.
(4) “Incinerator” means any device used to conduct onboard incineration.
(5) “Oceangoing Ship” means a private, commercial, government, or military vessel of 300 gross registered tons or more calling on California ports or places. An oceangoing ship does not include a cruise ship.
(6) “Onboard incineration” means the combustion or burning of any materials or wastes for the purpose of volume reduction, destruction, sanitation, or sterilization, aboard a cruise ship or oceangoing ship. Onboard incineration does not include incinerators which are only burning fuels including, but not limited to, natural gas, gas oil, marine gas oil, marine diesel fuel, fuel oil, or residual fuel oil for the specific purpose of maintaining a minimum temperature in the incinerator to minimize thermal cycling.
(7) “Owner or Operator” means a person who owns or operates a cruise ship or oceangoing ship.
(8) “Person” shall have the same meaning as defined in Health and Safety Code section 39047.
(9) “Within three miles of the California coast” means between the California coast and the Three Nautical Mile Line as shown on the following National Oceanic and Atmospheric Administration (NOAA)  Nautical Charts as authored by the NOAA Office of Coast Survey, which are incorporated herein by reference:
(A) Chart 18600, Trinidad Head to Cape Blanco (January 2002);
(B) Chart 18620, Point Arena to Trinidad Head (June 2002);
(C) Chart 18640, San Francisco to Point Arena (August 2005);
(D) Chart 18680, Point Sur to San Francisco (June 2005);
(E) Chart 18700, Point Conception to Point Sur (July 2003);
(F) Chart 18720, Point Dume to Purisima Point (August 2008); and
(G) Chart 18740, San Diego to Santa Rosa Island (March 2007).
(d) Requirements.
(1) Notwithstanding sections 93104 and 93113 of title 17, California Code of Regulations, no cruise ship or oceangoing ship owner or operator, agent, representative, or employee shall conduct onboard incineration within three miles of the California coast, except when required to be operated under the direction or supervision of the United States Coast Guard. 
(2) Recordkeeping and Reporting Requirements.
(A) Recordkeeping Requirements.
1. Owners or operators of cruise ships or oceangoing ships subject to the requirements of this section shall record the following information while the incinerator is operating within three miles of the California coast:
a. The date and time of start and stop of incineration (in local time);
b. The position of the ship in latitude and longitude for each start and stop time of incineration;
c. The estimated amount incinerated in cubic meters (m3);
d. The name or signature of officer in charge of the operation; and
e. When operation of the incinerator is required by the United States Coast Guard, the name, unit, and phone number of United States Coast Guard personnel who directed that the incinerator be operated. 
2. Records shall be maintained in English and shall be kept and maintained onboard the respective cruise ship or oceangoing ship for two years.
3. During an onboard inspection, records shall be made available to Air Resources Board personnel, or their delegates.
(B) Reporting Requirements
1. Owners or operators of cruise ships and oceangoing ships that are subject to this section, shall, upon written request by the Executive Officer of the Air Resources Board, provide copies of the records as specified in subsection (d)(2)(A) within 30 calendar days of the request.
2. During an onboard inspection, owners or operators of cruise ships and oceangoing ships, that are subject to this section, except those owned or operated by a military agency, shall provide ARB personnel or their delegates the following written incineration records as required by the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978, and as implemented by the United States Coast Guard regulations title 33, Code of Federal Regulations, section 151.55, for all incineration occurring within 24 nautical miles of the California coast. 
a. The date and time of incineration (start and stop) (in local time); 
b. The position of the ship in latitude and longitude for each start and stop time of incineration; 
c. The estimated amount incinerated in cubic meters (m3); and 
d. The signature of officer in charge of the operation. 
3. Owners or operators of cruise ships and oceangoing ships, that are subject to this section, except those owned or operated by a military agency shall, upon written request by the Executive Officer of the Air Resources Board provide copies of the records as specified in subsection (d)(2)(B)2a-d within 30 calendar days of the request. 
(e) Updates to NOAA Charts. 
The Executive Officer shall publish in the California Regulatory Notice Register, send an electronic notice out to all subscribers of the oceangoing ship incineration list serve, post to the oceangoing ship incineration website located at http://www.arb.ca.gov/ports/shipincin/ shipincin.htm, and notify potentially affected cruise ship owners or operators, regarding revisions to subsection (c)(9) with regard to Nautical Charts updated by NOAA, at least 30 days before the updates take effect in the following situations:
(1) The Executive Officer may revise subsection (c)(9) when there is a change in the chart number or name; or
(2) The Executive Officer may revise subsection (c)(9) when NOAA revises the Three Nautical Mile Line, as shown on the respective charts.
(f) Severability. 
Each part of this section shall be deemed severable, and in the event that any part of this section is held to be invalid, the remainder of this section shall continue in full force and effect.
NOTE

Authority cited: Sections 39516, 39600, 39601, 39631, 39650, 39656, 39658, 39659 and 39666, Health and Safety Code. Reference: Sections 39630, 39631, 39632, 39650, 39656, 39659, 39666, 41510 and 41700, Health and Safety Code.
HISTORY

1. New section filed 4-20-2006; operative 5-20-2006 (Register 2006, No. 16).
2. Amendment of section heading, section and Note filed 10-29-2007; operative 11-28-2007 (Register 2007, No. 44).
3. Editorial correction restoring subsection hierarchy (Register 2008, No. 14).
4. Change without regulatory effect amending subsection (c)(9)(G) filed 4-2-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 14).
5. Change without regulatory effect amending subsection (c)(9)(F) filed 3-11-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 11).
§93120. Airborne Toxic Control Measure to Reduce Formaldehyde Emissions from Composite Wood Products.
Note     •     History

(a) The Airborne Toxic Control Measure to Reduce Formaldehyde Emissions from Composite Wood Products is contained in sections 93120 through 93120.12.
(b) Purpose. The purpose of this airborne toxic control measure is to reduce formaldehyde emissions from composite wood products, and finished goods that contain composite wood products, that are sold, offered for sale, supplied, used, or manufactured for sale in California. The composite wood products covered by this regulation are hardwood plywood, particleboard, and medium density fiberboard. 
(c) Applicability. This airborne toxic control measure applies to:
(1) Manufacturers of hardwood plywood, particleboard, and medium density fiberboard that manufacture, sell, offer for sale, or supply these products for use in California; 
(2) Distributors of hardwood plywood, particleboard, medium density fiberboard, and finished goods that contain composite wood products, that sell, offer for sale, or supply these products or goods for use in California;
(3) Importers of hardwood plywood, particleboard, and medium density fiberboard, and finished goods that contain composite wood products, that sell, offer for sale, or supply these products or goods for use in California;
(4) Fabricators that use hardwood plywood, particleboard, and medium density fiberboard to make other goods that are sold, offered for sale, or supplied for use in California; 
(5) Retailers of hardwood plywood, particleboard, medium density fiberboard, and finished goods that contain composite wood products, that sell, offer for sale, or supply these products or goods for use in California; and 
(6) Third party certifiers as defined in title 17, California Code of Regulations, section 93120.1.
(d) This airborne toxic control measure does not apply to hardwood plywood, particleboard, medium density fiberboard, and finished goods that contain composite wood products that are manufactured, distributed, fabricated, imported, sold, offered for sale, or supplied for shipment and use outside of California.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.1. 1 Definitions.
Note     •     History

(a) For the purposes of this Airborne Toxic Control Measure, the following definitions shall apply:
(1) “ANSI” means the American National Standards Institute. 
(2) “ARB” means the California Air Resources Board.
(3) “ASTM” means the American Society for Testing and Materials.
(4) “Batch” means the amount of composite wood product manufactured during a shift (8 or 12 hours, plus or minus one hour of production).
(5) “Combination core” means a platform for making hardwood plywood that consists of a combination of layers of veneer and particleboard or medium density fiberboard.
(6) “Component part” means a fabricated part that contains one or more composite wood products and is used in the assembly of finished goods.
(7) “Composite core” means a platform for making hardwood plywood or laminated products that consists of particleboard and/or medium density fiberboard, or combination core. 
(8) “Composite wood products” means hardwood plywood, particleboard, and medium density fiberboard. “Composite wood products” does not include hardboard, structural plywood as specified in the “Voluntary Product Standard -- Structural Plywood” (PS 1-07), structural panels as specified in the “Voluntary Product Standard -- Performance Standard for Wood-Based Structural-Use Panels” (PS 2-04), structural composite lumber as specified in “Standard Specification for Evaluation of Structural Composite Lumber Products” (ASTM D 5456-06), oriented strand board, glued laminated timber as specified in “Structural Glued Laminated Timber” (ANSI A190.1-2002), prefabricated wood I-joists as specified in “Standard Specification for Establishing and Monitoring Structural Capacities of Prefabricated Wood I-Joists” (ASTM D 5055-05), finger-jointed lumber, or “composite wood products” used inside of new vehicles as defined in section 430 of the California Vehicle Code (excluding recreational vehicles), rail cars, boats, aerospace craft, or aircraft.
(9) “Distributor” means any person to whom a composite wood product or finished good is sold or supplied for the purposes of resale or distribution in commerce, except that manufacturers and retailers are not “distributors.”
(10) “Door” means a finished good used to close off a room, closet, or entrance. A “door” moves on hinges, slides or rotates, and consists of a movable panel or combination of panels, and may include component parts.
(11) “Executive Officer” means the “Executive Officer” of the California Air Resources Board, or his or her delegate.
(12) “Fabricator” means any person that uses composite wood products to make finished goods. “Fabricator” includes producers of laminated products.
(13) “Facility” means any site where composite wood products or finished goods are manufactured, tested, used, supplied or offered for sale, or sold in California. “Facility” includes, but is not limited to, manufacturing plants, testing laboratories, distribution centers, fabricator shops, warehouses, and retail stores.
(14) “Fiber” means the slender threadlike elements of wood or similar cellulosic material, which can be separated by chemical and/or mechanical means, such as pulping, and can be formed into panels.
(15) “Finished goods” means any good or product, other than a panel, containing hardwood plywood, particleboard, or medium density fiberboard. Component parts are not “finished goods,” although they are used in the assembly of finished goods. “Finished goods” do not include used goods such as antiques or second-hand furniture. For the purposes of this subsection, a “used good” means a “finished good” that has previously been sold or supplied to the ultimate purchaser. “Ultimate purchaser” means the first person who in good faith purchases or acquires a “finished good” for purposes other than resale. 
(16) “Formaldehyde” means a colorless gas at room temperature that at elevated concentrations has a strong, pungent odor and can be irritating to the eyes, nose, and lungs (i.e., CAS No. 50-00-0).
(17) “Hardboard” means a composite panel composed of cellulosic fibers, made by dry or wet forming and hot pressing of a fiber mat with or without resins, that complies with one of the following ANSI standards: “Basic Hardboard” (ANSI A135.4-2004), “Prefinished Hardboard Paneling” (ANSI A135.5-2004), or “Hardboard Siding” (ANSI A135.6-2006). 
(18) “Hardwood” means the wood of a deciduous broad-leafed tree. Examples of “hardwoods” include, but are not limited to, aspen, birch, and oak.
(19) “Hardwood plywood” (HWPW) means a panel composed of an assembly of (A) hardwood layers or plies of veneer or (B) veneers in combination with a platform consisting of lumber core, composite core, a special core material, or special back material, joined with an adhesive. The face veneer may be composed of a hardwood or decorative softwood species (ANSI/HPVA HP-1-2004). “Hardwood plywood” includes wall paneling, industrial panels, and “hardwood plywood” panels used in making flooring. “Hardwood plywood” does not include laminated products, military specified plywood, or curved plywood. 
(20) “Hardwood plywood -- composite core” (HWPW-CC) means hardwood plywood with a composite core.
(21) “Hardwood plywood -- veneer core” (HWPW-VC) means hardwood plywood with a core made of a sheet or sheets of veneer.
(22) “HPVA” means the Hardwood Plywood and Veneer Association.
(23) “Importer” means the person or entity as defined in the regulations of the Bureau of Customs and Border Protection, 19 Code of Federal Regulations, section 101.1.
(24) “Laminate” means a veneer or other material affixed as a decorative surface to a platform.
(25) “Laminated product” means a finished good or component part of a finished good made by a fabricator in which a laminate or laminates are affixed to a platform. If the platform consists of a composite wood product, the platform must comply with the applicable emission standards. 
(26) “Lot” means the volume of a product type produced either: (A) from the beginning of a production run until the first quality control test; or (B) between one quality control test and the next one; or (C) from the last quality control test to the end of a production run.
(27) “Manufacturer” means any person who manufactures or produces a composite wood product.
(28) “Medium density fiberboard” (MDF) means a panel composed of cellulosic fibers (usually wood) made by dry forming and pressing of a resinated fiber mat (ANSI A208.2-2002). 
(29) “No-added formaldehyde based resins” means resins formulated with no added formaldehyde as part of the resin cross linking structure for making hardwood plywood, particleboard, or medium density fiberboard. “No-added formaldehyde based resins” include, but are not limited to, resins made from soy, polyvinyl acetate, or methylene diisocyanate. 
(30) “Panel” means any particleboard, medium density fiberboard, or hardwood plywood board produced for sale, supply, or distribution by a composite wood product manufacturer.
(31) “Particle” means a distinct fraction of wood or other cellulosic material produced mechanically and used along with resin to make particleboard. “Particles” are larger in size than fibers.
(32) “Particleboard” means a panel composed of cellulosic material (usually wood) in the form of discrete particles (as distinguished from fibers, flakes, or strands) that are pressed together with resin (ANSI A208.1-1999).
(33) “Person” shall have the same meaning as defined in Health and Safety Code section 39047.
(34) “Platform” means the veneer core, composite core, combination core, lumber core, or special core material used in the manufacture of hardwood plywood or laminated products.
(35) “Plywood” means a panel product consisting of layers of wood veneers in combination with a platform, pressed together with resin. “Plywood” includes panel products made by either hot or cold pressing (with resin) veneers to a platform. 
(36) “Product type” means a type of composite wood product that differs from another based on composition, thickness, number of plies (if hardwood plywood), and resin to distinguish one composite wood product from another made by the same manufacturer. 
(37) “Recreational vehicle” has the same meaning as defined in section 18010 of the California Health and Safety Code.
(38) “Retailer” means any person or entity that sells, offers for sale, or supplies directly to consumers composite wood products or finished goods that contain composite wood products. 
(39) “Softwood” means wood produced from needle and/or cone bearing trees (ANSI/HPVA HP-1-2004).
(40) “Thin MDF” means medium density fiberboard that has a maximum thickness of eight millimeters.
(41) “Third party certifier” means an organization or entity approved by the Executive Officer that: (A) verifies the accuracy of the emission test procedures and facilities used by manufacturers to conduct formaldehyde emission tests, (B) monitors manufacturer quality assurance programs, and (C) provides independent audits and inspections. 
(42) “Ultra-low-emitting formaldehyde (ULEF) resins” means resins formulated such that average formaldehyde emissions are consistently below the Phase 2 emission standards in section 93120.2, as provided in section 93120.3(d).
(43) “Veneer” means thin sheets of wood peeled or sliced from logs for use in the manufacture of wood products such as plywood, laminated veneer lumber, laminated products, or other products.
(44) “Veneer core” means a core material for making plywood that consists of veneer.
(45) “Window” means a finished good consisting of a frame in which are set panes of glass, for the admission of air or light, or both, into an opening in the wall of a building. The frame includes jambs, stiles, sashes, and rails, and excludes sills, window headers and window seats. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.2. Formaldehyde Emission Standards for Hardwood Plywood (HWPW), Particleboard (PB), and Medium Density Fiberboard (MDF).
Note     •     History

(a) Emission Standards. The formaldehyde emission standards in Table 1 apply to hardwood plywood (HWPW), particleboard (PB), and medium density fiberboard (MDF) sold, supplied, offered for sale, or manufactured for sale in California. 
Except as provided in section 93120.2(b), Exemptions, and the “sell-through” provisions of section 93120.12, Appendix 1, no person shall sell, supply, offer for sale, or manufacture for sale in California any composite wood product which, at the time of sale or manufacture, does not comply with the emission standards in Table 1 on or after the effective dates specified in Table 1.

Table 1
Phase 1 and Phase 2 Formaldehyde Emission Standards for Hardwood Plywood (HWPW), Particleboard (PB), and 
Medium Density Fiberboard (MDF)1

View Graphic

(1) Based on the primary test method [ASTM E 1333-96(2002)] in parts per million (ppm). 
HWPW-VC = veneer core; HWPW-CC = composite core. 
A product “does not comply with the emission standards in Table 1” if:
(1) The composite wood product was produced by a manufacturer without either: (A) a current third party certification program that complies with section 93120.3(b), (B) a current ARB approval to use no-added formaldehyde based resins as provided in section 93120.3(c), or (C) a current ARB approval to use a ULEF resin as provided in section 93120.3(d); or
(2) Records of testing conducted by the manufacturer or the third party certifier show that a particular composite wood product sold, supplied, or offered for sale in California exceeded the applicable emission standard specified in Table 1, based on: (A) the compliance testing procedure for hardwood plywood, particleboard, and medium density fiberboard specified in section 93120.9(a) or (B) the quality control testing method specified in 93120.9(d) (subject to permitted retesting, disposition or treatment); or

(3) 	A composite wood product produced by a manufacturer is tested at any time after it is manufactured, using either the compliance test method specified in section 93120.9(a) or the enforcement test method specified in section 93120.9(b), and is found to exceed the applicable emission standard specified in Table 1; or

(4) 	A finished good contains any composite wood product which does not comply with the emission standards in Table 1, based on the criteria set forth in paragraphs (1), (2), or (3) above; or 

(5) 	A finished good is found to contain any composite wood product that does not comply with the applicable emission standards in Table 1 using the enforcement test method for finished goods specified in section 93120.9(c).
(b) Exemptions. 
(1) The emission standards in section 93120.2(a) do not apply to composite wood products or finished goods containing these materials that are manufactured, sold, offered for sale, or supplied for shipment and use outside of California. 
(2) The emission standards in section 93120.2(a) do not apply to hardwood plywood and particleboard materials manufactured, sold, supplied for installation, or installed in manufactured homes subject to the United States Department of Housing and Urban Development regulations (24 Code of Federal Regulations, section 3280.308). 
(3) To qualify for an exemption specified in section 93120.2(b)(1) or 93120.2(b)(2), the person claiming the exemption must maintain adequate documentation to demonstrate that the criteria of the exemption are met.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.3. Requirements for Manufacturers of Hardwood Plywood (HWPW), Particleboard (PB), and Medium Density Fiberboard (MDF).
Note     •     History

(a) Emission Standards. All manufacturers of HWPW, PB, and MDF must comply with the requirements of section 93120.2(a). Except as provided in the “sell-through” provisions in Appendix 1 of section 93120.12, all HWPW, PB, and MDF sold, supplied, or offered for sale on or after the effective dates specified in section 93120.2(a) must comply with the emission standards specified in section 93120.2(a).
(b) Third Party Certification. For manufacturers of HWPW, PB, and MDF using resins that contain formaldehyde, compliance with the emission standards specified in section 93120.2(a) must be verified by using a third party certifier approved by ARB under section 93120.4. These manufacturers must also comply with the quality assurance requirements specified in Appendix 2 of section 93120.12.
(c) Special Provisions for Manufacturers of HWPW, PB, and MDF with No-Added Formaldehyde Based Resins.
(1) Upon written approval of the Executive Officer, manufacturers of HWPW, PB, and MDF who plan to use no-added formaldehyde based resins are not required to comply with section 93120.3(b). To apply for ARB approval, manufacturers must submit the following information to the Executive Officer: (A) a statement indicating which product types will be manufactured using no-added formaldehyde based resins for sale in California; (B) the chemical formulation of the candidate no-added formaldehyde based resins, including base resins, catalysts, and other additives as used in manufacturing; (C) the name of the ARB approved third party certifier; and (D) data on the emissions performance of the candidate no-added formaldehyde based resins. These data must be obtained by working with an ARB approved third party certifier and must include three months of routine quality control testing data, the correlation of the routine quality control testing data to primary or secondary method testing data, and the results of one primary or secondary method test, as required in Appendix 2 of section 93120.12. Ninety percent of the three months of routine quality control testing data and the results of the one primary or secondary method test must be shown to be no higher than 0.04 ppm. In addition, all data must be shown to be no higher than 0.05 ppm for HWPW and 0.06 ppm for PB, MDF, and thin MDF.
(2) Within 45 days after receiving an application from a manufacturer, the Executive Officer shall inform the applicant, in writing, either that the application is complete and accepted for filing, or that the application is deficient and shall identify the specific information required to make the application complete. 
(3) Within 30 days of receiving additional information provided in response to a determination by the Executive Officer that an application is deficient, the Executive Officer shall inform the applicant, in writing, either that the new information is sufficient to make the application complete and that the application is accepted for filing, or that the application is deficient and shall identify the specific information required to make the application complete.
(4) Within 90 days after an application has been deemed complete, the Executive Officer shall act to approve or disapprove the application. The Executive Officer shall issue an Executive Order approving the application if the evidence submitted by the applicant is sufficient to demonstrate that the applicant has met the requirements of section 93120.3(c)(1). The approval shall have a duration of two years, and the manufacturer may apply for re-approval as provided in this section. An application for re-approval must include results of at least one primary or secondary method test for each product type based on a panel or set of panels randomly selected and tested by an ARB approved third party certifier, and the chemical formulation of the no-added formaldehyde based resins. 
(5) The Executive Officer may, in the course of processing the application, request the applicant to clarify, amplify, correct, or otherwise supplement the information required for the application. The applicant and the Executive Officer may mutually agree to longer time periods for determining whether an application is complete, or for approving or disapproving an application.
(6) If the manufacturer decides to change to formaldehyde based resins, ARB must be notified in advance and the manufacturer must comply with the requirements of section 93120.3(b) for that product type.
(d) Special Provisions for Manufacturers of HWPW, PB and MDF with Ultra-Low-Emitting Formaldehyde (ULEF) Resins. 
(1) Upon written approval of the Executive Officer, manufacturers of HWPW, PB, and MDF who plan to use ultra-low-emitting formaldehyde (ULEF) resins may test their products less frequently than otherwise required. The testing frequency for manufacturers using ULEF resins is specified in Appendix 2 of section 93120.12. To apply for ARB approval, manufacturers must submit the following information to the Executive Officer: (A) a statement indicating which product types will be manufactured with ULEF resins for sale in California; (B) the chemical formulation of the candidate ULEF resins, including base resins, scavenger resins, scavenger additives, catalysts, and other additives as used in manufacturing; (C) the name of the ARB approved third party certifier; and (D) data on the emissions performance of the candidate ULEF resins to demonstrate that panels manufactured with these resins can consistently achieve the following: (1.) for HWPW, the Phase 2 emission standards specified in section 93120.2(a); or (2.) for PB and MDF, the emission values in Table 2. These data must be obtained by working with an ARB approved third party certifier and must include six months of routine quality control testing data, the correlation of the routine quality control testing data to primary or secondary method testing data, and the results of two quarterly primary or secondary method tests, as required by Appendix 2 of section 93120.12. For HWPW, in order to qualify for approval to test any product type less frequently, the results of the six months of routine quality control testing data and the two quarterly primary or secondary method tests must all be shown to be no higher than the Phase 2 emission standards. For PB and MDF, in order to qualify for approval to test any product type less frequently, ninety percent of the six months of routine quality control testing data and the results of the two quarterly primary or secondary method tests must be shown to be no higher than the ULEF-target value listed in Table 2, and all data must be shown to be no higher than the ULEF-cap value listed in Table 2. 

Table 2
Ultra-Low-Emitting Formaldehyde (ULEF) Resin 
Emission Target and Cap Values (in ppm) for 
Particleboard (PB) and Medium Density Fiberboard (MDF)1

	PB	MDF	Thin MDF
				
ULEF-target	0.05	0.06	0.08
				
ULEF-cap	0.08	0.09	0.11

(1) Concentrations must be based on correlations with the primary or secondary test method in parts per million (ppm). 
(2) Upon written approval of the Executive Officer, manufacturers of HWPW, PB, MDF, and thin MDF may qualify their product types for an exemption from third party certification. To qualify for an exemption from third party certification for a product type, ninety percent of six months of routine quality control testing data and the results of two quarterly primary or secondary method tests must be shown to be no higher than a ULEF-target value of 0.04 ppm. All data must be shown to be no higher than a ULEF-cap value of 0.05 ppm for HWPW and 0.06 ppm for PB, MDF, and thin MDF. All other requirements of section 93120.3(d)(1) apply. Manufacturers who have been exempted from third party certification do not need to comply with the requirements of Appendix 2 of section 93120.12. 
(3) Within 45 days after receiving an application from a manufacturer, the Executive Officer shall inform the applicant, in writing, either that the application is complete and accepted for filing, or that the application is deficient and shall identify the specific information required to make the application complete. 
(4) Within 30 days of receiving additional information provided in response to a determination by the Executive Officer that an application is deficient, the Executive Officer shall inform the applicant, in writing, either that the new information is sufficient to make the application complete and that the application is accepted for filing, or that the application is deficient and shall identify the specific information required to make the application complete.
(5) Within 90 days after an application has been deemed complete, the Executive Officer shall act to approve or disapprove the application. The Executive Officer shall issue an Executive Order approving the application if the evidence submitted by the applicant is sufficient to demonstrate that the applicant has met the requirements specified in section 93120.3(d)(1) or (d)(2). The approval shall have a duration of two years, and the manufacturer may apply for re-approval as provided in this section. An application for re-approval must include the results of at least two primary or secondary method tests for each product type based on panels randomly selected and tested by an ARB approved third party certifier, and the chemical formulation of the ULEF resins.
(6) The Executive Officer may, in the course of processing the application, request the applicant to clarify, amplify, correct, or otherwise supplement the information required for the application. The applicant and the Executive Officer may mutually agree to longer time periods for determining whether an application is complete, or for approving or disapproving an application.
(7) If the manufacturer decides to change resin systems, ARB must be notified in advance and the manufacturer must comply with the requirements of section 93120.3(b) for that product type.
(e) Product Labeling Requirements. Each panel or bundle of composite wood products must be clearly labeled to indicate compliance with the emission standards specified in section 93120.2(a). The label shall include, at a minimum, all of the following information:
(1) Manufacturer name;
(2) Product lot number or batch produced; 
(3) A marking to denote that the composite wood product complies with the applicable Phase 1 or 2 emission standards specified in section 93120.2(a) or was made using ULEF resins or no-added formaldehyde based resins; and 
(4) The ARB assigned number of the approved third party certifier. This requirement does not apply to manufacturers using no-added formaldehyde based resins that have obtained ARB approval as provided in section 93120.3(c) or products manufactured using ULEF resins as provided in section 93120.3(d)(2).
(f) Statement of compliance. For each composite wood product, the manufacturer must include on the bill of lading or invoice: (1) the ARB assigned number of the approved third party certifier, if applicable; and  (2) a statement that the composite wood products comply with the applicable Phase 1 or Phase 2 emission standard specified in section 93120.2(a) and, if applicable, were made using ULEF resins or no-added formaldehyde based resins. 
(g) Recordkeeping Requirements for Manufacturers of Hardwood Plywood (HWPW), Particleboard (PB), and Medium Density Fiberboard (MDF). 
(1) Beginning January 1, 2009 for manufacturers of HWPW-VC, PB, MDF, and thin MDF and July 1, 2009 for manufacturers of HWPW-CC, manufacturers must keep records of their quality assurance emissions test data for each product as provided in Appendix 2 of section 93120.12. Manufacturers using no-added formaldehyde based resins that have obtained ARB approval under section 93120.3(c) must keep documentation to demonstrate ARB approval to use no-added formaldehyde based resins. Manufacturers that have obtained ARB approval under section 93120.3(d) to use ULEF resins must keep documentation to demonstrate that ARB approval has been obtained. Records must be kept in either electronic or hard copy form for a period of two years.
(2) For every composite wood product produced for sale in California, manufacturers must maintain records at their production facilities for a period of two years, including:
(A) Tracking information to allow each composite wood product produced to be traced to a specific lot number or batch produced;
(B) Product information (including description of the composite wood product, date of manufacture, and lot/batch number); 
(C) Purchaser information (including purchaser's name, contact person, address, phone number, purchase order or invoice number, and amount purchased), if applicable;
(D) Product transporter information (including delivery company name, contact person, address, phone number, and shipping invoice number), if applicable;
(E) Identification of the ARB approved third party certifier (including company name, contact person, phone number, mailing and email address); this subsection (E) does not apply to products manufactured with no-added formaldehyde based resins as specified under section 93120.3(c)(1) or products manufactured with ULEF resins as specified under section 93120.3(d)(2); and
(F) Manufacturers of HWPW, PB, and MDF using no-added formaldehyde based resins or ULEF resins must maintain records on an ongoing basis for each composite wood product produced, including:
1. The ARB approval letter as specified in section 93120.3(c) or (d);
2. Amount of resin use reported by volume and weight;
3. Production volume reported as square feet per product type; 
4. Resin trade name, resin manufacturer contact information, and resin supplier contact information;
5. Changes in press time by more than 20 percent for any product type; and
6. Changes in the formulation of the no-added formaldehyde based resins or ULEF resins. 
(3) Records must be kept on the disposition of non-complying lots or batches of composite wood products. These records shall include: product type and amount of composite wood products affected, lot or batch numbers, measures taken to mitigate the non-complying composite wood products, results of retesting, and final disposition of the lots or batches of composite wood products. 
(4) All records required by this section shall be made available to ARB or local air district personnel upon request. 
(h) Facility inspections. Each manufacturing plant may be inspected by third party certifiers as provided in Appendices 2 and 3 of section 93120.12. In addition, manufacturers may also be inspected by ARB or local air district personnel. In the course of an inspection, ARB or local air district personnel may request to audit records or secure samples for testing. Composite wood products secured during an inspection are subject to testing using the enforcement test method specified in section 93120.9(b), to determine compliance with the applicable emission standards.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.4. Third Party Certifiers.
Note     •     History

(a) All third party certifiers must be approved in writing by the ARB Executive Officer as provided in subsection (b). The Executive Officer will issue a number to each approved third party certifier. 
(b) ARB Approval of Third Party Certifiers. 
(1) Applications to become an ARB-approved third party certifier must be submitted in writing to the Executive Officer and must contain the following:
(A) Evidence of actual field experience in the verification of laboratories and wood products, to demonstrate how applicants will be able to competently perform the requirements of Appendix 3;
(B) Evidence of the ability to properly train and supervise inspectors;
(C) Evidence of a current “product certification agency” accreditation issued by a signatory to the International Laboratory Accreditation Cooperation Mutual Recognition Arrangement (ILAC, 2000); and
(D) List of the composite wood products that the applicant is applying to verify and evidence that the applicant is qualified to verify these products. 
(2) Within 45 days of receiving an application to become an ARB-approved third party certifier, the Executive Officer shall inform the applicant, in writing, either that the application is complete and accepted for filing, or that the application is deficient and shall identify the specific information required to make the application complete. 
(3) Within 30 days of receiving additional information provided in response to a determination by the Executive Officer that an application is deficient, the Executive Officer shall inform the applicant, in writing, either that the new information is sufficient to make the application complete and that the application is accepted for filing, or that the application is deficient and shall identify the specific information required to make the application complete.
(4) Within 90 days after an application has been deemed complete, the Executive Officer shall act to approve or disapprove the application. The Executive Officer shall issue an Executive Order approving the application if the evidence submitted by the applicant is sufficient to demonstrate that the applicant can competently perform the tasks described in subsection (c). The Executive Order shall have a duration of two years. Within 120 days of the expiration date of the Executive Order, a third party certifier may apply for re-approval by submitting an updated application to the Executive Officer to demonstrate the continued ability to comply with section 93120.4(b)(1). 
(5) The Executive Officer may, in the course of processing the application, request the applicant to clarify, amplify, correct, or otherwise supplement the information required for the application. The applicant and the Executive Officer may mutually agree to longer time periods for determining whether an application is complete, or for approving or disapproving an application. 
(c) Requirements for Third Party Certifiers. Requirements for ARB approved third party certifiers are contained in section 93120.12, Appendix 3. 
(d) Modification or Revocation of an Executive Order Approving a Third Party Certifier. The Executive Officer may review and, for good cause, modify or revoke an Executive Order approving a third party certifier. The Executive Officer shall not modify or revoke an Executive Order without affording the third party certifier the opportunity for a hearing in accordance with the procedures specified in Article 2 (commencing with section 60055.1) of Subchapter 1.25 of Chapter 1 of Division 3 of Title 17, California Code of Regulations. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.5. Requirements for Distributors of Hardwood Plywood (HWPW), Particleboard (PB), Medium Density Fiberboard (MDF), and Finished Goods Containing Those Materials.
Note     •     History

(a) Emission Standards. Except as provided in the “sell-through” provisions of section 93120.12, Appendix 1, all distributors must comply with the requirements of section 93120.2(a) for all composite wood products and finished goods containing these materials that are sold, supplied, offered for sale, or purchased for sale in California.
(b) Additional Requirements to Help Ensure that Complying Composite Wood Products and Finished Goods are Purchased. Distributors must take reasonable prudent precautions to ensure that the composite wood products and composite wood products contained in finished goods that they purchase comply with the emission standards specified in section 93120.2(a). “Reasonable prudent precautions” include, at a minimum, instructing each supplier that the composite wood products and finished goods they supply to a distributor must comply with the applicable emission standards, and obtaining written documentation from each supplier that this is so. 
In addition, distributors must keep records showing the date of purchase and the supplier of the composite wood products and finished goods, and document the precautions taken to ensure that the composite wood products and composite wood products contained in finished goods comply with applicable emission standards. These records must be kept in electronic or hard copy form for a minimum of two years and provided to ARB or local air district personnel upon request. This section does not affect the liability of any person for any violation of section 93120.2(a). 
(c) Product Labeling Requirements for Composite Wood Products and Finished Goods. 
(1) Composite Wood Products. If the composite wood products procured by a distributor are not modified by the distributor, no additional labeling is required. If the composite wood products are modified, distributors are subject to the labeling requirements specified for fabricators in section 93120.7(d).
(2) Finished goods containing HWPW, PB, or MDF. If the finished goods purchased by a distributor are not modified by the distributor, no additional labeling is required. If the finished goods are modified, the distributor must label the modified goods as specified for fabricators in section 93120.7(d).
(d) Statement of compliance. For each composite wood product or finished good made with these materials, the distributor must state on the bill of lading or invoice, that the composite wood products or composite wood products contained in finished goods comply with the applicable Phase 1 or Phase 2 emission standard specified in section 93120.2(a). 
(e) Facility inspections. Distributors may be inspected by ARB or local air district personnel. In the course of an inspection, ARB or local air district personnel may request to audit records or secure samples for testing. Composite wood products or finished goods secured during an inspection are subject to testing, using the applicable enforcement test method specified in section 93120.9, to determine compliance with the applicable emission standards.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.6. Requirements for Importers of Hardwood Plywood (HWPW), Particleboard (PB), Medium Density Fiberboard (MDF), and Finished Goods Containing Those Materials.
Note     •     History

(a) Emission Standards. Except as provided in the “sell-through” provisions of section 93120.12, Appendix 1, all importers must comply with the requirements of section 93120.2(a) for all composite wood products and finished goods containing these materials that are sold, supplied, offered for sale, or purchased for sale in California.
(b) Additional Requirements to Help Ensure that Complying Composite Wood Products and Finished Goods are Purchased. Importers must take reasonable prudent precautions to ensure that the composite wood products and composite wood products contained in finished goods that they purchase comply with the emission standards specified in section 93120.2(a). “Reasonable prudent precautions” include, at a minimum, instructing each supplier that the goods they supply to an importer must comply with the applicable emission standards, and obtaining written documentation from each supplier that this is so. 
In addition, importers must keep records showing the date of purchase and the supplier of the composite wood products and finished goods, and document the precautions taken to ensure that the composite wood products and composite wood products contained in finished goods comply with applicable emission standards. These records must be kept in electronic or hard copy form for a minimum of two years and provided to ARB or local air district personnel upon request. This section does not affect the liability of any person for any violation of section 93120.2(a). 
(c) Product Labeling Requirements for Composite Wood Products and Finished Goods. 
(1) Composite Wood Products. If the composite wood products procured by an importer are not modified by the importer, no additional labeling is required. If the composite wood products are modified, importers are subject to the labeling requirements specified for fabricators in section 93120.7(d).
(2) Finished goods containing HWPW, PB, or MDF. If the finished goods purchased by an importer are not modified by the importer, no additional labeling is required. If the finished goods are modified, the importer must label the modified goods as specified for fabricators in section 93120.7(d). 
(d) Statement of compliance. For each composite wood product or finished good made with these materials, the importer must state on the bill of lading or invoice, that the composite wood products or composite wood products contained in finished goods comply with the applicable Phase 1 or Phase 2 emission standard specified in section 93120.2(a). 
(e) Facility inspections. Importers may be inspected by ARB or local air district personnel. In the course of an inspection, ARB or local air district personnel may request to audit records or secure samples for testing. Composite wood products or finished goods secured during an inspection are subject to testing, using the applicable enforcement test method specified in section 93120.9, to determine compliance with the applicable emission standards.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.7. Requirements for Fabricators That Use Hardwood Plywood (HWPW), Particleboard (PB), Medium Density Fiberboard (MDF), and Finished Goods Containing Those Materials.
Note     •     History

(a) Emission Standards. 
(1) Except as provided in the “sell-through” provisions of section 93120.12, Appendix 1, all fabricators must comply with the requirements of section 93120.2(a) for all composite wood products and finished goods containing these materials that are sold, supplied, offered for sale, or purchased for sale in California. 
(2) Fabricators that produce laminated products, and do not manufacture composite wood products, do not need to comply with the manufacturer requirements regarding third party certification in section 93120.3(b).
(3) If the platform used by a fabricator to produce a laminated product consists of a composite wood product, the platform must comply with the applicable emission standards specified in section 93120.2(a). 
(4) Fabricators manufacturing composite wood products exclusively for use by the fabricator in making finished goods must comply with all requirements of section 93120.3, except the product labeling requirements contained in section 93120.3(e). 
(b) Exemptions. 
(1) Windows that contain composite wood products are exempt from the requirements of this section if the window product contains less than five percent by volume of HWPW, PB, or MDF combined in relation to the total volume of the finished window product.
(2) Exterior doors and garage doors that contain composite wood products are exempt from the requirements of this section if either: (A) the doors are made from composite wood products manufactured with no-added formaldehyde based resins or ULEF resins; or (B) the doors contain less than three percent by volume of HWPW, PB, or MDF combined in relation to the total volume of the finished exterior door or garage door. 
(3) Local government agencies and school districts do not need to comply with recordkeeping or product labeling requirements of section 93120.7 unless finished goods are being sold, offered for sale, or manufactured for sale in California. 
(c) Additional Requirements to Help Ensure that Complying Composite Wood Products and Finished Goods are Purchased. Fabricators must take reasonable prudent precautions to ensure that the composite wood products and composite wood products contained in finished goods that they purchase are in compliance with the applicable emission standards specified in section 93120.2(a), and are labeled as complying with the applicable Phase 1 or Phase 2 standards in section 93120.2(a). “Reasonable prudent precautions” include, at a minimum, instructing each supplier that the goods they supply to the fabricator must comply with the applicable emission standards, and obtaining written documentation from each supplier that this is so. 
In addition, fabricators must keep records showing the date of purchase and the supplier of the composite wood products and finished goods, and document the precautions taken to ensure that the composite wood products and composite wood products contained in finished goods comply with applicable emission standards. These records must be kept in electronic or hard copy form for a minimum of two years and provided to ARB or local air district personnel upon request. This section does not affect the liability of any person for any violation of section 93120.2(a). 
(d) Product Labeling Requirements. Fabricators must: 
(1) Label their finished goods containing HWPW, PB, or MDF destined for sale or supply in California. The label shall be applied as a stamp, tag, sticker, or bar code on every finished good produced, or on every box containing finished goods. The label shall include, at a minimum, the fabricator's name, the date the finished good was produced and a marking to denote that the product was made with HWPW, PB, or MDF that complies with the applicable Phase 1 or Phase 2 emission standards in section 93120.2(a). Finished goods shall be labeled as having been made with no-added formaldehyde based resins or ULEF resins if this is so for all HWPW, PB, or MDF used in fabricating the finished goods. 
(2) Designate their goods as being made with HWPW, PB, or MDF that complies with the applicable emission standards specified in section 93120.2(a) on the bill of lading or invoice provided to distributors, importers, other fabricators, or retailers. 
(e) Facility inspections. Fabricators are subject to periodic inspection by ARB or local air district personnel. In the course of an inspection, ARB or local air district personnel may request to audit records or secure samples for testing. Composite wood products or finished goods secured during an inspection are subject to testing, using the applicable enforcement test method specified in section 93120.9, to determine compliance with the applicable emission standards.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.8. Requirements for Retailers That Sell, Supply, or Offer for Sale Hardwood Plywood (HWPW), Particleboard (PB), Medium Density Fiberboard (MDF), and Finished Goods Containing Those Materials.
Note     •     History

(a) Emission Standards. Except as provided in the “sell-through” provisions of section 93120.12, Appendix 1, all retailers must comply with the requirements of section 93120.2(a) for all composite wood products and finished goods containing these materials that are sold, supplied, offered for sale, or purchased for sale in California.
(b) Additional Requirements to Help Ensure that Complying Composite Wood Products and Finished Goods are Purchased. Retailers must take reasonable prudent precautions to ensure that the composite wood products and composite wood products contained in finished goods that they purchase comply with the emission standards specified in section 93120.2(a). “Reasonable prudent precautions” include, at a minimum, instructing each supplier that the goods they supply to the retailer must comply with the applicable emission standards, and obtaining written documentation from each supplier that this is so. 
In addition, retailers must keep records showing the date of purchase and the supplier of the composite wood products and finished goods, and document the precautions taken to ensure that the composite wood products and composite wood products contained in finished goods comply with applicable emission standards. These records must be kept in electronic or hard copy form for a minimum of two years and provided to ARB or local air district personnel upon request. This section does not affect the liability of any person for any violation of section 93120.2(a).
(c) Facility inspections. Retailers may be inspected by ARB or local air district personnel. In the course of an inspection, ARB or local air district personnel may request to audit records or secure samples for testing. Composite wood products or finished goods secured during an inspection are subject to testing, using the applicable enforcement test method specified in section 93120.9, to determine compliance with the applicable emission standards.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.9. Test Methods.
Note     •     History

(a) Compliance Test Methods for HWPW, PB, and MDF. Compliance with the emission standards for HWPW, PB, and MDF in section 93120.2(a) and, if applicable, section 93120.3(c) or (d) shall be demonstrated by conducting product emissions tests, verified by third party certification as specified in section 93120.4 and conducted using one of the following:
(1) The primary method, defined as ASTM E 1333-96(2002) (large chamber test method). 
(2) A secondary method, defined as specified in ASTM D 6007-02, with the additional conditions specified below: 
(A) The secondary method shall be operated using the testing conditions and loading rates specified in ASTM D 6007-02, and the conditioning time used to establish equivalence in section 93120.9(a)(2)(B). In addition, when testing panels the secondary method shall be operated by testing nine specimens representing evenly distributed portions of an entire panel. The nine specimens shall be tested in groups of three specimens, resulting in three test results, which shall be averaged to represent one data point for the panel. 
(B) Equivalence between the secondary method and the primary method must be established, at least once each year, by the third party certifier for each testing laboratory used by the third party certifier. Minimum requirements for an equivalence demonstration shall include at least ten comparison sample sets, which compare the results of the primary and secondary methods. The following parameters must be met in the comparison:
1. For the primary method, each comparison sample shall consist of the result of simultaneously testing an appropriate number of panels (factoring in the loading rate) from the same batch of panels tested by the secondary method. 
2. For the secondary method, each comparison sample shall consist of testing nine specimens representing evenly distributed portions of an entire panel. The nine specimens shall be tested in groups of three specimens (factoring in the loading rate), resulting in three test results, which shall be averaged to represent one data point for the panel, and matched to their respective primary method comparison sample result.
3. The ten comparison sample sets shall consist of testing a minimum of five sample sets in each of at least two of the following ranges of formaldehyde concentrations, as measured by the primary method:
a. Lower range:       less than 0.07 ppm
b. Intermediate range:     0.07 to less than 0.15 ppm
c. Upper range:       0.15 to 0.25 ppm
4. The average and standard deviation of the difference of all comparison sets shall be calculated as follows. For each of the two ranges used for testing, the following computations shall be performed:

View Graphic
5. The secondary method shall be considered equivalent to the primary method if the following condition is met for both tested ranges:

View Graphic
6. Equivalence must be established between the primary and secondary method to represent the range in emissions based on the emission standards specified in section 93120.2(a) for composite wood products that a third party certifier is approved to verify under section 93120.4 and, if applicable, the range in emissions for no-added formaldehyde based resins or ULEF resins. 
(3) An alternate secondary test procedure may also be used as specified in sections 93120.9(a)(3)(A) through 93120.9(a)(3)(C).
(A) Chamber test methods other than ASTM E 1333-96(2002) (large chamber test method) may be used if they are demonstrated, following the minimum requirements specified in section 93120.9(a)(2)(B), to provide equivalent results to those obtained using ASTM E 1333-96(2002). All alternative secondary test methods must be approved in writing by the Executive Officer prior to use as specified below.
(B) An application to use an alternative secondary test method must be submitted to the ARB in writing, and must include, at a minimum, the following information and data:
1. A complete description of the test method used to quantify product emissions, including all procedures used, precision and reproducibility, and the criteria used to demonstrate the validity of the test method.
2. Results collected using the alternate secondary test method and corresponding equivalent emissions.
(C) Within 45 days of receipt of an application, the Executive Officer shall notify the applicant in writing that the application is complete, or if additional information or testing is required to complete the application. If the Executive Officer finds that an application complies with the requirements of this section, then he or she may issue an Executive Order certifying that the alternate secondary test procedure provides equivalent results to ASTM E 1333-96 (2002), and authorize its use for compliance testing.
(b) Enforcement Test Method for HWPW, PB, and MDF Samples. Emission testing of samples of HWPW, PB, and MDF shall be conducted by ARB or local air district personnel using a secondary method, a large chamber [ASTM E 1333-96(2002)], or an alternate secondary test procedure as specified in section 93120.9(a). Sample handling procedures shall be followed as specified in the applicable ASTM method or alternate secondary test procedures. 
(c) Enforcement Test Method for Finished Goods Containing HWPW, PB, and MDF. Emission testing of samples of HWPW, PB, and MDF contained in finished goods shall be conducted by ARB or local air district personnel using a secondary method, or an alternate secondary test procedure as specified in section 93120.9(a). Sample handling procedures shall be followed that are consistent with those specified in ASTM D 6007-02 or alternate secondary test procedures. 
(d) Quality Control Test Method. A test method correlated to either the primary or secondary methods for performing routine quality control tests as required by section 93120.3. A correlation must be established between the quality control test method and the primary, secondary, or alternate secondary test method. The correlation must be based on a minimum sample size of five data pairs. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.10. Incorporation by Reference.
Note     •     History

The following documents are incorporated by reference in this airborne toxic control measure: 
(a) ANSI A135.4-2004. American National Standard -- Basic Hardboard, 2004.
(b) ANSI A135.5-2004. American National Standard -- Prefinished Hardboard Paneling, 2004.
(c) ANSI A135.6-2006. American National Standard -- Hardboard Siding, 2006. 
(d) ANSI A190.1-2002. American National Standard -- Structural Glued Laminated Timber, 2002. 
(e) ANSI A208.1-1999. American National Standard -- Particleboard, 1999.
(f) ANSI A208.2-2002. American National Standard -- Medium Density Fiberboard, 2002.
(g) ANSI/HPVA HP-1-2004. American National Standard for Hardwood and Decorative Plywood, 2004.
(h) ASTM D 5055-05. Standard Specification for Establishing and Monitoring Structural Capacities of Prefabricated Wood I-Joists, 2005. 
(i) ASTM D 5456-06. Standard Specification for Evaluation of Structural Composite Lumber Products, 2006.
(j) ASTM D 5582-00. Standard Test Method for Determining Formaldehyde Levels from Wood Products Using a Desiccator, 2000.
(k) ASTM D 6007-02. Standard Test Method for Determining Formaldehyde Concentration in Air from Wood Products Using a Small Scale Chamber, 2002.
(l) ASTM E 1333-96(2002). Standard Test Method for Determining Formaldehyde Concentrations in Air and Emission Rates from Wood Products Using a Large Chamber, 2002.
(m) ILAC. International Laboratory Accreditation Cooperation Mutual Recognition Arrangement, 2000. 
(n) PS 1-07. Voluntary Product Standard -- Structural Plywood. National Institute of Standards and Technology, 2007.
(o) PS 2-04. Voluntary Product Standard -- Performance Standard for Wood-Based Structural-Use Panels. National Institute of Standards and Technology, 2004. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.11. Severability.
Note     •     History

Each part of this airborne toxic control measure (ATCM) shall be deemed severable, and in the event that any part of this ATCM is held to be invalid, the remainder of this ATCM shall continue in full force and effect. 
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666 and 41712, Health and Safety Code.
HISTORY

1. New section filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
§93120.12. Appendices.

This section contains Appendices 1-3 to the Airborne Toxic Control Measure to Reduce Formaldehyde Emissions from Composite Wood Products.

Appendix 1. Sell-through Provisions and Dates that  Apply to Manufacturers, Distributors, Importers,  Fabricators, and Retailers.

(a) Sell-through Dates that Apply to Manufacturers of Hardwood Plywood (HWPW), Particleboard (PB), and Medium Density Fiberboard (MDF).
(1) Sell-through by Manufacturers of Hardwood Plywood, Particleboard, and Medium Density Fiberboard Manufactured Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Hardwood plywood, particleboard, and medium density fiberboard manufactured before the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be sold, supplied, or offered for sale by the product manufacturer for up to three months after each of the specified effective dates. The specific sell-through dates for the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows:
(A) Hardwood plywood made with a veneer core (HWPW-VC). 
1. Panels of HWPW-VC manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, or offered for sale by the product manufacturer until March 31, 2009. Beginning April 1, 2009, all HWPW-VC subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-VC manufactured before January 1, 2010, that comply with the Phase 1 standard, but do not comply with the Phase 2 standard, may be sold, supplied, or offered for sale by the product manufacturer until March 31, 2010. Beginning April 1, 2010, all HWPW-VC subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(B) Hardwood plywood made with a composite core (HWPW-CC). 
1. Panels of HWPW-CC manufactured before July 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, or offered for sale by the product manufacturer until September 30, 2009. Beginning October 1, 2009, all HWPW-CC subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-CC manufactured before July 1, 2012, that comply with the Phase 1 standard, but do not comply with the Phase 2 standard, may be sold, supplied, or offered for sale by the product manufacturer until September 30, 2012. Beginning October 1, 2012, all HWPW-CC subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(C) Particleboard (PB), medium density fiberboard (MDF), and thin MDF. 
1. Panels of PB, MDF, and thin MDF manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, or offered for sale by the product manufacturer until March 31, 2009. Beginning April 1, 2009, all PB, MDF, and thin MDF subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of PB and MDF manufactured before January 1, 2011, that comply with the Phase 1 standard, but do not comply with the Phase 2 standard, may be sold, supplied, or offered for sale by the product manufacturer until March 31, 2011. Beginning April 1, 2011, all PB and MDF subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured. 
3. Panels of thin MDF manufactured before January 1, 2012, that comply with the Phase 1 standard, but do not comply with the Phase 2 standard, may be sold, supplied, or offered for sale by the product manufacturer until March 31, 2012. Beginning April 1, 2012, all thin MDF subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured. 

(b) Sell-through Dates that Apply to Distributors of HWPW, PB, and MDF.
(1) Sell-through by Distributors of Hardwood Plywood, Particleboard, and Medium Density Fiberboard Manufactured Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Hardwood plywood, particleboard, or medium density fiberboard manufactured before the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be sold, supplied, or offered for sale by distributors for up to five months after each of the specified effective dates. The specific sell-through dates for each of the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows: 
(A) Hardwood plywood made with a veneer core (HWPW-VC).
1. Panels of HWPW-VC manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by distributors until May 31, 2009. Beginning June 1, 2009, all HWPW-VC subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-VC manufactured before January 1, 2010, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by distributors until May 31, 2010. Beginning June 1, 2010, all HWPW-VC subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(B) Hardwood plywood made with a composite core (HWPW-CC).
1. Panels of HWPW-CC manufactured before July 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by distributors until November 30, 2009. Beginning December 1, 2009, all HWPW-CC subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-CC manufactured before July 1, 2012, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by distributors until November 30, 2012. Beginning December 1, 2012, all HWPW-CC subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(C) Particleboard (PB) and medium density fiberboard (MDF).
1. Panels of PB and MDF manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by distributors until May 31, 2009. Beginning June 1, 2009, all PB and MDF subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of PB and MDF manufactured before January 1, 2011, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by distributors until May 31, 2011. Beginning June 1, 2011, all PB and MDF subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(D) Thin MDF.
1. Panels of thin MDF manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by distributors until May 31, 2009. Beginning June 1, 2009, all thin MDF subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of thin MDF manufactured before January 1, 2012, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by distributors until May 31, 2012. Beginning June 1, 2012, all thin MDF subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(2) Sell-through by Distributors of Finished Goods Containing Hardwood Plywood made with a Veneer Core (HWPW-VC), Hardwood Plywood made with a Composite Core (HWPW-CC), Particleboard (PB), Medium Density Fiberboard (MDF), or thin MDF Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Finished goods containing HWPW-VC, HWPW-CC, PB, MDF, or thin MDF manufactured before the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be sold, supplied, offered for sale by distributors for up to eighteen months after each of the specified effective dates. The specific sell-through dates for the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows: 
(A) Finished goods containing hardwood plywood made with a veneer core (HWPW-VC).
1. Finished goods containing HWPW-VC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by distributors until June 30, 2010. Beginning July 1, 2010, finished goods containing HWPW-VC, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing HWPW-VC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by distributors until June 30, 2011. Beginning July 1, 2011, finished goods containing HWPW-VC, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(B) Finished goods containing hardwood plywood made with a composite core (HWPW-CC).
1. Finished goods containing HWPW-CC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by distributors until December 31, 2010. Beginning January 1, 2011, finished goods containing HWPW-CC, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing HWPW-CC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by distributors until December 31, 2013. Beginning January 1, 2014, finished goods containing HWPW-CC, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(C) Finished goods containing particleboard (PB) and/or medium density fiberboard (MDF).
1. Finished goods containing PB and/or MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by distributors until June 30, 2010. Beginning July 1, 2010, finished goods containing PB and/or MDF, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing PB and/or MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by distributors until June 30, 2012. Beginning July 1, 2012, finished goods containing PB and/or MDF, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(D) Finished goods containing thin MDF.
1. Finished goods containing thin MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by distributors until June 30, 2010. Beginning July 1, 2010, finished goods containing thin MDF, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing thin MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by distributors until June 30, 2013. Beginning July 1, 2013, finished goods containing thin MDF, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.

(c) Sell-through Dates that Apply to Importers of HWPW, PB, and MDF.
(1) Sell-through by Importers of Hardwood Plywood (HWPW), Particleboard (PB), and Medium Density Fiberboard (MDF) Manufactured Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Hardwood plywood, particleboard, or medium density fiberboard manufactured before the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be sold, supplied, offered for sale, or used by importers for up to three months after each of the specified effective dates. The specific sell-through dates for the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows: 
(A) Hardwood plywood made with a veneer core (HWPW-VC).
1. Panels of HWPW-VC manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by importers until March 31, 2009. Beginning April 1, 2009, all HWPW-VC subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-VC manufactured before January 1, 2010, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by importers until March 31, 2010. Beginning April 1, 2010, all HWPW-VC subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(B) Hardwood plywood made with a composite core (HWPW-CC).
1. Panels of HWPW-CC manufactured before July 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by importers until September 30, 2009. Beginning October 1, 2009, all HWPW-CC subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-CC manufactured before July 1, 2012, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by importers until September 30, 2012. Beginning October 1, 2012, all HWPW-CC subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(C) Particleboard (PB) and medium density fiberboard (MDF).
1. Panels of PB and MDF manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by importers until March 31, 2009. Beginning April 1, 2009, all PB and MDF subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of PB and MDF manufactured before January 1, 2011, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by importers until March 31, 2011. Beginning April 1, 2011, all PB and MDF subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(D) Thin MDF.
1. Panels of thin MDF manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, offered for sale, or used by importers until March 31, 2009. Beginning April 1, 2009, all thin MDF subject to the Phase 1 standard must comply with this standard, regardless of the date on which the products were manufactured.
2. Panels of thin MDF manufactured before January 1, 2012, that do not comply with the Phase 2 standard may be sold, supplied, offered for sale, or used by importers until March 31, 2012. Beginning April 1, 2012, all thin MDF subject to the Phase 2 standard must comply with this standard, regardless of the date on which the products were manufactured.
(2) Sell-through by Importers of Finished Goods Containing Hardwood Plywood made with a Veneer Core (HWPW-VC), Hardwood Plywood made with a Composite Core (HWPW-CC), Particleboard (PB), Medium Density Fiberboard (MDF), or thin MDF Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Finished goods containing HWPW-VC, HWPW-CC, PB, MDF, or thin MDF manufactured before the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be sold, supplied, offered for sale by importers for up to eighteen months after each of the specified effective dates. The specific sell-through dates for the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows: 
(A) Finished goods containing hardwood plywood made with a veneer core (HWPW-VC).
1. Finished goods containing HWPW-VC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by importers until June 30, 2010. Beginning July 1, 2010, finished goods containing HWPW-VC, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing HWPW-VC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by importers until June 30, 2011. Beginning July 1, 2011, finished goods containing HWPW-VC, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(B) Finished goods containing hardwood plywood made with a composite core (HWPW-CC).
1. Finished goods containing HWPW-CC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by importers until December 31, 2010. Beginning January 1, 2011, finished goods containing HWPW-CC, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing HWPW-CC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by importers until December 31, 2013. Beginning January 1, 2014, finished goods containing HWPW-CC, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(C) Finished goods containing particleboard (PB) and/or medium density fiberboard (MDF).
1. Finished goods containing PB and/or MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by importers until June 30, 2010. Beginning July 1, 2010, finished goods containing PB and/or MDF, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing PB and/or MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by importers until June 30, 2012. Beginning July 1, 2012, finished goods containing PB and/or MDF, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(D) Finished goods containing thin MDF.
1. Finished goods containing thin MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by importers until June 30, 2010. Beginning July 1, 2010, finished goods containing thin MDF, sold, supplied, or offered for sale must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing thin MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by importers until June 30, 2013. Beginning July 1, 2013, finished goods containing thin MDF, sold, supplied, or offered for sale must comply with the Phase 2 standard, regardless of the date that the product was fabricated.

(d) Sell-through Dates that Apply to Fabricators Using HWPW, PB, and MDF.
(1) Sell-through by Fabricators of Finished Goods Produced Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Finished goods containing HWPW-VC, HWPW-CC, PB, MDF, or thin MDF that does not comply with the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be used, sold, supplied, offered for sale by fabricators for up to eighteen months after each of the specified effective dates. The specific sell-through dates for the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows: 
(A) Finished goods containing hardwood plywood made with a veneer core (HWPW-VC).
1. Finished goods made with HWPW-VC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by fabricators until June 30, 2010. Beginning July 1, 2010, all finished goods sold, supplied, or offered for sale must be made with HWPW-VC that complies with the Phase 1 standard, regardless of the date that the finished good was fabricated.
2. Finished goods made with HWPW-VC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by fabricators until June 30, 2011. Beginning July 1, 2011, all finished goods sold, supplied, or offered for sale must be made with HWPW-VC that complies with the Phase 2 standard, regardless of the date that the finished good was fabricated.
(B) Finished goods containing hardwood plywood made with a composite core (HWPW-CC). 
1. Finished goods made with HWPW-CC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by fabricators until December 31, 2010. Beginning January 1, 2011, all finished goods sold, supplied, or offered for sale must be made with HWPW-CC that complies with the Phase 1 standard, regardless of the date that the finished good was fabricated. 
2. Finished goods made with HWPW-CC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by fabricators until December 31, 2013. Beginning January 1, 2014, all finished goods sold, supplied, or offered for sale must be made with HWPW-CC that complies with the Phase 2 standard, regardless of the date that the finished good was fabricated.
(C) Finished goods containing particleboard (PB) and/or medium density fiberboard (MDF). 
1. Finished goods made with PB and/or MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by fabricators until June 30, 2010. Beginning July 1, 2010, all finished goods sold, supplied, or offered for sale must be made with PB and/or MDF that complies with the Phase 1 standard, regardless of the date that the finished good was fabricated.
2. Finished goods made with PB and/or MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by fabricators until June 30, 2012. Beginning July 1, 2012, all finished goods sold, supplied, or offered for sale must be made with PB and/or MDF that complies with the Phase 2 standard, regardless of the date that the finished good was fabricated.
(D) Finished goods containing thin MDF. 
1. Finished goods made with thin MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by fabricators until June 30, 2010. Beginning July 1, 2010, all finished goods sold, supplied, or offered for sale must be made with thin MDF that complies with the Phase 1 standard, regardless of the date that the finished good was fabricated.
2. Finished goods made with thin MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by fabricators until June 30, 2013. Beginning July 1, 2013, all finished goods sold, supplied, or offered for sale must be made with thin MDF that complies with the Phase 2 standard, regardless of the date that the finished good was fabricated.

(e) Sell-through Dates that Apply to Retailers of HWPW, PB, and MDF.
(1) Sell-through by Retailers of Hardwood Plywood made with a Veneer Core (HWPW-VC), Hardwood Plywood made with a Composite Core (HWPW-CC), Particleboard (PB), Medium Density Fiberboard (MDF), or thin MDF Panels Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Hardwood plywood, particleboard, or medium density fiberboard panels manufactured before the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be sold, supplied, or offered for sale by retailers for up to twelve months after each of the specified effective dates. The specific sell-through dates for the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows: 
(A) Hardwood plywood made with a veneer core (HWPW-VC).
1. Panels of HWPW-VC manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until December 31, 2009. Beginning January 1, 2010, all HWPW-VC, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-VC manufactured before January 1, 2010, that do not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until December 31, 2010. Beginning January 1, 2011, all HWPW-VC, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date on which the products were manufactured.
(B) Hardwood plywood made with a composite core (HWPW-CC). 
1. Panels of HWPW-CC manufactured before July 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until June 30, 2010. Beginning July 1, 2010, all HWPW-CC, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date on which the products were manufactured.
2. Panels of HWPW-CC manufactured before July 1, 2012, that do not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until June 30, 2013. Beginning July 1, 2013, all HWPW-CC, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date on which the products were manufactured.
(C) Particleboard (PB) and/or medium density fiberboard (MDF). 
1. Panels of PB or MDF manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until December 31, 2009. Beginning January 1, 2010, all PB or MDF, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date on which the products were manufactured.
2. Panels of PB or MDF manufactured before January 1, 2011, that do not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until December 31, 2011. Beginning January 1, 2012, all PB or MDF, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date on which the products were manufactured.
(D) Thin MDF. 
1. Panels of thin MDF manufactured before January 1, 2009, that do not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until December 31, 2009. Beginning January 1, 2010, all thin MDF, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date on which the products were manufactured.
2. Panels of thin MDF manufactured before January 1, 2012, that do not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until December 31, 2012. Beginning January 1, 2013, all thin MDF, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date on which the products were manufactured.
(2) Sell-through by Retailers of Finished Goods Containing Hardwood Plywood made with a Veneer Core (HWPW-VC), Hardwood Plywood made with a Composite Core (HWPW-CC), Particleboard (PB), Medium Density Fiberboard (MDF), or thin MDF Before the Effective Dates of the Phase 1 and Phase 2 Emission Standards. Finished goods containing HWPW-VC, HWPW-CC, PB, MDF, or thin MDF manufactured before the Phase 1 and Phase 2 effective dates specified in section 93120.2(a) may be sold, supplied, offered for sale, or used by retailers for up to eighteen months after each of the specified effective dates. The specific sell-through dates for the Phase 1 and Phase 2 emission standards specified in section 93120.2(a) are as follows: 
(A) Finished goods containing hardwood plywood made with a veneer core (HWPW-VC).
1. Finished goods containing HWPW-VC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until June 30, 2010. Beginning July 1, 2010, finished goods containing HWPW-VC, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing HWPW-VC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until June 30, 2011. Beginning July 1, 2011, finished goods containing HWPW-VC, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(B) Finished goods containing hardwood plywood made with a composite core (HWPW-CC).
1. Finished goods containing HWPW-CC that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until December 31, 2010. Beginning January 1, 2011, finished goods containing HWPW-CC, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing HWPW-CC that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until December 31, 2013. Beginning January 1, 2014, finished goods containing HWPW-CC, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(C) Finished goods containing particleboard (PB) and/or medium density fiberboard (MDF).
1. Finished goods containing PB and/or MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until June 30, 2010. Beginning July 1, 2010, finished goods containing PB and/or MDF, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing PB and/or MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until June 30, 2012. Beginning July 1, 2012, finished goods containing PB and/or MDF, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date that the product was fabricated.
(D) Finished goods containing thin MDF.
1. Finished goods containing thin MDF that does not comply with the Phase 1 standard may be sold, supplied, or offered for sale by retailers until June 30, 2010. Beginning July 1, 2010, finished goods containing thin MDF, sold, supplied, or offered for sale, must comply with the Phase 1 standard, regardless of the date that the product was fabricated.
2. Finished goods containing thin MDF that does not comply with the Phase 2 standard may be sold, supplied, or offered for sale by retailers until June 30, 2013. Beginning July 1, 2013, finished goods containing thin MDF, sold, supplied, or offered for sale, must comply with the Phase 2 standard, regardless of the date that the product was fabricated.

Appendix 2. Quality Assurance Requirements for  Manufacturers of Composite Wood Products.
(a) Purpose.
The purpose of Appendix 2 of section 93120.12 is to provide quality assurance requirements for manufacturers of composite wood products to ensure compliance with the applicable formaldehyde emission standards in section 93120.2(a). Manufacturers must demonstrate compliance with the emission standards by way of third party certification, and must comply with the quality assurance requirements contained in Appendix 2. The requirements of Appendix 2 do not apply to product types for manufacturers who have received ARB approval to use no-added formaldehyde based resins or ULEF resins that have been exempted from third party certification requirements for those product types, except for the purpose of applying for re-approval to continue to use no-added formaldehyde based resins as specified in section 93120.3(c) or ULEF resins as specified in section 93120.3(d). 

  Requirements are specified for: preparation of a quality control manual, establishment of a quality control function at the manufacturing plant (including testing equipment and designated quality control personnel), routine quality control procedures conducted at the plant, participation in periodic inspections and product testing by the third party certifying organization, and recordkeeping. These requirements are designed to ensure that certified unfinished (including sanded) composite wood products meet the applicable emission standards. Note: All panels must be tested in an unfinished condition, prior to application of a finishing or topcoat.

(b) Responsibility for Product Performance. 

  The manufacturer is responsible for the performance of all certified products, including meeting the applicable standard(s) in section 93120.2(a) against which its products are certified.

(c) Quality Control Manual.

  Each manufacturing plant must have a written quality control manual, which shall, at a minimum, contain the following:
(1) organizational structure of the quality control department;
(2) sampling procedures;
(3) method of handling samples;
(4) frequency of small scale quality control testing;
(5) procedures to identify changes in formaldehyde emissions resulting from production changes (e.g., increase in percentage of resin, increase in formaldehyde/urea molar ratio in the resin, or decrease in press time);
(6) provisions for additional testing;
(7) recordkeeping requirements; and 
(8) average percentage of resin and press time for each product type.

(d) Quality Control Facilities.
At each manufacturing plant or location designated by manufacturers with more than one manufacturing plant, laboratory facilities and equipment shall be provided and properly maintained as a quality control facility for conducting such tests as are required by Appendix 2. Alternatively, the quality control facility may be a contract laboratory or a laboratory operated by an approved third party certifier. Equipment shall be calibrated in accordance with the equipment manufacturer's instructions. The original and any subsequent equipment calibration records shall be maintained. 

(e) Quality Control Personnel.
(1) Quality Control Manager
 Each plant shall have a person with adequate experience and/or training to be responsible for formaldehyde emission quality control. This person shall report to the plant manager and shall be identified to the third party certifier. The third party certifier shall be informed in writing within ten days of any change in his or her identity. The quality control manager shall review and approve all reports of routine small scale testing conducted on the plant's production. If a manufacturer with one or more manufacturing plants uses a testing facility to test routine quality control production samples, the quality control manager shall be responsible for ensuring that the samples are collected, packaged, and shipped according to the procedures specified in the quality control manual. The plant quality control manager shall be responsible for working with the company's testing facility to monitor results, and shall immediately inform the third party certifier by telephone, email, or FAX and by letter of any changes in production that require re-inspections as set forth in section 93120.12, Appendix 3.
(2) Quality Control Employee
 Quality control employees shall have adequate experience and/or training to conduct accurate chemical quantitative analytical tests. The Quality Control Manager shall identify each person conducting routine small scale tests to the third party certifier. All quality control employees must be certified annually by the third party certifier for operation of the quality control test method. 
(3) Chemical Analysis Tests
(A) Duplicate Analysis
The manufacturer will contact the third party certifier to request certification of any quality control employee identified by the Quality Control Manager. The third party certifier or plant Quality Control Manager shall test one portion of a formaldehyde solution based on the manufacturer's range in expected formaldehyde emissions; the employee to be certified shall test another portion of the same solution. The results of each test must be within a range of concentrations established by the third party certifier, to verify the correlation of the quality control test method. 
(B) Blind Samples
The employee to be certified must determine the formaldehyde content of four sample solutions submitted to them by the third party certifier or plant Quality Control Manager. The formaldehyde content of the four sample solutions must be determined to be within a range of concentrations established by the third party certifier, to verify the correlation of the quality control test method. 

(f) Primary or Secondary Method Tests.
(1) Initial (Qualifying) Primary or Secondary Method Test
 Each product type, from each production line of each plant must be tested in a primary or secondary method testing chamber. The laboratory operating the chamber must be accredited by an accreditation body that is a signatory to the International Laboratory Accreditation Cooperation Mutual Recognition Arrangement (ILAC, 2000). The formaldehyde test methods used by the laboratory must be stated in its scope of accreditation. For the purpose of a qualifying test and with approval of the third party certifier, a manufacturer may group two or more product types together if they have similar emission characteristics. If a plant elects to have all or multiple products represented by a single product type, an initial qualification test failure by that representative product will cause certification to lapse on all other products represented. The emissions from each product type from each production line must not exceed the applicable standard.
(2) Correlation of Primary or Secondary Method and Small Scale Test Values
 In order to qualify for certification, the manufacturer must establish a statistical correlation between values obtained from the primary or secondary test method and the values from the small scale tests for each product type and production line. For purposes of establishing this correlation, data for products from the manufacturer's plant or data obtained by a third party certifier must be used. The correlation must be based on a minimum sample size of five data pairs. 
(3) Subsequent (Verifying) Primary or Secondary Method Tests
(A) Quarterly Chamber Test
1. Particleboard (PB) and Medium Density Fiberboard (MDF)
At least quarterly, a primary or secondary method test shall be conducted on randomly selected samples of each product type, as determined by the third party certifier. Manufacturers that use ULEF resins and have received ARB approval under section 93120.3(d)(1) need only have primary or secondary method tests conducted every six months. For the purpose of a verifying primary or secondary method test, a manufacturer may group two or more product types together if they have similar emission characteristics. If a plant elects to have all or multiple products represented by a single product type, a quarterly qualification test failure by that representative product will cause certification to lapse on all other products represented. The emissions from each product type must not exceed the applicable standard. 
2. Hardwood Plywood (HWPW)
At least quarterly, a primary or secondary method test shall be conducted on randomly selected samples of the HWPW product determined by the third party certifier, after review of routine weekly quality control data, to have the highest potential to emit formaldehyde. Manufacturers that use ULEF resins and have received ARB approval under section 93120.3(d)(1) need only have primary or secondary method tests conducted every six months. For the purpose of a verifying primary or secondary method test, a manufacturer may choose to group two or more product types together if they have similar emission characteristics. If a plant elects to have all or multiple products represented by a single product type, a quarterly qualification test failure by that representative product will cause certification to lapse on all other products represented. The emissions from each product type must not exceed the applicable standard. 
(B) Failure of a Primary or Secondary Method Test
1. Exceedance of standards
If the emission value obtained during a subsequent (verifying) primary or secondary method test exceeds the applicable standard, the tested product will be in violation of section 93120.2(a) and certification of that product type will be suspended until re-qualification. In such an event, the third party certifier is required to notify the manufacturer and ARB. If primary or secondary method and small scale test results on the same product differ, the primary or secondary method result shall be considered the benchmark value.
Manufacturers must submit the last month of quality control testing data to the third party certifier, for verification that the quality control limit (QCL) or shipping QCL (if applicable) reflects an accurate correlation between the primary or secondary method and the plant's quality control tests. 
2. Re-qualification
Should an exceedance occur, plant production of that product type may be reinstated only upon successful completion of another primary or secondary method test. The re-qualification primary or secondary method test must be conducted on the same product type as that which failed during the verifying test.
3. Disposition of Failed Lot
The manufacturer may obtain certification of a lot which has failed the primary or secondary method test if the manufacturer can demonstrate to the satisfaction of third party certifier that: (1) each panel is treated with a scavenger or handled by other means of reducing formaldehyde emissions (e.g., aging); and (2) panels randomly selected from the treated panels are tested under and pass the primary or secondary method test within six weeks of the initial determination of a failed lot.
(g) Small Scale Quality Control Tests at Plant.
Each manufacturing plant shall conduct small scale quality control tests for each product type and production line to ascertain that its certified panels do not exceed the applicable emission standard. Alternatively, the quality control tests may be a conducted by a contract laboratory or a laboratory operated by an approved third party certifier. Unless prior notice is given, all lots of each product type being certified for compliance at each plant will be tested, with each lot's small scale quality control tests reported to the certifier.
(1) Approved Small Scale Test Methods
 The following small scale tests may be used as quality control test methods: 
(A) ASTM D 5582-00 (desiccator); 
(B) ASTM D 6007-02 (small chamber); and
(C) alternative small scale tests that can be shown to correlate to the primary or secondary method tests as specified in subsection (g)(2) and are approved by the Executive Officer. 
(2) Correlation of Quality Control Tests with Primary or Secondary Method Tests
 Each plant's quality control test results must be shown to correlate to primary or secondary method test results. The correlation must be based on a minimum sample size of five data pairs. If data shows variation from the previously used correlation, the manufacturer shall work with the certifier to evaluate the data to determine if a statistically significant change has occurred. If a change is noted, a new correlation curve will be established for the manufacturer by the certifier.
(3) Quality Control Limit 
 Manufacturers will work with their third party certifier to establish a Quality Control Limit (QCL) at each manufacturer's plant for each product type and production line. The QCL is the value for any approved small scale quality control test which is based on the correlative equivalent to the value in a primary or secondary method test permitted by the applicable standard. In addition to the QCL, an excursion limit shall be established to account for process and testing variation to keep the product's emissions from exceeding the applicable standard. In the event that a manufacturer produces product lots that consistently exceed the applicable QCL, based on exceedance criteria established by the third party certifier, the certifier shall be notified promptly. 
(4) Basic Testing Frequency 
(A) PB and MDF
Manufacturers of PB and MDF must conduct routine small scale quality control tests at least once per shift (8 or 12 hours, plus or minus one hour of production) for each production line for each product type. Manufacturers of PB and MDF that use ULEF resins and have received ARB approval under section 93120.3(d) must conduct routine quality control tests at least weekly for each production line for each product type. Quality control samples shall be analyzed within a period of time specified in the manufacturer's quality control manual to avoid distribution of non-complying lots. In addition, quality control tests must be performed whenever a product type production ends without reaching eight hours of production or whenever one of the following occurs: 
1. the resin formulation is changed so that the formaldehyde to urea ratio is increased; 
2. an increase by more than ten percent in the amount of formaldehyde resin used;
3. a decrease in the designated press time by more than 20 percent; or
4. when the Quality Control Manager or Quality Control Employee has reason to believe that the panel being produced may not meet the requirements of the applicable standards.
(B) Reduction in Testing Frequency for PB and MDF
Testing frequency may be reduced to no less frequently than one test per 48-hour production period when the plant or production line demonstrates consistent operations and low variability of test values to the satisfaction of the third party certifier, based on criteria established by the certifier. Manufacturers must obtain advance written approval from the third party certifier and keep this written approval as part of the manufacturer record keeping requirements. 
(C) HWPW
Manufacturers of HWPW must conduct routine small scale quality control tests on each product type and product line based on production at the plant. Quality control samples shall be analyzed within a period of time specified in the manufacturer's quality control manual to avoid distribution of non-complying lots. Testing frequency shall be as follows:

		Minimum Number of Routine
	Weekly HWPW	Tests/Week Per Product Type
	Production (sq. ft.)	and Product Line
			
	Less than 200,000	1
					200,000 - 400,000	2
					Greater than 400,000	4

(5) Non-complying Lots
A “non-complying lot” is any lot that has a test value in excess of the applicable standard. Test results from all non-complying lots shall be maintained as required by the manufacturer's recordkeeping requirements. For a non-complying lot to be certified, it must meet the requirements of subsections (g)(6) and (g)(7) below. 
(6) Disposition of Non-complying Lots 
A non-complying lot must be isolated from certified lots and the third party certifier must be notified. The non-complying lot cannot be certified unless it is determined to be in compliance by treating pursuant to subsection (g)(7) below and retesting pursuant to subsection (g)(8). If the manufacturer chooses not to certify, or is not able to certify a non-complying lot, the lot must not be labeled for sale in California. If the lot had already been labeled for sale in California, the label must be removed or obliterated. The original test value of that lot shall be maintained in the certification calculations for standard deviation and consecutive lots. Such lots shall be identified in the quality control chart.
(7) Treatment of Non-complying Product
Production which has failed the small scale test may be retested for certification if each panel is treated with a scavenger or handled by other means of reducing formaldehyde emissions (e.g., aging).
(8) Small Scale Retesting
The manufacturer may choose to retest a non-complying lot. When retesting a non-complying lot, the following criteria apply:
(A) At least three test panels shall be selected from three separate bundles. They should be selected in such a manner that is representative of the entire lot. Each panel shall be tested by the plant's small scale quality control test.
(B) Test samples shall not be selected from the top or bottom panels of a bundle.
(C) The average of three representative samples must test at or below the QCL or shipping QCL. 
(D) In the event that a non-complying lot cannot be certified, the certifier shall be informed promptly in writing.
(9) Shipping QCL
A manufacturer may choose to establish a Shipping QCL, defined the same way as is the QCL above in subsection (g)(3), but based on panels prior to shipment rather than immediately after manufacturing. If a manufacturer chooses to establish a Shipping QCL that is distinct from the QCL, the manufacturer shall work with their third party certifier to establish this limit. The procedures for handling lots that do not comply with the Shipping QCL, and the procedures for retesting of such lots, are identical to the procedures for lots that do not comply with the QCL, as described above in subsections (g)(5) through (g)(8). 
(10) Plant Reporting
Each manufacturer shall maintain for a minimum of two years the product data reports for each plant, production line and product type, and shall submit copies to the certifier at least monthly. The reports shall include a data sheet for each specific product with test and production information, and a quality control graph containing:
(A) QCL;
(B) excursion limit;
(C) shipping QCL (if applicable);
(D) results of quality control tests; and
(E) retest values.
(h) Recordkeeping.
Manufacturers shall maintain complete records documenting the following:
(1) small scale test results, including testing frequency;
(2) production sequence;
(3) changes in the resin percentage for any product type, from levels set by the quality control manual, by more than ten percent (calculated on the basis of resin solids and oven dry wood weight of the face and core furnish, adjusted proportionately);
(4) increases in the formaldehyde/urea mole ratio of the resin;
(5) changes in press time by more than 20 percent for any product from the levels set in the plant quality control manual;
(6) testing of Quality Control Employees;
(7) disposition of non-conforming products;
(8) calibration of on-site primary or secondary test methods (if any); and
(9) other records requested by the certifier under its discretion relating to section 93120.12, Appendix 3. 
These records shall be made readily available to the certifier. Records shall be retained for a minimum of 2 years in electronic or hard copy form. Records shall also be provided to ARB upon request. 

Appendix 3. Requirements for Third Party Certifiers of Composite Wood Products.
(a) Purpose.
The purpose of Appendix 3 of section 93120.12 is to specify requirements for ARB-approved third party certifiers for their certification of composite wood products with regard to the formaldehyde emission standards specified in section 93120.2(a), and when applicable, product types for manufacturers who are applying for re-approval to continue to use no-added formaldehyde based resins as specified in section 93120.3(c) or ULEF resins as specified in section 93120.3(d). 
(b) Overview of Third Party Certifier Requirements.
(1) ARB-approved third party certifiers shall do the following:
(A) Verify that manufacturers are complying with the quality assurance requirements specified in section 93120.12, Appendix 2.
(B) Verify manufacturer small scale test results compared to primary or secondary method results.
(C) Work with manufacturers to establish quality control, excursion, and, if applicable, shipping quality control limits for each product type and production line. In addition, certifiers will inform manufacturers of criteria that will be used to determine if product lots are consistently exceeding the applicable QCL, as specified in section 93120.12, Appendix 2, subsection (g)(3); and criteria the certifier will use to allow a reduction in testing frequency for PB and MDF, as specified in section 93120.12, Appendix 2, subsection (g)(4)(B). 
(D) Provide independent inspections and audits of manufacturers and records.
(E) Provide manufacturers with their ARB-approved third party certifier number. 
(F) Use laboratories and primary or secondary methods for conducting testing that are certified by an accreditation body that is a signatory to the International Laboratory Accreditation Cooperation Mutual Recognition Arrangement (ILAC, 2000). The formaldehyde test methods used by the laboratory shall appear in its scope of accreditation. Each laboratory must be re-certified annually. Each laboratory must also participate in an interlaboratory testing comparison with laboratories using similar primary or secondary methods for the same composite wood products. Laboratories must participate in an interlaboratory comparison during the first year the laboratory is used by a third party certifier, followed by participation in interlaboratory comparisons every two years.
(G) Maintain records in electronic or hard copy form for two years, for review by ARB upon request, on:
1. manufacturers that have been certified, with designated identification codes (if any);
2. results of inspections and tests conducted for each manufacturer; 
3. list of certified laboratories and primary or secondary test methods utilized by the third party certifier, including the test conditions, conditioning time, test results, and the types of composite wood products used to establish equivalence of a secondary method;
4. correlations between small scale test results and primary or secondary method results by manufacturer; 
5. manufacturers of PB and MDF that were allowed to reduce their testing frequency, as specified in section 93120.12, Appendix 2, subsection (g)(4)(B); and 
6. the ARB Executive Order approving the third party certifier. 
(H) On or before March 1 of each year, provide an annual report to ARB for the previous calendar year that includes:
1. manufacturers certified during the previous calendar year, including resins used by manufacturers, and the average and range in formaldehyde emissions by resin and product type;
2. list of non-complying events by manufacturer as specified in section 93120.12, Appendix 2; 
3. certified laboratories and primary or secondary test methods utilized by the third party certifier; and
4. results of interlaboratory testing comparisons for laboratories used by the third party certifier.
(c) Initial Plant Qualification.
Upon completion of a contract between a third party certifier and a manufacturer, a third party certifier shall conduct one or more inspections of each manufacturer's plant. The cost of such inspections shall be borne by the manufacturer. The purpose of the inspection shall be to determine that the procedures and processes of each plant conform, or can be made to conform, to the requirements of section 93120.12, Appendix 2. Initial plant qualification requirements include:
(1) a written quality control manual approved by the third party certifier;
(2) quality control facilities and personnel approved by the third party certifier;
(3) passage of a primary or secondary method qualifying test(s);
(4) routine small scale quality control test(s), approved by the third party certifier;
(5) a procedure for selecting samples, approved by the third party certifier; and 
(6) correlation values between the routine small scale quality control test(s) and the primary or secondary method test(s) that are approved by the third party certifier.
(d) Primary or Secondary Method Tests.
Third party certifiers shall work with manufacturers to ensure that the requirements of section 93120.12, Appendix 2, subsection (f), are complied with.
(1) Sample Selection, Handling, and Shipping
Primary or secondary method samples shall be randomly chosen from a single lot that is ready for shipment. Neither the top nor bottom composite wood products of a bundle shall be selected. The composite wood products must be dead-stacked or air tight wrapped between the time of sample selection and the start of test conditioning. Samples shall be promptly labeled, signed by the third party certifier, bundled air tight, wrapped in polyethylene, protected by cover sheets, and promptly shipped to the primary or secondary method testing facility. Conditioning shall begin as soon as possible, but not in excess of 30 days after production. At the plant's option, a second sample set (a reserve set) may be selected, handled and shipped in the same manner as the original.
(2) Additional (Verifying) Primary or Secondary Method Tests
Additional primary or secondary method tests shall be conducted as soon as possible if the third party certifier determines that an additional primary or secondary method test is necessary to ensure compliance with the relevant standard.
(3) Witnessing of Primary or Secondary Method Tests
The third party certifier may, in its discretion, agree to witness primary or secondary method testing at a certified laboratory rather than performing the test at its laboratory.
(A) Conditioning
The third party certifier shall review the records of temperature, humidity, and ambient formaldehyde concentration in the conditioning area to verify that these conditions did not exceed the limits specified in the primary or secondary method during the conditioning period.
(B) Testing 
The third party certifier or the primary or secondary method operator under the certifier's supervision shall take air samples and analyze them for formaldehyde according to the primary or secondary method. The results will be reported to the manufacturer and to the certifier.
The primary or secondary method operator or certifier shall have the option of testing a second set of air samples to confirm a questionable test value. If a second set of air samples is taken, it must be taken within the time parameters defined in the primary or secondary method.
If the second sample set of air specimens falls within a range of concentrations, established by the third party certifier, of the test values from the first sample set, the two values shall be averaged. If the test value from the second set of air samples varies more than the range of concentrations, established by the third party certifier, from the first, the primary or secondary method test shall be null and void.
(C) Identification
Upon completion of the test, the chamber used in the primary or secondary method test shall be opened and the certifier shall verify that the panels or samples inside are the proper test specimens.
(e) Inspections by Third Party Certifier. 
(1) Purpose 
After a manufacturer has been verified by an ARB-approved third party certifier to report their products as being certified with the certifier's ARB-assigned number, the certifier shall conduct periodic on-site inspections of the plant and production line where each certified product type is produced to ensure full compliance with the provisions of section 93120.12, Appendix 2, and the plant's quality control manual and practices. ARB or local air district personnel may also conduct on-site inspections at the manufacturer to ensure compliance with the standards in section 93120.2(a).
(2) Frequency
Inspections shall occur at least once per quarter. 
(3) Inspection Procedures
The certifier shall be given full cooperation by the composite wood manufacturer in all aspects of the inspection including, but not limited to, the following:
(A) reviewing formaldehyde emission quality control records;
(B) reviewing production records for press times and urea-formaldehyde resin usage;
(C) examining formaldehyde emission quality control procedures;
(D) selection of sample panels for emission testing;
(E) interviewing and testing of quality control employees; and
(F) complete access to the Quality Control Manager and any quality control employee involved with formaldehyde certification. The certifier may be excluded from plant areas considered confidential, providing such exclusion does not prevent or hinder the certifier from performing the required duties.
(4) Sample Selection and Testing Procedures
The certifier may conduct a small scale test during his visit. One panel of a composite wood product to be certified shall be selected for a single test. The result of this test shall be entered into the record of test values maintained by the manufacturer. If the addition of this test value to the record causes the tested lot to be a non-complying lot, the lot shall be isolated and handled following the procedures for non-complying lots in section 93120.12, Appendix 2.
(5) Report of Findings
Upon completion of the inspection, the certifier shall prepare findings in writing and review them with the Quality Control Manager or plant manager, if available. As soon as complete test data are available, the certifier shall provide a written report to the plant stating the test results and advising the plant of any deficiencies that must be corrected to maintain certification. 
(f) Re-Inspections. 
In the event that a manufacturer produces product lots that consistently exceed the applicable QCL, the certifier shall be notified promptly. The certifier may re-inspect or audit the plant at least once per month for a period of three months, before returning to the prior inspection frequency. The certifier may also require the manufacturer to demonstrate conformance to the requirements of initial plant qualification. 
(g) Confidentiality.
All information and documentation supplied by the manufacturer to the certifier pursuant to section 93120.12, Appendix 3, shall be considered confidential and shall not be disclosed by the certifier except as may be required by ARB.
The certifier shall consider confidential any observations of equipment, process, techniques, or other matters known by the certifier to be considered proprietary by the manufacturer.
NOTE

Authority cited: Sections 39600, 39601, 39650, 39658, 39659, 39666, 41511 and 41712, Health and Safety Code. Reference: Sections 39650, 39658, 39659, 39665, 39666, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section and appendices 1-3 filed 4-18-2008; operative 4-18-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16). 
Subchapter 7.6. Emission Inventory Criteria and Guidelines
Article 1. General
§93300. Purpose.
Note     •     History

This subchapter sets forth the criteria and guidelines for preparing emission inventory plans and reports to develop site-specific inventories of air emissions of toxic substances, as required by the Air Toxics “Hot Spots” Information and Assessment Act of 1987 (the “Act”: Stats. 1987, ch. 1252; Health and Safety Code section 44300 et seq.).
NOTE

Authority cited: sections 39600, 39601 and 44342, Health and Safety Code. Reference: Sections 44340, 44341 and 44342, Health and Safety Code.
HISTORY

1. New section filed 6-1-89 as an emergency; operative 6-1-89 (Register 89, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-29-89.
2. Certificate of Compliance as to 6-1-89 order including amendment transmitted to OAL 9-28-89 and filed 10-30-89 (Register 89, No. 43).
§93300.5. Incorporation by Reference.
Note     •     History

This subchapter shall apply to any facility subject to the Air Toxics “Hot Spots” Information and Assessment Act of 1987, Health & Safety Code sections 44300-44394.  Subject facilities shall comply with the provisions of the “Emission Inventory Criteria and Guidelines Report” including its appendices, adopted by the Air Resources Board on May 30, 1996, and last amended August 27, 2007, which is incorporated by reference herein. The “Emission Inventory Criteria and Guidelines Report” including appendices is available upon request from the Air Resources Board's Public Information Office, 1001 “I” Street, Sacramento, California, 95814, telephone (916) 322-2990. The Air Resources Board may also be contacted via its Internet home page at: http://www.arb.ca.gov. The “Emission Inventory Criteria and Guidelines Report” including appendices is available on the Internet under the directory http://www.arb.ca.gov/ab2588/ab2588.htm.
NOTE

Authority cited: Sections 39600, 39601 and 44342, Health and Safety Code. Reference: Sections 41805.5, 44320, 44321, 44322, 44323, 44324, 44325, 44340, 44341, 44342, 44343, 44344, 44344.4, 44344.5, 44344.7 44346, 44360 and 44365, Health and Safety Code; Section 6254.7, Government Code; and 17, CCR, Sections 90700-90705, Appendix A.
HISTORY

1. New section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
2. Amendment of section and Note filed 7-1-97; operative 7-1-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 27).
3. Amendment of section and amendment of “Emission Inventory Criteria and Guidelines Report” (incorporated by reference) filed 8-27-2007; operative 9-26-2007 (Register 2007, No. 35).
§93301. Definitions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 44342, Health and Safety Code. Reference: Sections 44340, 44341, 44342, and 44344, Health and Safety Code.
HISTORY

1. New section filed 6-1-89 as an emergency; operative 6-1-89 (Register 89, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 9-29-89.
2. Certificate of Compliance as to 6-1-89 order including amendment of subsection (g) transmitted to OAL 9-28-89 and filed 10-30-89 (Register 89, No. 43).
3. Amendment of Appendices A-I and A-II referenced in subsection (j) filed 3-26-90; operative 4-25-90 (Register 90, No. 17).
4. Amendment of subsection (g) reletter subsections (g) to (s) and add new subsections (q) and (r) filed 1-22-91; operative 1-22-91 (Register 91, No. 14).
5. Amendment of subsections (g)(2) and (q) filed 1-31-94; operative 1-31-94 (Register 94, No. 5).
6. Repealer filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
Article 2. Applicability [Repealed]
HISTORY

1. Repealer of article 3 (sections 93303-93309) and section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
Article 3. Requirements for Preparing Emission Inventory Plans [Repealed]
HISTORY

1. Repealer of article 3 (sections 93310-93315) and section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
Article 4. Requirements for Emission Inventory Reports [Repealed]
HISTORY

1. Repealer of article 4 (sections 93320-93324) and section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
Article 5. Other Requirements [Repealed]
HISTORY

1. Repealer of article 5 (sections 93330-93347) and section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
Article 6. Updates [Repealed]
HISTORY

1. Repealer of article 6 (sections 93348-93355) and section filed 8-22-96; operative 9-21-96 (Register 96, No. 34).
Subchapter 8. Compliance with Nonvehicular Emission Standards
Article 1. Vapor Recovery Systems in Gasoline Marketing Operations
§94000. Test Procedures for Vapor Recovery Systems--Service Stations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39607, 41954, 41959, 41960 and 41960.2, Health and Safety Code. 
HISTORY

1. New Subchapter 8 (Section 94000) filed 12-15-75; effective thirtieth day thereafter (Register 75, No. 51).
2. Amendment filed 4-13-76; effective thirtieth day thereafter (Register 76, No. 16).
3. Amendment of NOTE filed 3-18-77; effective thirtieth day thereafter (Register 77, No. 12).
4. Amendment filed 9-29-78; effective thirtieth day thereafter (Register 78, No. 39)
5. Amendment filed 1-26-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 4).
6. Amendment filed 10-1-82; effective thirtieth day thereafter (Register 82, No. 40).
7. Editorial correction of Article 1 heading filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
8. Repealer filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94001. Certification of Vapor Recovery Systems--Service Stations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 39600, 39601 and 41954, Health and Safety Code. Reference: Sections 39515, 41954, 41959, 41960 and 41960.2, Health and Safety Code.
HISTORY

1. Amendment filed 9-8-77 as an emergency; effective upon filing. Certificate of Compliance included (Register 77, No. 37). For prior history, see Register 77, No. 20.
2. Amendment filed 9-29-78; effective thirtieth day thereafter (Register 78, No. 39).
3. Amendment filed 1-26-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 4).
4. Editorial correction filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
5. Repealer filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94002. Certification of Vapor Recovery Systems--Gasoline Bulk Plants. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39607 and 41594, Health and Safety Code. Reference: Sections 39515, 39607, 41954, 41959 and 41960, Health and Safety Code.
HISTORY

1. New section filed 5-10-77 as an emergency; effective upon filing. Certificate of Compliance included (Register 77, No. 20).
2. Amendment filed 9-29-78; effective thirtieth day thereafter (Register 78, No. 39). 
3. Editorial correction filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
4. Amendment filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
5. Repealer filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94003. Certification of Vapor Recovery Systems--Gasoline Terminals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39607, 41954, 41959 and 41960, Health and Safety Code. 
HISTORY

1. New section filed 5-10-77 as an emergency; effective upon filing. Certificate of Compliance included (Register 77, No. 20). 
2. Editorial correction of NOTE filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19). 
3. Amendment filed 10-23-89; operative 11-22-89 (Register 89, No. 43). 
4. Amendment filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
5. Repealer filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94004. Certification of Vapor Recovery Systems--Gasoline Delivery Tanks. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39607, 41954 and 41962, Health and Safety Code. Reference: Sections 39515, 39516, 39607, 41954 and 41962, Health and Safety Code.
HISTORY

1. New section filed 5-10-77 as an emergency; effective upon filing. Certificate of Compliance included (Register 77, No. 20).
2. Reprinting of text inadvertently omitted in Register 81, No. 48 (Register 82, No. 1).
3. Amendment filed 10-1-82; effective thirtieth day thereafter (Register 82, No. 40).
4. Editorial correction filed 5-7-84; effective thirtieth day thereafter (Register 84, No. 19).
5. Amendment filed 5-21-84; effective thirtieth day thereafter (Register 84, No. 21).
6. Repealer filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94005. Preparation and Submittal of Proof of Correction for Gasoline Cargo Tanks.
Note     •     History

(a) Whenever any person has received a notice to appear issued pursuant to Health and Safety Code Section 41970, and the preparation and submittal of a proof of correction by verification is authorized by Health and Safety Code Section 41972, such proof of correction shall contain:
(1) Name of owner or operator, company name (if applicable), and address.
(2) Date, time, and violation specified in notice to appear.
(3) California Highway Patrol cargo tank number.
(4) Manufacturer's number of tank.
(5) California Air Resources Board vapor-emission-certification decal number.
(6) License number of vehicle carrying cargo tank at the time of issuance of notice to appear.
(7) A statement that the violation was corrected, including the following information and documentation:
(A) A brief description of the corrections that were made.
(B) The date on which the corrections were made.
(C) The name, address, and company affiliation (if any) of the person making the correction.
(D) If the violation consists of operation of the cargo tank without issuance of the required vapor recovery certification, a copy of the application for vapor recovery certification and a copy of the issued certification.
(E) If in order to correct the violation it was necessary to test the cargo tank to determine compliance with the annual leak rate criteria, (i) the name, address and company affiliation (if any) of the person conducting the test; (ii) the date of the test; (iii) pressure change in five minutes (in inches of water); (iv) vacuum change in five minutes (in inches of water); (v) a statement by the person conducting the test that the cargo tank was tested in accordance with the procedures established by the Air Resources Board (ARB).
(8) Date, time, and means by which the issuing agency was notified of the opportunity to inspect the corrections.
(9) Location of cargo tank and time specified for inspection.
(10) Statement that the representative of the issuing agency failed to appear at the designated place and time.
(11) Declaration under penalty of perjury by person making correction and/or conducting test that the information contained in Item 7 is true and correct.
(12) Declaration under penalty of perjury by owner or operator named in the notice to appear that all information submitted is true and correct and the violation has been corrected.
(b) The executive officer shall have the authority to approve any modification to the form used for submittal of the information set forth in subsection (a) consistent with said subsection, and shall provide the form to the California Highway Patrol and all air pollution control districts. Every “Proof of Correction by Verification” shall be prepared in triplicate on the form approved by the ARB. The original, along with the copy of the notice to appear, shall be submitted pursuant to Health and Safety Code Section 41970 to the court specified in the notice to appear. No later than the date of presentment to the court, copies shall be mailed to the agency issuing the notice to appear and to the compliance Division of the ARB.
NOTE

Authority cited: Sections 39600, 39601 and 41972, Health and Safety Code. Reference: Sections 41970, 41971 and 41972, Health and Safety Code.
HISTORY

1. New section filed 1-22-82; effective thirtieth day thereafter (Register 82, No. 4).
2. Amendment filed 5-21-84; effective thirtieth day thereafter (Register 84, No. 21).
§94006. Defects Substantially Impairing the Effectiveness of Vapor Recovery Systems Used in Motor Vehicle Fueling Operations.
Note     •     History

(a) For the purposes of Section 41960.2 of the Health and Safety Code, any defect that meets the following criteria shall be considered substantial and listed by the Air Resources Board: the defect did not exist when the system was certified; the excess emissions associated with the defect have the potential to degrade fueling point or system efficiency by at least five percent; and, a field verification procedure exists to identify the defect.
(b) For the purposes of section 41960.2 of the Health and Safety Code, equipment defects in systems for the control of gasoline vapors resulting from motor vehicle fueling operations which substantially impair the effectiveness of the systems in reducing air contaminants are set forth in the “Vapor Recovery Equipment Defects List” amended on June 11, 2012, which is incorporated by reference herein.
NOTE

Authority cited: Sections 39600, 39601 and 41960.2, Health and Safety Code. Reference: Sections 41954 and 41960.2, Health and Safety Code.
HISTORY

1. New section filed 1-26-82; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 82, No. 4).
2. Amendment filed 11-12-2002; operative 11-12-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 46).
3. Amendment of the document, Vapor Recovery Equipment Defects List (incorporated by reference) and amendment of section filed 8-18-2005; operative 9-17-2005 (Register 2005, No. 33).
4. Amendment of subsection (b) filed 8-6-2008; operative 9-5-2008 (Register 2008, No. 32).
5. Amendment of subsection (b) filed 7-26-2012; operative 8-25-2012 (Register 2012, No. 30).
§94007. Test Procedures for Determination of Gasoline Vapor Leaks. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 39600, 39601, 39607 and 41962, Health and Safety Code. Reference: Sections 39515, 39516, 39607, 41954 and 41962, Health and Safety Code.
HISTORY

1. New section filed 10-1-82; effective thirtieth day thereafter (Register 82, No. 40).
2. Repealer filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94010. Definitions.
Note     •     History

The definitions of common terms and acronyms used in the certification and test procedures specified in Sections 94011, 94012, 94013, 94014, 94015, and 94016 are listed in D-200, “Definitions for Vapor Recovery Procedures”, adopted April 12, 1996, as last amended May 2, 2008, which are incorporated herein by reference. 
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 25290.1.2, 39515, 41954, 41959, 41960 and 41960.2, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
3. Amendment filed 3-20-2001; operative 4-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
4. Amendment filed 8-19-2002; operative 9-18-2002 (Register 2002, No. 34).
5. Amendment filed 12-5-2003; operative 1-4-2004 (Register 2003, No. 49).
6. Amendment of section and Note filed 11-27-2006; operative 12-27-2006 (Register 2006, No. 48).
7. Amendment of section and amendment of “Definitions for Vapor Recovery Procedures” (incorporated by reference) filed 6-12-2008; operative 7-12-2008 (Register 2008, No. 24).
§94011. Certification of Vapor Recovery Systems of Dispensing Facilities.
Note     •     History

The certification of gasoline vapor recovery systems at dispensing facilities (service stations) shall be accomplished in accordance with the Air Resources Board's CP-201, “Certification Procedure for Vapor Recovery Systems at Gasoline Dispensing Facilities” which is herein incorporated by reference. (Adopted: December 9, 1975, as last amended May 25, 2006).
The following test procedures (TP) cited in CP-201 are also incorporated by reference.
TP-201.1 -- “Volumetric Efficiency for Phase I Systems” (Adopted: April 12, 1996, as last amended October 8, 2003)
TP-201.1A -- “Emission Factor For Phase I Systems at Dispensing Facilities” (Adopted: April 12, 1996, as last amended February 1, 2001)
TP-201.1B -- “Static Torque of Rotatable Phase I Adaptors” (Adopted: July 3, 2002, as last amended October 8, 2003)
TP-201.1C -- “Leak Rate of Drop Tube/Drain Valve Assembly” (Adopted: July 3, 2002, as last amended October 8, 2003)
TP-201.1D -- “Leak Rate of Drop Tube Overfill Prevention Devices” (Adopted: February 1, 2001, as last amended October 8, 2003)
TP-201.1E -- “Leak Rate and Cracking Pressure of Pressure/Vacuum Vent Valves” (Adopted: October 8, 2003)
TP-201.1E CERT-- “Leak Rate and Cracking Pressure of Pressure/Vacuum Vent Valves” (Adopted: May 25, 2006)
TP-201.2 -- “Efficiency and Emission Factor for Phase II Systems” (Adopted: April 12, 1996, as last amended May 2, 2008) 
TP-201.2A -- “Determination of Vehicle Matrix for Phase II Systems” (Adopted: April 12, 1996, as last amended February 1, 2001)
TP-201.2B -- “Flow and Pressure Measurement of Vapor Recovery Equipment” (Adopted: April 12, 1996, as last amended October 8, 2003)
TP-201.2C -- “Spillage from Phase II Systems” (Adopted: April 12, 1996, as last amended February 1, 2001)
TP-201.2D -- “Post-Fueling Drips From Nozzle Spouts” (Adopted: February 1, 2001, as last amended October 8, 2003)
TP-201.2E -- “Gasoline Liquid Retention in Nozzles and Hoses” (Adopted: February 1, 2001)
TP-201.2F -- “Pressure-Related Fugitive Emissions” (Adopted: February 1, 2001, as last amended October 8, 2003)
TP-201.2G -- “Bend Radius Determination for Underground Storage Tank Vapor Return Piping” (Adopted: October 8, 2003, as last amended May 25, 2006)
TP-201.2H -- “Determination of Hazardous Air Pollutants from Vapor Recovery Processors” (Adopted: February 1, 2001)
TP-201.2I -- “Test Procedure for In-Station Diagnostic Systems” (Adopted: October 8, 2003, as last amended May 25, 2006)
TP-201.2J -- “Pressure Drop Bench Testing of Vapor Recovery Components” (Adopted: October 8, 2003)
TP-201.3 -- “Determination of 2 Inch WC Static Pressure Performance of Vapor Recovery Systems of Dispensing Facilities” (Adopted: April 12, 1996, as last amended March 17, 1999)
TP-201.3A -- “Determination of 5 Inch WC Static Pressure Performance of Vapor Recovery Systems of Dispensing Facilities” (Adopted: April 12, 1996)
TP-201.3B -- “Determination of Static Pressure Performance of Vapor Recovery Systems of Dispensing Facilities with Above-Ground Storage Tanks” (Adopted: April 12, 1996) 
TP-201.3C -- “Determination of Vapor Piping Connections to Underground Gasoline Storage Tanks (Tie-Tank Test)” (Adopted: March 17, 1999)
TP-201.4 -- “Dynamic Back Pressure” (Adopted: April 12, 1996, as last amended July 3, 2002)
TP-201.5 -- “Air to Liquid Volume Ratio” (Adopted: April 12, 1996, as last amended February 1, 2001)
TP-201.6 -- “Determination of Liquid Removal of Phase II Vapor Recovery Systems of Dispensing Facilities” (Adopted: April 12, 1996, as last amended April 28, 2000)
TP-201.6C -- “Compliance Determination of Liquid Removal Rate” (Adopted: July 3, 2002)
TP-201.7 -- “Continuous Pressure Monitoring” (Adopted: October 8, 2003)
NOTE

Authority cited: Sections 25290.1.2, 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 25290.1.2, 39515, 41952, 41954, 41956.1, 41959, 41960 and 41960.2, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
3. Amendment filed 6-12-2000; operative 7-12-2000 (Register 2000, No. 24).
4. Amendment of section and Note filed 3-20-2001; operative 4-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
5. Amendment of first and fifth paragraphs filed 5-31-2001 as an emergency; operative 6-1-2001 (Register 2001, No. 22). A Certificate of Compliance must be transmitted to OAL by 10-1-2001 or emergency language will be repealed by operation of law on the following day.
6. Amendment of first and fifth paragraphs filed 9-6-2001; operative 10-6-2001. Amendment of paragraph 1 updating CP-201 includes addition of section 18 and nonsubstantive amendments to section 3.5 and 3.6. Amendment of paragraph 5 updates TP-201.2 by adding an equation to section 12.1 that was omitted by mistake from the 2-1-2001 version of TP-201.2 filed on 3-20-2001 (Register 2001, No. 36).
7. Reinstatement of first and fifth paragraphs as they existed prior to 5-31-2001 emergency amendment by operation of Government Code section 11346.1(f) (Register 2001, No. 36).
8. Amendment of first paragraph, new TP-201.1B.-1D., repealer of TP-201.2O, amendment of TP-201.4 and new TP-201.6C filed 8-19-2002; operative 9-18-2002 (Register 2002, No. 34).
9. Amendment of first paragraph filed 3-13-2003 as an emergency; operative 3-13-2003 (Register 2003, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-11-2003 or emergency language will be repealed by operation of law on the following day.
10. Refiling of 3-13-2003 order with further amendment filed 7-3-2003 as an emergency; operative 7-3-2003 (Register 2003, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-31-2003 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 7-3-2003 order, including further amendment of section, transmitted to OAL 10-21-2003 and filed 12-5-2003; new amendments operative 1-4-2004 (Register 2003, No. 49).
12. Amendment of first paragraph and CP-201, section 4.11 (incorporated by reference) filed 8-12-2004 as an emergency; operative 8-12-2004 (Register 2004, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-10-2004 or emergency language will be repealed by operation of law on the following day.
13. Certificate of Compliance as to 8-12-2004 order transmitted to OAL 11-24-2004 and filed 1-6-2005 (Register 2005, No. 1).
14. Amendment of first paragraph and Test Procedure TP-201.2A (incorporated by reference) and amendment of Note filed 3-24-2005; operative 3-24-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
15. Amendment of section, new Test Procedure TP-201.1E CERT, amendment of Test Procedures TP-201.2G and TP-201.2I (Test Procedures incorporated by reference) and amendment of Note filed 11-27-2006; operative 12-27-2006 (Register 2006, No. 48).
16. Amendment of section and amendment of Test Procedure TP-201.2 (incorporated by reference) filed 6-12-2008; operative 7-12-2008 (Register 2008, No. 24).
§94012. Certification of Vapor Recovery Systems for Gasoline Bulk Plants.
Note     •     History

The certification of gasoline vapor recovery systems at bulk plants shall be accomplished in accordance with the Air Resources Board's CP-202 “Certification Procedure for Vapor Recovery Systems of Bulk Plants” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999)
The following test procedure (TP) cited in CP-202 is also incorporated by reference.
TP-202.1 — “Determination of Emission Factor of Vapor Recovery Systems of Bulk Plants” (Adopted: April 12, 1996, as last amended March 17, 1999)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39607, 41954, 41959 and 41960, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94013. Certification of Vapor Recovery Systems for Gasoline Terminals.
Note     •     History

The certification of gasoline vapor recovery systems at terminals shall be accomplished in accordance with the Air Resources Board's CP-203 “Certification Procedure for Vapor Recovery Systems of Terminals” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999).
The following test procedure (TP) cited in CP-203 is also incorporated by reference.
TP-203.1 — “Determination of Emission Factor of Vapor Recovery Systems of Terminals” (Adopted: April 12, 1996, as last amended March 17, 1999)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39607, 41954, 41959 and 41960, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94014. Certification of Vapor Recovery Systems for Cargo Tanks.
Note     •     History

The certification of gasoline vapor recovery systems for cargo tanks shall be accomplished in accordance with the Air Resources Board's CP-204 “Certification Procedure for Vapor Recovery Systems of Cargo Tanks” which is incorporated herein by reference. (Adopted: April 18, 1977, as last amended March 17, 1999). 
The following test procedures (TP) cited in CP-204 are also incorporated by reference.
TP-204.1 — “Determination of Five Minute Static Pressure Performance of Vapor Recovery Systems of Cargo Tanks” (Adopted: April 12, 1996, as last amended March 17, 1999)
TP-204.2 — “Determination of One Minute Static Pressure Performance of Vapor Recovery Systems of Cargo Tanks” (Adopted: April 12, 1996, as last amended March 17, 1999)
TP-204.3 — “Determination of Leak(s)” (Adopted: April 12, 1996, as last amended March 17, 1999)
NOTE

Authority cited: Sections 39600, 39601, 39607, 41954 amd 41962, Health and Safety Code. Reference: Sections 39515, 39516, 39607, 41954 and 41962, Health and Safety Code. 
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94015. Certification of Vapor Recovery Systems for Novel Facilities.
Note     •     History

The certification of gasoline vapor recovery systems for novel facilities shall be accomplished in accordance with the Air Resources Board's CP-205 “Certification Procedure for Vapor Recovery Systems of Novel Facilities” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999).
The following test procedures (TP) cited in CP-205 are also incorporated by reference.
TP-205.1 — “Determination of Efficiency of Phase I Vapor Recovery Systems of Novel Facilities” (Adopted: April 12, 1996, as last amended March 17, 1999) 
TP-205.2 — “Determination of Efficiency of Phase II Vapor Recovery Systems of Novel Facilities” (Adopted: April 12, 1996, as last amended March 17, 1999)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39607, 41954 and 41962, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94016. Certification of Vapor Recovery Systems at Gasoline Dispensing Facilities Using Aboveground Storage Tanks.
Note     •     History

The certification of gasoline vapor recovery systems at dispensing facilities using aboveground storage tanks shall be accomplished in accordance with the Air Resources Board's CP-206, “Certification Procedure for Vapor Recovery Systems at Gasoline Dispensing Facilities Using Aboveground Storage Tanks,” adopted May 2, 2008, which is herein incorporated by reference.
The following test procedures (TP) cited in CP-206 are also incorporated by reference.
TP-206.1 -- “Determination of Emission Factor for Standing Loss Control Vapor Recovery Systems using Temperature Attenuation Factor at Gasoline Dispensing Facilities with Aboveground Storage Tanks” (Adopted: May 2, 2008)
TP-206.2 -- “Determination of Emission Factor for Standing Loss Control Vapor Recovery Systems using Processors at Gasoline Dispensing Facilities with Aboveground Storage Tanks” (Adopted: May 2, 2008)
TP-206.3 -- “Determination of Static Pressure Performance of Vapor Recovery Systems at Gasoline Dispensing Facilities with Aboveground Storage Tanks” (Adopted: May 2, 2008).
The following certification and test procedures cited in certification procedure CP-206 and adopted in section 94011 by incorporation by reference are also incorporated by reference herein: CP-201, TP-201.1, TP-201.1A, TP-201.1B, TP-201.1C, TP-201.1D, TP-201.1E, TP-201.1E CERT, TP-201.2, TP-201.2A, TP-201.2B, TP-201.2C, TP-201.2D, TP-201.2E, TP-201.2G, TP-201.2H, TP-201.2I, TP-201.2J, TP-201.4, TP-201.5, TP-201.6, and TP-201.7.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39605, 41954, 41956.1, 41959, 41960 and 41960.2, Health and Safety Code.
HISTORY

1. New section filed 6-12-2008; operative 7-12-2008 (Register 2008, No. 24).
Article 2. Test Methods for Determining Compliance with District Nonvehicular Emission Standards
§94100. Applicability.
Note     •     History

The test methods set forth in this article shall be used to determine compliance with the nonvehicular emission standards of the districts. However, where a district board, air pollution control officer or executive officer has established a test method concerning the same subject as a test method set forth in this article, the district test method shall be used to determine compliance with the district's nonvehicular emission standards.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New Article 2 (Sections 94100-94116) filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
§94101. Method 1—Sample and Velocity Traverses.
Note     •     History

The test procedure for determining traverse points for sample and velocity measurements is set forth in the Air Resources Board's Method 1, Sample and Velocity Traverses for Stationary Sources, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New Article 2 (Sections 94100-94116) filed 10-7-83; effective thirtieth day thereafter (Register 83, No. 41).
2. Amendment filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
3. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94102. Method 2—Velocity and Volumetric Flow Rate.
Note     •     History

The test method for determining stack gas velocity and volumetric flow rate using a type S pilot tube is set forth in the Air Resources Board's Method 2, Determination of Stack Gas Velocity and Volumetric Flow Rate (Type S Pilot Tube), adopted June 19, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94103. Method 3—Gas Analysis.
Note     •     History

The test method for determining carbon dioxide, oxygen, excess air and molecular weight on a dry basis in stack gases is set forth in the Air Resources Board's Method 3, Gas Analysis for Carbon Dioxide, Oxygen, Excess Air, and Dry Molecular Weight, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94104. Method 4—Moisture Content.
Note     •     History

The test method for determining the moisture content in stack gases is set forth in the Air Resources Board's Method 4, Determination of Moisture Content in Stack Gases, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94105. Method 5—Particulate Matter Emissions.
Note     •     History

The test method for determining particulate matter emissions is set forth in the Air Resources Board's Method 5, Determination of Particulate Matter Emissions from Stationary Sources, adopted June 29, 1983, as last amended July 28, 1997, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 4-26-88; operative 5-26-88 (Register 88, No. 18).
3. Amendment of section and Note filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
§94106. Method 6—Sulfur Dioxide.
Note     •     History

The test method for determining sulfur dioxide emissions is set forth in the Air Resources Board's Method 6, Determination of Sulfur Dioxide Emissions from Stationary Sources, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94107. Method 7—Nitrogen Oxides.
Note     •     History

The test method for determining nitrogen oxide emissions is set forth in the Air Resources Board's Method 7, Determination of Nitrogen Oxide Emissions from Stationary Sources, adopted June 29, 1983, as last amended July 28, 1997, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
§94108. Method 8—Sulfuric Acid Mist and Sulfur Dioxide.
Note     •     History

The test method for determining sulfuric acid mist and sulfur dioxide emissions is set forth in the Air Resources Board's Method 8, Determination of Sulfuric Acid Mist and Sulfur Dioxide Emissions from Stationary Sources, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94109. Method 10—Carbon Monoxide.
Note     •     History

The test method for determining carbon monoxide emissions is set forth in the Air Resources Board's Method 10, Determination of Carbon Monoxide Emissions from Stationary Sources, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94110. Method 11—Hydrogen Sulfide.
Note     •     History

The test method for determining the hydrogen sulfide content in petroleum refinery fuel gas streams is set forth in the Air Resources Board's Method 11, Determination of Hydrogen Sulfide Content of Fuel Gas Streams in Petroleum Refineries, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94111. Method 15—Sulfides.
Note     •     History

The test method for determining hydrogen sulfide, carbonyl sulfide, and carbon disulfide emissions is set forth in the Air Resources Board's Method 15, Determination of Hydrogen Sulfide, Carbonyl Sulfide, and Carbon Disulfide Emissions from Stationary Sources, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94112. Method 16—Sulfur.
Note     •     History

The test method for determining emissions of total reduced sulfur is set forth in the Air Resources Board's Method 16, Semicontinuous Determination of Sulfur Emissions from Stationary Sources, adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94113. Method 17—Particulate Matter Emissions (In-Stack).
Note     •     History

The test method for determining particulate matter emissions using an in-stack filtration method is set forth in the Air Resources Board's Method 17, Determination of Particulate Matter Emissions from Stationary Sources (In-Stack Filtration Method), adopted June 29, 1983, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94114. Method 100—Continuous Sampling.
Note     •     History

The test method for continuous gaseous emission stack sampling is set forth in the Air Resources Board's Method 100, Procedures for Continuous Gaseous Emission Stack Sampling, adopted June 29, 1983, as amended July 28, 1997, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. Amendment of section and Note filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
§94115. Method 104—Beryllium.
Note     •     History

The test method for determining particulate beryllium emissions is set forth in the Air Resources Board's Method 104, Determination of Beryllium Emissions from Stationary Sources, adopted June 29, 1983, as amended March 28, 1986.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. Amendment filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
§94116. Method 106—Vinyl Chloride.
Note

The test method for determining vinyl chloride emissions from ethylene dichloride, vinyl chloride and polyvinyl chloride manufacturing processes is set forth in the Air Resources Board's Method 106, Determination of Vinyl Chloride Emissions from Stationary Sources, adopted June 29, 1983.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39605, 39607 and 40001, Health and Safety Code.
§94117. Method 2A—Gas Volume Through Pipes and Small Ducts.
Note     •     History

The test method for determining gas flow rates in pipes and small ducts is set forth in the Air Resources Board's Method 2A, Direct Measurement of Gas Volumes Through Pipes and Small Ducts, adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94118. Method 5A—Particulate Matter Emissions (Asphalt Processing and Roofing Sources).
Note     •     History

The test method for determining particulate emissions from asphalt roofing industry sources is set forth in the Air Resources Board's Method 5A, Determination of Particulate Emissions from the Asphalt Processing and Asphalt Roofing Industry, adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94119. Method 5E—Particulate Matter Emissions (Wool Fiberglass).
Note     •     History

The test method for determining wool fiberglass particulate emissions is set forth in the Air Resources Board's Method 5E, Determination of Particulate Emissions from the Wool Fiberglass Insulation Manufacturing Industry, adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94120. Method 12—Inorganic Lead Emissions.
Note     •     History

The test method for determining inorganic lead emissions is set forth in the Air Resources Board's Method 12, Determination of Inorganic Lead Emissions from Stationary Sources, adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94121. Method 13A—Fluoride Emissions (SPADNS Zirconium Lake Method).
Note     •     History

The test method for determining total fluorides emissions is set forth in the Air Resources Board's Method 13A, Determination of Total Fluoride Emissions from Stationary Sources (SPADNS Zirconium Lake Method), adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94122. Method 13B—Fluoride Emissions (Specific Ion Electrode Method).
Note     •     History

The test method for determining total fluoride emissions is set forth in the Air Resources Board's Method 13B, Determination of Total Fluoride Emissions from Stationary Sources—Specific Ion Electrode Method, adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94123. Method 20—Gas Turbines.
Note     •     History

The test method for determining emissions from stationary gas turbines is set forth in the Air Resources Board's Method 20, Determination of Nitrogen Oxides, Sulfur Dioxide and Diluent Emissions from Stationary Gas Turbines, adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94124. Method 21—Volatile Organic Compound Leaks.
Note     •     History

The test method for determining volatile organic compound leaks from process equipment is set forth in the Air Resources Board's Method 21, Determination of Volatile Organic Compound Leaks, adopted March 28, 1986, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94125. Method 101—Mercury Emissions (Air Streams).
Note     •     History

The test method for determining particulate and gaseous mercury emissions from chlor-alkali plants and other sources where the carrier-gas stream in the duct or stack is principally air is set forth in the Air Resources Board's Method 101, Determination of Particulate and Gaseous Mercury Emissions from Chloro-Alkali Plants—Air Streams, adopted March 28, 1986.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
§94126. Method 101A—Mercury Emissions (Sewage Sludge Incinerators).
Note     •     History

The test method for determining particulate and gaseous mercury emissions from sewage sludge incinerators and other sources is set forth in the Air Resources Board's Method 101A, Determination of Particulate and Gaseous Mercury Emissions from Sewage Sludge Incinerators, adopted March 28, 1986.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
§94127. Method 150—Hydrocarbon Emissions (Fixed Roof Tanks).
Note     •     History

The test method for determining hydrocarbon emissions from fixed-roof crude oil process tanks is set forth in the Air Resources Board's Method 150, Determination of Hydrocarbon Emissions from Fixed-Roof Crude Oil Process Tanks, adopted March 28, 1986.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
§94128. Method 401—Determination of the Weight Percent of Volatile Organic Compounds in Waste Products (Gravimetric Purge and Trap).
Note     •     History

The test method for determining the weight percent of volatile organic compounds in waste is set forth in the Air Resources Board's Method 401, Determination of the Weight Percent of Volatile Organic Compounds in Waste Products, adopted March 28, 1986.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
§94129. Method 410A—Determination of Low Concentrations of Benzene from Stationary Sources.
Note     •     History

The test method for determining low concentrations of benzene from stationary sources is set forth in the Air Resources Board's Method 410A, Low Concentration Gas Chromatographic Determination of Benzene from Stationary Sources, adopted March 28, 1986.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
§94130. Method 410B—Determination of High Concentrations of Benzene from Stationary Sources.
Note     •     History

The test method for determining high concentrations of benzene from stationary sources is set forth in the Air Resources Board's Method 410B, High Concentration Gas Chromatographic Determination of Benzene from Stationary Sources, adopted March 28, 1986.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 5-7-86; effective thirtieth day thereafter (Register 86, No. 19).
§94131. Method 421-Gaseous Chloride and Fluoride in Emissions from Stationary Sources.
Note     •     History

The test method for determining gaseous chloride and fluoride in emissions from stationary sources is set forth in the Air Resources Board's Method 421, Determination of Gaseous Chloride and Fluoride  Emissions from Stationary Sources, adopted January 22, 1987, as last amended December 13, 1991, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
2. Amendment filed 1-21-92; operative 2-20-92 (Register 92, No. 12).
§94132. Method 422—Volatile Organic Compounds in Emissions from Stationary Sources.
Note     •     History

The test method for determining volatile organic compounds in emissions from stationary sources is set forth in the Air Resources Board's Method 422, Determination of Volatile Organic Compounds in Emissions from Stationary Sources, adopted January 22, 1987, as last amended December 13, 1991, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
2. Amendment filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
3. Amendment filed 1-21-92; operative 2-20-92 (Register 92, No. 12).
§94133. Method 423-Inorganic Particulate and Gaseous Arsenic Emissions.
Note     •     History

The test method for determining inorganic particulate and gaseous arsenic emissions is set forth in the Air Resources Board's Method 423, Determination of Inorganic Particulate and Gaseous Arsenic Emissions from Stationary Sources, adopted January 22, 1987, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
§94134. Method 424-Inorganic Particulate and Gaseous Cadmium Emissions.
Note     •     History

The test method for determining inorganic particulate and gaseous cadmium emissions is set forth in the Air Resources Board's Method 424, Determination of Inorganic Particulate and Gaseous Cadmium Emissions from Stationary Sources, adopted January 22, 1987, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
§94135. Method 425—Total Chromium and Hexavalent Chromium Emissions from Stationary Sources.
Note     •     History

The test method for determining total chromium and hexavalent chromium emissions from stationary sources is set forth in the Air Resources Board's Method 425, Determination of Total Chromium and Hexavalent Chromium Emissions from Stationary Sources, adopted January 22, 1987, as last amended July 28, 1997, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
2. Amendment filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
3. Amendment filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
§94136. Method 426-Cyanide Emissions.
Note     •     History

The test method for determining cyanide emissions is set forth in the Air Resources Board's Method 426, Determination of Cyanide Emissions from Stationary Sources, adopted January 22, 1987, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
§94137. Method 16A—Total Reduced Sulfur Emissions.
Note     •     History

The test method for determining reduced sulfur emissions is set forth in the Air Resources Board's Method 16A, Determination of Total Reduced Sulfur Emissions from Stationary Sources (Impinger Technique), adopted January 22, 1987, as last amended July 1, 1999, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 3-18-87; effective thirtieth day thereafter (Register 87, No. 12).
2. Amendment filed 1-25-2000; operative 2-24-2000 (Register 2000, No. 4).  
§94138. Method 427—Asbestos Emissions.
Note     •     History

The test procedure for determining asbestos emissions is set forth in the Air Resources Board's Method 427. Determination of Asbestos Emissions from Stationary Sources, adopted March 23, 1988, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 4-27-88; operative 5-27-88 (Register 88, No. 18).
§94139. Method 428—Polychlorinated Dibenzo-p-Dioxin (PCDD), Polychlorinated Dibenzofuran (PCDF), and Polychlorinated Biphenyl (PCB) Emissions from Stationary Sources.
Note     •     History

The test method for determining polychlorinated dibenzo-p-dioxin (PCDD), polychlorinated dibenzofuran (PCDF), and polychlorinated biphenyl (PCB) emissions from stationary sources is set forth in the Air Resources Board's Method 428. Determination of Polychlorinated Dibenzo-p-dioxin (PCDD), Polychlorinated Dibenzofuran (PCDF), and Polychlorinated Biphenyl (PCB) Emissions from Stationary Sources, adopted March 23, 1988, as last amended September 12, 1990, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 4-27-88; operative 5-27-88 (Register 88, No. 18). 
2. Amendment filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
§94140. Method 501—Determination of Size Distribution of Particulate Matter from Stationary Sources.
Note     •     History

The test method for determining size distribution of particulate matter emissions is set forth in the Air Resources Board's Method 501, Determination of Size Distribution of Particulate Matter Emissions from Stationary Sources, adopted March 23, 1988, as last amended September 12, 1990, which is incorporated herein by reference. 
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607 and 40001, Health and Safety Code.
HISTORY

1. New section filed 4-27-88; operative 5-27-88 (Register 88, No. 18).
2. Amendment filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
§94141. Method 429—Polycyclic Aromatic Hydrocarbon (PAH) Emissions.
Note     •     History

The test procedure for determining polycyclic aromatic hydrocarbon emissions is set forth in the Air Resources Board's Method 429, Determination of Polycyclic Aromatic Hydrocarbon (PAH) Emissions from Stationary Sources, adopted September 12, 1989, as last amended July 28, 1997, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 10-23-89; operative 11-22-89 (Register 89, No. 43).
2. Amendment filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
§94142. Method 430—Formaldehyde and Acetaldehyde in Emissions.
Note     •     History

The test method for determining formaldehyde and acetaldehyde in emissions from stationary sources is set forth in the Air Resources Board's Method 430, Determination of Formaldehyde and Acetaldehyde in Emissions from Stationary Sources, adopted September 12, 1989, as last amended December 13, 1991, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 10-23-89; operative 11-22-89 (Register 89, No. 43).
2. Amendment filed 1-21-92; operative 2-20-92 (Register 92, No. 12).
§94143. Method 431—Ethylene Oxide Emissions.
Note     •     History

The test procedure for determining ethylene oxide emissions is set forth in the Air Resources Board's Method 431, Determination of Ethylene Oxide Emissions from Stationary Sources, adopted September 12, 1989, as last amended November 13, 1998, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 10-23-89; operative 11-22-89 (Register 89, No. 43).
2. Amendment filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
3. Amendment of Air Resources Board's Method 431 (incorporated by reference) and amendment of section filed 1-28-99; operative 1-28-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 5).
§94144. Method 432—Dichloromethane and 1,1,1-Trichloroethane in Paints and Coatings.
Note     •     History

The test procedure for determining dichloromethane and 1,1,1-trichloroethane in paints and other coatings is set forth in the Air Resources Board's Method 432, Determination of Dichloromethane and 1,1,1- Trichloroethane in Paints and Coatings, adopted September 12, 1989, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 10-23-89; operative 11-22-89 (Register 89, No. 43).
§94145. Method 433—Total Nickel Emissions.
Note     •     History

The test procedure for determining total nickel emissions is set forth in the Air Resources Board's Method 433, Determination of Total Nickel Emissions from Stationary Sources, adopted September 12, 1989, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 10-23-89; operative 11-22-89 (Register 89, No. 43).
§94146. Method 434—Chlorine in Unheated Air.
Note     •     History

The test method for determining chlorine in unheated air is set forth in the Air Resources Board's Method 434, Determination of Chlorine in Unheated Air, adopted September 12, 1990, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601, and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666, and 40001, Health and Safety Code.
HISTORY

1. New section filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
§94147. Method 435 - Determination of Asbestos Content of Serpentine Aggregate.
Note     •     History

The test method for determining asbestos content of serpentine aggregate is set forth in the Air Resources Board's Method 435, Determination of Asbestos Content of Serpentine Aggregate, adopted June 6, 1991, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 6-19-91; operative 7-19-91 (Register 91, No. 39).
2. Editorial correction of section number and relocation of section to its proper place (Register 95, No. 18).
§94148. Test Method for Pressure Integrity of Vapor Recovery Equipment.
Note     •     History

The test method for determining flow versus pressure relationship for Phase II gasoline vapor recovery system of dispensing facilities is set forth in the Air Resources Board's TP-201.2B, “Pressure Integrity of Vapor Recovery Equipment” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended February 1, 2001)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 40001 and 41954,  Health and Safety Code.
HISTORY

1. New section filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
2. Amendment of section heading, section and Note filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
3. Amendment of section heading and section filed 3-20-2001; operative 4-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
§94149. Test Method for Spillage from Phase II Systems. 
Note     •     History

The test method for determining gasoline vapor emissions from spillage of Phase II vapor recovery systems of dispensing facilities is set forth in the Air Resources Board's TP-201.2C, “Spillage from Phase II Systems” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended February 1, 2001)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 10-17-90; operative 11-16-90 (Register 90, No. 47).
2. Amendment of section heading, section and Note filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
3. Amendment of section heading and section filed 3-20-2001; operative 4-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
§94150. Test Method for Determining 2 Inch WC Static Pressure Performance of Phase II Vapor Recovery Systems for Dispensing Facilities.
Note     •     History

The test method for determining the 2 inch WC static pressure of Phase II vapor recovery system of dispensing facilities is set forth in the Air Resources Board's TP-201.3, “Determination of 2 Inch WC Static Pressure Performance of Vapor Recovery Systems of Dispensing Facilities” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999) 
NOTE

Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code. 
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94151. Test Method for Determining 2 Inch WC Static Pressure Performance of Phase II Vapor Recovery Systems of Dispensing Facilities.
Note     •     History

The test method for determining the 5 inch WC static pressure performance of Phase II vapor recovery systems of dispensing facilities is set forth in the Air Resources Board's TP-201.3A “Determination of the 5 Inch WC Static Pressure Performance of Vapor Recovery Systems of Dispensing Facilities” which is incorporated herein by reference. (Adopted: [April 12, 1996])
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections: 39515, 39516, 39605, 40001 and 41954, Health and Safety Code. 
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94152. Test Method for Determining the Static Pressure Performance of Phase II Vapor Recovery Systems of Dispensing Facilities with Above-Ground Storage Tanks.
Note     •     History

The test method for determining the static pressure performance of Phase II vapor recovery systems of dispensing facilities with above-ground storage tanks is set forth in the Air Resources Board's TP-201.3B “Determination of Static Pressure Performance of Vapor Recovery Systems of Dispensing Facilities with Above-Ground Storage Tanks” which is incorporated herein by reference. (Adopted: [April 12, 1996]) 
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
§94153. Test Method for Determining the Dynamic Pressure Performance of Phase II Vapor Recovery Systems of Dispensing Facilities.
Note     •     History

The test method for determining the dynamic pressure performance of Phase II vapor recovery systems of dispensing facilities is set forth in the Air Resources Board's TP-201.4 “Dynamic Back Pressure” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended July 3, 2002)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 6-12-2000; operative 7-12-2000 (Register 2000, No. 24).
3. Amendment filed 8-19-2002; operative 9-18-2002 (Register 2002, No. 34).
§94154. Test Method for Air to Liquid Volume Ratio.
Note     •     History

The test method for determining the air to liquid volume ratio of Phase II gasoline vapor recovery systems of dispensing facilities is set forth in the Air Resources Board's TP-201.5, “Air to Liquid Volume Ratio” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended February 1, 2001)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment of section heading and section filed 3-20-2001; operative 4-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
§94155. Compliance Test Method for Determining Liquid Blockage of Phase II Vapor Recovery Systems at Dispensing Facilities.
Note     •     History

The compliance test method for determining the liquid blockage of a Phase II vapor recovery system is set forth in the Air Resources Board's TP-201.6C, “Compliance Determination of Liquid Removal Rate” which is incorporated herein by reference. (Adopted: July 3, 2002)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 6-12-2000; operative 7-12-2000 (Register 2000, No. 24).
3. Amendment of section heading and section filed 8-19-2002; operative 9-18-2002 (Register 2002, No. 34).
§94156. Test Method for Determining Gasoline Vapor Emissions of Vapor Recovery Systems at Bulk Plants.
Note     •     History

The test method for determining gasoline vapor emissions of vapor recovery systems at bulk plants is set forth in the Air Resources Board's TP-202.1, “Determination of Emission Factor of Vapor Recovery Systems of Bulk Plants” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999) 
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94157. Test Method for Determining Gasoline Vapor Emissions of Vapor Recovery Systems at Terminals.
Note     •     History

The test method for determining gasoline vapor emissions of vapor recovery systems at terminals is set forth in the Air Resources Board's TP-203.1, “Determination of Emission Factor of Vapor Recovery Systems of Terminals” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999).
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94158. Test Method for Determining Five Minute Static Test Pressure Performance for Vapor Recovery System on Cargo Tanks.
Note     •     History

The test method for determining the five minute static pressure performance of vapor recovery system on cargo tank is set forth in the Air Resources Board's TP 204.1, “Determination of Five Minute Static Pressure Performance of Vapor Recovery Systems of Cargo Tanks” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999).
NOTE

Authority cited: Sections 39600, 39601, 39607, 41954 and 41962, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94159. Test Method for Determining One Minute Static Test Pressure Performance for Vapor Recovery Systems on Cargo Tanks.
Note     •     History

The test method for determining the one minute static test pressure performance for vapor recovery system on cargo tank is set forth in the Air Resources Board's TP-204.2, “Determination of One Minute Static Pressure Performance of Vapor Recovery Systems of Cargo Tanks” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999).
NOTE

Authority cited: Sections 39600, 39601, 39607, 41954 and 41962, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94160. Test Method for Determining Leaks During the Loading of Cargo Tanks.
Note     •     History

The test method for determining leaks during the loading of cargo tanks is set forth in the Air Resources Board's TP-204.3 “Determination of Leaks” which is incorporated herein by reference. (Adopted: April 12, 1996, as last amended March 17, 1999)
NOTE

Authority cited: Sections 39600, 39601, 39607, 41954 and 41962, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 6-11-96; operative 7-11-96 (Register 96, No. 24).
2. Amendment filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94161. Method 436—Multiple Metal Emissions.
Note     •     History

The test procedure for determining multiple metal emissions is set forth in the Air Resources Board's Method 436, Determination of Multiple Metals in Emissions from Stationary Sources, adopted July 28, 1997, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601 and 39607, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 39607, 39666 and 40001, Health and Safety Code.
HISTORY

1. New section filed 9-9-97; operative 10-9-97 (Register 97, No. 37).
§94162. Test Method for Determining Vapor Piping Connection of Underground Gasoline Storage Tanks.
Note     •     History

The test method for determining the vapor piping connection of underground gasoline storage tanks is set forth in the Air Resources Board's TP-201.3C “Determination of Vapor Piping Connections to Underground Gasoline Storage Tanks (Tie-Tank Test)” which is incorporated herein by reference. (Adoption: March 17, 1999).
NOTE

Authority cited: Sections 39600, 39601, 39607, 41954 and 41962, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 5-6-99; operative 6-5-99 (Register 99, No. 19).
§94163. Test Method for Leak Rate of Drop Tube Overfill Prevention Devices.
Note     •     History

The test method for determining the leak rate of drop tube overfill prevention devices is set forth in the Air Resources Board's TP-201.1D “Leak Rate of Drop Tube Overfill Prevention Devices” which is incorporated herein by reference. (Adopted: February 1, 2001, as last amended October 8, 2003)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 3-20-2001; operative 4-1-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 12). 
2. Amendment of section heading and section filed 8-19-2002; operative 9-18-2002 (Register 2002, No. 34).
3. Amendment of section heading and section filed 12-5-2003; operative 1-4-2004 (Register 2003, No. 49).
§94164. Test Method for Static Torque and Rotation of Rotatable Phase I Adaptors.
Note     •     History

The test method for determining the static torque and rotation of Phase I vapor and product adaptors is set forth in the Air Resources Board's TP-201.1B, “Static Torque of Rotatable Phase I Adaptors” which is incorporated herein by reference. (Adopted: July 3, 2002, as last amended October 8, 2003)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 8-19-2002; operative 9-18-2002 (Register 2002, No. 34).
2. Amendment filed 12-5-2003; operative 1-4-2004 (Register 2003, No. 49).
§94165. Test Method for Leak Rate of Drop Tube/Drain Valve Assembly.
Note     •     History

The test method for determining the leak rate of drop tube/drain valve assemblies is set forth in the Air Resources Board's TP-201.1C, “Leak Rate of Drop Tube/Drain Valve Assembly” which is incorporated herein by reference. (Adopted: July 3, 2002, as last amended October 8, 2003)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 8-19-2002; operative 9-18-2002 (Register 2002, No. 34).
2. Amendment of section heading and section filed 12-5-2003; operative 1-4-2004 (Register 2003, No. 49).
§94166. Method for Leak Rate and Cracking Pressure of Pressure/Vacuum Relief Vent Valves.
Note     •     History

The test method for determining the pressure and vacuum at which a pressure/vacuum relief vent valve actuates and for determining the volumetric leak rate of a pressure/vacuum relief vent valve at a given pressure is set forth in the Air Resources Board's TP-201.1E, “Leak Rate and Cracking Pressure of Pressure/Vacuum Relief Vent Valves” which is incorporated herein by reference. (Adopted: October 8, 2003)
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 12-5-2003; operative 1-4-2004 (Register 2003, No. 49).
§94167. Method for Bend Radius Determination for Underground Storage Tank Vapor Return Piping.
Note     •     History

The test method for determining the bend radius for underground storage tank vapor return piping is set forth in the Air Resources Board's TP-201.2G, “Bend Radius Determination for Underground Storage Tank Vapor Return Piping,” adopted October 8, 2003, as last amended May 25, 2006, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39516, 39605, 40001 and 41954, Health and Safety Code.
HISTORY

1. New section filed 12-5-2003; operative 1-4-2004 (Register 2003, No. 49).
2. Amendment filed 11-27-2006; operative 12-27-2006 (Register 2006, No. 48).
§94168. Test Method for Determining the Static Pressure Performance of Phase II Vapor Recovery Systems at Gasoline Dispensing Facilities with Aboveground Storage Tanks.
Note     •     History

The test method for determining the static pressure performance of Phase II vapor recovery systems of dispensing facilities at gasoline dispensing facilities with aboveground storage tanks is adopted in Section 94016 by incorporation by reference and is set forth in the Air Resources Board's TP-206.3 “Determination of Static Pressure Performance of Vapor Recovery Systems at Gasoline Dispensing Facilities with Aboveground Storage Tanks,” which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601, 39607 and 41954, Health and Safety Code. Reference: Sections 39515, 39605, 41954, 41956.1, 41959, 41960 and 41960.2, Health and Safety Code.
HISTORY

1. New section filed 6-12-2008; operative 7-12-2008 (Register 2008, No. 24).
Article 3. Distributed Generation Certification Program
§94200. Purpose.
Note     •     History

These regulations implement the program mandated by Health and Safety Code section 41514.9 for certification of electrical generation technologies. After January 1, 2003, it will be unlawful to either: 
(a) manufacture any DG Unit for sale, lease, use, or operation in the State of California, or 
(b) sell or lease, or offer for sale or lease any DG Unit for use or operation in the State of California, 

unless the DG Unit is certified by the Air Resources Board pursuant to these regulations or is otherwise exempt from certification as hereinafter provided. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New article 3 (sections 94200-94214) and section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
§94201. Applicability.
Note     •     History

Any DG Unit manufactured after January 1, 2003 for sale, lease, use, or operation in the State of California or any new DG Unit sold or leased, or offered for sale or lease, for use or operation in the State of California after January 1, 2003 shall be certified by the Air Resources Board unless the DG Unit: 
(a) does not emit an air contaminant when operated, 
(b) is portable,
(c) is used only when electrical or natural gas service fails or for emergency pumping of water for fire protection or flood relief,
(d) is not exempt from an air pollution control district or air quality management district's permitting requirements,
(e) is part of a research operation that has been approved in writing by the Executive Officer prior to commencement of operations, or
(f) is operated by the manufacturer at the manufacturing facility prior to sale or lease for the purpose of quality-assurance testing.
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment of subsections (b)-(d) and new subsections (e)-(f) filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94201.1. Operation of DG Unit That Was Certified When Purchased or Leased.
Note     •     History

Any DG Unit that was purchased or leased while the DG Unit was certified can continue to be operated by the owner or lessee after the certification has expired so long as the DG Unit meets the standard to which it was certified.
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code.
HISTORY

1. New section filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94202. Definitions.
Note     •     History

(a) For the purposes of these regulations, the following definitions apply: 
(1) “Air contaminant” has the same meaning as set forth in section 39013 of the Health and Safety Code. 
(2) “Air pollution control equipment” means equipment that eliminates, reduces, or controls the issuance of air emissions. 
(3) “Applicant” means a manufacturer or manufacturer's designated agent applying for certification of a DG Unit. 
(4) “ARB” means The California Air Resources Board. 
(5) “Btu” means British thermal unit.
(6) “CO” means carbon monoxide.
(7) “Combined heat and power (CHP)” means a system that recovers thermal energy and converts it into useful heat from electrical power generation equipment. 
(8) “Digester gas” means gases produced from the decomposition of sewage.
(9) “Distributed generation (DG)” means electrical generation technologies that produce electricity near the place of use. 
(10) “DG Unit” means a piece of distributed generation equipment.
(11) “District” has the same meaning as set forth in part 3, commencing with section 40000 of the California Health and Safety Code. 
(12) “Electrical generation technology” means reciprocating engines, external combustion engines, combustion turbines, photovoltaics, wind turbines, fuel cells or any combination thereof. 
(13) “Energy efficiency” means the amount of useful heat and electricity produced by a DG Unit divided by the higher heating value of the fuel used to produce the useful heat and electricity, expressed as a percentage.
(14) “Executive Officer” means the Executive Officer of the California Air Resources Board or his or her designee. 
(15) “Executive Order” means an order issued by the Executive Officer of the Air Resources Board certifying compliance of a DG Unit with the applicable requirements of this article. 
(16) “Fossil fuels” means fuels such as coal, oil, and natural gas; so-called because they are the remains of ancient plant and animal life.
(17) “Higher heating value” means the amount of heat released by the combustion of material at 25 o C once the products of combustion have returned to a temperature of 25 o C.
(18) “Landfill gas” means gases produced from the decomposition and volatilization of materials in landfills
(19) “LPG” means liquid petroleum gas.
(20) “MW-hr” means megawatt-hour.
(21) “Natural gas” means California Public Utility Commission (CPUC) quality natural gas.
(22) “NOx” means oxides of nitrogen, expressed as NO2.
(23) “Oil-field waste gas” means gases produced from the drilling of oil wells and pumping of oil from wells that are not eligible for delivery to the utility pipeline system.
(24) “PM” means particulate matter.
(25) “Portable” has the same meaning as set forth in title 13 section 2452 of the California Code of Regulations.
(26) “Research operation” means investigation, experimentation, or research to advance the knowledge of distributed generation technologies.
(27) “Useful heat” means the heat that can be captured and used for other processes such as heating water or running an absorption chiller.
(28) “VOC” means volatile organic compounds, expressed as hexane.
(29) “Zero Emission Technology” means any technology that does not emit an air contaminant as defined in section 94202(1). 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94203. Requirements.
Note     •     History

(a) On or after January 1, 2003, any DG Unit subject to this regulation must be certified pursuant to section 94204 to one of the following sets of emission standards in Table 1.
(1) DG Unit not integrated with combined heat and power, 
(2) DG Unit integrated with combined heat and power technology. 

Table 1.
January 1, 2003 Emission Standards (lb/MW-hr)

Pollutant	 DG Unit not Integrated 	DG Unit Integrated
	with Combined Heat 	With Combined Heat
	and Power (a)(1)	and Power (a)(2)	
Oxides of Nitrogen 
(NOx)	0.5	0.7

Carbon Monoxide
(CO)	6.0	6.0

Volatile Organic
Compounds (VOCs)	1.0	1.0

Particulate Matter
(PM)	An emission limit	An emission limit
	corresponding to	corresponding to
	natural gas with fuel	natural gas with
	sulfur content of no	fuel sulfur content
	more than 	of no more than 
	1 grain/100 scf	1 grain/100 scf 
(3) DG Units that use combined heat and power may be certified to the emission standard in section (a)(2) above if the DG Units are sold with combined heat and power technology integrated into a standardized package by the Applicant and the DG Units achieve a minimum energy efficiency of 60 percent. The efficiency determination shall be based on 100 percent load. 
(4) DG Units that are sold with a zero emission technology integrated into a standardized package by the Applicant may have the electrical power output of the zero emission technology added to the electrical power output of the DG Unit to meet the emission standards in (a)(1) and (a)(2) above. 
(b) On or after January 1, 2007, any DG Unit subject to this regulation fueled by a fossil fuel must be certified pursuant to section 94204 to the following set of emission standards in Table 2. 

Table 2.
2007 Fossil Fuel Emission Standards

Pollutant	Emission Standard (lb/MW-hr)
NOx	0.07

CO	0.10

VOCs	0.02
DG Units that produce combined heat and power may take a credit to meet the emission standard above. Credit shall be at the rate of one MW-hr for each 3.4 million Btu's of heat recovered. To take the credit, the following must apply: 
(1) DG Units are sold with combined heat and power technology integrated into a standardized package by the Applicant; and 
(2) DG Units achieve a minimum energy efficiency of 60 percent.
(c) Any DG Unit subject to this regulation and fueled by digester gas, landfill gas, or oil-field waste gas must be certified pursuant to section 94204 to the emission standards in Table 3.

Table 3.
Waste Gas Emission Standards

	Emission Standard (lb/MW-hr)

Pollutant	On or after	Or or after
	January 1, 2008	January 1, 2013

NOx	0.5	0.07

CO	6.0	0.10

VOC	1.0	0.02
DG Units that produce combined heat and power may take a credit to meet the January 1, 2013, emission standard above. Credit shall be at the rate of one MW-hr for each 3.4 million Btu's of heat recovered. To take the credit, the following must apply:
(1) DG Units are sold with combined heat and power technology integrated into a standardized package by the Applicant; and
(2) DG Units achieve a minimum energy efficiency of 60 percent.
(d) DG Units must meet the applicable emission standards for 15,000 hours of operation when operated and maintained according to the manufacturer's instructions. 
(e) By July 2005, the ARB staff must complete an electrical generation technology review to evaluate if the requirements in (b) and (d) above and section 94207 should be modified and report its findings to the Board. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94204. Certification Procedure.
Note     •     History

(a) Each application for certification and the fee as specified in section 94210 shall be submitted in a format approved by the Executive Officer and include, at a minimum, the following information: 
(1) name of the Applicant, a contact person, mailing address (street and electronic), and telephone number; 
(2) a description of the DG Unit and model number; 
(3) maximum output rating (kilowatt); 
(4) fuel type and analysis for which certification is being sought; 
(5) type or description of any emission control equipment used; 
(6) listing of components of the DG Unit most critical to ensuring continued compliance with the emission limits (such as fuel injectors, rotors, seals and bearings for a microturbine and fuel cell stacks and catalysts for fuel cells); and,
(7) emission test data, supporting calculations, quality control/assurance information, and all other information needed to demonstrate compliance with the requirements in sections 94203 (a) through (d). 
(b) Within 30 calendar days of receipt of an application, the Executive Officer shall inform the Applicant in writing if the application is complete or deficient. If deemed deficient, the Executive Officer shall identify the specific information required to make the application complete. 
(c) Within 60 calendar days of the application being deemed complete, the Executive Officer shall issue or deny certification. 
(d) Upon finding that a DG Unit meets the requirements of this article, the Executive Officer shall issue an Executive Order of Certification for the DG Unit. The Executive Officer shall provide a copy of the Executive Order of Certification to the Applicant. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment of subsection (a)(4), new subsection (a)(6), subsection renumbering and amendment of newly designated subsection (a)(7) filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94205. Voluntary Certification.
Note     •     History

DG Units that do not emit air contaminants while operating may submit information requested in section 94204 (a)(1) through (3), and any information necessary to demonstrate that there are no emissions of air contaminants, to the Executive Officer for voluntary certification. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9 Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
§94206. Labeling Requirements.
Note     •     History

(a) The Applicant shall affix a certification label on a visible location on each certified DG Unit. 
(b) The certification label must be of durable material and be permanently attached to the DG Unit. 
(c) The certification label must contain the year of the conforming emission standards, the fuel type used, and the number of the Executive Order of Certification. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
§94207. Testing.
Note     •     History

(a) Sampling methodology used must conform to ARB testing procedures. Alternate or modified test methods may be used if approved in writing by the Executive Officer prior to use for certification. 
Testing shall be conducted in accordance with the following methods, which are incorporated by reference herein: 

	NOx, CO, and Oxygen: 	ARB Test Method 100 
		(as adopted on July 28, 1997)
	
	VOC:	South Coast AQMD Method
		25.3 (as published in March 
		2000) 

	Gas Velocity and Flow Rate: 	ARB Test Methods 1, 2, 3, and 4 	(as adopted on July 1, 1999) 
(b) Only natural gas, LPG, digester gas, landfill gas, or oil-field waste gas, as defined in section 94202, meeting the requirements of section 94207(d)(7) shall be used for certification testing. Other fuels may be used upon the written approval of the Executive Officer. 
(c) The DG Unit shall be configured as it will be marketed, including any additional control equipment or other devices that affect emissions. 
(d) Testing parameters. 
(1) A minimum of three valid test runs must be conducted. Tests are to be run consecutively. Justification for invalid test runs or time gaps between runs must be included in the test report. 
(2) Testing commences after the DG Unit has reached stable operation. 
(3) Each run must be conducted at 100 percent of generator net output. 
(A) A load bank may be used to establish the load. 
(B) The DG Unit must be operated for a sufficient period of time to demonstrate stability in the emission readings at constant load and to ensure the collection of representative and quantifiable samples. 
(4) Generator output (MW-hr), based on net output, shall be measured during each valid test run. A calibrated electric meter shall be used for the measurements. The meter shall meet the American National Standards Institute's Code for Electricity Metering (ANSI C12.1-as of July 9, 2001). 
(5) Recovered heat shall be measured using a water loop device, measuring the water flow rate, inlet temperature, and outlet temperature.
(6) The emission rate shall be expressed in lb/MW-hr.
(7) Certification Fuels
(A) Natural gas.
(B) LPG that meets the standards of HD-5 propane.
(C) Surrogate digester gas that is composed of 60 to 65 percent methane and 35 to 40 percent CO2, by volume.
(D) Surrogate landfill gas that is composed of 42 to 46 percent methane, 34 to 38 percent CO2, and 18 to 22 percent N2, by volume.
(E) Surrogate oil-field waste gas that is composed of 63 to 71 percent methane, 6 to 8 percent ethane, 9 to 11 percent propane, 7 to 9 percent CO2, and 7 to 8 percent carbon compounds with four or more carbon atoms per molecule, by volume.
(e) Alternative testing procedures may be used upon written approval of the Executive Officer, if alternative procedures are deemed to be equivalent or more accurate than the prescribed procedures.
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94208. Recordkeeping.
Note     •     History

(a) The Applicant must retain all information used for the certification application. 
(b) Upon request of the Executive Officer, the Applicant will submit information to the ARB on the number and location of certified DG Units in California. 
(c) The Applicant shall maintain a log identifying the components listed pursuant to section 94204(a)(6) that are replaced, the date of replacement, and the hours of operation each replaced component was used.
(d) All records maintained pursuant to this certification program must be retained for a period of five years after the certification has expired.
(e) All records maintained pursuant to this certification program shall be submitted to the ARB upon request of the Executive Officer.
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment of subsection (b), repealer of subsection (c) and new subsections (c)-(e) filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94209. Recertification.
Note     •     History

(a) Certification is valid for five years, except as specified in section (b) below.
(b) Digester gas, landfill gas, and oil-field waste gas fueled DG Units certified pursuant to the January 1, 2008, emission standards of section 94203(c) shall be valid for five years, but no later than January 1, 2013.
(c) To recertify, the applicant must submit information required in section 94204(a)(1) through (6), detail any changes to the design or operation of the DG Unit, and provide information to satisfy any new certification requirements since the time of initial certification or recertification.
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment of subsection (a) and new subsections (b)-(c) filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94210. Fees.
Note     •     History

(a) Fees shall be due and payable to the Executive Officer at the time an application is filed. 
(b) DG Units will be assessed a fee of $7,500 for certification. 
(c) DG Units seeking voluntary certification through section 94205 will be assessed a fee of $2,500 for certification or recertification. 
(d) DG Units meeting the January 1, 2013, requirements of section 94203(c) on or before January 1, 2008, will be exempt from certification fees. These units will be subject to fees upon recertification.
(e) DG Units applying for recertification will be assessed a fee of either $7,500 if a new source test is required as part of the application package, or $2,500 if a new source test is not required.
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment of subsections (b)-(d) and new subsection (e) filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94211. Inspection.
Note     •     History

The Executive Officer, or an authorized representative of the Executive Officer, may periodically inspect manufacturers of DG Units for sale, lease, use or operation in California; distributors and retailers selling or leasing DG Units for use or operation in California; and operators of DG Units in California. The Executive Officer, or an authorized representative, may conduct any tests deemed necessary to ensure compliance with these regulations. Failure of a manufacturer, distributor, retailer, or operator to allow access for inspection purposes shall be grounds for suspension or revocation of certification. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94212. Denial, Suspension or Revocation of Certification.
Note     •     History

(a) The Executive Officer for just cause may deny, suspend or revoke an Executive Order of Certification in any of the following circumstances: 
(1) the Applicant has materially misrepresented the meaning, findings, effect or any other material aspect of the certification application, including submitting false or incomplete information in its application for certification regardless of the Applicant's personal knowledge of the falsity or incompleteness of the information; 
(2) the test data submitted by the Applicant to show compliance with this regulation have been found to be inaccurate or invalid; or 
(3) the certified unit has failed in-use to comply with the findings set forth in the Executive Order. For the purposes of this section, noncompliance with the certification may include, but is not limited to: 
(A) a repeated failure to perform to the standards set forth in this article;
(B) modification by the manufacturer of the DG Unit that results in an increase in emissions or changes the efficiency or operating conditions of such unit, without prior notice to and approval by the Executive Officer;
(C) failure to comply with request to test in-use DG Units within 60 days of a written request by the Executive Officer; or
(D) failure to submit records required per section 94208 within 60 days of a written request by the Executive Officer.
(4) The Applicant failed to comply with any other requirement set out herein.
(b) A manufacturer may be denied certification or subject to a suspension or revocation action pursuant to this section based upon the actions of an agent, employee, licensee, or other authorized representative. 
(c) The Executive Officer shall notify a manufacturer by certified mail of any action taken by the Executive Officer to deny, suspend or revoke any certification granted under this article. The notice shall set forth the reasons for and evidence supporting the action(s) taken. A suspension or revocation is effective upon receipt of the notification. 
(d) A manufacturer may request that the suspension or revocation be stayed pending a hearing under section 94213. In determining whether to grant the stay, the hearing officer shall consider the reasonable likelihood that the manufacturer will prevail on the merits of the appeal and the harm the manufacturer will likely suffer if the stay is not granted. The Executive Officer shall deny the stay if the adverse effects of the stay on the public health, safety, and welfare outweigh the harm to the manufacturer if the stay is not granted. 
(e) Once an Executive Order of Certification has been suspended pursuant to (a) above, the manufacturer must satisfy and correct all noted reasons for the suspension and submit a written report to the Executive Officer advising him or her of all such steps taken by the manufacturer before the Executive Officer will consider reinstating the certification. 
(f) After the Executive Officer suspends or revokes an Executive Order of Certification pursuant to this section and prior to commencement of a hearing under section 94213, if the manufacturer demonstrates to the Executive Officer satisfaction that the decision to suspend or revoke the certification was based on erroneous information, the Executive Officer will reinstate the certification. 
(g) Nothing in this section shall prohibit the Executive Officer from taking any other action provided for by law for violations of the Health and Safety Code. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
2. Amendment of subsection (a)(3)(A) and new subsections (a)(3)(C)-(a)(4) filed 8-8-2007; operative 9-7-2007 (Register 2007, No. 32).
§94213. Appeals.
Note     •     History

Any manufacturer whose application or certification has been denied, suspended, or revoked may request a hearing to review the action as provided herein. 
(a) Hearing Procedure. Except as provided for in section 94213(b) below, any appeal pursuant to this section 94213 shall be conducted in accordance with the Administrative Hearing Procedures for Petitions for Review of Executive Officer Decisions, Title 17 California Code of Regulations, Division 3. Chapter 1 Article 2, commencing with section 60055.1. 
(b) Review by written submission. 
(1) In lieu of the hearing procedure set forth in (a) above, a manufacturer may request that a review of the Executive Officer's decision be conducted by a hearing officer solely by written submission. 
(2) A manufacturer may request a review of the Executive Officer's decision to deny, suspend or revoke a certification no later than 20 days from the date of issuance of the notice of the denial, suspension, or revocation. Such request shall include, at a minimum, the following: 
(A) name of the manufacturer, the name, address and telephone number of the person representing the manufacturer and a statement signed by a senior officer of the manufacturer warranting that the representative has full authority to bind the manufacturer as to all matters regarding the appeal; 
(B) copy of the Executive Order granting certification and the written notification of denial; 
(C) a statement of facts and explanation of the issues to be raised setting forth the basis for challenging the denial, suspension, or revocation (conclusory allegations will not suffice) together with all documents relevant to those issues; and 
(D) the signature of the representative named in (A) above. 
(3) Upon receipt of a request for review, the request shall be referred to the administrative hearing office of the state board for assignment of a hearing officer. 
(4) Within 15 days of appointment of a hearing officer: 
(A) ARB staff shall submit a written response to the manufacturer's submission and documents in support of the Executive Officer's action no later than 10 days after receipt of the manufacturer's submission; 
(B) within 7 days of receipt of the ARB response, the manufacturer may submit one rebuttal statement which shall be limited to the issues raised in the ARB rebuttal; 
(C) if the manufacturer submits a rebuttal, ARB staff may, within 7 days of receipt of the manufacturer's rebuttal, submit one rebuttal statement which shall be limited to the issues raised in the manufacturer's rebuttal; and 
(D) the hearing officer shall receive all statements and documents and render a written decision. The hearing officer's decision shall be mailed to the manufacturer no later than 60 working days after the final deadline for submission of papers. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code. 
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
§94214. Penalties.
Note     •     History

In addition to suspension or revocation of certification as provided in section 94212, ARB may seek penalties under Health and Safety Code Division 26, Part 4., Chapter 4, Article 3 commencing with section 42400, for any violation of these regulations. 
NOTE

Authority cited: Sections 39600, 39601 and 41514.9, Health and Safety Code. Reference: Section 41514.9, Health and Safety Code.
HISTORY

1. New section filed 9-4-2002; operative 10-4-2002 (Register 2002, No. 36).
Subchapter 8.5. Consumer Products
Article 1. Antiperspirants and Deodorants
§94500. Applicability.
Note     •     History

Except as provided in section 94503, this article shall apply to any person who sells, supplies, offers for sale, or manufactures antiperspirants or deodorants for use in the state of California.
NOTE

Authority cited: Sections 39600, 39601, and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, Health and Safety Code.
HISTORY

1. New section filed 1-28-91; operative 2-27-91 (Register 91, No. 9).
2. Amendment filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
§94501. Definitions.
Note     •     History

For the purpose of this article, the following definitions apply:
(a) “Aerosol Product” means a pressurized spray system that dispenses antiperspirant or deodorant ingredients.
(b) “Antiperspirant” means any product including, but not limited to, aerosols, roll-ons, stick, pumps, pads, creams, and squeeze-bottles, that is intended by the manufacturer to be used to reduce perspiration in the human axilla by at least 20 percent in at least 50 percent of a target population.
(c) “Colorant” means any substance or mixture of substances, the primary purpose of which is to color or modify the color of something else.
(d) “Deodorant” means:
(1) for products manufactured before January 1, 2006: any product including, but not limited to, aerosols, roll-ons, sticks, pumps, pads, creams, and squeeze-bottles, that is intended by the manufacturer to be used to minimize odor in the human axilla by retarding the growth of bacteria which cause the decomposition of perspiration.
(2) for products manufactured on or after January 1, 2006: any product including, but not limited to, aerosol, roll-ons, sticks, pumps, pads, creams, and squeeze-bottles, that indicates or depicts on the container or packaging, or on any sticker or label affixed thereto, that the product ca be used on or applied to the human axilla to provide a scent and/or minimize order.
(e) “Executive Officer” means the Executive Officer of the Air Resources Board, or his or her delegate.
(f) “Fragrance” means a substance or complex mixture of aroma chemicals, natural essential oils, and other functional components with a combined vapor pressure not in excess of 2 mm of Hg at 20oC, the sole purpose of which is to impart an odor or scent, or to counteract a malodor.
(g) “High Volatility Organic Compound (HVOC)” means any organic compound that exerts a vapor pressure greater than 80 millimeters of Mercury (mm Hg) when measured at 20oC.
(h) “Manufacturer” means any person who imports, manufactures, assembles, produces, packages, repackages, or relabels an antiperspirant or deodorant.
(i) “Medium Volatility Organic Compound (MVOC)” means any organic compound that exerts vapor pressure greater than 2 mm Hg and less than or equal to 80 mm Hg when measured at 20oC.
(j) “Non-aerosol Product” means any antiperspirant or deodorant that is not dispensed by a pressurized spray system.
(k) “Roll-on Product” means any antiperspirant or deodorant that dispenses active ingredients by rolling a wetted ball or wetted cylinder on the affected area.
(l) “Stick Product” means any antiperspirant or deodorant that contains active ingredients in a solid matrix form, and that dispenses the active ingredients by frictional action on the affected area.
(m) “Volatile Organic Compound (VOC)” means any compound containing at least one atom of carbon, excluding carbon monoxide, carbon dioxide, carbonic acid, metallic carbides or carbonates, and ammonium carbonate, and excluding the following:
(1) methane,
methylene chloride (dichloromethane),
1,1,1-trichloroethane (methyl chloroform),
trichlorofluoromethane (CFC-11),
dichlorodifluoromethane (CFC-12),
1,1,2-trichloro-1,2,2-trifluoroethane (CFC-113),
1,2-dichloro-1,1,2,2-tetrafluoroethane (CFC-114),
chloropentafluoroethane (CFC-115),
chlorodifluoromethane (HCFC-22),
1,1,1-trifluoro-2,2-dichloroethane (HCFC-123),
1,1-dichloro-1-fluroethane (HCFC-141b),
1-chloro-1,1-difluorethane (HCFC-142b),
2-chloro-1,1,1,2-tetrafluoroethane (HCFC-124),
trifluoromethane (HFC-23),
1,1,2,2-tetrafluoroethane (HFC-134),
1,1,1,2-tetrafluoroethane (HFC-134a),
pentafluoroethane (HFC-125),
1,1,1-trifluoroethane (HFC-143a),
1,1-difluoroethane (HFC-152a),
cyclic, branched, or linear completely methylated siloxanes,
the following classes of perfluorocarbons:
(A) cyclic, branched, or linear, completely fluorinated alkanes;
(B) cyclic, branched, or linear, completely fluorinated ethers with no unsaturations;
(C) cyclic, branched, or linear, completely fluorinated tertiary amines with no unsaturations; and
(D) sulfur-containing perfluorocarbons with no unsaturations and with the sulfur bonds to carbon and fluorine, and
(2) the following low-reactive organic compounds which have been exempted by the U.S. EPA:
acetone,
ethane,
methyl acetate
parachlorobenzotrifluoride (1-chloro-4-trifluoromethyl benzene).
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-28-91; operative 2-27-91 (Register 91, No. 9).
2. Amendment of subsection (n) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
4. Amendment of subsection (m)(2) filed 5-25-99; operative 6-24-99 (Register 99, No. 22).
5. Amendment of subsection (d) and new subsections (d)(1)-(2) filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
§94502. Standards for Antiperspirants and Deodorants.
Note     •     History

(a) Except as provided in sections 94503 (Exemptions), 94503.5 (Innovative Products), 94505 (Variances) and 94567(a)(1) (Hairspray Credit Program), Title 17, California Code of Regulations, no person shall sell, supply, offer for sale, or manufacture for sale in California any antiperspirant or deodorant which, at the time of sale or manufacture, contains volatile organic compounds in excess of the limits specified in the following Tables of Standards, after the specified effective date, or after any date that has been specified by the Executive Officer pursuant to subsections (d)(2) or (d)(5):
(1) The following Table of Standards applies to products manufactured before January 1, 2001.

Table of Standards
For products manufactured before January 1, 2001
(percent volatile organic compounds by weight)

Effective Dates

	  12/31/92	1/1/95	1/1/97	1/1/99

	HVOCa MVOCb	HVOCa  MVOCb	HVOCa  MVOCb	HVOCa  MVOCb

Aerosol Products in
Compliance Planc
 Antiperspirants	60	20			40	10	0	10
 Deodorants		20	20			14	10	0	10

All Other Aerosol
Products

 Antiperspirants	60	20	0	10
 Deodorants		20	20	0	10
Non-Aerosol		0	0	0	0
Products

______________

aHigh volatility organic compounds, i.e., any organic compound that exerts a vapor pressure greater than 80 mm Hg when measured at 20oC.

bMedium volatility organic compounds, i.e., any organic compound that exerts a vapor pressure greater than 2 mm Hg and less than or equal to 80 mm Hg when measured at 20oC.

cThese standards apply to aerosol products manufactured by companies that have submitted a compliance plan pursuant to Section 94502(d), which has been approved by the Executive Officer.

(2) The following Table of Standards applies to products manufactured beginning January 1, 2001.

Table of Standards
For products manufactured beginning January 1, 2001
(percent volatile organic compounds by weight)

	Effective Dates

	1/1/01

	HVOCa	MVOCb

Aerosol Products
Antiperspirants	40	10
Deodorants	0	10
Non-Aerosol
Products	0	0

______________

aHigh volatility organic compounds, i.e., any organic compound that exerts a vapor pressure greater than 80 mm Hg when measured at 20oC.

bMedium volatility organic compounds, i.e., any organic compound that exerts a vapor pressure greater than 2 mm Hg and less than or equal to 80 mm Hg when measured at 20oC.

(b) No person shall sell, supply, offer for sale, or manufacture for sale in California any antiperspirant or deodorant which contains any of the following ozone-depleting compounds: CFC-11 (trichlorofluoromethane), CFC-12 (dichlorodifluoromethane), CFC-113 (1,1,2-trichloro-1,2,2-trifluoroethane), CFC-114 (1-chloro-1,1-difluoro-2-chloro-2,2-difluoroethane), CFC-115 (chloropentafluoroethane), halon 1211 (bromochlorodifluoromethane), halon 1301 (bromotrifluoro—methane), halon 2404 (dibromotetrafluoromethane), HCFC-22 (chlorodifluoromethane), HCFC-123 (2,2-dichloro-1,1,1-trifluoroethane), HCFC-124 (2-chloro-1,1,1,2-tetrafluoroethane), HCFC-141b (1,1-dichloro-1-fluoroethane), HCFC-142b (1-chloro-1,1-difluoro—ethane), 1,1,1-trichloroethane, and carbon tetrachloride.
(c) No person shall sell, supply, offer for sale, or manufacture for sale in California any antiperspirant or deodorant which contains any compound that has been identified by the ARB in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 7, Section 93000 as a toxic air contaminant.
(d) Special Requirements for Aerosol Manufacturers. This subsection (d) applies only to aerosol antiperspirant and deodorant products manufactured before January 1, 1999.
(1) A manufacturer of aerosol products may submit to the Executive Officer a compliance plan which describes how the manufacturer will achieve compliance with the requirements of section 94502 (a) for aerosol products.
(2) For each aerosol manufacturer who submits a compliance plan pursuant to subsection (d) (1), the Executive Officer shall suspend the 1/1/1995 requirements of section 94502 (a) for aerosol products until a date on or before January 1, 1999, if the compliance plan demonstrates to the Executive Officer's satisfaction that the manufacturer is making good faith efforts, either independently or as part of a cooperative effort with other manufacturers, to develop aerosol products that will comply with the requirements of section 94502(a) in accordance with a schedule which is reasonably likely to enable the manufacturer to produce an acceptable aerosol product which complies with these requirements by a date on or before January 1, 1999. Before reaching a decision to suspend the requirements of Section 94502(a), the Executive Officer may request an aerosol manufacturer to modify the compliance plan to include additional information.
(3) In order to qualify for a suspension under subsection (d)(2), the compliance plan submitted by the manufacturer must contain all of the following:
(A) A compliance schedule setting forth the sequence and respective dates for all key events in the process of developing aerosol products complying with the requirements of section 94502 (a).
(B) A commitment by each manufacturer which specifies that:
1. No later than January 1, 1997, the manufacturer will complete reformulation of aerosol antiperspirant and deodorant products to meet the 1/1/1997 standards specified in Section 94502(a) for aerosol products in a compliance plan.
2. No later than January 1, 1997, the manufacturer will cease manufacturing products for use in California that do not comply with the 1/1/1997 standards specified in Section 94502(a) for aerosol products in a compliance plan.
3. No later than January 1, 2000, the manufacturer will cease to sell, supply, or offer for sale of all products manufactured prior to January 1, 1997, that do not comply with the 1/1/1997 standards specified in Section 94502(a) for aerosol products in a compliance plan.
(C) For each manufacturer, technical detail and information on the progress each manufacturer has made and the effort each plans to make to comply with both the 1/1/1997 and 1/1/1999 HVOC standards specified in Section 94502(a) for aerosol products in a compliance plan, including individual company timetables with “milestones” or increments of progress which allow progress to be measured. The technical information shall be sufficiently detailed to allow individual manufacturer's compliance efforts to be monitored including, at a minimum, the following information:
1. Documentation of past, planned and ongoing research to meet the 1/1/1997 HVOC standards. Documentation will include data to support whether the 1/1/1997 standards represent the lowest achievable HVOC content, by whatever method or technology is chosen by the manufacturer. If hydrofluorocarbon-152a (“HFC-152a”) is part of the technology to be used by the manufacturer, the information shall include, at a minimum: the manufacturer's current HFC-152a allocation for any use; the supply of HFC-152a to meet the manufacturer's needs for the aerosol antiperspirant and deodorant market; an indication as to whether the amount specified is needed to cover national or California sales; manufacturer's efforts to date to receive necessary allocations; time-frame to receive allocations; the actual path to compliance, including information on the types of formulations to be tested, formulation data, prototype testing, toxicity and stability tests, packaging and valve testing, safety and efficacy testing, consumer market testing and consumer acceptance, management decision for go-ahead, large-scale production, and availability to consumer; critical path identification; the expected date of aerosol antiperspirant and deodorant production that meets the 1/1/1997 standards; and a back-up plan that describes the manufacturer's actions should HFC-152a not be available in sufficient quantities.
If a compliance method or technology other than the use of HFC-152a is chosen, the information will include at a minimum: actual path to compliance, including information on the types of formulations to be tested, formulation data, prototype testing, toxicity and stability tests, packaging and valve testing, safety and efficacy testing, consumer market testing and customer acceptance, management decision for go-ahead, large-scale production, and availablity to consumer; critical path identification; expected date to produce aerosol antiperspirants and deodorants that meet the 1/1/1997 HVOC standards; and a back-up plan describing the manufacturer's actions should the chosen compliance method or technology not succceed.
2. A description of past, ongoing, and planned research efforts to achieve the 1/1/1999 HVOC standards. The information required will be the same as for the 1/1/1997 HVOC standards, as described in Section 94502(d)(3)(C) above. This information will also include a detailed description of the pursued technologies, current status of this technology, and the feasibility of attaining the 1/1/1999 standards. The documentation will outline key events and a timetable in the development of products to meet the 1/1/1999 HVOC standards and alternative plans if the technology does not develop as expected.
3. A list of products which each individual manufacturer will be producing under this compliance plan.
(4) A manufacturer who has received a suspension pursuant to subsection (d)(2) shall submit annual updates to the compliance plan to the Executive Officer on January 1, 1995, January 1, 1996, January 1, 1997, January 1, 1998, and January 1, 1999. These updates shall describe any changes or revisions that should be made to the compliance plan, based on any changed circumstances that have occurred since the submittal of the compliance plan or the last update. A manufacturer who has received a suspension pursuant to subsection (d)(2) shall also notify the Executive Officer in writing within 10 days after the failure of the manufacturer to meet any increment of progress specified in the compliance plan, or in any annual update to the compliance plan, and the likely effect of that failure on the ability of the manufacturer to comply with section 94502(a) by the date specified by the Executive Officer pursuant to subsection (d)(2).
(5) Within 120 days after each compliance plan update is due, or within 120 days after notification by a manufacturer pursuant to subsection (d)(4), the Executive Officer shall determine whether the manufacturer is continuing to make good faith efforts to develop aerosol products that will comply with the requirements of section 94502(a) in accordance with a schedule which is reasonably likely to enable the manufacturer to produce an acceptable aerosol product which complies with these requirements. If the Executive Officer determines that the manufacturer is not making such good faith efforts, the Executive Officer shall withdraw the suspension effective immediately upon written notification of the withdrawal to the manufacturer. Any antiperspirant or deodorant product manufactured prior to the date on which the manufacturer is notified that the suspension is withdrawn may be sold, supplied, or offered for sale up to three years after the effective date of the suspension withdrawal.
(6) A manufacturer may request a public hearing to review any decision made by the Executive Officer pursuant to subsections (d)(2) and (d)(5). The hearing shall be held in accordance with the procedures specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 1, Article 4 (commencing with Section 60040).
(e) Notwithstanding the provisions of Section 94502(a), an antiperspirant or deodorant product manufactured prior to each of the effective dates specified for that product in the Table of Standards may be sold, supplied, or offered for sale up to three years after each of the specified effective dates. In addition, an aerosol antiperspirant or deodorant product manufactured prior to any compliance date specified by the Executive Officer pursuant to Section 94502(d)(2) may be sold, supplied, or offered for sale up to three years after the specified compliance date. This subsection (e) does not apply to any antiperspirant or deodorant product which does not display on the product container or package the date on which the product was manufactured, or a code indicating such date.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-28-91; operative 2-27-91 (Register 91, No. 9).
2. Amendment of subsections (c), (d), (e)(5), and new subsection (f) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
4. Amendment to subsections (d)(3)(B)3., (d)(5) and (e) filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
5. Amendment of subsection (a) filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
6. Editorial correction of subsection (d)(4) (Register 99, No. 1).
7. Amendment of subsection (a), including redesignation and amendment of a portion of subsection (a) as new subsection (a)(1), new subsection (a)(2), and amendment of subsections (c), (d) and (e) filed 6-6-2001; operative 6-6-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 23). 
§94503. Exemptions.
Note     •     History

(a) This article shall not apply to any person who manufactures antiperspirants or deodorants in California for shipment and use outside of California.
(b) The requirements of Section 94502(a) shall not apply to fragrances and colorants up to a combined level of 2 percent by weight contained in any antiperspirant or deodorant.
(c) The requirements of Section 94502(a) shall not apply to those volatile organic compounds that contain more than 10 carbon atoms per molecule and for which the vapor pressure is unknown, or that have a vapor pressure of 2 mm Hg or less at 20o C.
(d) The medium volatility organic compound (MVOC) content standards specified in Section 94502(a), shall not apply to ethanol.
NOTE

Authority cited: Sections 39600, 39601, and 41712 Health and Safety Code. Reference: Sections 39002, 39600. 40000, and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-28-91; operative 2-27-91 (Register 91, No. 9).
2. Amendment of subsections (c) and (d) filed 2-29-96; operative 3-30-96  (Register 96, No. 9).
§94503.5. Innovative Products.
Note     •     History

(a) The Executive Officer shall exempt an antiperspirant or deodorant product from the requirements of Section 94502(a) if a manufacturer demonstrates by clear and convincing evidence that, due to some characteristic of the product formulation, design, delivery systems, or other factors, the use of the product will result in less VOC emissions as compared to:
(1) the VOC emissions from a representative antiperspirant or deodorant product which complies with the VOC Standards specified in Sections 94502(a), or
(2) the calculated VOC emissions from a non-complying representative product, if the product had been reformulated to comply with the VOC standards specified in Section 94502(a). VOC emissions shall be calculated using the following equation:

View Graphic
Where:
ER = the VOC emissions from the noncomplying representative product, had it been reformulated.
ENC = The VOC emissions from the noncomplying representative product in its current formulation.
VOCSTD = The VOC standard specified in 94502(a).
VOCNC = The VOC content of the noncomplying product in its current formulation.
If a manufacturer demonstrates that this equation yields inaccurate results due to some characteristic of the product formulation or other factors, an alternative method which accurately calculates emissions may be used upon approval of the Executive Officer.
(b) For the purposes of this section, “representative antiperspirant or deodorant product” means an antiperspirant or deodorant product which meets all of the following criteria:
(1) the representative product shall be subject to the same VOC limit in Section 94502(a) as the innovative product.
(2) the representative product shall be of the same product form as the innovative product, unless the innovative product uses a new form which does not exist in the product category at the time the application is made.
(3) the representative product shall have at least similar efficacy as other consumer products in the same product category based on tests generally accepted for that product category by the consumer products industry.
(c) A manufacturer shall apply in writing to the Executive Officer for any exemption claimed under subsection (a). The application shall include the supporting documentation that demonstrates the reduction of emissions from the innovative product, including the actual physical test methods used to generate the data and, if necessary, the consumer testing undertaken to document product usage. In addition, the applicant must provide any information necessary to enable the Executive Officer to establish enforceable conditions for granting the exemption including the VOC content for the innovative product and test methods for determining the VOC content. All information submitted by a manufacturer pursuant to this section shall be handled in accordance with the procedures specified in Title 17, California Code of Regulation, Sections 91000-91022.
(d) Within 30 days of receipt of the exemption application the Executive Officer shall determine whether an application is complete as provided in section 60030(a), Title 17, California Code of Regulations.
(e) Within 90 days after an application has been deemed complete, the Executive Officer shall determine whether, under what conditions, and to what extent, an exemption from the requirements of Section 94502(a)  will be permitted. The applicant and the Executive Officer may mutually agree to a longer time period for reaching a decision, and additional supporting documentation may be submitted by the applicant before a decision has been reached. The Executive Officer shall notify the applicant of the decision in writing and specify such terms and conditions that are necessary to insure that emissions from the product will meet the emissions reductions specified in subsection (a), and that such emissions reductions can be enforced.
(f) In granting an exemption for a product, the Executive Officer shall establish conditions that are enforceable. These conditions shall include the allowable VOC content of the innovative product, dispensing rates, application rates, and any other parameters determined by the Executive Officer to be necessary. The Executive Officer shall also specify the test methods for determining conformance to the conditions established. The test methods shall include criteria for reproducibility, accuracy, and sampling and laboratory procedures.
(g) For any product for which an exemption has been granted pursuant to this section, the manufacturer shall notify the Executive Officer in writing within 30 days of any change in the product formulation or recommended product usage directions, and shall also notify the Executive Officer within 30 days if the manufacturer learns of any information which would alter the emissions estimates submitted to the Executive Officer in support of the exemption application.
(h) If VOC standards are lowered for a product category through any subsequent rulemaking, all innovative product exemptions granted for products in the product category, except as provided in this subsection (h), shall have no force and effect as of the effective date of the modified VOC standard. This subsection (h) shall not apply to those innovative products which have VOC emissions less than the appropriate lowered VOC standard and for which a written notification of the product's emissions status versus the lowered VOC standard has been submitted to and approved by the Executive Officer at least 60 days before the effective date of such standard.
(i) If the Executive Officer believes that an antiperspirant or deodorant  product for which an exemption has been granted no longer meets the criteria for an innovative product specified in subsection (a), the Executive Officer may modify or revoke the exemption as necessary to assure that the product will meet these criteria. The Executive Officer shall not modify or revoke an exemption without first affording the applicant an opportunity for a public hearing held in accordance with the procedures specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 1, Article 4 (commencing with Section 60040), to determine if the exemption should be modified or revoked.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of subsection (a) to create a new subsection (a)(1), new subsection (a)(2), amendment of subsection (b), new subsections (b)(1)-(3), repealer of subsection (c) and relettering, and amendment of subsections (c), (e)-(f), and (i) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment of subsections (a)-(a)(2), (b)-(b)(1), (e) and (h)-(i) filed  2-29-96; operative 3-30-96 (Register 96, No. 9).
§94504. Administrative Requirements.
Note     •     History

(a) Labeling.
(1) No later than three months after the effective date of this article, each manufacturer of an antiperspirant or deodorant subject to this article shall clearly display on each container of antiperspirant or deodorant, the date on which the product was manufactured, or a code indicating such date. If a manufacturer uses a code indicating the date of manufacture, an explanation of the code must be filed with the Executive Officer in advance of the code's use by the manufacturer.
(2) Location of Labeling Information: The date or date-code information required by subsection (a)(1) shall be located in the container so that it is readily observable without disassembling any part of the container or packaging.
(3) Defacing of Containers: No person shall erase, alter, deface or otherwise remove or make illegible any date or date-code from any regulated product container without the express authorization of the manufacturer.
(b) Reporting.
(1) Upon 90 days written notice each manufacturer subject to this article shall submit to the Executive Officer the following information:
(A) the brand name for each antiperspirant or deodorant product;
(B) the owner of the trademark or brand name;
(C) the product forms (aerosol, pump, liquid, solid, etc.);
(D) the California annual sales in pounds per year and the method used to calculate California annual sales;
(E) the total VOC (as defined in Section 94501(m)) content in percent by weight which: (a) has a vapor pressure of 2.0 mm Hg or less at 20oC or (b) consists of more than 10 carbon atoms, if the vapor pressure is unknown;
(F) the total HVOC and MVOC content and type (as defined in Section 94502(a)) in percent by weight;
(G) the percent by weight of VOC, water, solids, propellant, and any compounds that are exempt from the definition of VOC specified in section 94501;
(H) any additional information necessary to determine volatile organic compound emissions from any antiperspirant or deodorant products.
(2) All information submitted by manufacturers pursuant to Section 94504(b) shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-91022.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-28-91; operative 2-27-91 (Register 91, No. 9).
2. Amendment of subsection (b) filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
3. Redesignation of part of subsection (a) as new subsection (a)(1) and new subsections (a)(2)-(3), amendment of subsections (b)1) and (b)(2)(E)-(F), new subsection (b)(3) and subsection renumbering filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
4. Change without regulatory effect amending subsection (b)(2)(E) filed 1-6-98 pursuant to section 100, title 1, California Code of Regulations (Register 98, No. 2).
5. Amendment filed 6-6-2001; operative 6-6-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 23). 
§94505. Variances.
Note     •     History

(a) Any person who cannot comply with the requirements set forth in Section 94502, because of extraordinary reasons beyond the person's reasonable control may apply in writing to the Executive Officer for a variance. The variance application shall set forth:
(1) the specific grounds upon which the variance is sought;
(2) the proposed date(s) by which compliance with the provisions of Section 94502 will be achieved, and
(3) a compliance report reasonably detailing the method(s) by which compliance will be achieved.
(b) Upon receipt of a variance application containing the information required in subsection (a), the Executive Officer shall hold a public hearing to determine whether, under what conditions, and to what extent, a variance from the requirements in Section 94502 is necessary and will be permitted. A hearing shall be initiated no later than 75 days after receipt of a variance application. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the California Regulatory Notice Register and sent to every person who requests such notice, not less than 30 days prior to the hearing.The notice shall state that the parties may, but need not be, represented by counsel at the hearing. At least 30 days prior to the hearing, the variance application shall be made available to the public for inspection. Information submitted to the Executive Officer by a variance applicant may be claimed as confidential, and such information shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-910022. The Executive Officer may consider such confidential information in reaching a decision on a variance application. Interested members of the public shall be allowed a reasonable opportunity to testify at the hearing and their testimony shall be considered.
(c) No variance shall be granted unless all of the following findings are made:
(1) That, because of reasons beyond the reasonable control of the applicant, requiring compliance with Section 94502 would result in extraordinary economic hardship;
(2) that the public interest in mitigating the extraordinary hardship to the applicant by issuing the variance outweighs the public interest in avoiding any increased emissions of air contaminants which would result from issuing the variance;
(3) that the compliance report proposed by the applicant can reasonably be implemented, and will achieve compliance as expeditiously as possible.
(d) Any variance order shall specify a final compliance date by which the requirements of Section 94502 will be achieved. Any variance order shall contain a condition that specifies increments of progress necessary to assure timely compliance, and such other conditions that the Executive Officer, in consideration of the testimony received at the hearing, finds necessary to carry out the purposes of Division 26 of the Health and Safety Code.
(e) A variance shall cease to be effective upon failure of the party to whom the variance was granted to comply with any term or condition of the variance.
(f) Upon the application of any person, the Executive Officer may review, and for good cause, modify or revoke a variance from requirements of Section 94502 after holding a public hearing in accordance with the provisions of subsection (b).
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-28-91; operative 2-27-91 (Register 91, No. 9).
2. Amendment of subsection (b) filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
3. Amendment of subsection (b) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
4. Repealer of subsection (e) and subsection relettering filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
§94506. Test Methods.
Note     •     History

(a)(1) Testing to determine the volatile organic compound content of an antiperspirant or deodorant, or to determine compliance with the requirements of this article, shall be performed using Air Resources Board Method 310, Determination of Volatile Organic Compounds (VOC) in Consumer Products, adopted September 25, 1997 and as last amended on May 5, 2005, which is incorporated herein by reference. Alternative methods which are shown to accurately determine the concentration of VOCs in a subject product or its emissions may be used upon approval of the Executive Officer.
(2) In sections 3.5 and 3.7 of Air Resources Board (ARB) Method 310, a process is specified for the “Initial Determination of VOC Content” and the “Final Determination of VOC Content”. This process is an integral part of testing procedures set forth in ARB Method 310, and is reproduced below:
Sections 3.5 and 3.7 of Air Resources Board Method 310
3.5 Initial Determination of VOC Content. The Executive Officer will determine the VOC content pursuant to sections 3.2 and 3.3. Only those components with concentrations equal to or greater than 0.1 percent by weight will be reported.
3.5.1 Using the appropriate formula specified in section 4.0, the Executive Officer will make an initial determination of whether the product meets the applicable VOC standards specified in ARB regulations. If initial results show that the product does not meet the applicable VOC standards, the Executive Officer may perform additional testing to confirm the initial results.
3.5.2 If the results obtained under section 3.5.1 show that the product does not meet the applicable VOC standards, the Executive Officer will request the product manufacturer or responsible party to supply product formulation data. The manufacturer or responsible party shall supply the requested information. Information submitted to the ARB Executive Officer may be claimed as confidential; such information will be handled in accordance with the confidentiality procedures specified in Title 17, California Code of Regulations, sections 91000 to 91022.
3.5.3 If the information supplied by the manufacturer or responsible party shows that the product does not meet the applicable VOC standards, then the Executive Officer will take appropriate enforcement action.
3.5.4 If the manufacturer or responsible party fails to provide formulation data as specified in section 3.5.2, the initial determination of VOC content under this section 3.5 shall determine if the product is in compliance with the applicable VOC standards. This determination may be used to establish a violation of ARB regulations.
3.7 Final Determination of VOC Content. If a product's compliance status is not satisfactorily resolved under sections 3.5 and 3.6, the Executive Officer will conduct further analyses and testing as necessary to verify the formulation data.
3.7.1 If the accuracy of the supplied formulation data is verified and the product sample is determined to meet the applicable VOC standards, then no enforcement action for violation of the VOC standards will be taken.
3.7.2 If the Executive Officer is unable to verify the accuracy of the supplied formulation data, then the Executive Officer will request the product manufacturer or responsible party to supply information to explain the discrepancy.
3.7.3 If there exists a discrepancy that cannot be resolved between the results of Method 310 and the supplied formulation data, then the results of Method 310 shall take precedence over the supplied formulation data. The results of Method 310 shall then determine if the product is in compliance with the applicable VOC standards, and may be used to establish a violation of ARB regulations.
(b) Testing to determine compliance with the requirements of this article may also be demonstrated through calculation of the volatile organic compound content from records of the amounts of constituents used to make the product. Compliance determination based on these records may not be used unless the manufacturer of a consumer product keeps accurate records for each day of production of the amounts and chemical composition of the individual product constituents. These records must be kept for at least three years.
(c) No person shall create, alter, falsify, or otherwise modify records in such a way that the records do not accurately reflect the constituents used to manufacture a product, the chemical composition of the individual product, and any other tests, processes, or records used in connection with product manufacture.
NOTE

Authority cited: Sections 39600, 39601, 39607, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 39607, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-28-91; operative 2-27-91 (Register 91, No. 9).
2. Amendment of subsection (a) and adoption of subsection (b) filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
3. Amendment of subsection (b) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
4. New subsection (c) filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
5. Amendment of section and Note filed 11-13-97; operative 12-13-97 (Register 97, No. 46).
6. Amendment filed 11-16-99; operative 12-16-99 (Register 99, No. 47).
7. Amendment of subsection (a)(1) filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
§94506.5. Federal Enforceability.
Note     •     History

For purposes of federal enforceability of this article, the Environmental Protection Agency is not subject to approval determinations made by the Executive Officer under Section 94503.5, 94505, or 94506. Within 180 days of a request from a person who has been granted an exemption or variance under Section 94503.5 or 94505, an exemption or variance meeting the requirements of the Clean Air Act shall be submitted by the Executive Officer to the Environmental Protection Agency for inclusion in the applicable implementation plan approved or promulgated by the Environmental Protection Agency pursuant to Section 110 of the Clean Air Act, 42 U.S.C., Section 7410. Prior to submitting an exemption granted under Section 94503.5 as a revision to the applicable implementation plan, the Executive Officer shall hold a public hearing on the proposed exemption. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the California Regulatory Notice Register and sent to the Environmental Protection Agency, every person who requests such notice, and to any person or group of persons whom the Executive Officer believes may be interested in the application. Within 30 days of the hearing the Executive Officer shall notify the applicant of the decision in writing as provided in Section 94503.5(f). The decision may approve, disapprove, or modify an exemption previously granted pursuant to Section 94503.5.
NOTE

Authority cited: Sections 39600, 39601, 39602 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 39602, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment filed 11-16-99; operative 12-16-99 (Register 99, No. 47).
Article 2. Consumer Products
§94507. Applicability. 
Note     •     History

Except as provided in Sections 94509(i) and 94510, this article shall apply to any person who sells, supplies, offers for sale, or manufactures consumer products for use in the state of California.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment filed 12-7-92; operative 1-6-93 (Register 92, No. 50). 
3. Editorial correction deleting duplicate article heading (Register 92, No. 50).
4. Amendment filed 10-20-2000; operative 11-19-2000 (Register 2000, No. 42).
§94508. Definitions. 
Note     •     History

(a) For the purpose of this article, the following definitions apply:
(1) “Adhesive” means any product that is used to bond one surface to another by attachment. “Adhesive” does not include products used on humans and animals, adhesive tape, contact paper, wallpaper, shelf liners, or any other product with an adhesive incorporated onto or in an inert substrate. For “Contact Adhesive,” “Construction, Panel, and Floor Covering Adhesive,” and “General Purpose Adhesive” only, “adhesive” also does not include units of product, less packaging, which weigh more than one pound and consist of more than 16 fluid ounces. This limitation does not apply to aerosol adhesives.
(2) “Adhesive Remover” means a product designed to remove adhesive from either a specific substrate or a variety of substrates. “Adhesive Remover” does not include products that remove adhesives intended for use on humans or animals.
For the purpose of this definition and “Adhesive Remover” subcategories (A-D), the term “adhesive” shall mean a substance used to bond one or more materials. Adhesive includes, but is not limited to: caulks; sealants; glues; or similar substances used for the purpose of forming a bond.
(A) “Floor or Wall Covering Adhesive Remover” means a product designed or labeled to remove floor or wall coverings and associated adhesive from the underlying substrate.
(B) “Gasket or Thread Locking Adhesive Remover” means a product designed or labeled to remove gaskets or thread locking adhesives. Products labeled for dual use as a paint stripper and gasket remover and/or thread locking adhesive remover are considered “Gasket or Thread Locking Adhesive Remover.”
(C) “General Purpose Adhesive Remover” means a product designed or labeled to remove cyanoacrylate adhesives as well as nonreactive adhesives or residue from a variety of substrates. “General Purpose Adhesive Remover” includes, but is not limited to, products that remove thermoplastic adhesives; pressure sensitive adhesives; dextrine or starch-based adhesives; casein glues; rubber or latex-based adhesives; as well as products that remove stickers; decals; stencils; or similar materials. “General Purpose Adhesive Remover” does not include “Floor or Wall Covering Adhesive Remover.”
(D) “Specialty Adhesive Remover” means a product designed to remove reactive adhesives from a variety of substrates. Reactive adhesives include adhesives that require a hardener or catalyst in order for the bond to occur. Examples of reactive adhesives include, but are not limited to: epoxies; urethanes; silicones. “Specialty Adhesive Remover” does not include “Gasket or Thread Locking Adhesive Remover.”
(3) “Aerosol Adhesive” means any adhesive packaged as an aerosol product in which the spray mechanism is permanently housed in a nonrefillable can designed for hand-held application without the need for ancillary hoses or spray equipment. Aerosol adhesives include special purpose spray adhesives, mist spray adhesives, and web spray adhesives.
(4) “Aerosol Cooking Spray” means any aerosol product designed either to reduce sticking on cooking and baking surfaces or to be applied on food, or both.
(5) “Aerosol Product” means a pressurized spray system that dispenses product ingredients by means of a propellant contained in a product or a product's container, or by means of a mechanically induced force. “Aerosol Product” does not include “Pump Spray.”
(6) “Agricultural Use” means the use of any pesticide or method or device for the control of pests in connection with the commercial production, storage or processing of any animal or plant crop. “Agricultural Use” does not include the sale or use of pesticides in properly labeled packages or containers which are intended for: (A) Home use, (B) Use in structural pest control, or (C) Industrial or Institutional use. For the purposes of this definition only:
“Home use” means use in a household or its immediate environment.
“Structural pest control” means a use requiring a license under Chapter 14 (commencing with Section 8500), Division 3, of the Business and Professions Code.
“Industrial use” means use for or in a manufacturing, mining, or chemical process or use in the operation of factories, processing plants, and similar sites.
“Institutional use” means use within the confines of, or on property necessary for the operation of buildings such as hospitals, schools, libraries, auditoriums, and office complexes.
(7) “Air Freshener” means any product including, but not limited to, sprays, wicks, wipes, diffusers, powders, and crystals, designed or labeled for the purpose of masking odors, or freshening, cleaning, scenting, or deodorizing the air. “Air Freshener” includes dual/purpose air freshener/disinfectant products. “Air Freshener” does not include products that are used on the human body, products that function primarily as cleaning products as indicated on a product label, “Odor Remover/Eliminator,” or “Toilet/Urinal Care Product.”
(8) “Alkylphenol Ethoxylate” means, for the purpose of this regulation only, a nonionic surface active agent (surfactant) compound composed of an alkyl chain that contains at least eight carbon atoms and a polyethoxylate chain attached to a benzene ring. “Alkylphenol Ethoxylate” includes, but is not limited to, octylphenol ethoxylate with an alkyl chain consisting of eight carbon atoms and nonylphenol ethoxylate with an alkyl chain consisting of a nine carbon atoms. 
(9) “All Other Carbon-Containing Compounds” means all other compounds which contain at least one carbon atom and are not a “Table B” or a “LVP-VOC.”
(10) “All Other Forms” means all consumer product forms for which no form-specific VOC standard is specified. Unless specified otherwise by the applicable VOC standard, “all other forms” include, but are not limited to, solids, liquids (which includes the liquid containing or liquid impregnated portion of the cloth or paper wipes (towelettes), wicks, powders, and crystals.
(11) “Antimicrobial Hand or Body Cleaner or Soap” means a cleaner or soap which is designed to reduce the level of microorganisms on the skin through germicidal activity, and is regulated as an over-the-counter drug by the U.S. Food and Drug Administration. “Antimicrobial Hand or Body Cleaner or Soap” includes, but is not limited to, (A) antimicrobial hand or body washes/cleaners, (B) foodhandler hand washes, (C) healthcare personnel hand washes, (D) pre-operative skin preparations and (E) surgical scrubs. “Antimicrobial Hand or Body Cleaner or Soap” does not include prescription drug products, antiperspirants, “Astringent/Toner,” deodorant, “Facial Cleaner or Soap,” “General-use Hand or Body Cleaner or Soap,” “Hand Dishwashing Detergent” (including antimicrobial), “Heavy-duty Hand Cleaner or Soap,” “Medicated Astringent/Medicated Toner,” and “Rubbing Alcohol.”
(12) “Anti-Static Product” means a product that is labeled to eliminate, prevent, or inhibit the accumulation of static electricity. “Anti-Static Product” does not include “Electronic Cleaner,” “Floor Polish or Wax,” “Floor Coating,” and products that meet the definition of “Aerosol Coating Product” or “Architectural Coating.”
(13) “Architectural Coating” means a coating applied to stationary structures and their appurtenances, to mobile homes, to pavements, or to curbs.
(14) “Aromatic Compound” means a carbon containing compound that contains one or more benzene or equivalent heterocyclic rings and has an initial boiling point less than or equal to 280oC. “Aromatic Compound” does not include compounds excluded from the definition of Volatile Organic Compound (VOC) in this Section 94508(a).
(15) “Artist's Solvent/Thinner” means any liquid product, labeled to meet ASTM D4236 -- 94 (March 1, 2005) Standard Practice for Labeling Art Materials for Chronic Health Hazards, which is incorporated by reference herein, and packaged in a container equal to or less than 34 fluid ounces, labeled to reduce the viscosity of, and or remove, art coating compositions or components.
(16) “ASTM” means ASTM International.
(17) “Astringent/Toner” means any product designed or labeled to be applied to the skin for the purpose of cleaning or tightening pores. This category also includes clarifiers and substrate-impregnated products. This category does not include any hand, face, or body cleaner or soap product, “Medicated Astringent/Medicated Toner,” cold cream, lotion, antiperspirant, or any Astrigent/Toner product regulated as a drug by the United States Food and Drug Administration (FDA).
(18) “Automotive Rubbing or Polishing Compound” means a product designed primarily to remove oxidation, old paint, scratches or “swirl marks,” and other defects from the painted surfaces of motor vehicles without leaving a protective barrier.
(19) “Automotive Wax, Polish, Sealant or Glaze” means a product designed to seal out moisture, increase gloss, or otherwise enhance a motor vehicle's painted surfaces. “Automotive Wax, Polish, Sealant or Glaze” includes, but is not limited to, products designed for use in autobody repair shops and “drive-through” car washes, as well as products designed for the general public. “Automotive Wax, Polish, Sealant or Glaze” does not include “Automotive Rubbing or Polishing Compound,” automotive wash and wax products, surfactant-containing car wash products, and products designed for use on unpainted surfaces such as bare metal, chrome, glass, or plastic. “Automotive Wax, Polish, Sealant or Glaze” products are subcategorized into “All Other Forms,” “Hard Paste Wax,” and “Instant Detailer:”
(A) “All Other Forms” subcategory consists of all automotive wax, polish, sealant or glaze products that are not either a “Hard Paste Wax” or “Instant Detailer.” 
(B) “Hard Paste Wax” means a product which (A) is designed to protect and improve the appearance of automotive painted surfaces; (B) is a solid at room temperature; and (C) contains zero percent water by formulation. 
(C) “Instant Detailer” means a product designed for use in a pump spray that is applied to the painted surface of automobiles and wiped off prior to the product being allowed to dry. 
(20) “Automotive Windshield Washer Fluid (Dilutable)” means any liquid which meets the following criteria:
(A) the product is sold either in a container with a capacity of 10 gallons or more, or a container with a capacity of one quart or less; and
(B) the product is designed or labeled for use in a motor vehicle windshield washer fluid system either as an anti-freeze or for the purpose of cleaning, washing, bug removal, or wetting the windshield(s). 
“Automotive Windshield Washer Fluid (Dilutable)” does not include any fluid which is placed in a new motor vehicle at the time the vehicle is manufactured.
(21) “Automotive Windshield Washer Fluid (Pre-Mixed)” means any liquid which meets the following criteria:
(A) the product is sold in a container with a capacity that is greater than one quart, but less than 10 gallons; and
(B) the product is designed or labeled for use in a motor vehicle windshield washer fluid system as an anti-freeze or for the purpose of cleaning, washing, bug removal, or wetting the windshield(s).
“Automotive Windshield Washer Fluid (Pre-Mixed)” does not include any fluid which is placed in a new motor vehicle at the time the vehicle is manufactured.
(22) “Bathroom and Tile Cleaner” means a product designed or labeled to clean tile or surfaces in bathrooms. “Bathroom and Tile Cleaner” does not include “Toilet/Urinal Care Product.”
(23) “Brake Cleaner” means a cleaning product designed or labeled to remove oil, grease, brake fluid, brake pad material or dirt from motor vehicle brake mechanisms. 
(24) “Bug and Tar Remover” means a product labeled to remove either or both of the following from painted motor vehicle surfaces without causing damage to the finish: (A) biological-type residues such as insect carcasses and tree sap and, (B) road grime, such as road tar, roadway paint markings, and asphalt.
(25) “California Sales” means the sales (net pounds of product, less packaging and container, per year) in California for either the calendar year immediately prior to the year that the information required by the Executive Officer pursuant to section 94513 (required information) is due or, if that data is not available, any consecutive 12 month period commencing no earlier than 2 years prior to the due date of the required information. If direct sales data for California is not available, sales may be estimated by prorating national or regional sales data by population.
(26) “Carburetor or Fuel-Injection Air Intake Cleaners” means a product designed or labeled to remove fuel deposits, dirt, or other contaminants from a carburetor, choke, throttle body of a fuel-injection system, or associated linkages. “Carburetor or Fuel-injection Air Intake Cleaner” does not include products designed or labeled exclusively to be introduced directly into the fuel lines or fuel storage tank prior to introduction into the carburetor or fuel injectors, or products designed or labeled exclusively to be introduced during engine operation directly into air intake vacuum lines by using a pressurized sprayer wand. 
(27) “Carpet/Upholstery Cleaner” means a cleaning product designed or labeled for the purpose of eliminating dirt or stains in rugs, carpeting, or objects upholstered or covered with fabrics such as wool, cotton, nylon or other synthetic fabrics. “Carpet/Upholstery Cleaner” includes, but is not limited to, products used on household furniture, the interior of motor vehicles, and products that make “Fabric Protectant” claims. “Carpet/Upholstery Cleaner” does not include “Spot Remover,” vinyl or leather cleaners, “Dry Cleaning Fluid,” or products designed exclusively for use at industrial facilities engaged in furniture or carpet manufacturing.
(28) “Charcoal Lighter Material” means any combustible material designed to be applied on, incorporated in, added to, or used with charcoal to enhance ignition. “Charcoal Lighter Material” does not include any of the following: (A) electrical starters and probes, (B) metallic cylinders using paper tinder, (C) natural gas, (D) propane, and (E) fat wood.
(29) “Colorant” means any pigment or coloring material used in a consumer product for an aesthetic effect, or to dramatize an ingredient.
(30) “Construction, Panel, and Floor Covering Adhesive” means any nonaerosol, one-component adhesive that is designed or labeled for the installation, remodeling, maintenance, or repair of: (A) structural and building components that include, but are not limited to, beams, trusses, studs, paneling (drywall or drywall laminates, fiberglass reinforced plastic (FRP), plywood, particle board, insulation board, pre-decorated hardboard or tileboard, etc.), ceiling and acoustical tile, molding, fixtures, countertops or countertop laminates, cove or wall bases, and flooring or subflooring; or (B) floor or wall coverings that include, but are not limited to, wood or simulated wood covering, carpet, carpet pad or cushion, vinyl-backed carpet, flexible flooring material, nonresilient flooring material, mirror tiles and other types of tiles, and artificial grass. “Construction, Panel, and Floor Covering Adhesive” does not include “Floor Seam Sealer.”
(31) “Consumer” means any person who seeks, purchases, or acquires any consumer product for personal, family, household, or institutional use. Persons acquiring a consumer product for resale are not “consumers” for that product.
(32) “Consumer Product” means a chemically formulated product used by household and institutional consumers including, but not limited to, detergents; cleaning compounds; polishes; floor finishes; cosmetics; personal care products; home, lawn, and garden products; disinfectants; sanitizers; aerosol paints; and automotive specialty products; but does not include other paint products, furniture coatings, or architectural coatings. As used in this article, the term “consumer product” shall also refer to aerosol adhesives, including aerosol adhesives used for consumer, industrial, and commercial uses.
(33) “Contact Adhesive” means a nonaerosol adhesive that: (A) is designed for application to both surfaces to be bonded together, and (B) is allowed to dry before the two surfaces are placed in contact with each other, and (C) forms an immediate bond that is impossible, or difficult, to reposition after both adhesive-coated surfaces are placed in contact with each other, and (D) does not need sustained pressure or clamping of surfaces after the adhesive-coated surfaces have been brought together using sufficient momentary pressure to establish full contact between both surfaces. “Contact Adhesive” does not include rubber cements that are primarily intended for use on paper substrates. “Contact Adhesive” also does not include vulcanizing fluids that are designed and labeled for tire repair only.
(34) “Contact Adhesive -- General Purpose” means any contact adhesive that is not a “Contact Adhesive -- Special Purpose.”
(35) “Contact Adhesive -- Special Purpose” means a contact adhesive that: (A) is used to bond melamine-covered board, unprimed metal, unsupported vinyl, Teflon, ultra-high molecular weight polyethylene, rubber, high pressure laminate or wood veneer 1/16 inch or less in thickness to any porous or nonporous surface, and is sold in units of product, less packaging, that contain more than eight fluid ounces, or (B) is used in automotive applications that are (1.) automotive under-the-hood applications requiring heat, oil or gasoline resistance, or (2.) body-side molding, automotive weatherstrip or decorative trim.
(36) “Container/Packaging” means the part or parts of the consumer or institutional product which serve only to contain, enclose, incorporate, deliver, dispense, wrap or store the chemically formulated substance or mixture of substances which is solely responsible for accomplishing the purposes for which the product was designed or intended. “Container/Packaging” includes any article onto or into which the principal display panel and other accompanying literature or graphics are incorporated, etched, printed or attached.
(37) “Crawling Bug Insecticide” means any insecticide product that is designed for use against ants, cockroaches, or other household crawling arthropods, including, but not limited to, mites, silverfish or spiders. “Crawling Bug Insecticide” does not include products designed to be used exclusively on humans or animals, or any house dust mite product. For the purposes of this definition only:
“House dust mite product” means a product whose label, packaging, or accompanying literature states that the product is suitable for use against house dust mites, but does not indicate that the product is suitable for use against ants, cockroaches, or other household crawling arthropods.
“House dust mite” means mites which feed primarily on skin cells shed in the home by humans and pets and which belong to the phylum Arthropoda, the subphylum Chelicerata, the class Arachnida, the subclass Acari, the order Astigmata, and the family Pyroglyphidae.
(38) “Deodorant Body Spray” means:
(A) for products manufactured before January 1, 2006: a “Personal Fragrance Product” with 20 percent or less fragrance.
(B) for products manufactured on or after January 1, 2006: a “Personal Fragrance Product” with 20 percent or less fragrance, that is designed for application all over the human body to provide a scent. A “Deodorant Body Spray” product that indicates or depicts on the container or packaging, or on any sticker or label affixed thereto, that it can be used on or applied to the human axilla, is a “Deodorant” as defined in section 94501(d).
(39) “Device” means any instrument or contrivance (other than a firearm) which is designed for trapping, destroying, repelling, or mitigating any pest or any other form of plant or animal life (other than man and other than bacteria, virus, or other microorganism on or in living man or other living animals); but not including equipment used for the application of pesticides when sold separately therefrom.
(40) “Disinfectant” means a product that is labeled as a “disinfectant”, or is labeled to destroy or irreversibly inactivate infectious or other undesirable bacteria, pathogenic fungi, or viruses on surfaces or inanimate objects and whose label is registered as a “disinfectant” under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA, 7 U.S.C. 136, et seq.). Products that are labeled as both a “sanitizer” and a “disinfectant” are considered disinfectants. “Disinfectant” does not include any of the following: (A) products labeled solely for use on humans or animals, (B) products labeled solely for agricultural use, (C) products labeled solely for use in swimming pools, therapeutic tubs, or hot tubs, (D) products which are labeled to be used on heat sensitive critical or semi-critical medical devices or medical equipment surfaces, (E) products which are pre-moistened wipes or towelettes sold exclusively to medical, convalescent, or veterinary establishments, (F) products which are labeled to be applied to food-contact surfaces and are not required to be rinsed prior to contact with food, or (G) products which are labeled as “Bathroom and Tile Cleaner,” “Glass Cleaner,” “General Purpose Cleaner,” “Toilet/Urinal Care Product,” “Metal Polish or Cleanser,” “Carpet Cleaner,” or “Fabric Refresher” that may also make disinfecting or antimicrobial claims on the label.
(41) “Distributor” means any person to whom a consumer product is sold or supplied for the purposes of resale or distribution in commerce, except that manufacturers, retailers, and consumers are not distributors.
(42) “Double Phase Aerosol Air Freshener” means an aerosol air freshener with the liquid contents in two or more distinct phases that requires the product container be shaken before use to mix the phases, producing an emulsion.
(43) “Dry Cleaning Fluid” means any nonaqueous solvent that is (A) used in dry-cleaning machines at commercial dry cleaners or used by commercial businesses that clean fabrics such as draperies at the customer's residence or work place; and (B) is designed and labeled exclusively to clean: (1) fabrics which are labeled “for dry clean only,” such as clothing or drapery; or (2) “S-coded” fabrics. “Dry Cleaning Fluid” includes, but is not limited to, those products used by commercial dry cleaners and commercial businesses that clean fabrics such as draperies at the customer's residence or work place. “Dry Cleaning Fluid” does not include “Spot Remover” or “Carpet/Upholstery Cleaner.” For the purposes of this definition, S-coded fabric means an upholstery fabric designed to be cleaned only with water-free spot cleaning products as specified by the Joint Industry Fabric Standards Committee.”
(44) “Dual Purpose Air Freshener/Disinfectant” means an aerosol product that is represented on the product container for use as both a disinfectant and an air freshener, or is so represented on any sticker, label, packaging, or literature attached to the product container.
(45) “Dusting Aid” means a product designed or labeled to assist in removing dust and other soils from floors and other surfaces without leaving a wax or silicone based coating. “Dusting Aid” does not include “Pressurized Gas Duster.”
(46) “Electrical Cleaner” means a product labeled to remove heavy soils such as grease, grime, or oil from electrical equipment, including, but not limited to, electric motors, armatures, relays, electric panels, or generators. Electrical Cleaner does not include “General Purpose Cleaner,” “General Purpose Degreaser,” “Dusting Aid,” “Electronic Cleaner,” “Energized Electrical Cleaner,” “Pressurized Gas Duster,” “Engine Degreaser,” “Anti-Static Product,” or products designed to clean the casings or housings of electrical equipment.
(47) “Electronic Cleaner” means a product labeled for the removal of dirt, moisture, dust, flux, or oxides from the internal components of electronic or precision equipment such as circuit boards, and the internal components of electronic devices, including but not limited to, radios, compact disc (CD) players, digital video disc (DVD) players, and computers. “Electronic Cleaner” does not include “General Purpose Cleaner,” “General Purpose Degreaser,” “Dusting Aid,” “Pressurized Gas Duster,” “Engine Degreaser,” “Electrical Cleaner,” “Energized Electrical Cleaner,” “Anti-Static Product,” or products labeled to clean the casings or housings of electronic equipment. “Electronic Cleaner” does not include any product that meets both of the following criteria: 
(1) the product is labeled to clean and/or degrease electronic equipment, where cleaning and/or degreasing is accomplished when electrical current exists, or when there is a residual electrical potential from a component; 
(2) the product label clearly displays the statements: “Energized Electronic Equipment use only.”
(48) “Energized Electrical Cleaner” means a product that meets both of the following criteria:
(1) the product is labeled to clean and/or degrease electrical equipment, where cleaning and/or degreasing is accomplished when electrical current exists, or when there is a residual electrical potential from a component, such as a capacitor;
(2) the product label clearly displays the statements: “Energized Equipment use only. Not to be used for motorized vehicle maintenance, or their parts.”
“Energized Electrical Cleaner” does not include “Electronic Cleaner.”
(49) “Engine Degreaser” means a cleaning product designed or labeled to remove grease, grime, oil and other contaminants from the external surfaces of engines and other mechanical parts.
(50) “Executive Officer” means the Executive Officer of the Air Resources Board, or his or her delegate.
(51) “Existing Product” means any formulation of the same product category and form sold, supplied, manufactured, or offered for sale in California prior to the following dates, or any subsequently introduced identical formulation:
(A) October 21, 1991, for all products listed in section 94509(a) that have initial effective dates of January 1, 1993, or January 1, 1994;
(B) January 6, 1993, for all products listed in section 94509(a) that have initial effective dates of January 1, 1995, or January 1, 1997, and charcoal lighter materials subject to section 94509(h);
(C) August 16, 1998, for all products listed in section 94509(a) that have initial effective dates of January 1, 2001, January 1, 2002, January 1, 2003, or January 1, 2005;
(D) November 19, 2000, for all products in the following product categories listed in section 94509(a): “Nonaerosol General Purpose Degreaser,” “Sealant and Caulking Compound,” and “Tire Sealant and Inflator.”
(E) July 20, 2005, for all products listed in section 94509(a) that have an effective date of December 31, 2006, December 31, 2008, or December 31, 2009; and 
(F) December 8, 2007, all products listed in section 94509(a) that have an initial effective date of December 31, 2008, or December 31, 2010 for Brake Cleaner, Carburetor or Fuel-Injection Air Intake Cleaner, Aerosol Engine Degreaser, Resilient Flooring Material, Nonresilient Flooring Material, Aerosol General Purpose Degreaser, and Aerosol Temporary Hair Color.
(G) July 18, 2009, for all products listed in section 94509(a) that have an initial effective date of December 31, 2010, or December 31, 2012, December 31, 2013, or December 31, 2014.
(H) October 20, 2010, for “Multi-purpose Solvent” and “Paint Thinner.”
(I) December 10, 2011 for “Anti-Seize Lubricant;” “Cutting or Tapping Oil:” “Gear, Chain, or Wire Lubricant;” and “Rust Preventative or Rust Control Lubricant.” 
(52) “Fabric Protectant” means:
(A) for products manufactured before December 31, 2008: a product designed or labeled to be applied to fabric substrates to protect the surface from soiling from dirt and other impurities or to reduce absorption of liquid into the fabric's fibers. “Fabric Protectant” does not include “Waterproofers,” products designed for use solely on leather, or products designed for use solely on fabrics which are labeled “for dry clean only” and sold in containers of 10 fluid ounces or less.
(B) for products manufactured on or after December 31, 2008: a product designed or labeled to be applied to fabric substrates to protect the surface from soiling from dirt or other impurities or to reduce absorption of liquid into the fabric's fibers. “Fabric Protectant” does not include “Waterproofers,” or products labeled for use solely on leather. “Fabric Protectant” does not include pigmented products that are designed or labeled to be used primarily for coloring, products used for construction, reconstruction, modification, structural maintenance or repair of fabric substrates, or products that renew or restore fabric and qualifying as either “Clear Coating” or “Vinyl/Fabric/Leather/Polycarbonate Coating” under section 94521(a). 
(53) “Fabric Refresher” means a product labeled to neutralize or eliminate odors on nonlaundered fabric including, but not limited to, soft household surfaces, rugs, carpeting, draperies, bedding, automotive interiors, footwear, athletic equipment, clothing and/or on household furniture or objects upholstered or covered with fabrics such as, but not limited to, wool, cotton, or nylon. “Fabric Refresher” does not include “Anti-static Product,” “Carpet/Upholstery Cleaner,” “Footwear or Leather Care Product,” “Spot Remover,” or “Disinfectant,” or products labeled for application to both fabric and human skin.
(54) “Fabric Softener-Single Use Dryer Product” means a laundry care product designed or labeled for single use in the clothes dryer to impart softness to, or control static cling of, a load of washable fabrics; and may impart a fragrance or scent. For the purpose of this definition only, “single use” means a product that is intended for one time use during a single drying cycle and is removed after completion of the drying cycle. A “load” is the amount of washable fabrics in a single drying cycle. “Fabric Softener-Single Use Dryer Product” includes treated nonwoven sheets which are typically packaged in boxes with a multiple number of sheets. “Fabric Softener-Single Use Dryer Product” does not include products applied to washable fabrics prior to placing the washable fabrics in the clothes dryer. 
(55) “Facial Cleaner or Soap” means a cleaner or soap designed primarily to clean the face. “Facial Cleaner or Soap” includes, but is not limited to, facial cleansing creams, semisolids, liquids, lotions, and substrate-impregnated forms. “Facial Cleaner or Soap” does not include prescription drug products, “Antimicrobial Hand or Body Cleaner or Soap,” “Astringent/Toner,” “General-use Hand or Body Cleaner or Soap,”  “Medicated Astringent/Medicated Toner,” or “Rubbing Alcohol.”
(56) “Fat Wood” means pieces of wood kindling with high naturally-occurring levels of sap or resin which enhance ignition of the kindling. “Fat wood” does not include any kindling with substances added to enhance flammability, such as wax-covered or wax-impregnated wood-based products.
(57) “Flea and Tick Insecticide” means any insecticide product that is designed for use against fleas, ticks, their larvae, or their eggs. “Flea and Tick Insecticide” does not include products that are designed to be used exclusively on humans or animals and their bedding.
(58) “Floor Coating” means an opaque coating that is labeled and designed for application to flooring, including but not limited to, decks, porches, steps, and other horizontal surfaces which may be subject to foot traffic. 
(59) “Floor Maintenance Product” means any product designed or labeled to restore, maintain, or enhance a previously applied floor finish. “Floor Maintenance Product” includes, but is not limited to, products that are labeled as Spray Buff products or Floor Maintainers or Restorers. “Floor Maintenance Product” does not include floor polish products, products designed solely for the purpose of cleaning, products designed or labeled exclusively for use on marble floors, or coatings subject to architectural coatings regulations. 
(60) “Floor Polish or Wax” means a product designed or labeled to polish, wax, condition, protect, temporarily seal, or otherwise enhance floor surfaces by leaving a protective finish that is designed or labeled to be periodically replenished. “Floor Polish or Wax” does not include “Floor Maintenance Products,” “Floor Wax Stripper,” or coatings subject to architectural coatings regulations.
“Floor Polish or Wax” is divided into three subcategories: products for resilient flooring materials, products for nonresilient flooring materials and wood floor wax. For the purposes of this article: 
(A) “Resilient Flooring Material” means flexible flooring material including but is not limited to, asphalt, cork, linoleum, no-wax, rubber, seamless vinyl, and vinyl composite flooring. 
(B) “Nonresilient Flooring Material” means flooring of a mineral content which is not flexible. “Nonresilient Flooring material” includes but is not limited to terrazzo, marble, slate, granite, brick, stone, ceramic tile, and concrete. 
(C) “Wood Floor Wax” means any wax-based product designed or labeled for use solely on wood floors. “Wood Floor Wax” does not include products that make the claim to “clean and wax” or “clean and polish.”
(61) “Floor Seam Sealer” means any product designed and labeled exclusively for bonding, fusing, or sealing (coating) seams between adjoining rolls of installed flexible sheet flooring.
(62) “Floor Wax Stripper” means a product designed to remove natural or synthetic floor polishes or waxes through breakdown of the polish or wax polymers, or by dissolving or emulsifying the polish or wax. “Floor Wax Stripper” does not include aerosol floor wax strippers or products designed to remove floor wax solely through abrasion.
(63) “Flying Bug Insecticide” means any insecticide product that is designed for use against flying insects or other flying arthropods, including but not limited to flies, mosquitoes, moths, or gnats. “Flying Bug Insecticide” does not include “wasp and hornet insecticide,” products that are designed to be used exclusively on humans or animals, or any moth-proofing product. For the purposes of this definition only, “moth-proofing product” means a product whose label, packaging, or accompanying literature indicates that the product is designed to protect fabrics from damage by moths, but does not indicate that the product is suitable for use against flying insects or other flying arthropods.
(64) “Footwear or Leather Care Product” means any product designed or labeled to be applied to footwear or to other leather articles/components, to maintain, enhance, clean, protect, or modify the appearance, durability, fit, or flexibility of the footwear or leather article/component. Footwear includes both leather and nonleather foot apparel. “Footwear or Leather Care Product” does not include “Fabric Protectant,” “General Purpose Adhesive,” “Contact Adhesive,” “Vinyl/Fabric/Leather/Polycarbonate Coating,” as defined in section 94521(a), “Rubber/Vinyl Protectant,” “Fabric Refresher,” products solely for deodorizing, or sealant products with adhesive properties used to create external protective layers greater than 2 millimeters thick. 
(65) “Fragrance” means a substance or complex mixture of aroma chemicals, natural essential oils, and other functional components with a combined vapor pressure not in excess or 2 mm of Hg at 20oC, the sole purpose of which is to impart an odor or scent, or to counteract a malodor.
(66) “Furniture Maintenance Product” means a wax, polish, conditioner, or any other product labeled for the purpose of polishing, protecting or enhancing finished wood surfaces other than floors, and other furniture surfaces including but not limited to acrylics, ceramic, plastics, stone surfaces, metal surfaces, and fiberglass. “Furniture Maintenance Product” does not include “Dusting Aid,” “Wood Cleaner,” and products designed solely for the purpose of cleaning, or products designed to leave a permanent finish such as stains, sanding sealers and lacquers.
(67) “Furniture Coating” means any paint designed for application to room furnishings including, but not limited to, cabinets (kitchen, bath and vanity), tables, chairs, beds, and sofas.
(68) “Gel” means a colloid in which the disperse phase has combined with the continuous phase to produce a semisolid material, such as jelly.
(69) “General Purpose Adhesive” means any nonaerosol adhesive designed for use on a variety of substrates. “General Purpose Adhesive” does not include (A) contact adhesives, (B) construction, panel, and floor covering adhesives, (C) adhesives designed exclusively for application on one specific category of substrates (i.e., substrates that are composed of similar materials, such as different types of metals, paper products, ceramics, plastics, rubbers, or vinyls), or (D) adhesives designed exclusively for use on one specific category of articles (i.e., articles that may be composed of different materials but perform a specific function, such as gaskets, automotive trim, weather-stripping, or carpets).
(70) “General Purpose Cleaner” means a product labeled to clean a variety of hard surfaces. “General Purpose Cleaner” includes, but is not limited to, products designed or labeled for general floor cleaning, kitchen, countertop, or sink cleaning, and cleaners designed or labeled to be used on a variety of hard surfaces such as stovetops, cooktops, or microwaves.
(71) “General Purpose Degreaser” means:
(A) for products manufactured before December 31, 2012: any product labeled to remove or dissolve grease, grime, oil and other oil-based contaminants from a variety of substrates, including automotive or miscellaneous metallic parts. “General Purpose Degreaser” does not include “Engine Degreaser,” “General Purpose Cleaner,” “Adhesiver Remover,” “Electronic Cleaner,” “Electrical Cleaner,” “Energized Electrical Cleaner,” and “Metal Polish or Cleanser.” “General Purpose Degreaser” also does not include products used exclusively in “solvent cleaning tanks or related equipment”, or products that are (A) sold exclusively to establishments which manufacture or construct goods or commodities; and (B) labeled “not for retail sale.” “Solvent cleaning tanks or related equipment” includes, but is not limited to, cold cleaners, vapor degreasers, conveyorized degreasers, film cleaning machines, or products designed to clean miscellaneous metallic parts by immersion in a container.
(B) for products manufactured on or after December 31, 2012: any product labeled to remove or dissolve grease, grime, oil and other oil-based contaminants from a variety of substrates, including automotive or miscellaneous metallic parts. “General Purpose Degreaser” does not include “Adhesive Remover,” “Electrical Cleaner,” “Electronic Cleaner,” “Energized Electrical Cleaner,” “Engine Degreaser,” “General Purpose Cleaner,” “Metal Polish or Cleanser,” or “Oven or Grill Cleaner.” “General Purpose Degreaser” also does not include products used exclusively in “solvent cleaning tanks or related equipment,” or products that are (A) exclusively sold directly or through distributors to establishments which manufacture or construct goods or commodities; and (B) labeled exclusively for “use in the manufacturing process only.” “Solvent cleaning tanks or related equipment” includes, but is not limited to, cold cleaners, vapor degreasers, conveyorized degreasers, film cleaning machines, or products designed to clean miscellaneous metallic parts by immersion in a container. 
(72) “General-use Hand or Body Cleaner or Soap” means a cleaner or soap designed to be used routinely on the skin to clean or remove typical or common dirt and soils. “General-use Hand or Body Cleaner or Soap” includes, but is not limited to, hand or body washes, dual-purpose shampoo-body cleaners, shower or bath gels, and moisturizing cleaners or soaps. “General-use Hand or Body Cleaner or Soap” does not include prescription drug products, “Antimicrobial Hand or Body Cleaner or Soap,” “Astringent/Toner,” “Facial Cleaner or Soap,” “Hand Dishwashing Detergent” (including antimicrobial), “Heavy-duty Hand Cleaner or Soap,” “Medicated Astringent/Medicated Toner,” or “Rubbing Alcohol.”
(73) “Glass Cleaner” means a cleaning product designed or labeled primarily for cleaning surfaces made of glass. “Glass Cleaner” does not include products designed or labeled solely for the purpose of cleaning optical materials used in eyeglasses, photographic equipment, scientific equipment and photocopying machines.
(74) “Global Warming Potential (GWP)” means the radiative forcing impact of one mass-based unit of a given greenhouse gas relative to an equivalent unit of carbon dioxide over a given period of time. 
(75) “Global Warming Potential Value” or “GWP Value” means the global warming potential value of a chemical or compound as specified in the IPCC: 1995 Second Assessment Report (SAR), Table 2.14, in Climate Change 2007: The Physical Sciences Basis. Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change, which is incorporated by reference herein. 
If Table 2.14 does not contain a SAR 100-year GWP Value for a specific chemical or compound, then the 100-year GWP Value in Table 2.14 for that chemical or compound shall be used. If there is no 100-year GWP Value for a chemical or compound listed in Table 2.14 or GWP Value listed in Table 2.15,. then the GWP Value is assumed to be equal to the GWP limit of the applicable product category. 
(76) “Graffiti Remover” means a product labeled to remove spray paint, ink, marker, crayon, lipstick, nail polish, or shoe polish, from a variety of noncloth or nonfabric substrates. “Graffiti Remover” does not include “Paint Remover or Stripper,” “Nail Polish Remover,” or “Spot Remover.” Products labeled for dual use as both a paint stripper and graffiti remover are considered “Graffiti Removers.” 
(77) “Gum or Candle Wax Remover” means a product designed or labeled exclusively to remove chewing gum and/or candle wax from soft surfaces such as carpet, rugs, upholstery, or fabric. 
(78) “Hair Mousse” means a hairstyling foam designed to facilitate styling of a coiffure and provide limited holding power.
(79) “Hair Shine” means any product designed for the primary purpose of creating a shine when applied to the hair. “Hair Shine” includes, but is not limited to, dual-use products designed primarily to impart a sheen to the hair. “Hair Shine” does not include “Hair Spray,” “Hair Mousse,” “Hair Styling Product,” “Hair Styling Gel”, or products whose primary purpose is to condition or hold the hair.
(80) “Hair Styling Gel” means a consumer product manufactured before December 31, 2006, that is high viscosity, often gelatinous, product that contains a resin and is designed for the application to hair to aid in styling and sculpting of the hair coiffure.
(81) “Hair Spray” means:
(A) for products manufactured before December 31, 2006: a consumer product designed primarily for the purpose of dispensing droplets of a resin on and into a hair coiffure which will impart sufficient rigidity to the coiffure to establish or retain the style for a period of time, and
(B) for products manufactured on or after December 31, 2006: a consumer product that is applied to styled hair, and is designed or labeled to provide sufficient rigidity, to hold, retain and/or (finish) the style of the hair for a period of time. “Hair Spray” includes aerosol hair sprays, pump hair sprays, spray waxes; color, glitter, or sparkle hairsprays that make finishing claims; and products that are both a styling and finishing product. “Hair Spray” does not include spray products that are intended to aid in styling but do not provide finishing of a hairstyle. 
For the purposes of this subchapter, “finish” or “finishing” means the maintaining and/or holding of previously styled hair for a period of time. 
For the purposes of this subchapter, “styling” means the forming, sculpting, or manipulating the hair to temporarily alter the hair's shape. 
(82) “Hair Styling Product” means a consumer product manufactured on or after December 31, 2006, that is designed or labeled for the application to wet, damp or dry hair to aid in defining, shaping, lifting, styling and/or sculpting of the hair. “Hair Styling Product” includes, but is not limited to hair balm, clay, cream, creme, curl straightener, gel, liquid, lotion, paste, pomade, putty, root lifter, serum, spray gel, stick, temporary hair straightener, wax, spray products that aid in styling but do not provide finishing of a hairstyle, and leave-in volumizers, detanglers and/or conditioners that make styling claims. “Hair Styling Product” does not include “Hair Mousse,” “Hair Shine,” “Hair Spray,” or shampoos and/or conditioners that are rinsed from the hair prior to styling. 
For  the purposes of this subchapter, “finish” or “finishing” means the maintaining and/or holding of previously styled hair for a period of time. 
For the purposes of this subchapter, “styling” means the forming, sculpting, or manipulating the hair to temporarily alter the hair's shape. 
(83) “Heavy-Duty Hand Cleaner or Soap” means a product designed to clean or remove difficult dirt and soils such as oil, grease, grime, tar, shellac, printer's ink, paint, graphite, cement, carbon, asphalt, or adhesives from the hand with or without the use of water. “Heavy-duty Hand Cleaner or Soap” does not include prescription drug products, “Antimicrobial Hand or Body Cleaner or Soap,” “Astringent/Toner,” “Facial Cleaner or Soap,” “General-use Hand or Body Cleaner or Soap,” “Medicated Astringent/Medicated Toner” or “Rubbing Alcohol.”
(84) “Herbicide” means a pesticide product designed to kill or retard a plant's growth, but excludes products that are: (A) for agricultural use, or (B) restricted materials that require a permit for use and possession.
(85) “High-Temperature Coating” means a high performance coating labeled and formulated for application to substrates exposed continuously or intermittently to temperatures above 204oC (400oF).
(86) “Household Product” means any consumer product that is primarily designed to be used inside or outside of living quarters or residences that are occupied or intended for occupation by individuals, including the immediate surroundings.
(87) “Industrial Maintenance Coating” means a high performance architectural coating, including primers, sealers, undercoaters, intermediate coats, and topcoats formulated for application to substrates, including floors, exposed to one or more of the following extreme environmental conditions listed below and labeled “For industrial use only;” “For professional use only;” “Not for residential use;” or “Not intended for residential use.” 
(A) Immersion in water, wastewater, or chemical solutions (aqueous and nonaqueous solutions), or chronic exposure of interior surfaces to moisture condensation; or 

(B) Acute or chronic exposure to corrosive, caustic or acidic agents, or to chemicals, chemical fumes, or chemical mixtures or solutions; or	
(C) Frequent exposure to temperatures above 121oC (250oF); or 
(D) Frequent heavy abrasion, including mechanical wear and frequent scrubbing with industrial solvents, cleansers, or scouring agents; or 
(E) Exterior exposure of metal structures and structural components.
(88) “Insect Repellent” means a pesticide product that is designed to be applied on human skin, hair or attire worn on humans in order to prevent contact with or repel biting insects or arthropods.
(89) “Insecticide” means a pesticide product that is designed for use against insects or other arthropods, but excluding products that are: (A) for agricultural use, or (B) for a use which requires a structural pest control license under Chapter 14 (commencing with Section 8500) of the Business and Professions Code, or (C) restricted materials that require a permit for use and possession.
(90) “Insecticide Fogger” means any insecticide product designed to release all or most of its content, as a fog or mist, into indoor areas during a single application.
(91) “Institutional Product” or “Industrial and Institutional (I&I) Product” means a consumer product that is designed for use in the maintenance or operation of an establishment that: (A) manufactures, transports, or sells goods or commodities, or provides services for profit; or (B) is engaged in the nonprofit promotion of a particular public, educational, or charitable cause. “Establishments” include, but are not limited to, government agencies, factories, schools, hospitals, sanitariums, prisons, restaurants, hotels, stores, automobile service and parts centers, health clubs, theatres, or transportation companies. “Institutional Product” does not include household products and products that are incorporated into or used exclusively in the manufacture or construction of the goods or commodities at the site of the establishment.
(92) “Label” means any written, printed, or graphic matter affixed to, applied to, attached to, blown into, formed, molded into, embossed on, or appearing upon any consumer product or consumer product package, for purposes of branding, identifying, or giving information with respect to the product or to the contents of the package.
(93) “Laundry Prewash” means a product that is designed for application to a fabric prior to laundering in a wet-cleaning process, and that supplements and contributes to the effectiveness of laundry detergents and/or provides specialized performance.
(94) “Laundry Starch/Sizing/Fabric Finish Product” means a product that is labeled for application to a fabric, either during or after laundering, to impart and prolong a crisp, fresh look and may also act to help ease ironing of the fabric. “Laundry Starch/Sizing/Fabric Finish Product” includes, but is not limited to, starch, sizing, and fabric finish.
(95) “Lawn or Garden Insecticide” means an insecticide product labeled primarily to be used in household lawn or garden areas to protect plants from insects or other arthropods. Notwithstanding the requirements of section 94512(a) aerosol “Lawn or Garden Insecticide” may claim to kill insects or other arthropods. 
(96) “Liquid” means a substance or mixture of substances which is capable of a visually detectable flow as determined under ASTM D-4359-90 (May 25, 1990) Standard Test Method for Determining Whether a Material Is a Liquid or a Solid, which is incorporated by reference herein. “Liquid” does not include powders or other materials that are composed entirely of solid particles.
(97) “Lubricant” means:
(A) for products manufactured before December 31, 2012: a product that reduces friction, heat, noise, or wear between moving parts, or loosens rusted or immovable parts or mechanisms. “Lubricant” does not include automotive power steering fluids; products designed and labeled exclusively to release manufactured products from molds; products for use inside power generating motors, engines, and turbines, and their associated power-transfer gearboxes; two cycle oils or other products designed to be added to fuels; products for use on the human body or animals or products that are (1) sold exclusively to establishments which manufacture or construct goods or commodities, and (2) labeled “not for retail sale.”
(B) for products manufactured on or after December 31, 2012: a product that reduces friction, heat, noise, or wear between moving parts, or loosens rusted or immovable parts or mechanisms. “Lubricant” does not include automotive power steering fluids; products designed and labeled exclusively to release manufactured products from molds; products for use inside power generating motors, engines, and turbines, and their associated power-transfer gearboxes; two cycle oils or other products designed to be added to fuels; products for use on the human body or animals; or products that are (1) exclusively sold directly or through distributors to establishments which manufacture or construct goods or commodities, and (2) labeled exclusively for “use in the manufacturing process only.” “Lubricant” includes products labeled for use in food-servicing environments that include, but are not limited to, restaurants and food stores. 
(C) “Lubricant” includes the following subcategories (1-9): 
(1) “Anti-seize Lubricant” means any lubricant designed or labeled exclusively for use in high temperature or high pressure conditions to prevent moving metal parts from seizing or galling, and/or to facilitate disassembly of metal parts. A lubricant that meets the definition for “Dry Lubricant” or “Firearm Lubricant” is not an “Anti-seize Lubricant.” 
(2) “Cutting or Tapping Oil” means any lubricant designed or labeled exclusively for drilling, cutting, or tapping metals. 
(3) “Dry Lubricant” means any lubricant which provides lubricity solely by depositing a thin film of solid material including, but not limited to, graphite, molybdenum disulfide (“moly”), polytetrafluoroethylene or closely related fluoropolymer (“teflon”), or boron nitride on surfaces. 
(4) “Firearm Lubricant” means any lubricant designed or labeled exclusively for use on firearms or their parts to lubricate and/or to provide corrosion or rust prevention. 
(5) “Gear, Chain, or Wire Lubricant” means any lubricant designed or labeled exclusively for use on gears, chains, or wire ropes. 
(6) “Multi-purpose Lubricant” means any lubricant designed or labeled for general purpose lubrication, or a lubricant labeled for use in a wide variety of applications. Products that meet the definition for “Anti-seize Lubricant,” “Cutting or Tapping Oil,” “Dry Lubricant,” “Firearm Lubricant,” “Gear, Chain, or Wire Lubricant,” “Penetrant,” “Rust Preventative or Rust Control Lubricant,” or “Silicone-based Multi-purpose Lubricant” are not “Multi-purpose Lubricants.” 
(7) “Penetrant” means a lubricant designed or labeled primarily to loosen metal parts that have bonded together due to rusting, oxidation, or other causes. Lubricants that claim to have penetrating qualities, but are not labeled primarily to loosen bonded parts are not “Penetrant” products. 
(8) “Rust Preventative or Rust Control Lubricant” means any lubricant designed or labeled primarily for the prevention or control of rust. A Lubricant that meets the definition for “Firearm Lubricant” is not a “Rust Preventative or Rust Control Lubricant.” 
(9) “Silicone-based Multi-purpose Lubricant” means any lubricant which is designed or labeled for general lubrication or for use in a wide variety of applications, in which lubricity is primarily provided through the use of silicone compounds including, but not limited to, polydimethylsiloxane. 
(98) “LVP-VOC” means a chemical “compound” or “mixture” that contains at least one carbon atom and meets one of the following:
(A) has a vapor pressure less than 0.1 mm Hg at 20o C, as determined by ARB Method 310; or
(B) is a chemical “compound” with more than 12 carbon atoms, or a chemical “mixture” comprised solely of “compounds” with more than 12 carbon atoms, as verified by formulation data, and the vapor pressure and boiling point are unknown; or
(C) is a chemical “compound” with a boiling point greater than 216o C, as determined by ARB Method 310; or
(D) is the weight percent of a chemical “mixture” that boils above 216o C, as determined by ARB Method 310.
For the purposes of the definition of LVP-VOC, chemical “compound” means a molecule of definite chemical formula and isomeric structure, and chemical “mixture” means a substance comprised of two or more chemical “compounds.”
(99) “Manufacturer” means any person who imports, manufactures, assembles, produces, packages, repackages, or relabels a consumer product.
(100) “Medicated Astringent/Medicated Toner” means any product regulated as a drug by the Food and Drug Administration (FDA) which is applied to the skin for the purpose of cleaning or tightening pores. “Medicated Astringent/Medicated Toner” includes, but is not limited to, clarifiers and substrate-impregnated products. “Medicated Astringent/Medicated Toner” does not include hand, face, or body cleaner or soap products, “Personal Fragrance Products,” “Astringent/Toner,” cold cream, lotion, antiperspirants, or products that must be purchased with a doctor's prescription.
(101) “Metal Polish or Cleanser” means any product designed or labeled to improve the appearance and/or protect finished metal, metallic, or metallized surfaces by physical or chemical action. To “improve the appearance” means to remove, or reduce stains, impurities, or oxidation from surfaces or to make surfaces smooth and shiny. “Metal Polish or Cleanser” includes, but is not limited to, metal polishes used on brass, silver, chrome, copper, stainless steel and other ornamental metals. “Metal Polish or Cleanser” does not include “Automotive Wax, Polish, Sealant or Glaze,” “General Purpose Cleaner,” “Tire or Wheel Cleaner,” “Paint Remover or Stripper,” products designed and labeled exclusively for automotive and marine detailing, or products designed for use in degreasing tanks.
(102) “Mist Spray Adhesive” means any aerosol adhesive which is not a “Special Purpose Spray Adhesive” and which delivers a particle or mist spray, resulting in the formation of fine, discrete particles that yield a generally uniform and smooth application of adhesive to the substrate.
(103) “Motor Vehicle Wash” means a product designed or labeled to wash, wash and wax, wash and shine, or wash and/or clean the exterior surface of motor vehicles. “Motor Vehicle Wash” includes, but is not limited to, products for use in commercial, fleet, hand, and “drive through” car washes; commercial truck washing or large vehicle washing stations; vehicle dealers and repair shops as well as products intended for household consumer use. “Motor Vehicle Wash” does not include “Bug and Tar Remover,” “Glass Cleaner,” “Tire or Wheel Cleaner,” and products labeled for use exclusively on locomotives or aircraft. 
(104) “Multi-purpose Solvent” means: 
(A) for products manufactured before January 1, 2008: any organic liquid designed to be used for a variety of purposes, including cleaning or degreasing of a variety of substrates, or thinning, dispersing or dissolving other organic materials. “Multi-purpose Solvent” includes solvents used in institutional facilities, except for laboratory reagents used in analytical, educational, research, scientific or other laboratories. “Multi-purpose Solvent” does not include solvents used in cold cleaners, vapor degreasers, conveyorized degreasers or film cleaning machines, or solvents that are incorporated into, or used exclusively in the manufacture or construction of, the goods or commodities at the site of the establishment. 
(B) for products manufactured on or after January 1, 2008: any liquid product designed or labeled to be used for dispersing, dissolving, or removing contaminants or other organic materials. “Multi-purpose Solvent” also includes: 1. products that do not display specific use instructions on the product container or packaging; 2. products that do not specify an end-use function or application on the product container or packaging; 3. solvents used in institutional facilities, except for laboratory reagents used in analytical, educational, research, scientific or other laboratories; 4. “Paint clean-up” products; and 5. products labeled to prepare surfaces for painting. For the purposes of this definition only, “Paint clean-up” means any liquid product labeled for cleaning oil-based or water-based paint, lacquer, varnish, or related coatings from, but not limited to, painting equipment or tools, plastics, or metals. “Multi-purpose Solvent” does not include 1. solvents used in cold cleaners, vapor degreasers, conveyorized degreasers or film cleaning machines; 2. solvents labeled exclusively for the clean-up of application equipment used for polyaspartic and polyurea coatings; 3. solvents that are incorporated into, or used exclusively in the manufacture or construction of, the goods or commodities at the site of the establishment; 4. Products that are labeled exclusively to clean a specific contaminant, on a single substrate, in specific situations; or 5. any product making any representation that the product may be used as, or is suitable for use as a consumer product which meets another definition in section 94508(a); such products are not “Multi-purpose Solvents” and are subject to the “Most Restrictive Limit” provisions of section 94512(a). 
(105) “Nail Polish” means any clear or colored coating designed for application to the fingernails or toenails and including but not limited to, lacquers, enamels, acrylics, base coats and top coats.
(106) “Nail Polish Remover” means a product designed to remove nail polish and coatings from fingernails or toenails.
(107) “Noncarbon Containing Compound” means any compound which does not contain any carbon atoms.
(108) “Nonselective Terrestrial Herbicide” means a terrestrial herbicide product that is toxic to plants without regard to species.
(109) “Odor Remover/Eliminator” means a product that is designed or labeled to be applied exclusively to hard surfaces to inhibit the ability of soils to create malodors, or functions to entrap, encapsulate, neutralize, convert or eliminate malodor molecules. “Odor Remover/Eliminator” does not include products designed or labeled for use in cleaning soils from hard surfaces, laundering, softening, de-wrinkling or cleaning fabrics, or dishwashing, or products that are defined as “Air Freshener,” “Bathroom and Tile Cleaner.” “Carpet/Upholstery Cleaner,” “Fabric Refresher,” “General Purpose Cleaner,” “Toilet/Urinal Care Product,” “Disinfectant,” or “Sanitizer.” 
(110) “Oven or Grill Cleaner” means a product labeled exclusively to remove baked on greases and/or deposits from food preparation and/or food cooking surfaces. A product that is labeled as an “Oven or Grill Cleaner” that makes claims that it is suitable for degreasing other hard surfaces is a “General Purpose Degreaser.” A product that is labeled as an “Oven or Grill Cleaner” that makes claims that it is suitable for cleaning other hard surfaces is a “General Purpose Cleaner.” 
(111) “Paint” means any pigmented liquid, liquefiable, or mastic composition designed for application to a substrate in a thin layer which is converted to an opaque solid film after application and is used for protection, decoration or identification, or to serve some functional purpose such as the filling or concealing of surface irregularities or the modification of light and heat radiation characteristics.
(112) “Paint Remover or Stripper” means any product designed to strip or remove paints or other related coatings, by chemical action, from a substrate without markedly affecting the substrate. “Paint Remover or Stripper” does not include “Multi-purpose Solvent,” paint brush cleaners, products designed and labeled exclusively as “Graffiti Remover,” and hand cleaner products that claim to remove paints and other related coatings from skin.
(113) “Paint Thinner” means any liquid product used for reducing the viscosity of coating compositions or components, that prominently displays the term “Paint Thinner,” “Lacquer Thinner,” “Thinner,” or “Reducer” on the front panel of its packaging. “Paint Thinner” does not include any of the following products:
(A) “Artist's Solvent/Thinner;”
(B) products that are sold in containers with a capacity of 5 gallons or more and labeled exclusively for the thinning of Industrial Maintenance Coatings, Zinc-Rich Primers, or High Temperature Coatings;
(C) products labeled and used exclusively as an ingredient in a specific coating or coating brand line, whereby the coating would not be complete or useable without the specific ingredient;
(D) products that meet both of the following criteria:
1. the Principle Display Panel of the product displays, in a font size as large as, or larger than, the font size of all other words on the panel, language that the product is used exclusively for the thinning of Industrial Maintenance Coatings, Zinc-Rich Primers, or High Temperature Coatings, and
2. no representation is made anywhere on the product container or packaging, or any label or sticker attached thereto, that the product is suitable for use or may be used for any other purpose except the thinning of Industrial Maintenance Coatings, Zinc-Rich Primers, or High Temperature Coatings.
(114) “Person” shall have the same meaning as defined in Health and Safety Code Section 39047.
(115) “Personal Fragrance Product” means any product which is applied to the human body or clothing for the primary purpose of adding a scent or masking a malodor, including, but not limited to, cologne, perfume, aftershave, toilet water, lotion, powder, body mist, and body spray. “Personal Fragrance Product” does not include: (A) Deodorant, as defined in section 94501(d), (B) medicated products designed primarily to alleviate fungal or bacterial growth on feet or other areas of the body; (C) mouthwashes, breath fresheners and deodorizers; (D) lotions, moisturizers, powders or other skin care products designed or labeled to be used primarily to alleviate skin conditions such as dryness and irritations; (E) products designed exclusively to be applied to human genitalia areas, undergarments, and any paper products, napkins or other products that are affixed to undergarments, such as sanitary pads; (F) soaps, shampoos, and products primarily used to clean the human body; and (G) fragrance products designed to be used exclusively on nonhuman animals.
(116) “Pesticide” means and includes any substance or mixture of substances labeled, designed, or intended for use in preventing, destroying, repelling, or mitigating any pest, or any substance or mixture of substances labeled, designed, or intended for use as a defoliant, desiccant, or plant regulator, provided that the term “pesticide” will not include any substance, mixture of substances, or device which the United States Environmental Protection Agency does not consider to be a pesticide.
(117) “Pressurized Gas Duster” means a pressurized product labeled to remove dust from a surface solely by means of mass air or gas flow, including surfaces such as photographs, photographic film negatives, computer keyboards, and other types of surfaces that cannot be cleaned with solvents. “Pressurized Gas Duster” does not include “Dusting Aid,” “General Purpose Cleaner,” “Electrical Cleaner,” “Electronic Cleaner,” “Energized Electrical Cleaner,” or “Anti-Static Product.” Pressurized Gas Duster does not include products labeled exclusively to remove dust from equipment where dust removal is accomplished when: electric current exists; residual electrical potential from a component such as a capacitor exists; or an open flame exists, as long as the “Principal Display Panel” clearly displays the statement: “Energized Equipment use only.” 
(118) “Principal Display Panel or Panels” means that part, or those parts of a label that are so designed as to most likely be displayed, presented, shown or examined under normal and customary conditions of display or purchase. Whenever a principal display panel appears more than once, all requirements pertaining to the “principal display panel” shall pertain to all such “principal display panels.”
(119) “Product Brand Name” means the name of the product exactly as it appears on the principal display panel of the product.
(120) “Product Category” means the applicable category which best describes the product as listed in this Section 94508.
(121) “Product Form,” for the purpose of complying with Section 94513 only, means the applicable form which most accurately describes the product's dispensing form as follows:

A	=	Aerosol Product
 S	=	Solid
 P	=	Pump Spray
 L	=	Liquid
 SS	=	Semisolid
 O	=	Other
(122) “Propellant” means a liquefied or compressed gas that is used in whole or in part, such as a cosolvent, to expel a liquid or any other material from the same self-pressurized container or from a separate container.
(123) “Pump Spray” means a packaging system in which the product ingredients within the container are not under pressure and in which the product is expelled only while a pumping action is applied to a button, trigger or other actuator.
(124) “Responsible Party” means the company, firm or establishment which is listed on the product's label. If the label lists two companies, firms or establishments, the responsible party is the party which the product was “manufactured for” or “distributed by,” as noted on the label.
(125) “Restricted Materials” means pesticides established as restricted materials under Title 3, California Code of Regulations, section 6400.
(126) “Retailer” means any person who sells, supplies, or offers consumer products for sale directly to consumers.
(127) “Retail Outlet” means any establishment at which consumer products are sold, supplied, or offered for sale directly to consumers.
(128) “Rubber/Vinyl Protectant” means:
(A) for products manufactured before December 31, 2008: any product designed to protect, preserve or renew vinyl, rubber, and plastic on vehicles, tires, luggage, furniture, and household products such as vinyl covers, clothing, and accessories. “Rubber/Vinyl Protectant” does not include products primarily designed to clean the wheel rim, such as aluminum or magnesium wheel cleaners, and tire cleaners that do not leave an appearance-enhancing or protective substance on the tire.
(B) for products manufactured on or after December 31, 2008: any product labeled to protect, preserve or renew vinyl, or rubber on vehicles, tires, luggage, furniture, and/or household products such as vinyl covers, clothing, or accessories. “Rubber/Vinyl Protectant” does not include: products labeled to clean the wheel rim, such as aluminum or magnesium wheel cleaners; tire cleaners that do not leave an appearance-enhancing or protective substance on the tire; pigmented products designed or labeled to be used primarily for coloring; products used for construction, reconstruction, modification, structural maintenance or repair of rubber or vinyl substrates; or products, other than those labeled to be used on vehicle tires, qualifying as either “Clear Coating” or “Vinyl/Fabric/Leather/Polycarbonate Coating” under section 94521(a). 
(129) “Rubbing Alcohol” means any product containing isopropyl alcohol (also called isopropanol) or denatured ethanol and labeled for topical use, usually to decrease germs in minor cuts and scrapes, to relieve minor muscle aches, as a rubefacient, and for massage.
(130) “Sanitizer” means a product that is labeled as a “sanitizer,” or is labeled to reduce, but not necessarily eliminate, microorganisms in the air, on surfaces, or on inanimate objects, and whose label is registered as a “sanitizer” under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA; 7 U.S.C. section 136 et seq.). Products that are labeled as both a “sanitizer” and a “disinfectant” are considered disinfectants. “Sanitizer” does not include (A) “Disinfectant,” (B) products labeled solely for use on humans or animals, (C) products labeled solely for agricultural use, (D) products labeled solely for use in swimming pools, therapeutic tubs, or hot tubs, (E) products which are labeled to be used on heat sensitive critical or semi-critical medical devices or medical equipment surfaces, (F) products which are pre-moistened wipes or towelettes sold exclusively to medical, convalescent or veterinary establishments (G) products which are labeled to be applied to food-contact surfaces and are not required to be rinsed prior to contact with food, or (H) products which are labeled as “Bathroom and Tile Cleaner,” “Glass Cleaner,” “General Purpose Cleaner,” “Toilet/Urinal Care Product,” “Metal Polish or Cleanser,” “Carpet Cleaner,” or “Fabric Refresher” that may also make sanitizing or antimicrobial claims on the label. 
(131) “Sealant or Caulking Compound” means any product with adhesive properties that is designed to fill, seal, waterproof, or weatherproof gaps or joints between two surfaces. “Sealant or Caulking Compound” does not include pipe thread sealants or pipe joint compounds; roof cements and roof sealants; insulating foams; removable caulking compounds; clear/paintable/water resistant caulking compounds; floor seam sealers; products designed exclusively for automotive uses; or sealers that are applied as continuous coatings. “Sealant or Caulking Compound” also does not include units of product, less packaging, which weigh more than one pound and consist of more than 16 fluid ounces. For the purposes of this definition only: 
“Removable caulking compounds” means a compound which temporarily seals windows or doors for three to six month time intervals. 
“Clear/paintable/water resistant caulking compounds” means a compound which contains no appreciable level of opaque fillers or pigments; transmits most or all visible light through the caulk when cured; is paintable; and is immediately resistant to precipitation upon application.
“Sealant or Caulking Compound” is divided into two subcategories: 
(A) “Chemically Curing Sealant or Caulking Compound” means any “Sealant or Caulking Compound” which achieves its final composition and physical form through a chemical curing process, where product ingredients participate in a chemical reaction in the presence of a catalyst that causes a change in chemical structure and leads to the release of chemical byproducts. “Chemically Curing Sealant or Caulking Compound” includes, but is not limited to, products that utilize silicone, polyurethane, silyl-terminated polyether, or silyl-terminated polyurethane reactive chemistries. “Chemically Curing Sealant or Caulking Compound” does not include products which are not solely dependent on a chemically curing process to achieve the cured state. 
(B) “Nonchemically Curing Sealant or Caulking Compound” means any “Sealant or Caulking Compound” not defined under “Chemically Curing Sealant or Caulking Compound.”
(132) “Semisolid” means a product that, at room temperature, will not pour, but will spread or deform easily, including but not limited to gels, pastes, and greases.
(133) “Shaving Cream” means an aerosol product which dispenses a foam lather intended to be used with a blade or cartridge razor, or other wet-shaving system, in the removal of facial or other bodily hair. “Shaving Cream” does not include “Shaving Gel.”
(134) “Shaving Gel” means an aerosol product which dispenses a post-foaming semi-solid designed to be used with a blade, cartridge razor, or other shaving system in the removal of facial or other bodily hair. “Shaving Gel” does not include “Shaving Cream.” 
(135) “Single Phase Aerosol Air Freshener” means an aerosol air freshener with the liquid contents in a single homogeneous phase and which does not require that the product container be shaken before use.
(136) “Solid” means a substance or mixture of substances which, either whole or subdivided (such as the particles comprising a powder), is not capable of visually detectable flow as determined under ASTM D-4359-90 (May 25, 1990) Standard Test Method for Determining Whether a Material Is a Liquid or a Solid, which is incorporated by reference herein.
(137) “Special Purpose Spray Adhesive” means an aerosol adhesive that meets any of the following definitions:
(A) “Mounting Adhesive” means an aerosol adhesive designed to permanently mount photographs, artwork, and any other drawn or printed media to a backing (paper, board, cloth, etc.) without causing discoloration to the artwork.
(B) “Flexible Vinyl Adhesive” means an aerosol adhesive designed to bond flexible vinyl to substrates. Flexible vinyl means a nonrigid polyvinyl chloride plastic with at least five percent, by weight, of plasticizer content. A plasticizer is a material, such as a high boiling point organic solvent, that is incorporated into a vinyl to increase its flexibility, workability, or distensibility, and may be determined using ASTM Method E260-91 (Jan. 25, 1991) Standard Practice for Packed Column Gas Chromatography, which is incorporated by reference herein, or from product formulation data.
(C) “Polystyrene Foam Adhesive” means an aerosol adhesive designed to bond polystyrene foam (e.g. StyrofoamÒ, expanded polystyrene foam, etc.) to substrates.
(D) “Automobile Headliner Adhesive” means an aerosol adhesive designed to bond together layers in motor vehicle headliners.
(E) “Polyolefin Adhesive” means an aerosol adhesive designed to bond polyolefins (e.g. polyethylene, polypropylene, etc.) to substrates.
(F) “Laminate Repair/Edgebanding Adhesive” means an aerosol adhesive designed for:
1. the touch-up or repair of items laminated with high pressure laminates (e.g. lifted edges, delaminations, etc.), or for
2. the touch-up, repair, or attachment of edgebanding materials, including, but not limited to, other laminates, synthetic marble, veneers, wood moulding, and decorative metals.
For the purposes of this definition “high pressure laminate” means sheet materials which consist of paper, fabric, or other core material that have been laminated at temperatures exceeding 265 degrees F, and at pressures between 1,000 and 1,400 psi.
(G)  “Automotive Engine Compartment Adhesive” means an aerosol adhesive designed for use in motor vehicle under-the-hood applications which require oil and plasticizer resistance, as well as high shear strength, at temperatures of 200-275 degrees Fahrenheit.
(138) “Spot Remover” means any product labeled to clean localized areas, or remove localized spots or stains on cloth or fabric such as drapes, carpets, upholstery, or clothing, that may or may not require subsequent laundering to achieve stain removal. “Spot Remover” includes spotting agents used by commercial dry cleaning and “laundering” operations. “Spot Remover” does not include “Laundry Prewash” or aerosol products labeled solely for gum removal.
(139) “Spray Buff Product” means a product designed to restore a worn floor finish in conjunction with a floor buffing machine and special pad.
(140) “Table B Compound” means any carbon-containing compound listed as an exception to the definition of VOC in Section 94508.
(141) “Temporary Hair Color” means any product that applies color, glitter, or UV-active pigments to hair, wigs, or fur and is removable when washed. “Temporary Hair Color” includes hair color mousses and products labeled to add texture or thickness to cover thinning/balding areas. “Temporary Hair Color” does not include “Hair Spray,” “Hair Styling Product,” or “Hair Mousse.”
(142) “Terrestrial” means to live on or grow from land.
(143) “Tire or Wheel Cleaner” means a product designed or labeled exclusively to clean either tires, wheels, or both. “Tire or Wheel Cleaner” includes, but is not limited to, products for use in commercial, fleet, hand, and “drive-through” car washes; commercial truck washing or large vehicle washing stations; vehicle dealers and repair shops, as well as household consumer products. “Tire or Wheel Cleaner” does not include products labeled for use exclusively on locomotives or aircraft. 
(144) “Tire Sealant and Inflator” means any pressurized product that is designed to temporarily inflate and seal a leaking tire.
(145) “Toilet/Urinal Care Product” means any product designed or labeled to clean and/or to deodorize toilet bowls, toilet tanks, or urinals. Toilet bowls, toilet tanks, or urinals includes, but is not limited to, toilets or urinals connected to permanent plumbing in buildings and other structures, portable toilets or urinals placed at temporary or remote locations, and toilet or urinals in vehicles such as buses, recreational motor homes, boats, ships, and aircraft. “Toilet/Urinal Care Product” does not include “Bathroom and Tile Cleaner” or “General Purpose Cleaner.” 
(146) “Type A Propellent” means a compressed gas such as CO2, N2, N2O, or compressed air which is used as a propellent, and is either incorporated with the product or contained in a separate chamber within the product's packaging.
(147) “Type B Propellent” means any halocarbon which is used as a propellent including chlorofluorocarbons (CFCs), hydrochlorofluorocarbons (HCFCs), and hydrofluorocarbons (HFCs).
(148) “Type C Propellent” means any propellent which is not a Type A or Type B propellent, including propane, isobutane, n-butane, and dimethyl ether (also known as dimethyl oxide).
(149) “Undercoating” means any aerosol product designed to impart a protective, nonpaint layer to the undercarriage, trunk interior, and/or firewall of motor vehicles to prevent the formation of rust or to deaden sound. “Undercoating” includes, but is not limited to, rubberized, mastic, or asphaltic products.
(150) “Usage Directions” means the text or graphics on the product's principal display panel, label, or accompanying literature which describes to the end user how and in what quantity the product is to be used.
(151) “Volatile Organic Compound (VOC)” means any compound containing at least one atom of carbon, excluding carbon monoxide, carbon dioxide, carbonic acid, metallic carbides or carbonates, and ammonium carbonate, and excluding the following:
(A) methane,
methylene chloride (dichloromethane),
1,1,1-trichloroethane (methyl chloroform),
trichlorofluoromethane (CFC-11),
dichlorodifluoromethane (CFC-12),
1,1,2-trichloro-1,2,2-trifluoroethane (CFC-113),
1,2-dichloro-1,1,2,2-tetrafluoroethane (CFC-114),
chloropentafluoroethane (CFC-115),
chlorodifluoromethane (HCFC-22),
1,1,1-trifluoro-2,2-dichloroethane (HCFC-123),
1,1-dichloro-1-fluoroethane (HCFC-141b),
1-chloro-1,1-difluoroethane (HCFC-142b),
2-chloro-1,1,1,2-tetrafluoroethane (HCFC-124),
trifluoromethane (HFC-23),
1,1,2,2-tetrafluoroethane (HFC-134),
1,1,1,2-tetrafluoroethane (HFC-134a),
pentafluoroethane (HFC-125),
1,1,1-trifluoroethane (HFC-143a),
1,1-difluoroethane (HFC-152a),
ethoxy-nonafluorobutane (HFE 7200),
cyclic, branched, or linear completely methylated siloxanes,
the following classes of perfluorocarbons:
1. cyclic, branched, or linear, completely fluorinated alkanes;
2. cyclic, branched, or linear, completely fluorinated ethers with no unsaturations;
3. cyclic, branched, or linear, completely fluorinated tertiary amines with no unsaturations; and
4. sulfur-containing perfluorocarbons with no unsaturations and with the sulfur bonds to carbon and fluorine, and
(B) the following low-reactive organic compounds which have been exempted by the U.S. EPA:
acetone,
ethane,
methyl acetate
parachlorobenzotrifluoride (1-chloro-4-trifluoromethyl benzene),
perchlorethylene (tetrachlorethylene).
(152) “VOC Content” means the total weight of VOC in a product expressed as a percentage of the product weight (exclusive of the container or packaging), as determined pursuant to sections 94515(a) and (b).
(153) “Wasp or Hornet Insecticide” means any insecticide product that is designed for use against wasps, hornets, yellow jackets or bees by allowing the user to spray from a distance a directed stream or burst at the intended insects, or their hiding place.
(154) “Waterproofer” means a product designed and labeled exclusively to repel water from fabric or leather substrates. “Waterproofer” does not include “Fabric Protectant.”
(155) “Wax” means a material or synthetic thermoplastic substance generally of high molecular weight hydrocarbons or high molecular weight esters of fatty acids or alcohols, except glycerol and high polymers (plastics). “Wax” includes, but is not limited to, substances derived from the secretions of plants and animals such as carnauba wax and beeswax, substances of a mineral origin such as ozocerite and paraffin, and synthetic polymers such as polyethylene.
(156) “Web Spray Adhesive” means any aerosol adhesive which is not a “Mist Spray Adhesive” or “Special Purpose Spray Adhesive.”
(157) “Windshield Water Repellent” means a product designed or labeled exclusively to repel water from motor vehicle exterior automotive glass surfaces. “Windshield Water Repellent” does not include “Automotive Windshield Washer Fluid.” 
(158) “Wood Cleaner” means a product labeled to clean wooden materials including but not limited to decking, fences, flooring, logs, cabinetry, and furniture. “Wood Cleaner” does not include “Dusting Aid,” General Purpose Cleaner,” “Furniture Maintenance Product,” “Floor Wax Stripper,” “Floor Polish or Wax,” or products designed and labeled exclusively to preserve or color wood. 
(159) “Zinc-Rich Primer” means a coating that meets all the following specifications: (A) coating contains at least 65 percent metallic zinc powder or zinc dust by weight of total solids; and (B) coating is formulated for application to metal substrates to provide a firm bond between the substrate and subsequent applications of coatings; and (C) coating is intended for professional use only and labeled “For Professional Use Only;” “For Industrial Use Only;” “Not for residential use;” or “Not intended for residential use.”
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38562, 38580, 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 38501, 38510, 38560, 38560.5, 38562, 38580, 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of subsection (a)(2), repealer and new subsections (a)(1)-(71), and new subsections (a)(72)-(93) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Repealer of subsection (a)(90) and new subsections (a)(90)-(a)(90)(B) filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
4. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
5. New subsections (a)(2), (a)(9), (a)(12), (a)(14)-(17),  (a)(20), (a)(23), (a)(36), (a)(39), (a)(42)(A)-(C), (a)(44), (a)(49), (a)(57), (a)(58), (a)(62), (a)(64), (a)(65), (a)(77), (a)(80)-(85), (a)(90), (a)(93), (a)(94), (a)(108)-(110), (a)(112), (a)(115), (a)(118), (a)(122), repealer of former subsection (a)(67), subsection renumbering, and amendment of newly designated subsections (a)(26), (a)(42) and (a)(126) filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
6. Amendment of subsection (a)(124)(B) filed 5-25-99; operative 6-24-99 (Register 99, No. 22).
7. Amendment of subsections (a)(78)-(a)(78)(B) and new subsections (a)(78)(C)-(D) filed 11-16-99; operative 12-16-99 (Register 99, No. 47).
8. Amendment implementing Mid-Term Measures II filed 10-20-2000; operative 11-19-2000 (Register 2000, No. 42).
9. Amendment of subsection (a)(1), new subsection (a)(3), subsection relettering, amendment of newly designated subsections (a)(30) and (a)(53), new subsections (a)(84), (a)(118)-(a)(118)(G) and (a)(134) and further subsection relettering filed 4-18-2001; operative 5-18-2001 (Register 2001, No. 16).
10. Amendment filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
11. Amendment filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
12. Amendment of section and Note filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25).
13. Amendment of subsections (a)(2)(A), new subsections (a)(13)-(14), (a)(85), (a)(87)-(a)(87)(E) and (a)(163), subsection renumbering, amendment of newly designated subsections ((a)(15), (a)(21)(A), (a)(22)(A), (a)(28), (a)(41), (a)(61)(C), (a)(67), (a)(81)(B), (a)(96), (a)(106)(B) and (a)(115), new subsections (a)(115)(A)-(a)(115)(D)(2.) and amendment of newly designated subsections (a)(127), (a)(140) and (a)(141)(B) filed 9-20-2010; operative 10-20-2010 (Register 2010, No. 39).
14. Editorial correction of subsection (a)(41) (Register 2010, No. 42).
15. Change without regulatory effect amending subsection (a)(106)(B) and redesignating former subsections (a)(115)(D)(1.)-(2.) and (a)(141)(F)(1.)-(2.) as subsections (a)(115)(D)1.-2. and (a)(141)(F)1.-2. filed 12-23-2010 pursuant to section 100, title 1, California Code of Regulations (Register 2010, No. 52).
16. Amendment filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§94509. Standards for Consumer Products. 
Note     •     History

a) Except as provided in Sections 94510 (Exemptions), 94511 (Innovative Products), 94514 (Variances), 94540 through 94555 (Alternative Control Plan), 94567(a)(1) (Hairspray Credit Program), Title 17, California Code of Regulations, no person shall sell, supply, offer for sale, or manufacture for sale in California any consumer product which, at the time of sale or manufacture, contains volatile organic compounds in excess of the limits specified in the following Table of Standards after the specified effective dates.

Table of Standards
Percent Volatile Organic Compounds by Weight

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic
(b) Products that are diluted prior to use
(1) Except for “Automotive Windshield Washer Fluids (Dilutable),” for consumer products for which the label, packaging, or accompanying literature specifically states that the product should be diluted with water or non-VOC solvent prior to use, the limits specified in subsection (a) shall apply to the product only after the minimum recommended dilution has taken place. For purposes of this subsection (b), “minimum recommended dilution” shall not include recommendations for incidental use of a concentrated product to deal with limited special application such as hard-to-remove soils or stains.
(2) For consumer products for which the label, packaging, or accompanying literature states that the product should be diluted with any VOC solvent prior to use, the limits specified in subsection (a) shall apply to the product only after the maximum recommended dilution has taken place.
(3) For “Automotive Windshield Washer Fluid (Dilutable)” for which the front panel of the product label specifically states that the product should be diluted (e.g. identified as a “concentrate”) prior to use; 
(A) the VOC limits specified in section 94509(a) shall apply to the product only after the minimum recommended dilution has taken place; 
(B) for the purpose of complying with the VOC limits specified in section 94509(a), different dilution instructions for “Type A areas” and other areas of California may be specified on the product label if the dilution instructions meet the following criteria: 
1. The instructions are readily visible, and 
2. The instructions can be easily understood by the consumer, and 
3. The instructions clearly specify the recommended dilutions to apply in “Type A areas” and in other areas of California, and 
If the dilution instructions specified on the product label meet these criteria, the VOC limits specified in section 94509(a) shall apply to the product only after the minimum recommended dilution has taken place for the area in which the product is sold, supplied, or offered for sale. 
(4) For products sold in pump spray containers, the VOC limits specified in section 94509(a) shall apply to the product prior to any minimum recommended dilution.
(c) Sell-through of products. 
(1) Sell-through period. Notwithstanding the provisions of Sections 94509(a), 94509(j), or 94509(o), a consumer product manufactured prior to each of the effective dates specified for that product in the Table of Standards may be sold, supplied, or offered for sale for up to three years after each of the specified effective dates. This subsection (c) also does not apply to:
(A) any consumer product which does not display on the product container or package the date on which the product was manufactured, or a code indicating such date, or
(B) any consumer product on which the manufacturer has used a code indicating the date of manufacture that is different than the code specified in section 94512(b)(2), but an explanation of the code has not been filed with the ARB Executive Officer by the deadlines specified in section 94512(c)(1) or section 94512(c)(2), or 
(C) Solid “Air Fresheners” and “Toilet/Urinal Care Product” that contain para-dichlorobenzene; these products are subject to the one-year sell-through period specified in section 94509(m)(2). 
(D) Products contained in multi-unit packages, as specified below: 
1. Subsection (c)(1) does not apply to any individual consumer products unit contained within a multi-unit package that is produced or assembled after January 1, 2006, where the multi-unit package does not display the date(s) or date-code(s) of the individual product units, or display the date of assembly, such that the displayed information is not readily observable without irreversibly disassembling any portion of the container or packaging. 
2. For the purposes of this section, “date of assembly” means the date that the individual product units are assembled into the finished multi-unit package. 
3. For multi-unit packages that display the “date of assembly” instead of the date(s) or date-code(s) of the individual product units, the “date of assembly” shall be the “date of manufacture“ for all of the product units contained within the multi-unit package. In other words, all of the product units shall be deemed to have been manufactured on the date these units are assembled into the multi-unit package, even if the individual product units show different date(s) or date-code(s). 
(2) Notification for products sold during the sell-through period. Any person who sells or supplies a consumer product subject to the Table of Standards in section 94509 must notify the purchaser of the product in writing of the date on which the sell-through period for that product will end, provided, however, that this notification must be given only if all of the following conditions are met: 
(A) the product is being sold or supplied to a distributor or retailer; 
(B) the sell-through period for the product will expire 6 months or less from the date the product is sold or supplied; 
(C) the product does not comply with the lowest VOC standard that applies on the date the sell-through period ends; and 
(D) the product is subject to a VOC standard with an effective date on or after December 31, 2004. 
(d) Products registered under FIFRA. For those consumer products that are registered under the Federal Insecticide, Fungicide, and Rodenticide Act, (FIFRA; 7 U.S.C. Section 136-136y), the effective date of the VOC standards specified in subsection (a) is one year after the date specified in the Table of Standards. For those consumer products that are registered under FIFRA, the three year period provided in subsection (c) shall also begin one year after the date specified in the Table of Standards.
(e) Products containing ozone-depleting compounds. For any consumer product for which VOC standards are specified under subsection (a), no person shall sell, supply, offer for sale, or manufacture for sale in California any consumer product which contains any of the following ozone-depleting compounds: 
CFC-11 (trichlorofluoromethane), 
CFC-12 (dichlorodifluoromethane), 
CFC-113 (1,1,1-trichloro-2,2,2-trifluoroethane), 
CFC-114 (1-chloro-1,1-difluoro-2-chloro-2,2-difluoroethane), 
CFC-115 (chloropentafluoroethane), halon 1211 (bromochlorodifluoromethane), halon 1301 (bromotrifluoromethane), halon 2402 (dibromotetrafluoroethane), 
HCFC-22 (chlorodifluoromethane), 
HCFC-123 (2,2-dichloro-1,1,1-trifluoroethane), 
HCFC-124 (2-chloro-1,1,1,2-tetrafluoroethane), 
HCFC-141b (1,1-dichloro-1-fluoroethane), 
HCFC-142b (1-chloro-1,1-difluoroethane), 1,1,1-trichloroethane, and carbon tetrachloride.
(f) The requirements of section 94509(e) shall not apply to any existing product formulation that complies with the Table of Standards or any existing product formulation that is reformulated to meet the Table of Standards, provided the ozone depleting compound content of the reformulated product does not increase.
(g) The requirements of section 94509(e) shall not apply to any ozone-depleting compounds that may be present as impurities in a consumer product in an amount equal to or less than 0.01% by weight of the product.
(h) Requirements for charcoal lighter materials. The following requirements shall apply to all charcoal lighter material products as defined in section 94508(a):
(1) Regulatory Standards
(A) In all areas of California except the South Coast Air Quality Management District, no person shall sell, supply, or offer for sale after January 1, 1993 any charcoal lighter material product unless at the time of the transaction:
1. the manufacturer or distributor of the charcoal lighter material has been issued a currently effective certification pursuant to subsection (h)(2).
2. the charcoal lighter material meets the formulation criteria and other conditions specified in the applicable Executive Order issued pursuant to subsection (h)(2).
3. the product usage directions for the charcoal lighter material are the same as those provided to the Executive Officer pursuant to subsection (h)(2)(C).
(B) In the South Coast Air Quality Management District, the regulatory standards specified in subsection (h)(1)(A) shall be applicable upon the effective date of this subsection.
(2) Certification Requirements
(A) No charcoal lighter material formulation shall be certified under this subsection unless the applicant for certification demonstrates to the Executive Officer's satisfaction that the VOC emissions from the ignition of charcoal with the charcoal lighter material are less than or equal to 0.020 pound of VOC per start, using the procedures specified in the South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol, dated February 27, 1991 (the “SCAQMD Rule 1174 Testing Protocol”). The provisions relating to LVP-VOC in sections 94508(a) and 94510(d) shall not apply to any charcoal lighter material subject to the requirements of sections 94509(a) and (h).
(B) The Executive Officer may approve alternative test procedures which are shown to provide equivalent results to those obtained using the SCAQMD Rule 1174 Testing Protocol.
(C) A manufacturer or distributor of charcoal lighter material may apply to the Executive Officer for certification of a charcoal lighter material formulation in accordance with this subsection (h)(2). The application shall be in writing and shall include, at a minimum, the following:
1. the results of testing conducted pursuant to the procedures specified in SCAQMD Rule 1174 Testing Protocol.
2. the exact text and/or graphics that will appear on the charcoal lighter material's principal display panel, label, and any accompanying literature. The provided material shall clearly show the usage directions for the product. These directions shall accurately reflect the quantity of charcoal lighter material per pound of charcoal that was used in the SCAQMD Rule 1174 Testing Protocol for that product, unless:
i) the charcoal lighter material is intended to be used in fixed amounts independent of the amount of charcoal used, such as certain paraffin cubes, or
ii) the charcoal lighter material is already incorporated into the charcoal, such as certain “bag light,” “instant light,” or “match light” products.
3. For a charcoal lighter material which meets the criteria specified in subsection (h)(2)(C)(2.)(i), the usage instructions provided to the Executive Officer shall accurately reflect the quantity of charcoal lighter material used in the SCAQMD Rule 1174 Testing Protocol for that product.
4. Any physical property data, formulation data, or other information required by the Executive Officer for use in determining when a product modification has occurred and for use in determining compliance with the conditions specified on the Executive Order issued pursuant to section (h)(2).
(D) Within 30 days of receipt of an application, the Executive Officer shall advise the applicant in writing either that it is complete or that specified additional information is required to make it complete. Within 30 days of receipt of additional information, the Executive Officer shall advise the applicant in writing either that the application is complete, or that specified additional information or testing is still required before it can be deemed complete.
(E) If the Executive Officer finds that an application meets the requirements of this subsection (h)(2), then he or she shall issue an Executive Order certifying the charcoal lighter material formulation and specifying such conditions as are necessary to insure that the requirements of this subsection (h) are met. The Executive Officer shall act on a complete application within 90 days after the application is deemed complete.
(3) Notice of Modifications
For any charcoal lighter material for which certification has been granted pursuant to subsection (h)(2), the applicant for certification shall notify the Executive Officer in writing within 30 days of: (i) any change in the usage directions, or (ii) any change in product formulation, test results, or any other information submitted pursuant to subsection (h)(2) which may result in VOC emissions greater than 0.020 pound of VOC per start.
(4) Revocation of Certification
If the Executive Officer determines that any certified charcoal lighter material formulation results in VOC emissions from the ignition of charcoal which are greater than 0.020 pound of VOC per start, as determined by the SCAQMD Rule 1174 Testing Protocol and the statistical analysis procedures contained therein, the Executive Officer shall revoke or modify the certification as is necessary to assure that the charcoal lighter material will result in VOC emissions of less than or equal to 0.020 pound of VOC per start. The Executive Officer shall not revoke or modify the prior certification without first affording the applicant for the certification an opportunity for a hearing in accordance with the procedures specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 1, Article 4 (commencing with section 60040), to determine if the certification should be modified or revoked.
(5) Notwithstanding any other provision of this subsection 94509(h), charcoal lighter material products manufactured prior to January 1, 1993, may be sold, supplied, or offered for sale until July 1, 1994, in all areas of California except the South Coast Air Quality Management District. Charcoal lighter material products subject to SCAQMD Rule 1174 and sold, supplied, or offered for sale in the South Coast Air Quality Management District shall meet the requirements of sections 94509(h) upon the effective date of this subsection, regardless of the date on which the products were manufactured.
(i) Requirements for aerosol adhesives (as defined in sections 94508(a)(1) and 94508(a)(3)). 
(1) As specified in Health and Safety Code section 41712(h)(2), the standards for aerosol adhesives apply to all uses of aerosol adhesives, including consumer, industrial, and commercial uses. Except as otherwise provided in sections 94509(c), 94510, 94511, and 94514, no person shall sell, supply, offer for sale, use or manufacturer for sale in California any aerosol adhesive which, at the time of sale, use, or manufacture, contains VOCs in excess of the specified standard.
(2)(A) In order to qualify as a “Special Purpose Spray Adhesive” the product must meet one or more of the definitions for “Special Purpose Spray Adhesive” specified in section 94508(a), but if the product label indicates that the product is suitable for use on any substrate or application not listed in one of the definitions for “Special Purpose Spray Adhesive,” then the product shall be classified as either a “Web Spray Adhesive” or a “Mist Spray Adhesive.”
(B) If a product meets more than one of the definitions specified in section 94508(a) for “Special Purpose Spray Adhesive,” and is not classified as a “Web Spray Adhesive” or “Mist Spray Adhesive” under subsection (2)(A), then the VOC limit for the product shall be the lowest applicable VOC limit specified in section 94509(a).
(3) All aerosol adhesives must comply with the labeling requirements specified in section 94512(d), and all manufacturers and responsible parties for aerosol adhesives must comply with the special reporting requirements specified in section 94513(d).
(j) Requirements for Floor Wax Strippers. After an effective date of January 1, 2002, no person shall sell, supply, offer for sale, or manufacture for use in California any floor wax stripper unless the following requirements are met:
(1) The label of each nonaerosol floor wax stripper must specify a dilution ratio for light or medium build-up of polish that results in an as-used VOC concentration of 3 percent by weight or less.
(2) If a nonaerosol floor wax stripper is also intended to be used for removal of heavy build-up of polish, the label of that floor wax stripper must specify a dilution ratio for heavy build-up of polish that results in an as-used VOC concentration of 12 percent by weight or less.
(3) The terms “light build-up,” “medium build-up” or “heavy build-up” are not specifically required, as long as comparable terminology is used.
(k) Effective dates of the VOC limits for “Carburetor or Fuel-injection Air Intake Cleaners” and “Construction, Panel, and Floor Covering Adhesives.” The definitions for the product categories of “Carburetor or Fuel-injection Air Intake Cleaners” and “Construction, Panel, and Floor Covering Adhesives” were modified as part of the “Mid-term Measures II” rulemaking action that was considered by the Board in October 1999. As a result of these modifications, certain types of consumer products were included in these definitions that had not previously been included. For those consumer products that were included in these definitions for the first time as a result of the “Mid-term Measures II” rulemaking action, the VOC limits (in section 94509(a)) applicable to these newly included products shall not become legally effective until December 31, 2002. 
(l) Automotive Windshield Washer Fluids. The provisions of subsection 94509(b)(1) shall not apply to “Automotive Windshield Washer Fluid (Pre-Mixed)” as defined in section 94508(a). 
(m) Requirements limiting the use of specific toxic compounds in specific consumer products categories.
(1) Requirements for products listed in Table (m)(1).
Except as provided below in sections 94509(m)(4), (m)(6), and (m)(7), after the applicable effective date specified in Table 94509(m)(1) for each product category, no person shall sell, supply, offer for sale, or manufacture for use in California any consumer product listed in Table 94509(m)(1) that contains any of the following compounds: methylene chloride, perchloroethylene, or trichloroethylene. 

Table 94509(m)(1) 
Product Categories in which Use of Methylene Chloride, Perchloroethylene, and 
Trichloroethylene is Prohibited 

				  Sell-
		Product Category	Effective	through
			   Date	  Date

	Adhesive:
	 Aerosol		1/1/2002	1/1/2005
	 · Mist Spray Adhesive
	 · Web Spray Adhesive
	 · Special Purpose Spray Adhesive
	    · Mounting, Automotive Engine Compartment, and Flexible Vinyl Adhesive
	    · Polystyrene Foam and Automobile Headliner Adhesive
	    · Polyolefin and Laminate Repair/Edgebanding Adhesive
	Construction, Panel and Floor Covering	12/31/2008	12/31/2011
	Contact		12/31/2005	12/31/2008

	Adhesive Remover		12/31/2006	12/31/2009
	· Floor or Wall Covering Adhesive Remover
	· Gasket or Thread Locking Adhesive Remover
	· General Purpose Adhesive Remover
	· Specialty Adhesive Remover

	Automotive Consumer Products:
	See the Airborne Toxic Control Measure For Emissions Of Chlorinated
	Toxic Air Contaminants From Automotive Maintenance And Repair
	Activities, section 93111, title 17, California Code of Regulations for 
	additional requirements that apply to the Automotive Consumer
	Products: Brake Cleaner, Carburetor or Fuel Injection Air Intake
	Cleaner, Engine Degreaser, and General Purpose Degreaser -- intended 
	for use in automotive maintenance or repair activities.
					
	Bathroom and Tile Cleaner	12/31/2008	12/31/2011

	Carpet/Upholstery Cleaner	12/31/2010	12/31/2013

	Electrical Cleaner		12/31/2006	12/31/2009

	Electronic Cleaner		12/31/2005	12/31/2008

	Electronic Cleaner labeled as energized electronic equipment use only	12/31/2008	12/31/2011

	Fabric Protectant		12/31/2010	12/31/2013

	Footwear or Leather Care Product	12/31/2005	12/31/2008

	General Purpose Cleaner	12/31/2008	12/31/2011

	General Purpose Degreaser	12/31/2005	12/31/2008

	Graffiti Remover		12/31/2006	12/31/2009

	Lubricant:
	· Anti-Seize Lubricant	12/31/2013	12/31/2016
	· Cutting or Tapping Oil	12/31/2013	12/31/2016
	· Gear, Chain, or Wire Lubricant	12/31/2013	12/31/2016
	· Multi-purpose Lubricant (excluding solid or semisolid products)	12/31/2010	12/31/2013
	· Penetrant [See subsection 94509(m)(7) for an exclusion that 
	   applies to certain Penetrant products.]	12/31/2010	12/31/2013
	· Rust Preventative or Rust Control Lubricant	12/31/2013	12/31/2016
	· Silicone-based Multi-purpose Lubricant (excluding solid or semisolid products)	12/31/2012	12/31/2015

	Metal Polish or Cleanser	12/31/2012	12/31/2015

	Multi-purpose Solvent	12/31/2010	12/31/2013

	Oven or Grill Cleaner	12/31/2008	12/31/2011

	Paint Thinner		12/31/2010	12/31/2013

	Pressurized Gas Duster (Trichloroethylene is not prohibited)	12/31/2010	12/31/2011

	Sealant or Caulking Compound	12/31/2010	12/31/2013

	Spot Remover		12/31/2012	12/31/2015
					
(2) Requirements for products listed in Table (m)(2). 
Except as provided below in sections 94509(m)(4) after the applicable effective date specified in Table 94509(m)(2) for each product category, no person shall sell, supply, offer for sale, or manufacture for use in California any consumer product listed in Table 94509(m)(2) that contains para-dichlorobenzene. 

Table 94509(m)(2) 
Product Categories in which Use of Para-dichlorobenzene
is Prohibited 

  Product Category	Effective Date	Sell-through
		    Date

Air Freshener (solid)	12/31/2005	12/31/2006
Toilet/Urinal Care Products	12/31/2005	12/31/2006

(3) Requirements for products listed in Table (m)(3). 
Except as provided below in sections 94509(m)(4) and (m)(6), after the applicable effective date specified in Table 94509(m)(3) for each product category, no person shall sell, supply, offer for sale, or manufacture for use in California any consumer product listed in Table 94509(m)(3) that contains an alkylphenol ethoxylate surfactant compound. 

Table 94509(m)(3) 
Product Categories in which Use of Alkylphenol Ethoxylate 
Surfactants is Prohibited 

   Product Category	Effective Date	Sell-through
		  Date

General Purpose Cleaner 
 (nonaerosol)	12/31/2012	12/31/2015

General Purpose Degreaser 
 (nonaerosol)	12/31/2012	12/31/2015

Glass Cleaner (nonaerosol)	12/31/2012	12/31/2015

Heavy-duty Hand Cleaner or Soap 
 (nonaerosol)	12/31/2013	12/31/2016

Oven or Grill Cleaner	12/31/2012	12/31/2015
(4) Sell-through of Products. Consumer products listed in Table 94509(m)(1), (m)(2), or (m)(3) that were manufactured before the specified effective date listed in Table 94509(m)(1), (m)(2), or (m)(3), may be sold, supplied, or offered for sale until the corresponding “sell-through” date listed in Table 94509(m)(1), (m)(2), or (m)(3), so long as the product complies with the product dating requirements in section 94512(b). 
(5) Notification for products sold during the sell-through period. Any person who sells or supplies a consumer product identified listed in section 94509(m)(1), (m)(2), or (m)(3) must notify the purchaser of the product of the sell-through period dates, provided, however, that this notification must be given only if both of the following conditions are met: 
(A) the product is sold or supplied to a distributor or retailer; and
(B) the product is sold or supplied within 6 months of the specified effective date. 
(6) Impurities. The requirements of section 94509(m)(1) and (m)(5) shall not apply to any consumer product listed in Table 94509(m)(1) containing methylene chloride, perchloroethylene, or trichloroethylene that is present as an impurity in a combined amount equal to or less than 0.01% by weight. 
(7) The requirements of section 94509(m)(1) shall not apply to “Penetrant” products used on equipment when electrical current exists; residual electrical potential from a component exists; or an open flame exists, as long as the “Principal Display Panel” clearly displays the statement: “Nonflammable: For use on energized equipment only.” 
(n) Requirements limiting the use of any chemical compound that has a Global Warming Potential (GWP) Value of 150 or greater. 
(1) Requirements for products listed in Table (n)(1)
Except as provided below in sections 94509(n)(2) and (n)(3), after the applicable effective date specified in Table 94509(n)(1), no person shall sell, supply, offer for sale, or manufacture for use in California any consumer product listed in Table 94509(n)(1) that contains any chemical compound that has a GWP Value of 150 or greater. 

Table 94509(n)(1) 
Product Categories in which Use of Any Chemical Compound
that has a Global Warming Potential (GWP) Value of 150 or Greater is Prohibited 

    Product Category	Effective Date	Sell-through
		    Date

Double Phase Aerosol Air Freshener	12/31/2012	12/31/2015
Flying Bug Insecticide	12/31/2013	12/31/2016
Furniture Maintenance Product	12/31/2013	12/31/2016
Lubricant:
· Anti-Seize Lubricant	12/31/2013	12/31/2016
· Cutting or Tapping Oil	12/31/2013	12/31/2016
· Gear, Chain, or Wire Lubricant	12/31/2013	12/31/2016
· Rust Preventative or Rust Control 
  Lubricant	12/31/2013	12/31/2016
Metal Polish or Cleanser	12/31/2012	12/31/2015
Multi-purpose Solvent	12/31/2010	12/31/2013
Paint Thinner	12/31/2010	12/31/2013
Pressurized Gas Duster	12/31/2010	12/31/2011
Spot Remover	12/31/2012	12/31/2015
Wasp or Hornet Insecticide	12/31/2013	12/31/2016
(2) Sell-through of Products. Consumer products listed in Table 94509(n)(1) that were manufactured before the specified effective date listed in Table 94509(n)(1), may be sold, supplied, or offered for sale until the corresponding “sell-through” date listed in Table 94509(n)(1), so long as the product complies with the product dating requirements in section 94512(b). 
(3) Notification for products sold during the sell-through period. Any person who sells or supplies a consumer product listed in section 94509(n)(1) must notify the purchaser of the product of the sell-through period dates, provided, however, that this notification must be given only if both of the following conditions are met: 
(A) the product is sold or supplied to a distributor or retailer; and 
(B) the product is sold or supplied within 6 months of the specified effective date. 
(4) Impurities. The requirements of section 94509(n)(1), (n)(2), and (n)(3) shall not apply to any consumer product listed in Table 94509(n)(1) containing any chemical compound that is present as an impurity in a combined amount equal to or less than 0.1% by weight. 
(o) Requirements for Fabric Softener -- Single Use Dryer Product. 
(1) Effective December 31, 2010, Fabric Softener -- Single Use Dryer Product shall not contain more than 0.05 grams of VOC per use. Compliance with the VOC limit shall be determined per sheet, or equivalent delivery substrate, based on the minimum recommended use for a single drying cycle specified on the product packaging or label. In other words, if one sheet is the minimum recommended use for a single drying cycle, then the VOC limit applies per sheet. If two sheets are the minimum recommended use for a single drying cycle, then the VOC limit applies to the aggregate VOC content in two sheets. For purposes of this subsection, “minimum recommended use” shall not include recommendations for incidental use of additional sheets, or equivalent delivery substrate, for limited applications such as for extra large or double loads of washable fabrics in large capacity clothes dryers. 
(2) The provisions relating to fragrance in section 94510(c) shall not apply to Fabric Softener -- Single Use Dryer Product subject to the requirements of this subsection 94509(o)(1). 
(p) Additional requirements for Multi-purpose Solvent and Paint Thinner.
(1) Except as provided below in section 94509(p)(2), effective December 31, 2010, no person shall sell, supply, offer for sale, or manufacture for use in California any Multi-purpose Solvent or Paint Thinner that contains greater than 1% Aromatic Compound content by weight. 
(2) Sell-through of Products. Multi-purpose Solvents and Paint Thinners that contain greater than 1% Aromatic Compound content by weight; and were manufactured before December 31, 2010, may be sold, supplied, or offered for sale until December 31, 2013, so long as the product complies with the product dating requirements in section 94512(b). 
(3) Notification for products sold during the sell-through period. Any person who sells or supplies a consumer product identified above in section 94509(p)(2) must notify the purchaser of the product in writing that the sell-through period for that product will end on December 31, 2013, provided, however, this notification must be given only if both of the following conditions are met:
(A) the product is sold or supplied to a distributor or retailer; and 
(B) the product is sold or supplied on or after June 30, 2013. 
(q) Effective dates of the VOC limits for “Oven or Grill Cleaner.” The definition for the “Oven or Grill Cleaner” product category was modified as part of a rulemaking action to amend the California Consumer Products Regulation that was considered by the Board in November 2010. As a result of this modification, grill cleaning products were included in this definition that had not previously been included. For those grill cleaning products that were included in this definition for the first time as a result this rulemaking action, the VOC limits (in section 94509(a)) applicable to these newly included products shall not become legally effective until December 31, 2012. 
NOTE

Authority cited: Sections 38500, 38501, 38510, 38560, 38560.5, 38562, 38580, 39600, 39601, 39650, 39658, 39659, 39666 and 41712, Health and Safety Code. Reference: Sections 38505, 39002, 39600, 39650, 39655, 39656, 39658, 39659, 39666, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of table in subsection (a), new table in subsection (a), amendment of subsections (c)-(f), redesignating of subsection (f)(2) to (g) and amendment, and new subsections (h)-(h)(5) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
4. Amendment of subsection (a) filed 12-23-97; operative 12-23-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 52).
5. Amendment filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
6. Amendment of subsection (a) filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
7. Amendment implementing Mid-Term Measures II redesigning table of standards and adding subsections (k)-(l) filed 10-20-2000; operative 11-19-2000 (Register 2000, No. 42).
8. Amendment of Table of Standards, amendment and redesignation of portion of subsection (i) as subsection (i)(1), new subsections (i)(2)-(4) and amendment of Note filed 4-18-2001; operative 5-18-2001 (Register 2001, No. 16).
9. Amendment of section and Note filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
10. Amendment of subsections (a), (e), (h)(1)(A), (i), (i)(2)(A)-(B) and (l) and new subsections (p)-(p)(4) filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
11. Amendment of subsection (a), new subsection (b)(4), amendment of subsections (c)(1)(C), (e), (h), (h)(2)(A), (h)(2)(C)3., (i)(2)(A)-(B), (l) and (p)(2), new subsections (q)-(s)(2) and amendment of Note filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25).
12. Amendment of subsection (a) -- Table of Standards and subsections (b)(3), (i)(3), (m)(2), (n)(2), (o)(1) and (r)(5) and new subsections (t)-(u)(4)(B) filed 9-20-2010; operative 10-20-2010 (Register 2010, No. 39).
13. Editorial correction of subsection (a) -- Table of Standards (Register 2010, No. 52).
14. Amendment filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§94510. Exemptions. 
Note     •     History

(a) This article shall not apply to any consumer products manufactured in California for shipment and use outside of California.
(b) The provisions of this article shall not apply to a manufacturer or distributor who sells, supplies, or offers for sale in California a consumer product that does not comply with the VOC standards specified in Section 94509, as long as the manufacturer or distributor can demonstrate both that the consumer product is intended for shipment and use outside of California, and that the manufacturer or distributor has taken reasonable prudent precautions to assure that the consumer product is not distributed to California. This subsection (b) does not apply to consumer products that are sold, supplied, or offered for sale by any person to retail outlets in California.
(c) Except for Pressurized Gas Duster, the VOC limits specified in Section 94509(a) shall not apply to fragrances up to a combined level of 2 percent by weight contained in any consumer product.
(d) The VOC limits specified in Section 94509(a) shall not apply to any LVP-VOC.
(e) The requirements of Section 94512(b) shall not apply to consumer products registered under the Federal Insecticide, Fungicide, and Rodenticide Act, (FIFRA; 7 U.S.C. Section 136-136y).
(f) The VOC limits specified in Section 94509(a) shall not apply to air fresheners that are comprised entirely of fragrance, less compounds not defined as VOCs under Section 94508 or exempted under Section 94510(d).
(g) The VOC limits specified in Section 94509(a) shall not apply to:
(1) insecticides containing at least 98% para-dichlorobenzene.
(2) Until December 30, 2006, the VOC limits specified in Section 94509(a) shall not apply to solid air fresheners containing at least 98% para-dichlorobenzene. On or after December 31, 2006, the provisions of section 94509(m)(2) apply to solid air fresheners containing para-dichlorobenzene. 
(h) Except as specified in 94510(h)(3) below, the VOC limits specified in Section 94509(a) shall not apply to:
(1)  existing personal fragrance products or personal fragrance products in development on or before April 1, 1992, provided that both (i) the registration data specified in section 94513 is submitted for every such product by the date specified in section 94513(a), or prior to July 1, 1993, whichever date occurs later, and (ii) such product is sold in California prior to January 1, 1994. For the purposes of this subsection, a product “in development” means:
(A) a product which a fragrance materials manufacturer is designing at the request of a personal fragrance product manufacturer, or
(B) a product which is the subject of a written marketing profile or other documentation authorizing the creation and marketing of the product.
(2) personal fragrance products in development may be registered to qualify for this exemption under hypothetical trade names or pseudonyms, provided that the actual trade name is supplied to the Executive Officer within 30 days of marketing such products, or January 1, 1994, whichever occurs first.
(3) Effective December 31, 2014, subsections 94510(h)(1) and 94510(h)(2) shall no longer apply to any “Personal Fragrance Product” that contains 20 percent or less fragrance. Products manufactured before December 31, 2014 may be sold, supplied, or offered for sale until December 31, 2017, so long as the product complies with the product dating requirements in Section 94512(b). 
(i) The VOC limits specified in section 94509(a) shall not apply to adhesives sold in containers of 1 fluid ounce or less.
(j) The VOC limits specified in Section 94509(a) shall not apply to any VOC which is a fragrance in a personal fragrance product.
(k)  The VOC limits specified in 94509(a) shall not apply to bait station insecticides. For the purpose of this section, bait station insecticides are containers enclosing an insecticidal bait that is not more than 0.5 ounce by weight, where the bait is designed to be ingested by insects and is composed of solid material feeding stimulants with less than 5 percent (%) active ingredients.
(l) Except as specified in 94510(l)(1), the 1/1/99 VOC limits specified in Section 94509(a) for personal fragrance products shall not apply to such products which have been sold in California prior to 1/1/99.
(1) On or after December 31, 2014, the 75 percent by weight VOC limit shall apply to any “Personal Fragrance Product” that contains 20 percent or less fragrance. Products manufactured before December 31, 2014 may be sold, supplied, or offered for sale until December 31, 2017, so long as the product complies with the product dating requirements in Section 94512(b). 
(m) Until December 31, 2013, the VOC limits specified in Section 94509(a), and the prohibition of Aromatic Compounds listed in section 94509(p)(1), shall not apply to Paint Thinners that are packaged in containers with a capacity less than or equal to 8 fluid ounces.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of subsections (b)-(d) and (g) and new subsections (h)-(l) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
4. Amendment of subsection (b) filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
5. Amendment of subsection (g) and new subsections (g)(1)-(2) filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
6. Amendment of subsection (e) filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
7. Amendment of subsections (c) and (h), new subsection (h)(3), amendment of subsection (l) and new subsection (l)(1) filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25).
8. New subsection (m) filed 9-20-2010; operative 10-20-2010 (Register 2010, No. 39).
9. Amendment of subsections (c), (g)(2) and (m) filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§94511. Innovative Products. 
Note     •     History

(a) The Executive Officer shall exempt a consumer product from the VOC limits specified in Section 94509(a) if a manufacturer demonstrates by clear and convincing evidence that, due to some characteristic of the product formulation, design, delivery systems or other factors, the use of the product will result in less VOC emissions as compared to: 
(1) the VOC emissions from a representative consumer product which complies with the VOC limits specified in Section 94509(a), or
(2) the calculated VOC emissions from a noncomplying representative product, if the product had been reformulated to comply with the VOC limits specified in section 94509(a). VOC emissions shall be calculated using the following equation:

View Graphic
where:
ER = The VOC emissions from the noncomplying representative product, had it been reformulated.
ENC = The VOC emissions from the noncomplying representative product in its current formulation.
VOCSTD = the VOC limit specified in 94509(a).
VOCNC = the VOC content of the noncomplying product in its current formulation.
If a manufacturer demonstrates that this equation yields inaccurate results due to some characteristic of the product formulation or other factors, an alternative method which accurately calculates emissions may be used upon approval of the Executive Officer.
(b) For the purposes of this section, “representative consumer product” means a consumer product which meets all of the following criteria:
(1) the representative product shall be subject to the same VOC limit in Section 94509(a) as the innovative product.
(2) the representative product shall be of the same product form as the innovative product, unless the innovative product uses a new form which does not exist in the product category at the time the application is made.
(3) the representative product shall have at least similar efficacy as other consumer products in the same product category based on tests generally accepted for that product category by the consumer products industry.
(c) A manufacturer shall apply in writing to the Executive Officer for any exemption claimed under subsection (a). The application shall include the supporting documentation that demonstrates the reduction of emissions from the innovative product, including the actual physical test methods used to generate the data and, if necessary, the consumer testing undertaken to document product usage. In addition, the applicant must provide any information necessary to enable the Executive Officer to establish enforceable conditions for granting the exemption including the VOC content for the innovative product and test methods for determining the VOC content. All information submitted by a manufacturer pursuant to this section shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-91022.
(d) Within 30 days of receipt of the exemption application the Executive Officer shall determine whether an application is complete as provided in section 60030(a), Title 17, California Code of Regulations.
(e) Within 90 days after an application has been deemed complete, the Executive Officer shall determine whether, under what conditions, and to what extent, an exemption from the requirements of Section 94509(a) will be permitted. The applicant and the Executive Officer may mutually agree to a longer time period for reaching a decision, and additional supporting documentation may be submitted by the applicant before a decision has been reached. The Executive Officer shall notify the applicant of the decision in writing and specify such terms and conditions that are necessary to ensure that emissions from the product will meet the emissions reductions specified in subsection (a), and that such emissions reductions can be enforced.
(f) In granting an exemption for a product the Executive Officer shall establish conditions that are enforceable. These conditions shall include the  VOC content of the innovative product, dispensing rates, application rates, and any other parameters determined by the Executive Officer to be necessary. The Executive Officer shall also specify the test methods for determining conformance to the conditions established. The test methods shall include criteria for reproducibility, accuracy, and sampling and laboratory procedures.
(g) For any product for which an exemption has been granted pursuant to this section, the manufacturer shall notify the Executive Officer in writing within 30 days of any change in the product formulation or recommended product usage directions, and shall also notify the Executive Officer within 30 days if the manufacturer learns of any information which would alter the emissions estimates submitted to the Executive Officer in support of the exemption application.
(h) If the VOC limits specified in Section 94509(a) are lowered for a product category through any subsequent rulemaking, all innovative product exemptions granted for products in the product category, except as provided in this subsection (h), shall have no force and effect as of the effective date of the modified VOC standard. This subsection (h) shall not apply to those innovative products which have VOC emissions less than the applicable lowered VOC limit and for which a written notification of the product's emissions status versus the lowered VOC limit has been submitted to and approved by the Executive Officer at least 60 days before the effective date of such limits.
(i) If the Executive Officer believes that a consumer product for which an exemption has been granted no longer meets the criteria for an innovative product specified in subsection (a), the Executive Officer may modify or revoke the exemption as necessary to assure that the product will meet these criteria. The Executive Officer shall not modify or revoke an exemption without first affording the applicant an opportunity for a public hearing held in accordance with the procedures specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 1, Article 4 (commencing with Section 60040), to determined if the exemption should be modified or revoked.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of subsection (a) to create a new subsection (a)(1), new subsection (a)(2), amendment of subsection (b), new subsections (b)(1)-(3), repealer of subsection (c) and relettering, and amendment of subsections (c), (e)-(f), and (h)-(i) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
4. Amendment of subsections (e) and (f) filed 9-20-2010; operative 10-20-2010 (Register 2010, No. 39).
§94512. Administrative Requirements. 
Note     •     History

(a) Most Restrictive Limit. 
(1) Products Manufactured Before January 1, 2007, and FIFRA-registered Insecticides Manufactured Before January 1, 2008. Notwithstanding the definition of “Product Category” in Section 94508, if anywhere on the principal display panel of any consumer product manufactured before January 1, 2007, or any FIFRA-registered insecticide manufactured before January 1, 2008, any representation is made that the product may be used as, or is suitable for use as a consumer product for which a lower VOC limit is specified in Section 94509(a), then the lowest VOC limit shall apply. This requirement does not apply to general purpose cleaners and insecticide foggers.
(2) Products Manufactured on or After January 1, 2007, and FIFRA-registered Insecticides Manufactured on or After January 1, 2008. Notwithstanding the definition of “product category” in Section 94508, if anywhere on the container or packaging of any consumer product manufactured on or after January 1, 2007, or any FIFRA-registered insecticide manufactured on or after January 1, 2008, or on any sticker or label affixed thereto, any representation is made that the product may be used as, or is suitable for use as a consumer product for which a lower VOC limit is specified in Section 94509(a), then the lowest VOC limit shall apply. This requirement does not apply to general purpose cleaners and insecticide foggers. 
(3) Rule that applies when Product Category definitions exclude each other. 
When determining the applicable VOC standard for a product that meets the definitions for both “Regulated Category A” and “Regulated Category B”, in circumstances where the definition of “Regulated Category A” states that it excludes “Regulated Category B”, and the definition of “Regulated Category B” states that it excludes “Regulated Category A,” the product is subject to the VOC standard for whichever regulated category, “A” or “B,” has the lower VOC standard. 
For the purposes of this section, a “Regulated Category” means a category of consumer products that is both: (A) defined in section 94508(a), and (B) has a VOC standard specified in section 94509(a) for that product category. 
(4) Notwithstanding the provisions of section 94512(a)(2) and (3), a product that makes ancillary disinfecting, sanitizing, or antimicrobial claims on the label is not subject to the VOC standards for “Disinfectant” or “Sanitizer” if the product is designed and labeled on the Principal Display Panel as a “Bathroom and Tile Cleaner,” “Carpet/Upholstery Cleaner,” “Fabric Refresher,” “General Purpose Cleaner,” “Glass Cleaner,” “Metal Polish or Cleanser,” or “Toilet/Urinal Care Product.”
(b) Product Dating 
(1) Each manufacturer of a consumer product subject to Section 94509 shall clearly display on each consumer product container or package, the day, month, and year on which the product was manufactured, or a code indicating such date. Codes that represent a sequential batch number, or that otherwise cannot be attributed to a specific day, month, and year, do not satisfy this requirement. 
(2) A manufacturer who uses the following code to indicate the date of manufacture shall not be subject to the requirements of section 94512(c)(1), if the code is represented separately from other codes on the product container so that it is easily recognizable: 
YY DDD = year year day day day 
Where: “YY” = two digits representing the year in which the product was manufactured, and 
“DDD” = three digits representing the day of the year on which the product was manufactured, with “001” representing the first day of the year, “002” representing the second day of the year, and so forth (i.e. the “Julian date”).
(3) This date or code shall be displayed on each consumer product container or package no later than twelve months prior to the effective date of the applicable standard specified in section 94509.
(4) Except as otherwise provided in subsection (b)(5), for products manufactured on or after January 1, 2006, the date or code shall be displayed on the product container such that it is readily observable without irreversibly disassembling any portion of the product container or packaging. For the purposes of this subsection, information may be displayed on the bottom of a container as long as it is clearly legible without removing any product packaging. 
(5) Products Sold in Multi-unit Packages. 
(A) Products sold, supplied, or offered for sale in multi-unit packages are not required to comply with subsection (b)(4). 
(B) If a multi-unit package does not comply with subsection (b)(4), the “sell-through” provisions of section 94509(c)(1) shall not apply to the individual product units contained within the multi-unit package. In other words, if any multi-unit package produced or assembled after January 1, 2006, does not display the date(s) or date-code(s) of the product units, such that the displayed information is readily observable without irreversibly disassembling any portion of the container or packaging, the individual product units shall be subject to the VOC standards in effect when the multi-unit package is sold, supplied, or offered for sale, regardless of the date on which the product units were manufactured. 
(C) A multi-unit package may comply with subsection (b)(4) by displaying the date of assembly instead of the date(s) or date-code(s) of the individual product units, so long as the date of assembly is readily observable without irreversibly disassembling any portion of the container or packaging. The “date of assembly” means the date that the individual product units are assembled into the finished multi-unit package. If the date of assembly is displayed instead of the individual date(s) or date-code(s), the “date of assembly” shall be the “date of manufacture” for all of the product units contained within the multi-unit package. In other words, all of the product units shall be deemed to have been manufactured on the date these units are assembled into the multi-unit package, even if the individual product units show different date(s) or date-code(s), and the “date of assembly” shall be “date of manufacture” of each product unit for the purposes of applying the “sell-through” provisions of section 94509(c). 
(6) The requirements of this subsection (b) shall not apply to: 
(A) personal fragrance products of 2 milliliters or less, which are offered to consumers free of charge for the purpose of sampling the product; or
(B) products containing no VOCs (as defined in section 94508), or containing VOCs at 0.10% by weight or less.
(c) Additional Product Dating Requirements 
(1) If a manufacturer uses a code indicating the date of manufacture, for any consumer product subject to section 94509 an explanation of the code must be filed with the Executive Officer of the ARB no later than twelve months prior to the effective date of the applicable standard specified in section 94509. Thereafter, manufacturers using a code must file an explanation of the code with the Executive Officer on an annual basis, beginning in 2006. The explanation of the code must be received by the Executive Officer on or before January 31st of each year, with the first explanation due on or before January 31, 2006. 
(2) If a manufacturer changes any code indicating the date of manufacture for any consumer product subject to subsection (c)(1), an explanation of the modified code must be received by the Executive Officer before any products displaying the modified code are sold, supplied, or offered for sale in California. 
(3) No person shall erase, alter, deface, or otherwise remove or make illegible any date or code indicating the date of manufacture from any regulated product container without the express authorization of the manufacturer. 
(4) Codes indicating the date of manufacture are public information and may not be claimed as confidential. 
(d)  Additional Labeling Requirements for Aerosol Adhesive, Adhesive Remover, Electronic Cleaner, Electrical Cleaner, Energized Electrical Cleaner, Contact Adhesive, and Sealant or Caulking Compound (nonaerosol).
(1) In addition to the requirements specified in subsections (a), (b) and (c), both the manufacturer and responsible party for each aerosol adhesive, adhesive remover, electronic cleaner, electrical cleaner, energized electrical cleaner, contact adhesive product, and sealant or caulking compound (nonaerosol) subject to this article shall ensure that all products clearly display the following information on each product container which is manufactured on or after the effective date for the category specified in section 94509(a), except that for nonchemically curing sealant or caulking compound (nonaerosol), the effective date of this requirement is December 31, 2010, and for chemically curing sealant or caulking compound (nonaerosol), the effective date of this requirement is December 31, 2012:
(A) The product category as specified in section 94509(a) or an abbreviation of the category shall be displayed;
(B) 1. The applicable VOC standard for the product is specified in section 94509(a), except for Energized Electrical Cleaner, expressed as a percentage by weight, shall be displayed unless the product is included in an alternative control plan approved by the Executive Officer, as provided in Article 4, Sections 94540-94555, Title 17, California Code of Regulations, and the product exceeds the applicable VOC standard;
2. If the product is included in an alternative control plan approved by the Executive Officer, and the product exceeds the applicable VOC standard specified in section 94509(a), the product shall be labeled with the term “ACP” or “ACP product;”
(C) If the product is classified as a special purpose spray adhesive, the applicable substrate and/or application or an abbreviation of the substrate/application that qualifies the product as special purpose shall be displayed;
(D) If the manufacturer or responsible party uses an abbreviation as allowed by this subsection 94512(d)(1)(A), an explanation of the abbreviation must be filed with the Executive Officer before the abbreviation is used.
(2) The information required in section 94512(d)(1), shall be displayed on the product container such that it is readily observable without removing or disassembling any portion of the product container or packaging. For the purposes of this subsection, information may be displayed on the bottom of a container as long as it is clearly legible without removing any product packaging.
(3) No person shall remove, alter, conceal, or deface the information required in section 94512(d)(1) prior to final sale of the product.
(e) Additional Requirements for Multi-purpose Solvent and Paint Thinner
The following requirements apply in addition to the requirements specified in section 94512(a), (b), and (c):
(1) Except as provided below in section 94512(e)(2), effective December 31, 2010, until December 31, 2015, no person shall sell, supply, offer for sale, or manufacture for use in California any “Flammable” or “Extremely Flammable” Multi-purpose Solvent or Paint Thinner named, on the Principle Display Panel as “Paint Thinner,” “Multi-purpose Solvent,” “Clean-up Solvent,” or “Paint Clean-up.”
(2) Section 94512(e)(1) does not apply to products that meet either of the following criteria:
(A) Products which include an attached “hang tag,” sticker, or contrasting square or rectangular area on the Principle Display Panel that displays, at a minimum, the following statements in a font size as large as, or larger than, the “signal word” (i.e., “DANGER,” “WARNING,” or “CAUTION”) as specified in title 16, Code of Federal Regulations, section 1500.121:
“Formulated to meet California VOC limits; see warnings on label; Vea las advertencias en la etiqueta, formulado complacientes con leyes de California” or
(B) Products where the Principle Display Panel displays, in both English and Spanish and a font size as large as, or larger than, the font size of all other words on the panel, the common name of the chemical compound (e.g., “Acetone,” “Methyl acetate,” etc.) that results in the product meeting the criteria for “Flammable” or “Extremely Flammable.”
(3) For the purposes of this subsection (e), a product is “Flammable” or Extremely Flammable” if it is labeled as “Flammable” or “Extremely Flammable” on the product container, or if the product meets the criteria for these terms specified in title16, Code of Federal Regulations, section 1500.3(c)(6).
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
4. Amendment of subsections (b), (b)(2) and (c) filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
5. New subsections (d)-(d)(3) filed 4-18-2001; operative 5-18-2001 (Register 2001, No. 16).
6. Amendment filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
7. Amendment of subsection (a)(3) filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
8. Amendment of subsections (b)(1), (d)-(d)(1) and (d)(1)(D) filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25).
9. New subsections (e)-(e)(3) filed 9-20-2010; operative 10-20-2010 (Register 2010, No. 39).
10. Repealer of subsection (a)(3), new subsections (a)(3)-(4) and amendment of subsections (d)-(d)(1) filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§94513. Reporting Requirements. 
Note     •     History

(a) Upon 90 days written notice, the Executive Officer may require any responsible party to report information for any consumer product or products the Executive Officer may specify including, but not limited to, all or part of the following information specified in the following subsections (a)(1) through (a)(12). If the responsible party does not have or does not provide the information requested by the Executive Officer, the Executive Officer may require the reporting of this information by the person that has the information, including, but not limited to, any formulator, manufacturer, supplier, parent company, private labeler, distributor, or repackager. 
(1) the company name, address, telephone number, and designated contact person;
(2) any claim of confidentiality made pursuant to Title 17, California Code of Regulations, Section 91011;
(3) the product brand name for each consumer product and the product label;
(4) the product category to which the consumer product belongs;
(5) the applicable product form(s) listed separately;
(6) an identification of each product brand name and form as a “Household Product,” “I&I Product,” or both;
(7) separate California sales in pounds per year, to the nearest pound, and the method used to calculate California sales for each product form;
(8) for information submitted by multiple companies, an identification of each company which is submitting relevant data separate from that submitted by the responsible party. All information from all companies shall be submitted by the date specified in Section 94513(a);
(9) for each product brand name and form, the net percent by weight of the total product, less container and packaging, comprised of the following, rounded to the nearest one-tenth of a percent (0.1%):
(A) Total Table B Compounds
(B) Total LVP-VOCs that are not fragrances
(C) Total All Other Carbon-Containing Compounds that are not fragrances
(D) Total All Non-Carbon-Containing Compounds
(E) Total Fragrance
(F) For products containing greater than two percent by weight fragrance, but excluding “personal fragrance products”:
(i) the percent of fragrance that are LVP-VOCs, and
(ii) the percent of fragrance that are all other carbon-containing compounds
(G) For “personal fragrance products,” the density of the fragrance
(H) Total Para-dichlorobenzene
(10) for each product brand name and form, the identity, including the specific chemical name and associated Chemical Abstract Services (CAS) number, of the following:
(A) Each Table B Compound
(B) Each LVP-VOC that is not a fragrance
(11) if applicable, the weight percent comprised of propellent for each product;
(12) if applicable, an identification of the type of propellent (Type A, Type B, Type C, or a blend of the different types);
(b) In addition to the requirements of section 94513(a)(10), the responsible party shall report or shall arrange to have reported to the Executive Officer the net percent by weight of each ozone-depleting compound which is (1) listed in section 94509(e) and (2) contained in a product subject to reporting under section 94513(a) in any amount greater than 0.1 percent by weight.
(c) All information submitted by any person pursuant to Section 94513 shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-91022.
(d) Special Reporting Requirements for Aerosol Adhesives
On or before March 31, 2004, all responsible parties for aerosol adhesives shall report to the Executive Officer the following information for products sold or offered for sale in California:
(1) data regarding product sales and composition for the year 2003, including the information listed in Section 94513(a), and any other information that the Executive Officer may specify; and
(2) a written update of the research and development efforts undertaken to achieve VOC limits lower than the limits specified in section 94509(a). The written update must include detailed information about the raw materials (solvents, propellants, resins, and polymers) and hardware (valves, actuators, cans) used in product reformulation, the testing protocols used, the results of the testing, and the cost of reformulation efforts.
(3) On or before December 31, 2003, the Executive Officer shall notify responsible parties in writing that they are to submit aerosol adhesive product and research data by March 31, 2004.
(e) Special Reporting Requirements for Consumer Products that Contain Perchloroethylene or Methylene Chloride:
(1) The requirements of this subsection shall apply to all responsible parties for:
(A) consumer products that are subject to section 94509(a) and contain perchloroethylene or methylene chloride, and
(B) Energized Electrical Cleaners as defined in section 94508(a), that contain perchloroethylene or methylene chloride. For the purposes of this subsection, a product “contains perchloroethylene or methylene chloride” if the product contains 1.0 percent or more by weight (exclusive of the container or packaging) of either perchloroethylene or methylene chloride.
(2) For each consumer product that contains perchloroethylene or methylene chloride, the responsible party shall report the following information for products sold in California during each calendar year, beginning with the year 2000, and ending with the year 2010: 
(A)  the product brand name and a copy of the product label with legible usage instructions;
(B) the product category to which the consumer product belongs;
(C) the applicable product form(s) (listed separately);
(D) for each product form listed in (C), the total sales in California during the calendar year to the nearest pound (exclusive of the container or packaging), and the method used for calculating the California sales; 
(E) the weight percent, to the nearest 0.10 percent, of perchloroethylene and methylene chloride in the consumer product.
(3) The information specified in subsection 94513(e)(2) shall be reported for each calendar year by March 1 of the following year. The first report shall be due on March 1, 2001, for calendar year 2000. A new report is due on March 1 of each year thereafter, until March 1, 2011, when the last report is due.
(4) Upon request, the Executive Officer shall make the perchloroethylene information submitted pursuant to this subsection available to publicly owned treatment works in California, in accordance with the procedures for handling of confidential information specified in Title 17, California Code of Regulations, sections 91000-91022.
(A) On or before July 1, 2002, the Executive Officer shall evaluate the information, along with data on influent and effluent levels of perchloroethylene as reported by publicly-owned treatment works personnel and any other relevant information, to determine if it is likely that publicly-owned treatment works are experiencing increased levels of perchloroethylene, relative to 1996 levels, that can be attributed to consumer products which contain perchloroethylene.
(B) If the Executive Officer determines that it is likely that increased perchloroethylene levels at the publicly-owned treatment works are caused by increased levels of perchloroethylene in consumer products subject to this regulation, then the Executive Officer shall, in conjunction with the publicly-owned treatment works and other appropriate parties, implement measures which are feasible, appropriate, and necessary for reducing perchloroethylene levels at the publicly-owned treatment works.
(f) Special Reporting Requirements for Multi-purpose Lubricant and Penetrant products
(1) On or before March 31, 2012, all responsible parties for Multi-purpose Lubricant and Penetrant products shall report to the Executive Officer the following information for products sold or offered for sale in California: 
(A) data regarding product sales and composition for the year 2011, including the information listed in section 94513(a), the entire product label; and
(B) a written update of the research and development efforts undertaken to achieve the 25 percent VOC limits specified in section 94509(a). The written update must include detailed information about the raw materials evaluated for use, maximum incremental reactivity (MIR) values for any VOC or LVP-VOC used or evaluated, the function of the raw material evaluated, hardware used in product reformulation, the testing protocols used, the results of the testing, and the cost of reformulation efforts. 
(2) On or before March 31, 2014, all responsible parties for Multi-purpose Lubricant products shall report to the Executive Officer the following information for products sold or offered for sale in California: 
(A) data regarding product sales and composition for the year 2013, including the information listed in Section 94513(a), the entire product label; and
(B) a written update of the research and development efforts undertaken to achieve the 10 percent VOC limit specified in section 94509(a). The written update must include detailed information about the raw materials evaluated for use, MIR values for any VOC or LVP-VOC used or evaluated, the function of the raw material evaluated, hardware used in product reformulation, the testing protocols used, the results of the testing, and the cost of reformulation efforts. 
(g) Special Reporting Requirements for Multi-purpose Solvent and Paint Thinner products
(1) On or before June 30, 2012, all responsible parties for Multi-purpose Solvent and Paint Thinner products shall report to the Executive Officer the following information for products sold or offered for sale in California: 
(A) data regarding product sales and composition for the year 2011, including the information listed in section 94513(a), and the entire product label; and
(B) a written update of the research and development efforts undertaken to achieve the 3 percent VOC limits specified in section 94509(a). The written update must include detailed information about the raw materials evaluated for use; maximum incremental reactivity (MIR) values for any VOC or LVP-VOC used or evaluated; the function of the raw material evaluated; the testing protocols used; the results of the testing; and the cost of reformulation efforts.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of subsections (a)-(a)(6), new subsections (a)(7)-(12), repealer and new subsection (b) and relettering, and amendment of subsection (c) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment of section heading and section filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
4. New subsections (f)-(f)(3) filed 12-23-97; operative 12-23-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 52).
5. Editorial correction of subsection (e)(5)(B) (Register 98, No. 29).
6. Amendment of subsections (e) and (e)(1) and new subsections (g)-(g)(3)(D) filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
7. Amendment implementing Mid-Term Measures II filed 10-20-2000; operative 11-19-2000 (Register 2000, No. 42).
8. Amendment of subsections (d)-(d)(2) and new subsection (d)(3) filed 4-18-2001; operative 5-18-2001 (Register 2001, No. 16).
9. Amendment filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
10. Amendment of subsections (e), (e)(2)(D) and (e)(4) filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
11. Amendment of subsection (e)(1)(B) and new subsections (f)-(f)(2)(B) filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25).
12. Amendment of subsections (a), (f)(1)(A) and (f)(2)(A) and new subsections (g)-(g)(1)(B) filed 9-20-2010; operative 10-20-2010 (Register 2010, No. 39).
§94514. Variances. 
Note     •     History

(a) Applications for variances. Any person who cannot comply with the requirements set forth in Section 94509 because of extraordinary reasons beyond the person's reasonable control may apply in writing to the Executive Officer for a variance. The variance application shall set forth:
(1) the specific grounds upon which the variance is sought;
(2) the proposed date(s) by which compliance with the provisions of Section 94509 will be achieved; 
(3) a compliance report reasonably detailing the method(s) by which compliance will be achieved; and
(4) for applicants requesting a variance from the June 1, 1999 55 percent VOC standard for hairspray products, the variance application shall also include a plan describing how the applicant will mitigate the excess VOC emissions that would be emitted during the period of the variance.
(b) Notices and public hearings for variances. Upon receipt of a variance application containing the information required in subsection (a), the Executive Officer shall hold a public hearing to determine whether, under what conditions, and to what extent, a variance from the requirements in Section 94509 is necessary and will be permitted. A hearing shall be initiated no later than 75 days after receipt of a variance application. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the California Regulatory Notice Register and sent to every person who requests such notice, not less than 30 days prior to the hearing. The notice shall state that the parties may, but need not be, represented by counsel at the hearing. At least 30 days prior to the hearing, the variance application shall be made available to the public for inspection. Interested members of the public shall be allowed a reasonable opportunity to testify at the hearing and their testimony shall be considered. 
(c) Treatment of confidential information. Information submitted to the Executive Officer by a variance applicant may be claimed as confidential, and such information shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-91022. The Executive Officer may consider such confidential information in reaching a decision on a variance application.
(d) Necessary findings for granting variances. No variance shall be granted unless all of the following findings are made:
(1) that, because of reasons beyond the reasonable control of the applicant, requiring compliance with Section 94509 would result in extraordinary economic hardship.
(2) that the public interest in mitigating the extraordinary hardship to the applicant by issuing the variance outweighs the public interest in avoiding any increased emissions of air contaminants which would result from issuing the variance.
(3) that the compliance report proposed by the applicant can reasonably be implemented, and will achieve compliance as expeditiously as possible.
(e) Variance orders. Any variance order shall specify a final compliance date by which the requirements of Section 94509 will be achieved. Any variance order shall contain a condition that specifies increments of progress necessary to assure timely compliance, and such other conditions that the Executive Officer, in consideration of the testimony received at the hearing, finds necessary to carry out the purposes of Division 26 of the Health and Safety Code.
(f) Situations in which variances shall cease to be effective. A variance shall cease to be effective upon failure of the party to whom the variance was granted to comply with any term or condition of the variance.
(g) Modification and revocation of variances. Upon the application of any person, the Executive Officer may review, and for good cause, modify or revoke a variance from requirements of Section 94509 after holding a public hearing in accordance with the provisions of subsection (b).
(h) Special conditions in variance orders for hairspray products. 
In imposing conditions in variance orders granted from the June 1, 1999, 55 percent VOC standard for hairspray products, the Executive Officer, in addition to any other conditions that may be imposed, shall require the applicant to mitigate the excess VOC emissions that would be emitted during the period of the variance. If this mitigation requirement would result in an extraordinary economic hardship to the applicant, or if other good cause exists, the Executive Officer may waive all or part of this requirement.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of subsection (b) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
4. Amendment of subsections (a)(2)-(3) and new subsections (a)(4) and (h) filed 12-23-97; operative 12-23-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 52).
5. Amendment of subsections (b) and (c) filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
6. Amendment italicizing descriptive headings filed 10-20-2000; operative 11-19-2000 (Register 2000, No. 42).
7. Amendment of subsection (h) filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
§94515. Test Methods. 
Note     •     History

(a)(1) VOC and GWP compound content determination using ARB Method 310. Testing to determine compliance with the requirements of this article shall be performed using Air Resources Board Method 310, Determination of Volatile Organic Compounds (VOC) in Consumer Products and Reactive Organic Compounds in Aerosol Coating Products, adopted September 25, 1997 and as last amended on September 29, 2011, which is incorporated herein by reference. Alternative methods which are shown to accurately determine the concentration of VOCs in a subject product or its emissions may be used upon approval of the Executive Officer.
(2) In sections 3.5, 3.6, and 3.7 of Air Resources Board (ARB) Method 310, a process is specified for the “Initial Determination of VOC Content” and the “Final Determination of VOC Content”. This process is an integral part of testing procedures set forth in ARB Method 310, and is reproduced below:
Sections 3.5, 3.6, and 3.7 of Air Resources Board Method 310
3.5 Initial Determination of VOC Content. The Executive Officer will determine the VOC content pursuant to sections 3.2 and 3.3. Only those components with concentrations equal to or greater than 0.1 percent by weight will be reported.
3.5.1 Using the appropriate formula specified in section 4.0, the Executive Officer will make an initial determination of whether the product meets the applicable VOC standards specified in ARB regulations. If initial results show that the product does not meet the applicable VOC standards, the Executive Officer may perform additional testing to confirm the initial results.
3.5.2 If the results obtained under section 3.5.1 show that the product does not meet the applicable VOC standards, the Executive Officer will request the product manufacturer or responsible party to supply product formulation data. The manufacturer or responsible party shall supply the requested information. Information submitted to the ARB Executive Officer may be claimed as confidential; such information will be handled in accordance with the confidentiality procedures specified in Title 17, California Code of Regulations, sections 91000 to 91022.
3.5.3 If the information supplied by the manufacturer or responsible party shows that the product does not meet the applicable VOC standards, then the Executive Officer will take appropriate enforcement action.
3.5.4 If the manufacturer or responsible party fails to provide formulation data as specified in section 3.5.2, the initial determination of VOC content under this section 3.5 shall determine if the product is in compliance with the applicable VOC standards. This determination may be used to establish a violation of ARB regulations.
3.6 Determination of the LVP-VOC status of compounds and mixtures. This section does not apply to antiperspirants and deodorants or aerosol coating products because there is no LVP-VOC exemption for these products.
3.6.1 Formulation data. If the vapor pressure is unknown, the following ASTM methods, which are incorporated by reference herein, may be used to determine the LVP-VOC status of compounds and mixtures: ASTM D 86-01 (Aug. 10, 2001), ASTM D 850-00 (Dec. 10, 2000), ASTM D 1078-01 (June 10, 2001), ASTM D 2879-97 (April 10, 1997), as modified in Appendix B to this Method 310, ASTM D 2887-01 (May 10, 2001) as ASTM E 1719-97 (March 10, 1997).
3.6.2 LVP-VOC status of “compounds” or “mixtures.” The Executive Officer will test a sample of the LVP-VOC used in the product formulation to determine the boiling point for a compound or for a mixture. If the boiling point exceeds 216o C, the compound or mixture is an LVP-VOC. If the boiling point is less than 216o C, then the weight percent of the mixture which boils above 216o C is an LVP-VOC. The Executive Officer will use the nearest 5 percent distillation cut that is greater than 216o C as determined under 3.6.1 to determine the percentage of the mixture qualifying as an LVP-VOC.
3.6.3 Reference method for identification of LVP-VOC compounds and mixtures. If a product does not qualify as an LVP-VOC under 3.6.2, the Executive Officer will test a sample of the compound or mixture used in a products formulation utilizing one or both of the following: ASTM D 2879-97 (April 10, 1997), as modified in Appendix B to this Method 310, and ASTM E 1719-97 (March 10, 1997), to determine if the compound or mixture meets the requirements of Titles 17, CCR, section 94508(a)(98)(A).
3.7 Final Determination of VOC Content. If a product's compliance status is not satisfactorily resolved under sections 3.5 and 3.6, the Executive Officer will conduct further analyses and testing as necessary to verify the formulation data.
3.7.1 If the accuracy of the supplied formulation data is verified and the product sample is determined to meet the applicable VOC standards, then no enforcement action for violation of the VOC standards will be taken.
3.7.2 If the Executive Officer is unable to verify the accuracy of the supplied formulation data, then the Executive Officer will request the product manufacturer or responsible party to supply information to explain the discrepancy.
3.7.3 If there exists a discrepancy that cannot be resolved between the results of Method 310 and the supplied formulation data, then the results of Method 310 shall take precedence over the supplied formulation data. The results of Method 310 shall then determine if the product is in compliance with the applicable VOC standards, and may be used to establish a violation of ARB regulations.
(b) VOC content determinations using product formulation and records. Testing to determine compliance with the requirements of this article may also be demonstrated through calculation of the VOC from records of the amounts of constituents used to make the product, pursuant to the following criteria: 
(1) Compliance determination based on these records may not be used unless the manufacturer of a consumer product keeps accurate records for each day of production of the amounts and chemical composition of the individual product constituents. These records must be kept for at least three years.
(2) For the purpose of this section 94515(b), the VOC content shall be calculated according to the following equation:

View Graphic
where,
A = total net weight of unit (excluding container and packaging)
B = total weight of all VOCs, as defined in Section 94508(a), per unit
C = total weight of VOCs exempted under Section 94510, per unit
(3) If product records appear to demonstrate compliance with the VOC limits, but these records are contradicted by product testing performed using ARB Method 310, the results of ARB Method 310 shall take precedence over the product records and may be used to established a violation of the requirements of this article.
(c) Aromatic Compound content determination for Multi-purpose Solvent or Paint Thinner using ARB Method 310. Testing to determine compliance with the requirements of section 94509(p)(1), shall be performed using Air Resources Board Method 310, Determination of Volatile Organic Compounds (VOC) in Consumer Products and Reactive Organic Compounds in Aerosol Coating Products, adopted September 25, 1997 and as last amended on September 29, 2011, which is incorporated by reference herein. Alternative test methods that are demonstrated to be equally or more accurate than ARB Method 310 in determining the Aromatic Compound content in a product or its emissions may be used upon the written approval of the Executive Officer.
(d) Aromatic Compound content determinations for Multi-purpose Solvent or Paint Thinner using product formulation and records. Testing to determine compliance with the requirements of section 94509(p)(1), may also be demonstrated through calculation of Aromatic Compound content from records of the amounts of constituents used to make the product pursuant to the following criteria:
(1) Compliance determinations based on these records may not be used unless the manufacturer of a Multi-purpose Solvent or Paint Thinner keeps accurate records for each day of production of the amount and chemical composition of the individual product constituents. These records must be kept for at least three years.
(2) For the purposes of this section 94515(d), the Aromatic Compound content shall be calculated according to the following equation:
Aromatic Compound Content = E x 100              D
where, 
D = total net weight of unit (excluding container and packaging)
E = total weight of all Aromatic Compounds, as defined in Section 94508(a), per unit
(3) If product records appear to demonstrate compliance with the Aromatic Compound limit, but these records are contradicted by product testing performed using ARB Method 310, the results of ARB Method 310 shall take precedence over the product records and may be used to establish a violation of the requirements of this article.
(e) Determination of liquid or solid. Testing to determine whether a product is a liquid or solid shall be performed using ASTM D4359-90 (May 25, 1990), which is incorporated by reference herein.
(f) Compliance determinations for charcoal lighter material products. Testing to determine compliance with the certification requirements for charcoal lighter material shall be performed using the procedures specified in the South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (February 28, 1991), which is incorporated by reference herein.
(g) Testing to determine distillation points of petroleum distillate-based charcoal lighter material shall be performed using ASTM D86-01 Aug. 10, 2001, which is incorporated by reference herein.
(h) Fragrance content determinations for personal fragrance products. Testing to determine the percent by weight of fragrance in personal fragrance products shall be performed according to the Association of Official Analytical Chemists (AOAC) Official Method of Analysis No. 932.11, 1990, “Essential Oil in Flavor Extracts and Toilet Preparations, Babcock Method” (AOAC Official Methods of Analysis, 15th Edition, 1990), which is incorporated by reference herein.
(i) No person shall create, alter, falsify, or otherwise modify records in such a way that the records do not accurately reflect the constituents used to manufacture a product, the chemical composition of the individual product, and any other test, processes, or records used in connection with product manufacture.
NOTE

Authority cited: Sections 39600, 39601, 39607, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 39607, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment of subsection (b) and new subsections (c)-(f) filed 12-7-92; operative 1-6-93 (Register 92, No. 50).
3. Amendment of section and Note filed 11-13-97; operative 12-13-97 (Register 97, No. 46).
4. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
5. Amendment of subsection (b)(2) filed 7-17-98; operative 8-16-98 (Register 98, No. 29).
6. Amendment filed 11-16-99; operative 12-16-99 (Register 99, No. 47).
7. Amendment of subsection (a)(2) filed 10-20-2000; operative 11-19-2000 (Register 2000, No. 42).
8. Amendment of subsections (a)(1)-(2), (c) and (e) filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
9. Amendment of subsection (a)(2) filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
10. Amendment of subsections (a)(1) and (a)(2) filed 6-18-2009; operative 7-18-2009 (Register 2009, No. 25).
11. Amendment of subsections (a)(1)-(2), new subsections (c)-(d)(3), subsection relettering and amendment of newly designated subsections (e) and (g) filed 9-20-2010; operative 10-20-2010 (Register 2010, No. 39).
12. Amendment of subsections (a)(1), (c) and (d) filed 11-10-2011; operative 12-10-2011 (Register 2011, No. 45).
§94516. Severability.
Note     •     History

Each part of this article shall be deemed severable, and in the event that any part of this article is held to be invalid, the remainder of this article shall continue in full force and effect.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
§94517. Federal Enforceability.
Note     •     History

For purposes of federal enforceability of this article, the Environmental Protection Agency is not subject to approval determinations made by the Executive Officer under Sections 94511, 94514, and 94515. Within 180 days of a request from a person who has been granted an exemption or variance under Section 94511 or 94514, an exemption or variance meeting the requirements of the Clean Air Act shall be submitted by the Executive Officer to the Environmental Protection Agency for inclusion in the applicable implementation plan approved or promulgated by the Environmental Protection Agency pursuant to Section 110 of the Clean Air Act, 42 U.S.C., Section 7410. Prior to submitting an exemption granted under Section 94511 as a revision to the applicable implementation plan, the Executive Officer shall hold a public hearing on the proposed exemption. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the California Regulatory Notice Register and sent to the Environmental Protection Agency, every person who requests such notice, and to any person or group of persons whom the Executive Officer believes may be interested in the application. Within 30 days of the hearing the Executive Officer shall notify the applicant of the decision in writing as provided in Section 94511(f). The decision may approve, disapprove, or modify an exemption previously granted pursuant to Section 94511. 
NOTE

Authority cited: Sections 39600, 39601, 39602 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 39602, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 9-19-91; operative 10-21-91 (Register 92, No. 12).
2. Amendment filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
Article 3. Aerosol Coating Products
§94520. Applicability
Note     •     History

This article shall apply to any person who sells, supplies, offers for sale, applies, or manufactures aerosol coating products for use in the state of California, except as provided in section 94523.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New Article 3 (sections 94520-94528) and section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94521. Definitions.
Note     •     History

(a) For the purposes of this article, the following definitions apply:
(1) “Adhesive” means a product used to bond one surface to another.
(2) “Aerosol Coating Product” means a pressurized coating product containing pigments or resins that dispenses product ingredients by means of a propellant, and is packaged in a disposable can for hand-held application, or for use in specialized equipment for ground traffic/marking applications.
(3) “Anti-Static Spray” means a product used to prevent or inhibit the accumulation of static electricity.
(4) “Art Fixative or Sealant” means a clear coating, including art varnish, workable art fixative, and ceramic coating, which is designed and labeled exclusively for application to paintings, pencil, chalk, or pastel drawings, ceramic art pieces, or other closely related art uses, in order to provide a final protective coating or to fix preliminary stages of artwork while providing a workable surface for subsequent revisions.
(5) “ASTM” means the American Society for Testing and Materials.
(6) “Auto Body Primer” means an automotive primer or primer surfacer coating designed and labeled exclusively to be applied to a vehicle body substrate for the purposes of corrosion resistance and building a repair area to a condition in which, after drying, it can be sanded to a smooth surface.
(7) “Automotive Bumper and Trim Product” means a product, including adhesion promoters and chip sealants, designed and labeled exclusively to repair and refinish automotive bumpers and plastic trim parts.
(8) “Automotive Underbody Coating” means a flexible coating which contains asphalt or rubber and is designed and labeled exclusively for use on the underbody of motor vehicles to resist rust, abrasion and vibration, and to deaden sound.
(9) “Aviation Propeller Coating” means a coating designed and labeled exclusively to provide abrasion resistance and corrosion protection for aircraft propellers.
(10) “Aviation or Marine Primer” means a coating designed and labeled exclusively to meet federal specification TT-P-1757.
(11) “Base Reactive Organic Gas Mixture” (Base ROG Mixture) means the mixture of reactive organic gases utilized in deriving the MIR scale.
(12) “Belt Dressing” means a product applied on auto fan belts, water pump belting, power transmission belting, and industrial and farm machinery belting to prevent slipping, and to extend belt life.
(13) “Cleaner” means a product designed and labeled primarily to remove soil or other contaminants from surfaces.
(14) “Clear Coating” means a coating which is colorless, containing resins but no pigments except flatting agents, and is designed and labeled to form a transparent or translucent solid film.
(15) “Coating Solids” means the nonvolatile portion of an aersol coating product, consisting of the film forming ingredients, including pigments and resins.
(16) “Commercial Application” means the use of aerosol coating products in the production of goods, or the providing of services for profit, including touch-up and repair.
(17) “Corrosion Resistant Brass, Bronze, or Copper Coating” means a clear coating designed and labeled exclusively to prevent tarnish and corrosion of uncoated brass, bronze, or copper metal surfaces.
(18) “Distributor” means any person to whom an aerosol coating product is sold or supplied for the purposes of resale or distribution in commerce, except that manufacturers, retailers, and consumers are not distributors.
(19) “Dye” means a product containing no resins which is used to color a surface or object without building a film.
(20) “Electrical Coating” means a coating designed and labeled exclusively as such, which is used exclusively to coat electrical components such as wire windings on electric motors to provide insulation and protection from corrosion.
(21) “Enamel” means a coating which cures by chemical cross-linking of its base resin and is not resoluble in its original solvent.
(22) “Engine Paint” means a coating designed and labeled exclusively to coat engines and their components.
(23) “Exact Match Finish, Engine Paint” means a coating which meets all of the following criteria: (A) the product is designed and labeled exclusively to exactly match the color of an original, factory-applied engine paint; (B) the product is labeled with the manufacturer's name for which they were formulated; and (C) the product is labeled with one of the following: (1.) the original equipment manufacturer's (O.E.M.) color code number; (2.) the color name; or (3.) other designation identifying the specific O.E.M. color to the purchaser.
(24) “Exact Match Finish, Automotive” means a topcoat which meets all of the following criteria: (A) the product is designed and labeled exclusively to exactly match the color of an original, factory-applied automotive coating during the touch-up of automotive finishes; (B) the product is labeled with the manufacturer's name for which they were formulated; and (C) the product is labeled with one of the following: (1.) the original equipment manufacturer's (O.E.M.) color code number; (2.) the color name; or (3.) other designation identifying the specific O.E.M. color to the purchaser. Not withstanding the foregoing, automotive clear coatings designed and labeled exclusively for use over automotive exact match finishes to replicate the original factory applied finish shall be considered to be automotive exact match finishes.
(25) “Exact Match Finish, Industrial” means a coating which meets all of the following criteria: (A) the product is designed and labeled exclusively to exactly match the color of an original, factory-applied industrial coating during the touch-up of manufactured products; (B) the product is labeled with the manufacturer's name for which they were formulated; and (C) the product is labeled with one of the following: (1.) the original equipment manufacturer's (O.E.M.) color code number; (2.) the color name; or (3.) other designation identifying the specific O.E.M. color to the purchaser.
(26) “Executive Officer” means the Executive Officer of the Air Resources Board, or her or his delegate.
(27) “Flat Paint Products” means a coating which, when fully dry, registers specular gloss less than or equal to 15 on an 85o gloss meter, or less than or equal to 5 on a 60o gloss meter, or which is labeled as a flat coating.
(28) “Flatting Agent” means a compound added to a coating to reduce the gloss of the coating without adding color to the coating.
(29) “Floral Spray” means a coating designed and labeled exclusively for use on fresh flowers, dried flowers, or other items in a floral arrangement for the purposes of coloring, preserving or protecting their appearance.
(30) “Fluorescent Coating” means a coating labeled as such, which converts absorbed incident light energy into emitted light of a different hue.
(31) “Glass Coating” means a coating designed and labeled exclusively for use on glass or other transparent material to create a soft, translucent light effect, or to create a tinted or darkened color while retaining transparency.
(32) “Ground Traffic/Marking Coating” means a coating designed and labeled exclusively to be applied to dirt, gravel, grass, concrete, asphalt, warehouse floors, or parking lots. Such coatings must be in a container equipped with a valve and sprayhead designed to direct the spray toward the surface when the can is held in an inverted vertical position.
(33) “High Temperature Coating” means a coating, excluding engine paint, which is designed and labeled exclusively for use on substrates which will, in normal use, be subjected to temperatures in excess of 400oF.
(34) “Hobby/Model/Craft Coating” means a coating which is designed and labeled exclusively for hobby applications and is sold in aerosol containers of 6 ounces by weight or less.
(35) “Ingredient” means a component of an aerosol coating product.
(36) “Ink” means a fluid or viscous substance used in the printing industry to produce letters, symbols or illustrations, but not to coat an entire surface. 
(37) “Lacquer” means a thermoplastic film-forming material dissolved in organic solvent, which dries primarily by solvent evaporation, and is resoluble in its original solvent.
(38) “Layout Fluid” (or toolmaker's ink) means a coating designed and labeled exclusively to be sprayed on metal, glass or plastic, to provide a glare-free surface on which to scribe designs, patterns or engineering guide lines prior to shaping the piece.
(39) “Leather preservative or cleaner” means a leather treatment material applied exclusively to clean or preserve leather.
(40) “Lubricant” means a substance such as oil, petroleum distillates, grease, graphite, silicone, lithium, etc., that is used to reduce friction, heat, or wear when applied between surfaces.
(41) “Manufacturer” means any person who imports, manufactures, assembles, produces, packages, repackages, or relabels a consumer product.
(42) “Marine Spar Varnish” means a coating designed and labeled exclusively to provide a protective sealant for marine wood products.
(43) “Maskant” means a coating applied directly to a component to protect surface areas when chemical milling, anodizing, aging, bonding, plating, etching, or performing other chemical operations on the surface of the component.
(44) “Maximum Incremental Reactivity” (MIR) means the maximum change in weight of ozone formed by adding a compound to the “Base ROG Mixture” per weight of compound added, expressed to hundredths of a gram (g O3/g ROC). MIR values for individual compounds and hydrocarbon solvents are specified in sections 94700 and 94701, Title 17, California Code of Regulations.
(45) “Metallic Coating” means a topcoat which contains at least 0.5 percent by weight elemental metallic pigment in the formulation, including propellant, and is labeled as “metallic,” or with the name of a specific metallic finish such as “gold,” “silver,” or “bronze.”
(46) “Mold Release” means a coating applied to molds to prevent products from sticking to the surfaces of the mold.
(47) “Multi-Component Kit” means an aerosol paint system which requires the application of more than one component (e.g. foundation coat and top coat), where both components are sold together in one package.
(48) “Nonflat Paint Product” means a coating which, when fully dry, registers a specular gloss greater than 15 on an 85o gloss meter or greater than five on a 60o gloss meter.
(49) “Ozone” means a colorless gas with a pungent odor, having the molecular form O3.
(50) “Percent VOC By Weight” means the ratio of the weight of the VOC to the total weight of the product contents expressed as follows:
Percent VOC By Weight = (WVOC/Wtotal) X 100
Where:
(A) for products containing no water and no volatile components exempt from the defintion of VOC: Wvoc = the weight of volatile compounds;
(B) for products containing water or exempt compounds: WVOC = the weight of volatile compounds, less water, and less compounds exempt from the VOC definition in this section 94521; and
(C) Wtotal = the total weight of the product contents.
(51) “Photograph Coating” means a coating designed and labeled exclusively to be applied to finished photographs to allow corrective retouching, protection of the image, changes in gloss level, or to cover fingerprints.
(52) “Pleasure Craft” means privately owned vessels used for noncommercial purposes.
(53) “Pleasure Craft Finish Primer/Surfacer/Undercoater” means a coating designed and labeled exclusively to be applied prior to the application of a pleasure craft topcoat for the purpose of corrosion resistance and adhesion of the topcoat, and which promotes a uniform surface by filling in surface imperfections.
(54) “Pleasure Craft Topcoat” means a coating designed and labeled exclusively to be applied to a pleasure craft as a final coat above the waterline and below the waterline when stored out of water. This category does not include clear coatings.
(55) “Polyolefin Adhesion Promoter” means a coating designed and labeled exclusively to be applied to a polyolefin or polyolefin copolymer surface of automotive body parts, bumpers, or trim parts to provide a bond between the surface and subsequent coats.
(56) “Primer” means a coating labeled as such, which is designed to be applied to a surface to provide a bond between that surface and subsequent coats.
(57) “Product-Weighted MIR” (PWMIR) means the sum of all weighted-MIR for all ingredients in a product subject to this article. The PWMIR is the total product reactivity expressed to hundredths of a gram of ozone formed per gram of product (excluding container and packaging) and calculated according to the following equations:
(a) Weighted MIR (Wtd-MIR) ingredient = MIX x Weight fraction ingredient, 
and,
(b) Product Weighted MIR = (Wtd-MIR)1 + (Wtd-MIR)2 +...+ (Wtd- MIR)n
where,

MIR	= ingredient MIR, as specified in section 94522(h);

Wtd-MIR	= MIR of each ingredient in a product multiplied by the weight fraction of that ingredient, as shown in (a);

1,2,3,...,n	= each ingredient in the product up to the total n ingredients in the product.
(58) “Propellant” means a liquefied or compressed gas that is used in whole or in part, such as a cosolvent, to expel a liquid or any other material from the same self-pressurized container or from a separate container.
(59) “Reactivity Limit” means the maximum “product-weighted MIR” allowed in an aerosol coating product that is subject to the limits specified in section 94522(a)(3) for a specific category, expressed as g O3/g product.
(60) “Reactive Organic Compound (ROC)” means any compound that has the potential, once emitted, to contribute to ozone formation in the troposphere.
(61) “Responsible Party” means the company, firm, or establishment which is listed on the product's label. If the label lists two companies, firms or establishments, the responsible party is the party which the product was “manufactured for” or “distributed by”, as noted on the label.
(62) “Retailer” means any person who sells, supplies, or offers aerosol coating products for sale directly to consumers.
(63) “Retail Outlet” means any establishment where consumer products are sold, supplied, or offered for sale, directly to consumers.
(64) “Rust Converter” means a product designed and labeled exclusively to convert rust to an inert material and which contains a minimum acid content of 0.5 percent by weight, and a maximum coating solids content of 0.5 percent by weight.
(65) “Shellac Sealer” means a clear or pigmented coating formulated solely with the resinous secretion of the lac beetle (Laccifer lacca), thinned with alcohol, and formulated to dry by evaporation without a chemical reaction.
(66) “Slip-Resistant Coating” means a coating designed and labeled exclusively as such, which is formulated with synthetic grit and used as a safety coating.
(67) “Spatter Coating/Multicolor Coating” means a coating labeled exclusively as such wherein spots, globules, or spatters of contrasting colors appear on or within the surface of a contrasting or similar background.
(68) “Stain” means a coating which is designed and labeled to change the color of a surface but not conceal the surface.
(69) “Upper-Limit Kinetic Reactivity” (ULKR) means the maximum percentage of the emitted ROC which has reacted. For this article, the ULKR is one hundred percent and is used to calculate the ULMIR.
(70) “Upper-Limit Mechanistic Reactivity” (ULMR) means the maximum gram(s) of ozone formed per gram of reactive organic compound (ROC) reacting. The ULMR is used to calculate the ULMIR.
(71) “Upper-Limit MIR” (ULMIR) means the upper-limit kinetic reactivity (ULKR) multiplied by the upper-limit mechanistic reactivity (ULMR), as calculated using the following equation:
ULMIR = Upper Limit KR x Upper Limit MR.
The units for ULMIR are g O3/g ROC.
(72) “Vinyl/Fabric/Leather/Polycarbonate Coating” means a coating designed and labeled exclusively to coat vinyl, fabric, leather, or polycarbonate substrates.
(73) “Volatile Organic Compound (VOC)” means any compound containing at least one atom of carbon, excluding carbon monoxide, carbon dioxide, carbonic acid, metallic carbides or carbonates, and ammonium carbonate, and excluding the following:
(A) methane,
methylene chloride (dichloromethane),
1,1,1-trichloroethane (methyl chloroform),
trichlorofluoromethane (CFC-11),
dichlorodifluoromethane (CFC-12),
1,1,2-trichloro-1,2,2-trifluoroethane (CFC-113),
1,2-dichloro-1,1,2,2-tetrafluoroethane (CFC-114),
chloropentafluoroethane (CFC-115),
chlorodifluoromethane (HCFC-22),
1,1,1-trifluoro-2,2-dichloroethane (HCFC-123),
1,1-dichloro-1-fluoroethane (HCFC-141b),
1-chloro-1,1-difluoroethane (HCFC-142b),
2-chloro-1,1,1,2-tetrafluoroethane (HCFC-124),
trifluoromethane (HFC-23),
1,1,2,2-tetrafluoroethane (HFC-134),
1,1,1,2-tetrafluoroethane (HFC-134a),
pentafluoroethane (HFC-125),
1,1,1-trifluoroethane (HFC-143a),
1,1-difluoroethane (HFC-152a),
cyclic, branched, or linear completely methylated siloxanes,
the following classes of perfluorocarbons:
1. cyclic, branched, or linear, completely fluorinated alkanes;
2. cyclic, branched, or linear, completely fluorinated ethers with no unsaturations;
3. cyclic, branched, or linear, completely fluorinated tertiary amines with no unsaturations; and
4. sulfur-containing perfluorocarbons with no unsaturations and with the sulfur bonds to carbon and fluorine, and
(B) the following low-reactive organic compounds which have been exempted by the U.S. EPA:
acetone,
ethane,
methyl acetate
parachlorobenzotrifluoride (1-chloro-4-trifluoromethyl benzene),
perchloroethylene (tetrachloroethylene).
(74) “Webbing/Veiling Coating” means a coating designed and labeled exclusively to provide a stranded to spider webbed appearance when applied.
(75) “Weight Fraction” means the weight of an ingredient divided by the total net weight of the product, expressed to thousandths of a gram of ingredient per gram of product (excluding container and packaging). The weight fraction is calculated according to the following equation:

	Weight of the ingredient

Weight Fraction = 	

	Total product net weight (excluding container and packaging).
(76) “Weld-Through Primer” means a coating designed and labeled exclusively to provide a bridging or conducting effect for corrosion  protection following welding.
(77) “Wood Stain” means a coating which is formulated to change the color of a wood surface but not conceal the surface.
(78) “Wood Touch-Up/Repair/Restoration” means a coating designed and labeled exclusively to provide an exact color or sheen match on finished wood products.
(79) “Working Day” means any day between Monday through Friday, inclusive, except for days that are federal holidays.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Repealer of subsection (a)(62) and new subsections (a)(62)-(a)(62)(B) filed 2-29-96; operative 3-30-96 (Register 96, No. 9).
3. Amendment of subsection (a)(62)(B) filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
4. Amendment of subsections (a)(20), (a)(22), (a)(24) and (a)(25), new subsection (a)(49), and amendment of subsections (a)(62)(A)-(B) filed 5-25-99; operative 6-24-99 (Register 99, No. 22).
5. New subsections (a)(11), (a)(35), (a)(44), (a)(49), (a)(55), (a)(57), (a)(59)-(60), (a)(69)-(71) and (a)(75) and subsection renumbering filed 6-18-2001; operative 7-18-2001 (Register 2001, No. 25).
§94522. Limits and Requirements for Aerosol Coating Products.
Note     •     History

(a)(1) Compliance with Limits. Aerosol coating products manufactured beginning June 1, 2002, for the general coating categories and beginning January 1, 2003, for the specially coating categories shall comply with the reactivity requirements specified in 94522(a)(3). Aerosol coating products manufactured before the effective dates of the reactivity limits specified in section 94522(a)(3) shall comply with the VOC requirements specified in section 94522(a)(2), except for products that are labeled by the manufacturer with the applicable reactivity limit, as provided in section 94524(b)(1)(B). If an aerosol coating product is so labeled, then the product shall comply with the reactivity requirements specified in section 94522(a)(3), regardless of the date on which the product was manufactured.
(2) VOC Limits for Aerosol Coating Products. Except as provided in sections 94522(a)(1), 94523 (Exemptions), 94525 (Variances), 94540 through 94555 (Alternative Control Plan), 94567(a)(1) (Hairspray Credit Program), Title 17, California Code of Regulations, no person shall sell, supply, offer for sale, apply, or manufacture for use in California, any aerosol coating product which, at the time of sale, use, or manufacture, contains volatile organic compounds in excess of the limits specified in the following Table of Standards after the specified effective dates.

Table of Standards

Percent Volatile Organic Compounds by Weight1

Aerosol Coating Category	1/8/96

General Coatings
Clear Coatings	67.0
Flat Paint Products	60.0
Fluorescent Coatings	75.0
Metallic Coatings	80.0
Nonflat Paint Products	65.0
Primers	60.0

Speciality Coatings
Art Fixatives or Sealants	95.0
Auto Body Primers	80.0
Automotive Bumper	95.0
 and Trim Products
Aviation or Marine Primers	80.0
Aviation Propeller Coatings	84.0
Corrosion Resistant Brass,	92.0
 Bronze, or Copper Coatings
Exact Match Finishes:
 Engine Enamel	80.0
 Automotive	88.0
 Industrial	88.0

Floral Sprays	95.0
Glass Coatings	95.0
Ground Traffic/Marking Coatings	66.0
High Temperature Coatings	80.0

Hobby/Model/Craft Coatings:
 Enamel	80.0
 Lacquer	88.0
 Clear or Metallic	95.0
Marine Spar Varnishes	85.0

Photograph Coatings	95.0
Pleasure Craft Finish Primers	75.0
 Surfacers or Undercoaters

Pleasure Craft Topcoats	80.0
Shellac Sealers:
 Clear	88.0
 Pigmented	75.0
Slip-Resistant Coatings	80.0

Spatter/Multicolor Coatings	80.0
Vinyl/Fabric/Leather/Polycarbonate	95.0
Webbing/Veil Coatings	90.0
Weld-Through Primers	75.0
Wood Stains	95.0
Wood Touch-Up, Repair	95.0
 or Restoration Coatings

______
1As specified in section 94522(c), for aerosol coating products containing methylene chloride, the VOC standards specified in this subsection (a) shall apply to the combined percent VOC and methylene chloride by weight.
(3) Reactivity Limits for Aerosol Coating Products.
(A) Except as provided in sections 94522(a)(1), 94523 (Exemptions) and 94525 (Variances), Title 17, California Code of Regulations, no person shall sell, supply, offer for sale, apply, or manufacture for use in California, any aerosol coating product which, at the time of sale, use, or manufacture, contains reactive organic compounds that have a PWMIR in excess of the limits specified in the following Table of Limits after the specified effective date.

Table of Limits

Product-Weighted MIR in Grams Ozone per Gram Product
(g O3/g product)

Aerosol Coating Category

General Coatings	06/01/2002
Clear Coatings	1.50
Flat Paint Products	1.20
Fluorescent Coatings	1.75
Metallic Coatings	1.90
Nonflat Paint Products	1.40
Primers	1.20

Specialty Coatings	01/01/2003
Art Fixatives or Sealants	1.80
Auto Body Primers	1.55
Automotive Bumper	1.75
 and Trim Products
Aviation or Marine Primers	2.00
Aviation Propeller Coatings	2.50
Corrosion Resistant Brass,	1.80
 Bronze, or Copper Coatings
Exact Match Finishes:
 Engine Enamel	1.70
 Automotive	1.50
 Industrial	2.05

Floral Sprays	1.70
Glass Coatings	1.40
Ground Traffic/Marking Coatings	1.20
High Temperature Coatings	1.85

Hobby/Model/Craft Coatings:
 Enamel	1.45
 Lacquer	2.70
 Clear or Metallic	1.60
Marine Spar Varnishes	0.90

Photograph Coatings	1.00
Pleasure Craft Finish Primers,	1.05
 Surfacers or Undercoaters

Pleasure Craft Topcoats	0.60
Polyolefin Adhesion Promoters	2.50
Shellac Sealers:
 Clear	1.00
 Pigmented	0.95
Slip-Resistant Coatings	2.45

Spatter/Multicolor Coatings	1.05
Vinyl/Fabric/Leather/Polycarbonate Coatings	1.55
Webbing/Veil Coatings	0.85
Weld-Through Primers	1.00
Wood Stains	1.40
Wood Touch-Up, Repair	1.50
 or Restoration Coatings
(4) If an aerosol coating product is subject to both a general coating limit and a specialty coating limit, as listed in section 94522(a)(2) or (a)(3), and the product meets all the criteria of the applicable specialty coating category as defined in section 94521, then the specialty coating limit shall apply instead of the general coating limit.
(5) Notwithstanding the provisions of sections 94522(a)(4) or 94524(a), high-temperature coatings that contain at least 0.5 percent by weight of an elemental metallic pigment in the formulation, including propellant, shall be subject to the limit specified for metallic coatings.
(6) The Alternative Control Plan Regulation (sections 94540-94555) may not be used for aerosol coating products subject to the reactivity limits specified in section 94522(a)(3).
(b) Sell-Through Products Subject to the VOC Limits Specified in Section 94522(a)(2). Notwithstanding the provisions of section 94522(a)(1) and (a)(3), an aerosol coating product manufactured prior to each of the effective dates specified for that product in section 94522(a)(3) may be sold, supplied, offered for sale, or applied for up to three years after each of the specified effective dates, provided that the product complies with the limit specified in section 94522(a)(2). This subsection (b) does not apply to any product which does not display on the product container or package the date on which the product was manufactured, or a code indicating such date.
(c) Products Containing Methylene Chloride or Trichloroethylene. 
(1) Requirements for Products Subject to the VOC Limits Specified in Section 94522(a)(2).
For any aerosol coating product containing methylene chloride, the VOC standards specified in section 94522(a)(2) shall apply to the combined percent by weight of both volatile compounds, and methylene chloride, calculated as follows:
(Percent by weight VOC + Percent by weight methylene chloride) must be less than or equal to the applicable VOC standard.
(2) Requirements for Products Subject to the Reactivity Limits Specified in Section 94522(a)(3).
(A) For any aerosol coating product subject to the reactivity limits specified in section 94522(a)(3), no person shall sell, supply, offer for sale, apply, or manufacture for use in California any aerosol coating product which contains methylene chloride or trichloroethylene.
(B) The requirements of section 94522(c)(2) shall not apply to any aerosol coating product containing methylene chloride or trichloroethylene that is present as an impurity in a combined amount equal to or less than 0.01% by weight of the product.
(d) Products Containing Perchloroethylene or Ozone Depleting Substances.
(1) Requirements for Products Subject to the VOC Limits Specified in Section 94522(a)(2).
For any aerosol coating product subject to the VOC limits specified in section 94522(a)(2), no person shall sell, supply, offer for sale, apply, or manufacture for use in California any aerosol coating product which contains perchloroethylene, or an ozone depleting substance identified by the United States Environmental Protection Agency in the Code of Federal Regulations, 40 CFR Part 82, Subpart A, under Appendices A and B, July 1, 1998. The requirements of this section 94522(d)(1) shall not apply to (A) any existing product formulation that complies with the Table of Standards and was sold in California during calendar year 1992, or (B) any product formulation that was sold in California during calendar year 1992 that is reformulated to meet the Table of Standards, as long as the content of perchloroethylene, or ozone depleting substances, as identified in this section 94522(d), in the reformulated product does not increase.
(2) Requirements for Products Subject to the Reactivity Limits Specified in Section 94522(a)(3).
(A) Perchloroethylene
For any aerosol coating product subject to the reactivity limits specified in section 94522(a)(3), no person shall sell, supply, offer for sale, apply, or manufacture for use in California any aerosol coating product which contains perchloroethylene.
(B) Ozone Depleting Substances
For any aerosol coating product subject to the reactivity limits specified in section 94522(a)(3), no person shall sell, supply, offer for sale, apply, or manufacture for use in California any aerosol coating product which contains an ozone depleting substance identified by the United States Environmental Protection Agency in the Code of Federal Regulations, 40 CFR Part 82, Subpart A, under Appendices A and B, July 1, 1998. The requirements of this section 94522(d)(2) shall not apply to (1.) any existing product formulation containing an ozone depleting substance that complies with the Table of Limits and was sold in California during calendar year 1997, or (2.) any product formulation containing an ozone depleting substance that was sold in California during calendar year 1997 that is reformulated to meet the Table of Limits, as long as the content of ozone depleting substances, as identified in this section 94522(d)(2), in the reformulated product does not increase.
(3) The requirements of section 94522(d)(1) and (d)(2) shall not apply to any aerosol coating product containing perchloroethylene, or an ozone depleting substance as identified in section 94522(d)(1) or (d)(2), that are present as impurities in a combined amount equal to or less than 0.01% by weight of the product.
(e) Multicomponent Kits. 
(1) Requirements for Products Subject to the VOC Limits Specified in Section 94522(a)(2).
No person shall sell, supply, offer for sale, apply, or manufacture for use in California any multi-component kit, as defined in section 94521, in which the total weight of VOC and methylene chloride contained in the multi-component kit (Total VOC + MC)actual is greater than the total weight of VOC and methylene chloride that would be allowed in the multi-component kit if each component product in the kit had separately met the applicable VOC standards (Total VOC+ MC)standard as calculated below:

	(Total VOC + MC)actual	= 	(VOC1 x W1) + (MC1 x W1) + (VOC2 x W2) +
			(MC2 x W2) + (VOCn x Wn) + (MCn x Wn)

	(Total VOC + MC)stamdard	=	(STD1 x W1) + (STD2 x W2) + (STDn x Wn)
	
Where:

VOC	=	the percent by weight VOC of the component product

MC	=	the percent by weight methylene chloride of the 
		component product

STD	=	the VOC standard specified in section 94522(a) which 
		applies to the component product.

W	=	the weight of the product contents (excluding container)
Subscript 1 denotes the first component product in the kit
Subscript 2 denotes the second component product in the kit
Subscript n denotes any additional component product
(2) Requirements for Products Subject to the Reactivity Limits Specified in Section 94522(a)(3).
No person shall sell, supply, offer for sale, apply, or manufacture for use in California any multi-component kit, as defined in section 94521, in which the Kit PWMIR is greater than the Total Reactivity Limit. The Total Reactivity Limit represents the limit that would be allowed in the multi-component kit if each component product in the kit had separately met the applicable Reactivity Limit. The Kit PWMIR and Total Reactivity Limit are calculated as in equations (1), (2) and (3) below: 
(1) Kit PWMIR = (PWMIR1 x W1) + (PWMIR2 x W2) +...+ (PWMIRn x Wn)
(2) Total Reactivity Limit = (RL1 x W1) + (RL2 x W2) +...+ (RLn x Wn)
(3) Kit PWMIR £ Total Reactivity Limit
Where:
W = the weight of the product contents (excluding container)
RL = the Reactivity Limit specified in section 94522(a)(3)
Subcsript 1 denotes the first component product in the kit
Subscript 2 denotes the second component product in the kit
Subscript n denotes any additional component product
(f) Products Assembled by Adding Bulk Paint to Aerosol Containers of Propellant. No person shall sell, supply, offer for sale, apply, or manufacture for use in the state of California any aerosol coating product assembled by adding bulk paint to aerosol containers of propellant, unless such products comply with the VOC standards specified in section 94522(a)(2), or with the reactivity limits specified in section 94522(a)(3) for products subject to those limits.
(g) Requirements for Lacquer Aerosol Coating Products Subject to the VOC Limits Specified in Section 94522(a)(2).
(1) Notwithstanding the provisions of Section 94522(a)(2), lacquer aerosol coating products may be sold, supplied, offered for sale, applied, or manufactured for use in California with a combined VOC and methylene chloride content of up to 80 percent by weight until January 1, 1998.
(2) On or after January 1, 1998, all lacquer aerosol coating products sold, supplied, offered for sale, applied, or manufactured for use in California shall comply with the provisions of section 94522(a)(2), except that lacquer aerosol coating products manufactured prior to January 1, 1998 may be sold, supplied, offered for sale, or applied until January 1, 2001, as long as the product displays on the product container or package the date on which the product was manufactured or a code indicating such date.
(3) This subsection (g) does not apply to: (A) any lacquer coating product not clearly labeled as such, or (B) any lacquer coating product which is sold, supplied, offered for sale, applied, or manufactured for use in the Bay Area Air Quality Management District (BAAQMD) and is subject to BAAQMD Rule 8-49, or (C) any lacquer coating product that meets the definition of “clear coating” specified in section 94521.
(h) Assignment of Maximum Incremental Reactivity (MIR) Values.
(1) In order to calculate the PWMIR of aerosol coating products as specified in section 94521(a)(57), the MIR values of product ingredients are assigned as follows:
(A) Any ingredient which does not contain carbon is assigned a MIR value of 0.0.
(B) Any aerosol coating solid, including but not limited to resins, pigments, fillers, plasticizers, and extenders is assigned a MIR value of 0.0.
(C) For any ROC not covered under (1)(A) and (1)(B) of this subsection (h), each ROC is assigned the MIR value set forth in Subchapter 8.6, Article 1, sections 94700 and 94701, Title 17, California Code of Regulations.
(D) Except as provided in subsection (h)(3), only ROCs listed in sections 94700 and 94701, Title 17, California Code of Regulations, can be used to comply with the reactivity limits specified in section 94522(a)(3).
(E) All individual compounds in an amount equal to or exceeding 0.1 percent shall be considered ingredients in calculating the PWMIR. Such individual compounds shall be considered ingredients whether or not they are reported by the manufacturer pursuant to section 94526(b).
(2)(A) The MIR values dated July 18, 2001 shall be used to calculate the PWMIR for aerosol coating products, and these MIR values shall not be changed until June 1, 2007.
(B) If a new ROC is added to section 94700 or 94701, then the new ROC may be used in aerosol coating products, and the MIR value for the new ROC shall be used to calculate the PWMIR after the effective date of the MIR value.
(3) The MIR value for any aromatic hydrocarbon solvent with a boiling range different from the ranges specified in section 94701(b) shall be assigned as follows:
(A) if the solvent dry point is lower than or equal to 420 degrees F, the MIR value specified in section 94701(b) for bin 23 shall be used.
(B) if the solvent initial boiling point is higher than 420 degrees F, the MIR value specified in section 94701(b) for bin 24 shall be used.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Amendment of subsection (b) filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
3. Amendment of subsection (a)(1) filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
4. Amendment filed 5-25-99; operative 6-24-99 (Register 99, No. 22).
5. Amendment of section heading and section filed 6-18-2001; operative 7-18-2001 (Register 2001, No. 25).
§94523. Exemptions.
Note     •     History

(a)(1) For products manufactured before December 31, 2008: This article shall not apply to aerosol lubricants, mold releases, automotive underbody coatings, electrical coatings, cleaners, belt dressings, anti-static sprays, layout fluids and removers, adhesives, maskants, rust converters, dyes, inks, cosmetics or any other products used on the human body, and leather preservatives or cleaners.
(2) For products manufactured on or after December 31, 2008: This article shall not apply to aerosol lubricants, mold releases, automotive underbody coatings, electrical coatings, cleaners, belt dressings, anti-static sprays, layout fluids and removers, adhesives, maskants, rust converters, dyes, inks, cosmetics or any other products used on the human body, leather preservatives or cleaners, products for vehicle tires, “Rubber/Vinyl Protectants” as defined in section 94508, and “Fabric Protectants” as defined in section 94508. 
(b) This article shall not apply to any aerosol coating product manufactured in California for shipment and use outside of California.
(c) The provisions of this article shall not apply to a manufacturer, distributor, or responsible party who sells, supplies, or offers for sale in California an aerosol coating product that does not comply with the limits specified in section 94522(a)(2) or (a)(3), as long as the manufacturer, distributor, or responsible party can demonstrate both that the aerosol coating product is intended for shipment and use outside of California, and that the manufacturer, distributor, or responsible party has taken reasonable prudent precautions to assure that the aerosol coating product is not distributed to California. This subsection (c) does not apply to aerosol coating products that are sold, supplied, or offered for sale by any person to retail outlets in California.
(d) The requirements in sections 94522(a)(2) and (a)(3) prohibiting the application of aerosol coating products that exceed the limits specified in the sections 94522(a)(2) or (a)(3) shall apply only to commercial application of aerosol coating products.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Amendment of subsections (c) and (d) filed 6-18-2001; operative 7-18-2001 (Register 2001, No. 25).
3. Redesignation and amendment of subsection (a) as subsection (a)(1) and new subsection (a)(2) filed 11-8-2007; operative 12-8-2007 (Register 2007, No. 45).
§94524. Administrative Requirements.
Note     •     History

(a) Most Restrictive Limit.
Except as otherwise provided in section 94522(a)(4), if anywhere on the container of any aerosol coating product subject to the specified limits in section 94522(a)(2) or (a)(3), or on any sticker or label affixed thereto, or in any sales or advertising literature, any representation is made that the product may be used as, or is suitable for use as a product for which a lower limit is specified, then the lowest applicable limit shall apply.
(b) Labeling Requirements.
(1) Both the manufacturer  and responsible party for each aerosol coating product subject to this article shall ensure that all products clearly display the following information on each product container which is manufactured 90 days or later after the effective date of this article.
(A) Products subject to the VOC limits specified in section 94522(a)(2) shall display:
1. the applicable VOC standard for the product that is specified in section 94522(a)(2), expressed as a percentage by weight unless the product is included in an alternative control plan approved by the Executive Officer, as provided in Article 4. Section 94540-94555, Title 17, California Code of Regulations, and the product exceeds the applicable VOC standard;
2. if the product is included in an alternative control plan approved by the Executive Officer, and the product exceeds the applicable VOC standard specified in section 94522(a)(2), the product shall be labeled with the term “ACP” or “ACP product”;
3. the aerosol coating category as defined in section 94521, or an abbreviation of the coating category; and
4. the day, month, and year on which the product was manufactured, or a code indicating such date.
(B) Products subject to the reactivity limits specified in section 94522(a)(3) shall display:
1. the applicable reactivity limit for the product that is specified in section 94522(a)(3);
2. the aerosol coating category as defined in section 94521, or an abbreviation of the coating category; and
3. the day, month, and year on which the product was manufactured, or a code indicating such date.
(2) The information required in section 94524(b)(1), shall be displayed on the product container such that it is readily observable without removing or disassembling any portion of the product container or packaging. For the purposes of this subsection, information may be displayed on the bottom of a container as long as it is clearly legible without removing any product packaging.
(3) No person shall remove, alter, conceal, or deface the information required in section 94524(b)(1) prior to final sale of the product.
(4) For any aerosol coating product subject to section 94522(a), if the manufacturer or responsible party uses a code indicating the date of manufacture or an abbreviation of the coating category as defined in section 94521, an explanation of the Code or abbreviation must be filed with the Executive Officer prior to the use of the code or abbreviation.
(c) Reporting Requirements
(1) Any responsible party for an aerosol coating product subject to this article which is sold, supplied, or offered for sale in California, must supply the Executive Officer of the Air Resources Board with the following information within 90 days of the effective date of this article: the company name, mail address, contact person, and the telephone number of the contact person.
For responsible parties who do not manufacture their own aerosol coating products, the responsible party shall also supply the information specified in this subsection (c)(1) for those manufacturers which produce products for the responsible party.
The responsible party shall also notify the Executive Officer within 90 days of any change in the information supplied to the Executive Officer pursuant to this subsection (c)(1).
(2) Upon 90 days written notice, each manufacturer or responsible party subject to this article shall submit to the Executive Officer a written report with all of the following information for each product they manufacture under their name or another company's name:
(A) the brand name of the product;
(B) upon request, a copy of the product label;
(C) the owner of the trademark or brand names;
(D) the product category as defined in section 94521;
(E) the annual California sales in pounds per year and the method used to calculate California annual sales;
(F) product formulation data:
1. for products subject to the VOC limits specified in section 94522(a)(2), the percent by weight VOC, water, solids, propellant, and any compounds exempt from the definition of VOC as specified in section 94521;
2. for products subject to the reactivity limits specified in section 94522(a)(3), the PWMIR and the weight fraction of all ingredients including: water, solids, each ROC, and any compounds assigned a MIR value of zero as specified in sections 94522(h), 94700, or 94701 [Each ROC must be reported as an ingredient if it is present in an amount greater than or equal to 0.1 percent by weight of the final aerosol coatings formulation. If an individual ROC is present in an amount less than 0.1 percent by weight, then it does not need to be reported as an ingredient. In addition, an impurity that meets the following definition does not need to be reported as an ingredient.
For the purpose of this section, an “impurity” means an individual chemical compound present in a raw material which is incorporated into the final aerosol coatings formulation, if the compound is present below the following amounts in the raw material:
(i) for individual compounds that are carcinogens, as defined in 29 CFR section 1910.1200(d)(4), each compound must be present in an amount less than 0.1 percent by weight in order to be considered an “impurity.”
(ii) for all other compounds present in a raw material, a compound must be present in an amount less than 1 percent by weight in order to be considered an “impurity”];
(G) an identification of each product brand name as a “household,” “industrial,” or “both” product; and
(H) any other information necessary to determine the emissions or the product-weighted MIR from aerosol coating products.
The information requested in this section (c)(2) may be supplied as an average for a group of aerosol coating products within the same coating category when the products do not vary in VOC content by more then two percent (by weight), and the coatings are based on the same resin type, or the products are color variations of the same product (even if the coatings vary by more than 2 percent in VOC content).
(3) Upon written request, the responsible party for aerosol coating products subject to this article shall supply the executive officer with a list of all exempt compounds contained in any aerosol coating product within 15 working days.
(d) Treatment of Confidential Information.
All information submitted by manufacturers pursuant to section 94524 shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, sections 91000-91022.
(e) Special Reporting Requirements for Perchloroethlene-Containing Aerosol Coatings
(1) The requirements of this subsection shall apply to all responsible parties for perchloroethylene-containing aerosol coatings sold or offered for sale in California on or after January 1, 1996. For the purpose of this subsection, “perchloroethylene-containing aerosol coatings” means any aerosol coating that is required to comply with any limit specified in section 94522(a)(2) or (a)(3) and contains 1.0 percent or more by weight (exclusive of the container or packaging) of perchloroethylene (tetrachlorethylene).
(2) Reporting Requirements to Establish Baseline. On or before March 1, 1997, or 60 days after the effective date of this subsection (e) (whichever date occurs later), all responsible parties for perchloroethylene-containing aerosol coatings shall report to the Executive Officer the following information for each product:
(A)  the product brand name and a copy of the product label with legible usage instructions;
(B) the product category to which the aerosol coating belongs;
(C) the total amount of the aerosol coating sold in California between January 1, 1996 and December 31, 1996, to the nearest pound (exclusive of the container or packaging), and the method used for calculating the California sales;
(D) the weight percent, to the nearest 0.10 percent, of perchloroethylene in the aerosol coating;
(3) Annual Reporting Requirements. On or before March 1, 1998, March 1, 1999, March 1, 2000, March 1, 2001, and March 1, 2002, all responsible parties subject to the requirements of this subsection shall provide to the Executive Officer an update which reports, for the previous calendar year, any changes in the annual California sales, perchlorethylene content, or any other information provided pursuant to subsections (e)(2)(A) through (e)(2)(D). After March 1, 2002, responsible parties are not required to submit this information unless specifically required to do so by the Executive Officer.
(4) Upon request, the Executive Officer shall make the information submitted pursuant to this subsection available to publicly owned treatment works in California, in accordance with the procedures for handling of confidential information specified in Title 17, California Code of Regulations, sections 91000-91022.
(A) On or before July 1, 2002, the Executive Officer shall evaluate the information, along with data on influent and effluent levels of perchloroethylene as reported by publicly-owned treatment works and any other relevant information, to determine if it is likely that publicly-owned treatment works are experiencing increased levels of perchloroethylene, relative to 1996 levels, that can be attributed to aerosol coatings which contain perchloroethylene.
(B) If the Executive Officer determines that it is likely that increased perchloroethylene levels at the publicly-owned treatment works are caused by increased levels of perchloroethylene in consumer products subject to this regulation, then the Executive Officer shall, in conjunction with the publicly-owned treatment works, implement measures which are feasible, appropriate, and necessary for reducing perchloroethylene levels at the publicly-owned treatment works.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Redesignation of former subsection (c)(5) to new subsection (d) and new subsections (e)-(e)(4)(B) filed 11-18-97; operative 11-18-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 47).
3. Repealer of subsections (c)(2)-(c)(2)(B)4., subsection renumbering, and amendment of subsections (d) and (e)  filed 5-25-99; operative 6-24-99 (Register 99, No. 22).
4. Amendment filed 6-18-2001; operative 7-18-2001 (Register 2001, No. 25).
§94525. Variances.
Note     •     History

(a) Any person who cannot comply with the requirements set forth in Section 94522, because of extraordinary reasons beyond the person's reasonable control may apply in writing to the Executive Officer for a variance. The variance application shall set forth:
(1) the specific grounds upon which the variance is sought;
(2) the proposed date(s) by which compliance with the provisions of Section 94522 will be achieved, and
(3) a compliance report reasonably detailing the method(s) by which compliance will be achieved.
(b) Upon receipt of a variance application containing the information required in subsection (a), the Executive Officer shall hold a public hearing to determine whether, under what conditions, and to what extent, a variance from the requirements in Section 94522 is necessary and will be permitted. A hearing shall be initiated no later than 75 working days after receipt of a variance application. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the California Regulatory Notice Register and sent to every person who requests such notice, not less than 30 days prior to the hearing. The notice shall state that the parties may, but need not be, represented by counsel at the hearing. At least 30 days prior to the hearing, the variance application shall be made available to the public for inspection. Information submitted to the Executive Officer by a variance applicant may be claimed as confidential, and such information shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-91022. The Executive Officer may consider such confidential information in reaching a decision on a variance application. Interested members of the public shall be allowed a reasonable opportunity to testify at the hearing and their testimony shall be considered.
(c) No variance shall be granted unless all of the following findings are made:
(1) that, because of reasons beyond the reasonable control of the applicant, requiring compliance with Section 94522 would result in extraordinary economic hardship.
(2) that the public interest in mitigating the extraordinary hardship to the applicant by issuing the variance outweighs the public interest in avoiding any increased emissions of air contaminants which would result from issuing the variance.
(3) that the compliance report proposed by the applicant can reasonably be implemented, and will achieve compliance as expeditiously as possible.
(d) Any variance order shall specify a final compliance date by which the requirements of Section 94522 will be achieved. Any variance order shall contain a condition that specifies increments of progress necessary to assure timely compliance, and such other conditions that the Executive Officer, in consideration of the testimony received at the hearing, finds necessary to carry out the purposes of Division 26 of the Health and Safety Code.
(e) A variance shall cease to be effective upon failure of the party to whom the variance was granted to comply with any term or condition of the variance.
(f) Upon the application of any person, the Executive Officer may review, and for good cause, modify or revoke a variance from the requirements of Section 94522 after holding a public hearing in accordance with the provisions of subsection 94525(b).
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94526. Test Methods.
Note     •     History

Compliance with the requirements of this article shall be determined by using the following test methods, which are incorporated by reference herein. Alternative test methods which are shown to accurately determine the VOC content, ingredient name and weight percent of each ingredient, exempt compound content, metal content, specular gloss, or acid content may also be used after approval in writing by the Executive Officer:
(a) Testing for Products Subject to the VOC Limits Specified in Section 94522(a)(2).
(1) VOC Content. The VOC content of all aerosol coating products subject to the provisions of this article shall be determined by the procedures set forth in “Air Resources Board Method 310, Determination of Volatile Organic Compounds (VOC) in Consumer Products,” adopted September 25, 1997 and as last amended on May 5, 2005.
(2) In sections 3.5 and 3.7 of Air Resources Board (ARB) Method 310, a process is specified for the “Initial Determination of VOC Content” and the “Final Determination of VOC Content”. This process is an integral part of testing procedures set forth in ARB Method 310, and is reproduced below:
Sections 3.5 and 3.7 of Air Resources Board Method 310
3.5 Initial Determination of VOC Content. The Executive Officer will determine the VOC content pursuant to sections 3.2 and 3.3. Only those components with concentrations equal to or greater than 0.1 percent by weight will be reported.
3.5.1 Using the appropriate formula specified in section 4.0, the Executive Officer will make an initial determination of whether the product meets the applicable VOC standards specified in ARB regulations. If initial results show that the product does not meet the applicable VOC standards, the Executive Officer may perform additional testing to confirm the initial results.
3.5.2 If the results obtained under section 3.5.1 show that the product does not meet the applicable VOC standards, the Executive Officer will request the product manufacturer or responsible party to supply product formulation data. The manufacturer or responsible party shall supply the requested information. Information submitted to the ARB Executive Officer may be claimed as confidential; such information will be handled in accordance with the confidentiality procedures specified in Title 17, California Code of Regulations, sections 91000 to 91022.
3.5.3 If the information supplied by the manufacturer or responsible party shows that the product does not meet the applicable VOC standards, then the Executive Officer will take appropriate enforcement action.
3.5.4 If the manufacturer or responsible party fails to provide formulation data as specified in section 3.5.2, the initial determination of VOC content under this section 3.5 shall determine if the product is in compliance with the applicable VOC standards. This determination may be used to establish a violation of ARB regulations.
3.7 Final Determination of VOC Content. If a product's compliance status is not satisfactorily resolved under sections 3.5 and 3.6, the Executive Officer will conduct further analyses and testing as necessary to verify the formulation data.
3.7.1 If the accuracy of the supplied formulation data is verified and the product sample is determined to meet the applicable VOC standards, then no enforcement action for violation of the VOC standards will be taken.
3.7.2 If the Executive Officer is unable to verify the accuracy of the supplied formulation data, then the Executive Officer will request the product manufacturer or responsible party to supply information to explain the discrepancy.
3.7.3 If there exists a discrepancy that cannot be resolved between the results of Method 310 and the supplied formulation data, then the results of Method 310 shall take precedence over the supplied formulation data. The results of Method 310 shall then determine if the product is in compliance with the applicable VOC standards, and may be used to establish a violation of ARB regulations.
(b) Testing for Products Subject to the Reactivity Limits Specified in Section 94522(a)(3).
(1) The ingredients and the amount of each ingredient of all aerosol coating products subject to the provisions of this article shall be determined by the procedures set forth in “Air Resources Board Method 310, Determination of Volatile Organic Compounds (VOC) in Consumer Products,” adopted September 25, 1997 and as last amended on May 5, 2005.
(2) Upon written notification from the Executive Officer, the aerosol coating manufacturer shall have 10 working days to provide to the Executive Officer the following information for products selected for testing:
(A) the product category as defined in section 94521(a);
(B) the PWMIR;
(C) the weight fraction of all ingredients including: water, solids, each ROC, and any compound assigned a MIR value of zero as specified in sections 94522(h), 94700, or 94701 [Each ROC must be reported as an ingredient if it is present in an amount greater than or equal to 0.1 percent by weight of the final aerosol coatings formulation. If an individual ROC is present in an amount less than 0.1 percent by weight, then it does not need to be reported as an ingredient. In addition, an impurity that meets the following definition does not need to be reported as an ingredient.
For the purpose of this section, an “impurity” means an individual chemical compound present in a raw material which is incorporated into the final aerosol coatings formulation, if the compound is present below the following amounts in the raw material:
(i) for individual compounds that are carcinogens, as defined in 29 CFR section 1910.1200(d)(4), each compound must be present in an amount less than 0.1 percent by weight in order to be considered an “impurity.”
(ii) for all other compounds present in a raw material, a compound must be present in an amount less than 1 percent by weight in order to be considered an “impurity”].
(D) any other information necessary to determine the PWMIR of the aerosol coating products to be tested.
(3) Final determination of the PWMIR of the aerosol coatings shall be determined using the information obtained from section 94526(b)(1) and (2).
(c) Exempt Compounds from Products Subject to the VOC Limits Specified in Section 94522(a)(2). Compounds exempt from the definition of VOC shall be analyzed according to the test methods listed below:
(1) the exempt compound content of aerosol coating products shall be determined by “Air Resources Board Method 310, Determination of Volatile Organic Compounds (VOC) in Consumer Products,” adopted September 25, 1997 and as last amended on May 5, 2005, which is incorporated herein by reference.
(2) the following classes of compounds will be analyzed as exempt compounds only if manufacturers specify which individual compounds are used in the product formulations and identify the test methods, which, prior to such analysis, have been approved by the Executive Officer of the ARB, and can be used to quantify the amounts of each exempt compound: cyclic, branched, or linear, completely fluorinated alkanes; cyclic, branched, or linear, completely fluorinated ethers with no unsaturations; cyclic, branched, or linear, completely fluorinated tertiary amines with no unsaturations; and sulfur-containing perflurorcarbons with no unsaturations and with sulfur bonds only to carbon and fluorine.
(d) Metal Content. The metal content of metallic aerosol coating products shall be determined by South Coast Air Quality Management District (SCAQMD) Test Method 318-95 “Determination of Weight Percent Elemental Metal in Coatings by X-ray Diffraction” July, 1996, which is incorporated herein by reference.
(e) Specular Gloss. Specular gloss of flat and nonflat coatings shall be determined by ASTM Method D-523-89, March 31, 1989, which is incorporated herein by reference.
(f) Acid Content. The acid content of rust converters shall be determined by ASTM Method D-1613-91, “Standard Test Method for Acidity in Volatile Solvents and Chemical Intermediates Used in Paint, Varnish, Lacquer, and Related Products, May 10, 1996, which is incorporated herein by reference.
(g) Lacquers. Lacquer aerosol coating products shall be identified according to the procedures specified in ASTM Method D-5043-90, “Standard Test Methods for Field Identification of Coatings,” April 27, 1990, which is incorporated herein by reference.
NOTE

Authority cited: Sections 39600, 39601, 39607, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 39607, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Editorial correction of section number (Register 96, No. 9).
3. Amendment of section and Note filed 11-13-97; operative 12-13-97 (Register 97, No. 46).
4. Amendment filed 11-16-99; operative 12-16-99 (Register 99, No. 47).
5. Amendment of first paragraph and subsections (a)-(a)(1), new subsections (b)-(b)(3), subsection relettering, and amendment of newly designated subsections (c)-(c)(1) filed 6-18-2001; operative 7-18-2001 (Register 2001, No. 25).
6. Amendment of subsections (a)(1), (b)(1), (c)(1) and (f) filed 6-20-2005; operative 7-20-2005 (Register 2005, No. 25).
§94527. Severability.
Note     •     History

Each part of this article shall be deemed severable, and in the event that any part of this article is held to be invalid, the remainder of this article shall continue in full force and effect.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94528. Federal Enforceability.
Note     •     History

For purposes of federal enforceability of this article, the United States Environmental Protection Agency is not subject to approval determinations made by the Executive Officer under sections 94525 and 94526. Within 180 days of a request from a person who has been granted a variance under Section 94525, a variance meeting the requirements of the Clean Air Act shall be submitted by the Executive Officer to the Environmental Protection Agency for inclusion in the applicable implementation plan approved or promulgated by the Environmental Protection Agency pursuant to Section 110 of the Clean Air Act, 42 U.S.C., Section 7410.
NOTE

Authority cited: Sections 39600, 39601, 39602 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 39602, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
Article 4. Alternative Control Plan
§94540. Purpose.
Note     •     History

The purpose of this article is to provide an alternative method to comply with the VOC standards for consumer products and aerosol coating products that are specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 8.5, Articles 2 and 3, sections 94507-94517 and 94520-94528. This alternative is provided by allowing responsible ACP parties the option of voluntarily entering into separate “alternative control plans” (ACPs) for consumer products and aerosol coating products, as specified in this article.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New article 4 and section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94541. Applicability.
Note     •     History

Only responsible ACP parties for consumer products or aerosol coating products may enter into an ACP. An ACP shall include only those consumer products or only those aersol coating products which are subject to the VOC standards specified in sections 94509 or 94522, Title 17, California Code of Regulations. Consumer products and aerosol coating products shall not be included together in the same ACP.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of section filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94542. Definitions.
Note     •     History

(a) For the purposes of this article, the following definitions shall apply:
(1) “ACP Emissions” means the sum of the VOC emissions from every ACP product subject to an Executive Order approving an ACP, during the compliance period specified in the Executive Order, expressed to the nearest pound of VOC and calculated according to the following equation:
ACP Emissions = (Emissions)1 + (Emissions)2 +...+ (Emissions)N
where,
Emissions = [VOC Content] x [Enforceable Sales]                                                     100
For all products except for charcoal lighter material products and aerosol coating products:
VOC Content = [(B - C) x 100]                               A
A = net weight of unit (excluding container and packaging)
B = total weight of all VOCs per unit, as defined in subsection (a)(31) of this section
C = total weight of all exempted VOCs per unit, as specified in section 94510
For charcoal lighter material products only:
VOC Content = [Certified Emissions x 100]                                      Certified Use Rate
Certified Emissions = the emission level for products approved by the Executive Officer under section 94509(h), as determined pursuant to South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (Feb. 27, 1991), expressed to the nearest 0.001 pound CH2 per start.
Certified Use Rate = the usage level for products approved by the Executive Officer under section 94509(h), as determined pursuant to South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (Feb. 27, 1991), expressed to the nearest 0.001 pound certified product used per start.
For aersol coating products only:
VOC Content = Percent VOC By Weight
“Percent VOC By Weight” shall have the same meaning as defined in section 94521(a)(46);
For all products:
Enforceable Sales = the total amount of an ACP product sold for use in California, during the applicable compliance period specified in the Executive Order approving an ACP, as determined through enforceable sales records (expressed to the nearest pound, excluding container and packaging).
1,2,...N = each product in an ACP up to the maximum N.
(2) “ACP Limit” means the maximum allowable ACP Emissions during the compliance period specified in an Executive Order approving an ACP, expressed to the nearest pound of VOC and calculated according to the following equation:
ACP Limit = (Limit)1 + (Limit)2 +...+ (Limit)N
where,
Limit = [ACP Standard] x [Enforceable Sales]                                               100
Enforceable Sales = the total amount of an ACP product sold for use in California, during the applicable compliance period specified in the Executive Order approving an ACP, as determined through enforceable sales records (expressed to the nearest pound, excluding container and packaging).
ACP Standard = either the ACP product's Pre-ACP VOC Content or the applicable VOC standard specified in sections 94509 or 94522, whichever is the lesser of the two.
Pre-ACP VOC Content = the lowest VOC content which the ACP product had between January 1, 1990 and the date on which the application for a proposed ACP is submitted to the Executive Officer, based on either the data on the product obtained from the March 12, 1991 Air Resources Board Consumer Products Survey, the data on the product obtained from the February 25, 1993 Air Resources Board Aerosol Paint Survey, or other accurate records available to the Executive Officer, whichever yields the lowest VOC content for the product.
1,2,...N = each product in an ACP up to the maximum N.
(3) “ACP Product” means any “consumer product” or any “aerosol coating product” subject to the VOC standards specified in sections 94509 or 94522, except those products that have been exempted under sections 94510 or 94523, or exempted as Innovative Products under section 94511.
(4) “ACP Reformulation” or “ACP Reformulated” means the process of reducing the VOC Content of an ACP product, within the period that an ACP is in effect, to a level which is less than the current VOC content of the product.
(5) “ACP Standard” means either the ACP product's Pre-ACP VOC Content or the applicable VOC standard specified in sections 94509 or 94522, whichever is the lesser of the two.
(6) “Alternative Control Plan” or “ACP” means any emissions averaging program approved by the Executive Officer pursuant to the provisions of this article.
(7) “Compliance Period” means the period of time, not to exceed one year, for which the ACP Limit and ACP Emissions are calculated and for which compliance with the ACP Limit is determined, as specified in the Executive Order approving an ACP.
(8) “Contact Person” means a representative(s) that has been designated by the responsible ACP party for the purpose of reporting or maintaining any information specified in the Executive Order approving an ACP.
(9) “Date-Code” means the day, month and year on which the ACP product was manufactured, filled, or packaged, or a code indicating such a date.
(10) “Enforceable Sales” means the total amount of an ACP product sold for use in California, during the applicable compliance period specified in the Executive Order approving an ACP, as determined through enforceable sales records (expressed to the nearest pound, excluding product container and packaging).
(11) “Enforceable Sales Record” means a written, point-of-sale record or any other Executive Officer-approved system of documentation from which the mass, in pounds (less product container and packaging), of an ACP product sold to the end user in California during the applicable compliance period can be accurately documented. For the purposes of this article, “enforceable sales records” include, but are not limited to, the following types of records:
(A) accurate records of direct retail or other outlet sales to the end user during the applicable compliance period;
(B) accurate compilations, made by independent market surveying services, of direct retail or other outlet sales to the end users for the applicable compliance period, provided that a detailed method which can be used to verify any data comprising such summaries is submitted by the responsible ACP party and approved by the Executive Officer;
(C) any other accurate product sales records approved by the Executive Officer as meeting the criteria specified in this subsection (a)(11).
(D) for pesticides only, accurate mill assessment records for economic poisons, verified by the California Department of Pesticide Regulations, which cover the sales of ACP pesticide products during the applicable compliance period.
(12) “Executive Order” means the document signed by the Executive Officer which includes the conditions and requirements of the ACP, and which allows manufacturers to sell ACP products in California pursuant to the requirements of this article.
(13) “Gross California Sales” means the estimated total California sales of an ACP product during a specific compliance period (expressed to the nearest pound), based on either of the following methods, whichever the responsible ACP party demonstrates to the satisfaction of the Executive Officer will provide an accurate California sales estimate:
(A) apportionment of national or regional sales of the ACP product to California sales, determined by multiplying the average national or regional sales of the product by the fraction of the national or regional population, respectively, that is represented by California's current population; or
(B) any other documented method which provides an accurate estimate of the total current California sales of the ACP product.
(14) “LVP” or “LVP Compound” means a low vapor pressure VOC which:
(A) has a vapor pressure less than 0.1 mm Hg at 20 degrees Centigrade, or
(B) if the vapor pressure is unknown, has more than 12 carbon atoms.
(15) “LVP Content” means the total weight, in pounds, of LVP compounds in an ACP product multiplied by 100 and divided by the product's total net weight (in pounds, excluding container and packaging), expressed to the nearest 0.1.
(16) “Missing Data Days” means the number of days in a compliance period for which the responsible ACP party has failed to provide the required Enforceable Sales or VOC Content data to the Executive Officer, as specified in the Executive Order approving an ACP.
(17) “One-product business” means a responsible ACP party which sells, supplies, offers for sale, or manufactures for use in California:
(A) only one distinct ACP product, sold under one product brand name, which is subject to the requirements of sections 94509 or 94522, or
(B) only one distinct ACP product line subject to the requirements of sections 94509 or 94522, in which all the ACP products belong to the same product category(ies) and the VOC Contents in the products are within 98.0% and 102.0% of the arithmetic mean of the VOC Contents over the entire product line.
(18) “Pre-ACP VOC Content” means the lowest VOC content of an ACP product between January 1, 1990 and the date on which the application for a proposed ACP is submitted to the Executive Officer, based on either the data on the product obtained from the March 12, 1991 Air Resources Board Consumer Products Survey, the data on the product obtained from the February 25, 1993 Air Resources Board Aerosol Paint Survey, or other accurate records available to the Executive Officer, whichever yields the lowest VOC content for the product.
(19) “Product Line” means a group of products of identical form and function belonging to the same product category(ies).
(20) “Reconcile” or “Reconciliation” means to provide sufficient VOC emission reductions to completely offset any shortfalls generated under the ACP during an applicable compliance period.
(21) “Reconciliation of Shortfalls Plan” means the plan to be implemented by the responsible ACP party when shortfalls have occurred, as approved by the Executive Officer pursuant to section 94543(a)(7)(J).
(22) “Responsible ACP Party” means the company, firm or establishment which is listed on the ACP product's label. If the label lists two or more companies, firms, or establishments, the “responsible ACP party” is the party which the ACP product was “manufactured for” or “distributed by”, as noted on the label.
(23) “Retail Outlet” means any establishment at which consumer products are sold, supplied, or offered for sale directly to consumers.
(24) “Shortfall” means the ACP Emissions minus the ACP Limit when the ACP Emissions were greater than the ACP Limit during a specified compliance period, expressed to the nearest pound of VOC. “Shortfall” does not include emissions occurring prior to the date that the Executive Order approving an ACP is signed by the Executive Officer.
(25) “Small Business” shall have the same meaning as defined in Government Code Section 11342(h).
(26) “Surplus Reduction” means the ACP Limit minus the ACP Emissions when the ACP Limit was greater than the ACP Emissions during a given compliance period, expressed to the nearest pound of VOC. Except as provided in section 94547(c), “Surplus Reduction” does not include emissions occurring prior to the date that the Executive Order approving an ACP is signed by the Executive Officer.
(27) “Surplus Trading” means the buying, selling, or transfer of Surplus Reductions between responsible ACP parties.
(28) “Total Maximum Historical Emissions” (TMHE), means the total VOC emissions from all ACP products for which the responsible ACP party has failed to submit the required VOC Content or Enforceable Sales records. The TMHE shall be calculated for each ACP product during each portion of a compliance period for which the responsible ACP has failed to provide the required VOC Content or Enforceable Sales records. The TMHE shall be expressed to the nearest pound and calculated according to the following calculation:
TMHE = (MHE)1 + (MHE)2 +...+ (MHE)N
MHE = [Highest VOC Content x Highest Sales] x Missing Data Days                                           100 x 365
where,
Highest VOC Content = the maximum VOC content which the ACP product has contained in the previous 5 years, if the responsible ACP party has failed to meet the requirements for reporting VOC Content data (for any portion of the compliance period), as specified in the Executive Order approving the ACP, or the current actual VOC Content, if the responsible ACP party has provided all required VOC Content data (for the entire compliance period), as specified in the Executive Order.
Highest Sales = the maximum one-year Gross California Sales of the ACP product in the previous 5 years, if the responsible ACP party has failed to meet the requirements for reporting Enforceable Sales records (for any portion of the compliance period), as specified in the Executive Order approving the ACP, or the current actual one-year Enforceable Sales for the product, if the responsible ACP party has provided all required Enforceable Sales records (for the entire compliance period), as specified in the Executive Order approving the ACP.
Missing Data Days = the number of days in a compliance period for which the responsible ACP party has failed to provide the required Enforceable Sales or VOC Content data as specified in the Executive Order approving an ACP.
1, 2, ..., N = each product in an ACP, up to the maximum N, for which the responsible ACP party has failed to submit the required Enforceable Sales or VOC Content data as specified in the Executive Order approving an ACP.
(29) “VOC Content” means the total weight of VOC in a product, expressed to the nearest 0.1 pounds of VOC per 100 pounds of product and calculated according to the following equation:
For all products except for charcoal lighter material products and aerosol coating products:
VOC Content = [(B - C) x 100]                                           A
A = net weight of unit (excluding container and packaging)
B = total weight of all VOCs per unit, as defined in section 94542(a)(31)
C = total weight of all exempted VOCs per unit, as specified in section 94510
For charcoal lighter material products only,
VOC Content = [Certified Emissions x 100]                                     Certified Use Rate
Certified Emissions = the emissions level for products approved by the Executive Officer under section 94509(h), as determined pursuant to South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (Feb. 27, 1991), expressed to the nearest 0.001 pound CH2 per start.
Certified Use Rate = the usage level for products approved by the Executive Officer under section 94509(h), as determined pursuant to South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (Feb. 27, 1991), expressed to the nearest 0.001 pound certified product used per start.
For aerosol coating products only:
VOC Content = Percent VOC By Weight
“Percent VOC By Weight” shall have the same meaning as defined in section 94521(a)(46).
(30) “VOC Standard” means the maximum allowable VOC content for an ACP product, determined as follows:
(A) the applicable VOC Standard specified in sections 94509 or 94522, for all ACP products except for charcoal lighter material;
(B) for charcoal lighter material products only, the VOC Standard for the purposes of this article shall be calculated according to the following equation:
VOC Standard = [0.020 pound CH2 per start x 100]                                              Certified Use Rate
where,
0.020 = the certification emissions level for the Executive Officer-approved product, as specified in section 94509(h).
Certified Use Rate = the usage level for products approved by the Executive Officer under section 94509(h), as determined pursuant to South Coast Air Quality Management District Rule 1174 Ignition Method Compliance Certification Protocol (Feb. 27, 1991), expressed to the nearest 0.001 pound certified product used per start.
(31) “Volatile Organic Compound” or “VOC” shall have the same meaning as defined in section 94508(a)(90).
(32) “Working Day” means any day between Monday through Friday, inclusive, except for days that are federal holidays.
(b) The definitions set forth in sections 94508 and 94521, Title 17, California Code of Regulations, shall also apply to this article.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of subsections (a)(1)-(3), (a)(5), (a)(17)(A)-(a)(18), (a)(25), (a)(29), (a)(30)(A) and (b) filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
3. Editorial correction adding inadvertantly omitted subsection (a) designator (Register 96, No. 9).
§94543. Requirements and Process for Approval of an ACP.
Note     •     History

(a) To be considered by the Executive Officer for approval, an application fora proposed ACP shall be submitted in writing to the Executive Officer by the responsible ACP party and shall contain all of the following:
(1) an identification of the contact persons, phone numbers, names and addresses of the responsible ACP party which is submitting the ACP application and will be implementing the ACP requirements specified in the Executive Order;
(2) a statement of whether the responsible ACP party is a small business or a one-product business, as defined in section 94542(a)(17) and (25);
(3)  a listing of the exact product brand name, form, available variations (flavors, scents, colors, sizes, etc.), and applicable product category(ies) for each distinct ACP product that is proposed for inclusion in the ACP;
(4) for each proposed ACP product identified in subsection (a)(3) of this section, a demonstration to the satisfaction of the Executive Officer that the enforceable sales records to be used by the responsible ACP party for tracking product sales meet the minimum criteria specified in subsection (a)(4)(E) of this section. To provide this demonstration, the responsible ACP party shall do all of the following:
(A) provide the contact persons, phone numbers, names, street and mail addresses of all persons and businesses who will provide information that will be used to determine the Enforceable Sales;
(B) determine the Enforceable Sales of each product using enforceable sales records as defined in section 94542(a)(11);
(C) demonstrate, to the satisfaction of the Executive Officer, the validity of the Enforceable Sales based on enforceable sales records provided by the contact persons or the responsible ACP party;
(D) calculate the percentage of the Gross California Sales, as defined in section 94542(a)(13) which is comprised of Enforceable Sales;
(E) determine which ACP products have Enforceable Sales which are 75.0% or more of the Gross California Sales. Only ACP products meeting this criteria shall be allowed to be sold in California under an ACP.
(5) for each of the ACP products identified in subsection (a)(4)(E) of this section, the inclusion of the following:
(A) legible copies of the existing labels for each product;
(B) the VOC Content and LVP Content for each product. The VOC Content and LVP Content shall be reported for two different periods, as follows:
1. the VOC and LVP contents of the product at the time the application for an ACP is submitted, and
2. any VOC and LVP contents of the product, which have occurred at any time within the four years prior to the date of submittal of the application for an ACP, if either the VOC or LVP contents have varied by more than plus/minus ten percent (+ 10.0%) of the VOC or LVP Contents reported in subsection (a)(5)(B)1. of this section.
(6) a written commitment obligating the responsible ACP party to date-code every unit of each ACP product approved for inclusion in the ACP. The commitment shall require the responsible ACP party to display the date-code on each ACP product container or package no later than 5 working days after the date an Executive Order approving an ACP is signed by the Executive Officer.
(7) an operational plan covering all the products identified under subsection (a)(4)(E) of this section for each compliance period that the ACP will be in effect. The operational plan shall contain all of the following:
(A) an identification of the compliance periods and dates for the responsible ACP party to report the information required by the Executive Officer in the Executive Order approving an ACP. The length of the compliance period shall be chosen by the responsible ACP party provided, however, that no compliance period shall be longer than 365 days. The responsible ACP party shall also choose the dates for reporting information such that all required VOC Content and Enforceable Sales data for all ACP products shall be reported to the Executive Officer at the same time and at the same frequency;
(B) an identification of specific enforceable sales records to be provided to the Executive Officer for enforcing the provisions of this article and the Executive Order approving an ACP. The enforceable sales records shall be provided to the Executive Officer no later than the compliance period dates specified in subsection (a)(7)(A) of this section;
(C) for a small business or a one-product business which will be relying to some extent on Surplus Trading to meet its ACP Limits, a written commitment from the responsible ACP party(ies) that they will transfer the Surplus Reductions to the small business or one-product business upon approval of the ACP;
(D) for each ACP product, all VOC content levels which will be applicable for the ACP product during each compliance period. The plan shall also identify the specific method(s) by which the VOC Content will be determined and the statistical accuracy and precision (repeatability and reproducibility) calculated for each specified method;
(E) the projected Enforceable Sales for each ACP product at each different VOC Content for every compliance period that the ACP will be in effect;
(F) a detailed demonstration showing the combination of specific ACP reformulations or Surplus Trading (if applicable) that is sufficient to ensure that the ACP Emissions will not exceed the ACP Limit for each compliance period that the ACP will be in effect, the approximate date within each compliance period that such reformulations or Surplus Trading are expected to occur, and the extent to which the VOC Contents of the ACP products will be reduced (i.e., by ACP reformulation). This demonstration shall use the equations specified in section 94542(a)(1) and (a)(2) for projecting the ACP Emissions and ACP Limits during each compliance period. This demonstration shall also include all VOC Content levels and projected Enforceable Sales for all ACP products to be sold in California during each compliance period;
(G) a certification that all reductions in the VOC Content of a product will be real, actual reductions that do not result from changing product names, mischaracterizing ACP product reformulations that have occurred in the past, or any other attempts to circumvent the provisions of this article;
(H) written explanations of the date-codes that will be displayed on each ACP product's container or packaging;
(I) a statement of the approximate dates by which the responsible ACP party plans to meet the applicable VOC standards for each product in the ACP;
(J) an operational plan (“reconciliation of shortfalls plan”) which commits the responsible ACP party to completely reconcile any shortfalls in any and all cases, even, to the extent permitted by law, if the responsible ACP party files for bankruptcy protection. The plan for reconciliation of shortfalls shall contain all of the following:
1. a clear and convincing demonstration of how shortfalls of up to 5%, 10%, 15%, 25%, 50%, 75% and 100% of the applicable ACP Limit will be completely reconciled within 90 working days from the date the shortfall is determined;
2. a listing of the specific records and other information that will be necessary to verify that the shortfalls were reconciled as specified in this subsection (a)(7)(J);
3. a commitment to provide any record or information requested by the Executive Officer to verify that the shortfalls have been completely reconciled.
(8) a statement, signed by a legal representative for the responsible ACP party, that all information and operational plans submitted with the ACP application are true and correct.
(b)(1) In accordance with the time periods specified in section 94544, the Executive Officer shall issue an Executive Order approving an ACP which meets the requirements of this article. The Executive Officer shall specify such terms and conditions as are necessary to ensure that the emissions from the ACP products do not exceed the emissions that would have occurred if the ACP products subject to the ACP had met the VOC standards specified in section 94509 or the VOC standards specified in section 94522, whichever are applicable. The ACP shall also include:
(A) only those ACP products for which the Enforceable Sales are at least 75.0% of the Gross California Sales, as determined in subsection (a)(4)(E) of this section.
(B) a reconciliation of shortfalls plan meeting the requirements of this article;
(C) operational terms, conditions, and data to be reported to the Executive Officer to ensure that all requirements of this article are met.
(2) The Executive Officer shall not approve an ACP submitted by a responsible ACP party if the Executive Officer determines, upon review of the responsible ACP party's compliance history with past or current ACPs or the requirements for consumer products or the requirements for aerosol coating products (specified in sections 94507-94517 and sections 94520-94528, Title 17, California Code of Regulations), that the responsible ACP party has a recurring pattern of violations and has consistently refused to take the necessary steps to correct those violations.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of subsections (a)(3)-(4), (a)(4)(E)-(a)(5), (a)(6), (b)(1)-(b)(1)(A) and (b)(2) filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2)
§94544. ACP Approval Timeframes.
Note     •     History

(a) The Executive Officer shall take appropriate action on an ACP within the following time periods:
(1) Within 30 working days of receipt of an ACP application, the Executive Officer shall inform the applicant in writing that either:
(A) the application is complete and accepted for filing, or
(B) the application is deficient, and identify the specific information required to make the application complete.
(2) Within 30 working days of receipt of additional information provided in response to a determination that an ACP application is deficient, the Executive Officer shall inform the applicant in writing that either:
(A) the additional information is sufficient to make the application complete, and the application is accepted for filing, or
(B) the application is deficient, and identify the specific information required to make the application complete.
(3) If the Executive Officer finds that an application meets the requirements of section 94543 of this article, then he or she shall issue an Executive Order in accordance with the requirements of this article. The Executive Officer shall act to approve or disapprove a complete application within 90 working days after the application is deemed complete.
(b) Before the end of each time period specified in this section, the Executive Officer and the responsible ACP party may mutually agree to a longer time period for the Executive Officer to take the appropriate action.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
§94545. Recordkeeping and Availability of Requested Information.
Note     •     History

(a) All information specified in the Executive Order approving an ACP shall be maintained by the responsible ACP party for a minimum of three years after such records are generated. Such records shall be clearly legible and maintained in good condition during this period.
(b) The records specified in subsection (a) of this section shall be made available to the Executive Officer or his or her authorized representative:
(1) immediately upon request, during an on-site visit to a responsible ACP party, or
(2) within five working days after receipt of a written request from the Executive Officer, or
(3) within a time period mutually agreed upon by both the Executive Officer and the responsible ACP party.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
§94546. Violations.
Note     •     History

(a) Any person who commits a violation of this article is subject to the penalties specified in Health and Safety Code, section 42400 et seq. Failure to meet any requirement of this article or any condition of an applicable Executive Order shall constitute a single, separate violation of this article for each day until such requirement or condition is satisfied, except as otherwise provided in subsections (b) through (h) of this section.
(b) False reporting of any information contained in an ACP application, or any supporting documentation or amendments thereto, shall constitute a single, separate violation of the requirements of this article for each day that the approved ACP is in effect.
(c) Any exceedance during the applicable compliance period of the VOC content specified for an ACP product in the Executive Order approving an ACP shall constitute a single, separate violation of the requirements of this article for each ACP product which exceeds the specified VOC Content that is sold, supplied, offered for sale, or manufactured for use in California.
(d) Any of the following actions shall each constitute a single, separate violation of the requirements of this article for each day after the applicable deadline until the requirement is satisfied:
(1) Failure to report data (i.e., “missing data”) or failure to report data accurately (i.e., “inaccurate data”) in writing to the Executive Officer regarding the VOC content, LVP Content, Enforceable Sales, or any other information required by any deadline specified in the applicable Executive Order;
(2) False reporting of any information submitted to the Executive Officer for determining compliance with the ACP requirements;
(3) Failure to completely implement the reconciliation of shortfalls plan that is set forth in the Executive Order, within 30 working days from the date of written notification of a shortfall by the Executive Officer;
(4) Failure to completely reconcile the shortfall as specified in the Executive Order, within 90 working days from the date of written notification of a shortfall by the Executive Officer.
(e) False reporting or failure to report any of the information specified in section 94547(b)(9), or the sale or transfer of invalid Surplus Reductions, shall constitute a single, separate violation of the requirements of this article for each day during the time period for which the Surplus Reductions are claimed to be valid.
(f) Except as provided in subsection (g) of this section, any exceedance of the ACP Limit for any compliance period that the ACP is in effect shall constitute a single, separate violation of the requirements of this article for each day of the applicable compliance period. The Executive Officer shall determine whether an exceedance of the ACP Limit has occurred as follows:
(1) If the responsible ACP party has provided all required information for the applicable compliance period specified in the Executive Order approving an ACP, then the Executive Officer shall determine whether an exceedance has occurred using the Enforceable Sales records and VOC Content for each ACP product, as reported by the responsible ACP party for the applicable compliance period;
(2) If the responsible ACP party has failed to provide all the required information specified in the Executive Order for an applicable compliance period, the Executive Officer shall determine whether an exceedance of the ACP Limit has occurred as follows:
(A) for the missing data days, the Executive Officer shall calculate the total maximum historical emissions, as specified in section 94542(a)(28);
(B) for the remaining portion of the compliance period which are not missing data days, the Executive Officer shall calculate the emissions for each ACP product using the Enforceable Sales records and VOC Content that were reported for that portion of the applicable compliance period;
(C) the ACP Emissions for the entire compliance period shall be the sum of the total maximum historical emissions, determined pursuant to subsection (f)(2)(A), and the emissions determined pursuant to subsection (f)(2)(B);
(D) the Executive Officer shall calculate the ACP Limit for the entire compliance period using the ACP Standards applicable to each ACP product and the Enforceable Sales records specified in subsection (f)(2)(B). The Enforceable Sales for each ACP Product during missing data days, as specified in subsection (f)(2)(A), shall be zero (0);
(E) an exceedance of the ACP Limit has occurred when the ACP Emissions, determined pursuant to subsection (f)(2)(C), exceeds the ACP Limit, determined pursuant to subsection (f)(2)(D).
(g) If a violation specified in subsection (f) of this section occurs, the responsible ACP party may, pursuant to this paragraph, establish the number of violations as calculated according to the following equation:
NEV = (ACP Emissions — ACP Limit) x 1 violation
                                                                        40 pounds
where,
NEV = number of ACP Limit violations
ACP Emissions = the ACP Emissions for the compliance period
ACP Limit = the ACP Limit for the compliance period
The responsible ACP party may determine the number of ACP Limit violations pursuant to this paragraph only if it has provided all required information for the applicable compliance period, as specified in the Executive Order approving the ACP. By choosing this option, the responsible ACP party waives any and all legal objections to the calculation of the ACP Limit violations pursuant to this subsection (g).
(h) In assessing the amount of penalties for any violation occurring pursuant to subsections (a) -- (g) of this section, the circumstances identified in Health and Safety Code section 42403(b) shall be taken into consideration.
(i) A cause of action against a responsible ACP party under this section shall be deemed to accrue on the date(s) when the records establishing a violation are received by the Executive Officer.
(j) The responsible ACP party is fully liable for compliance with the requirements of this article, even if the responsible ACP party contracts with or otherwise relies on another person to carry out some or all of the requirements of this article.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41712, 42400-42403 and 42404.5, Health and Safety Code; and section 338(k), Code of Civil Procedure.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
§94547. Surplus Reductions and Surplus Trading.
Note     •     History

(a) The Executive Officer shall issue Executive Orders (Surplus Reduction Certificates) which establish and quantify, to the nearest pound of VOC reduced, any Surplus Reductions achieved by a responsible ACP party operating under an ACP. The Surplus Reductions can be bought from, sold to, or transferred to a responsible ACP party operating under an ACP, as provided in subsection (b) of this section. All Surplus Reductions shall be calculated by the Executive Officer at the end of each compliance period within the time specified in the approved ACP. Surplus Reduction Certificates shall not constitute instruments, securities, or any other form of property. 
(b) The issuance, use, and trading of all Surplus Reductions shall be subject to the following provisions:
(1) For the purposes of this article, VOC reductions from sources of VOCs other than consumer products subject to the VOC standards specified in section 94509 or aerosol coating products subject to the VOC standards specified in section 94522 may not be used to generate Surplus Reductions;
(2) Surplus Reductions are valid only when generated by a responsible ACP party, and only while that responsible ACP party is operating under an approved ACP;
(3) Surplus Reductions are valid only after the Executive Officer has issued an Executive Order pursuant to subsection (a) of this section.
(4) Any Surplus Reductions issued by the Executive Officer may be used by the responsible ACP party who generated the surplus until the reductions expire, are traded, or until the ACP is cancelled pursuant to section 94551;
(5) Surplus Reductions cannot be applied retroactively to any compliance period prior to the compliance period in which the reductions were generated;
(6) Except as provided in subsection (b)(7)(B) of this section, only small or one-product businesses selling products under an approved ACP may purchase Surplus Reductions. An increase in the size of a small business or one-product business shall have no effect on Surplus Reductions purchased by that business prior to the date of the increase.
(7) While valid, Surplus Reductions can be used only for the following purposes:
(A) to adjust either the ACP Emissions of either the responsible ACP party who generated the reductions or the responsible ACP party to which the reductions were traded, provided the Surplus Reductions are not to be used by any responsible ACP party to further lower its ACP Emissions when its ACP Emissions are equal to or less than the ACP Limit during the applicable compliance period; or
(B) to be traded for the purpose of reconciling another responsible ACP party's shortfalls, provided such reconciliation is part of the reconciliation of shortfalls plan approved by the Executive Officer pursuant to section 94543(a)(7)(J).
(8) A valid Surplus Reduction shall be in effect starting five (5) days after the date of issuance by the Executive Officer, for a continuous period equal to the number of days in the compliance period during which the Surplus Reduction was generated. The Surplus Reduction shall then expire at the end of its effective period.
(9) At least five (5) working days prior to the effective date of transfer of Surplus Reductions, both the responsible ACP party which is selling Surplus Reductions and the responsible ACP party which is buying the Surplus Reductions shall, either together or separately, notify the Executive Officer in writing of the transfer. The notification shall include all of the following:
(A) the date the transfer is to become effective;
(B) the date the Surplus Reductions being traded are due to expire;
(C) the amount (in pounds of VOCs) of Surplus Reductions that are being transferred;
(D) the total purchase price paid by the buyer for the Surplus Reductions;
(E) the contact persons, names of the companies, street and mail addresses, and phone numbers of the responsible ACP parties involved in the trading of the Surplus Reductions;
(F) a copy of the Executive Officer-issued Surplus Reductions Certificate, signed by both the seller and buyer of the certificate, showing transfer of all or a specified portion of the Surplus Reductions. The copy shall show the amount of any remaining non-traded Surplus Reductions, if applicable, and shall show their expiration date. The copy shall indicate that both the buyer and seller of the Surplus Reductions fully understand the conditions and limitations placed upon the transfer of the Surplus Reductions and accept full responsibility for the appropriate use of such Surplus Reductions as provided in this section.
(10) Surplus Reduction Credits shall not be traded between an ACP for comsumer products and an ACP for aerosol coating products.
(c) Limited-Use Surplus Reduction Credits for Early Reformulations of ACP Products
(1) For the purposes of this subsection (c), “early reformulation” means a reformulation of an ACP product which results in a reduction in the product's VOC Content, and which occurs during the one-year (365 day) period immediately prior to the date on which the application for a proposed ACP is submitted to the Executive Officer. “Early reformulation” does not include any reformulation which occurs more than one year prior to the date on which the ACP application is submitted to the Executive Officer.
(2) If requested in the application for a proposed ACP, the Executive Officer shall, upon approval of the ACP, issue Surplus Reduction Credits for early reformulation(s) of ACP product(s), provided that all of the following documentation has been provided by the responsible ACP party to the satisfaction of the Executive Officer:
(A) accurate documentation showing that the early reformulation(s) reduced the VOC content of the ACP product(s) to a level which is below the Pre-ACP VOC content of the product(s), or below the applicable VOC standard(s) specified in sections 94509 or 94522, whichever is the lesser of the two;
(B) accurate documentation demonstrating that the early reformulated ACP product(s) was sold in California retail outlets within the time period specified in subsection (c)(1);
(C) accurate sales records for the early reformulated ACP product(s) which meet the definition of “Enforceable Sales Records” in section 94542(a)(11), and which demonstrate that the Enforceable Sales for the ACP product(s) are at least 75.0% of the Gross California Sales for the product(s), as specified in section 94543(a)(4);
(D) accurate documentation for the early reformulated ACP product(s) which meets the requirements specified in sections 94543(a)(3)-(4), (a)(7)(G)-(H), and (a)(8), and which identifies the specific test methods for verifying the claimed early reformulation(s) and the statistical accuracy and precision of the test methods as specified in section 94543(a)(7)(D).
(3) Surplus Reduction Credits issued pursuant to this subsection (c) shall be calculated separately for each reformulated ACP product by the Executive Officer according to the following equation:
SR = Enforceable Sales x  ([VOC Content]initial - [VOC Content]final)
                                          100
where,
SR = Surplus Reductions for the ACP product, expressed to the nearest pound
Enforceable Sales = the Enforceable Sales for the early reformulated ACP product, expressed to the nearest pound of ACP product,
VOC Contentinitial = the Pre-ACP VOC content of the ACP product, or the applicable VOC standard specified in sections 94509 or 94522, whichever is the lesser of the two, expressed to the nearest 0.1 pounds of VOC per 100 pounds of ACP product,
VOC Contentfinal = the VOC Content of the early reformulated ACP product after the early reformulation is achieved, expressed to the nearest 0.1 pounds of VOC per100 pounds of ACP product.
(4) The use of Surplus Reduction Credits issued pursuant to this subsection (c) shall be subject to all of the following provisions:
(A) Surplus Reduction Credits shall be used solely to reconcile the responsible ACP party's shortfalls, if any, generated during the first compliance period occurring immediately after the issuance of the Executive Order approving an ACP, and shall not be used for any other purpose;
(B) Surplus Reduction Credits shall not be transferred to, or used by, any other responsible ACP party;
(C) Surplus Reduction Credits shall not be traded between an ACP for consumer products and an ACP for aerosol coating products;
(D) Except as provided in this subsection (c), Surplus Reduction Credits shall be subject to all requirements applicable to Surplus Reductions and Surplus Trading, as specified in subsections 94547(a) and (b).
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of subsections (b)(1), (b)(10), (c)(2)(A), (c)(2)(D) and (c)(3), new subsection (c)(4)(C) and subsection relettering filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94548. Reconciliation of Shortfalls.
Note     •     History

(a) At the end of each compliance period, the responsible ACP party shall make an initial calculation of any shortfalls occurring in that compliance period, as specified in the Executive Order approving the ACP. Upon receipt of this information, the Executive Officer shall determine the amount of any shortfall that has occurred during the compliance period and shall notify the responsible ACP party of this determination.
(b) The responsible ACP party shall implement the reconciliation of shortfalls plan as specified in the Executive Order approving the ACP, within 30 working days from the date of written notification of a shortfall by the Executive Officer;
(c) All shortfalls shall be completely reconciled within 90 working days from the date of written notification of a shortfall by the Executive Officer by:
(1) implementing the reconciliation of shortfalls plan specified in the Executive Order approving the ACP, or
(2) using hairspray emission reduction credits (HERCs) as specified in section 94567(c), Title 17, California Code of Regulations.
(d) All requirements specified in the Executive Order approving an ACP, including all applicable ACP Limits, shall remain in effect while any shortfalls are in the process of being reconciled.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94549. Notification of Modifications to an ACP by the Responsible ACP Party.
Note     •     History

(a) Modifications That Do Not Require Executive Officer Pre-Approval: The responsible ACP party shall notify the Executive Officer, in writing, of any change in an ACP product's: (1) product name, (2) product formulation, (3) product form, (4) product function, (5) applicable product category(ies), (6) VOC Content, (7) ACP Content, (8) date-codes, or (9) recommended product usage directions, no later than 15 working days from the date such a change occurs. For each modification, the notification shall fully explain the following:
(A) the nature of the modification;
(B) the extent to which the ACP product formulation, VOC Content, LVP Content, or recommended usage directions will be changed;
(C) the extent to which the ACP Emissions and ACP Limit specified in the Executive Order will be changed for the application compliance period; and
(D) the effective date and corresponding date-codes for the modification.
(b) Modifications That Require Executive Officer Pre-Approval: The responsible ACP party may propose modifications to the Enforceable Sales records or reconciliation of shortfalls plan specified in the Executive Order approving the ACP. Any such proposed modifications shall be fully described in writing and forwarded to the Executive Officer. The responsible ACP party shall clearly demonstrate that the proposed modifications will meet the requirements of this article. The Executive Officer shall act on the proposed modifications using the procedure set forth in section 94544. The responsible ACP party shall meet all applicable requirements of the existing ACP until such time as any proposed modification(s) is approved in writing by the Executive Officer.
(c) Other Modifications: Except as otherwise provided in subsections (a) and (b) of this section, the responsible ACP party shall notify the Executive Officer, in writing, of any information learned of by the responsible ACP party which may alter any of the information submitted pursuant to the requirements of section 94543. The responsible ACP party shall provide such notification to the Executive Officer no later than 15 working days from the date such information is known to the responsible ACP party.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
§94550. Modification of an ACP by the Executive Officer.
Note     •     History

(a) If the Executive Officer determines that: (1) the Enforceable Sales for an ACP product are no longer at least 75.0% of the Gross California Sales for that product, or (2) the information submitted pursuant to the approval process set forth in section 94543 is no longer valid, or (3) the ACP Emissions are exceeding the ACP Limit specified in the Executive Order approving an ACP, then the Executive Officer shall modify the ACP as necessary to ensure that the ACP meets all requirements of this article and that the ACP Emissions will not exceed the ACP Limit. The Executive Officer shall not modify the ACP without first affording the responsible ACP party an opportunity for a public hearing in accordance with the procedures specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 1, Article 4 (commencing with section 60040), to determine if the ACP should be modified.
(b) If any applicable VOC standards specified in sections 94509 or 94522 are modified by the Air Resources Board in a future rulemaking, the Executive Officer shall modify the ACP Limit specified in the Executive Order approving an ACP to reflect the modified VOC standards as of their effective dates.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of subsection (b) filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94551. Cancellation of an ACP.
Note     •     History

(a) An ACP shall remain in effect until:
(1) the ACP reaches the expiration date specified in the Executive Order;
(2) the ACP is modified by the responsible ACP party and approved by the Executive Officer, as provided in section 94549;
(3) the ACP is modified by the Executive Officer, as provided in section 94550;
(4) the ACP includes a product for which the VOC standard specified in sections 94509 or 94522 is modified by the Air Resources Board in a future rulemaking, and the responsible ACP party informs the Executive Officer in writing that the ACP will terminate on the effective date(s) of the modified standard;
(5) the ACP is cancelled pursuant to subsection (b) of this section.
(b) The Executive Officer shall cancel an ACP if any of the following circumstances occur:
(1) the responsible ACP party demonstrates to the satisfaction of the Executive Officer that the continuation of the ACP will result in an extraordinary economic hardship;
(2) the responsible ACP party violates the requirements of the approved ACP, and the violation(s) results in a shortfall that is 20.0% or more of the applicable ACP Limit (i.e., the ACP Emissions exceed the ACP Limit by 20.0% or more);
(3) the responsible ACP party fails to meet the requirements of section 94548 (Reconciliation of Shortfalls) within the time periods specified in section 94548.
(4) the responsible ACP party has demonstrated a recurring pattern of violations and has consistently failed to take the necessary steps to correct those violations.
(c) The Executive Officer shall not cancel an ACP pursuant to subsection (b) of this section without first affording the responsible ACP party an opportunity for a public hearing in accordance with the procedures specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 1, Article 4 (commencing with section 60040), to determine if the ACP should be cancelled.
(d) The responsible ACP party for an ACP which is cancelled pursuant to this section and who does not have a valid ACP to immediately replace the cancelled ACP shall meet all of the following requirements:
(1) all remaining shortfalls in effect at the time of ACP cancellation shall be reconciled in accordance with the requirements of section 94548, and
(2) all ACP products subject to the ACP shall be in compliance with the applicable VOC standards in sections 94509 and 94522 immediately upon the effective date of ACP cancellation.
(e) Any violations incurred pursuant to section 94546 shall not be cancelled or in any way affected by the subsequent cancellation or modification of an ACP pursuant to section 94549, 94550 or 94551.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511, 41712 and 42400-42403, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of subsections (a)(1), (a)(4) and (d)(2) filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94552. Treatment of Information.
Note     •     History

The information required by sections 94543 (a)(1)-(a)(2) and 94547(b)(9) is public information which may not be claimed as confidential. All other information submitted to the Executive Officer to meet the requirements of this article shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, sections 91000-91022.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
§94553. Other Applicable Requirements.
Note     •     History

(a) Unless otherwise specified in the Executive Order approving an ACP, all applicable requirements specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 8.5, Articles 2 and 3, (sections 94507-94517 and 94520-94528), shall remain in effect for all ACP products subject to an ACP.
(b) All applicable requirements specified in Title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 8.5, Articles 2 and 3, (sections 94507-94517 and 94520-94528), shall remain in effect for all ACP products which are not subject to an ACP.
(c) The provisions of this article notwithstanding, the requirements of the South Coast Air Quality Management District Rule 1174 shall remain in effect for all charcoal lighter material products sold, supplied, offered for sale, or manufactured for use in the South Coast Air Quality Management District (as defined in section 40410 of the Health and Safety Code).
(d) The provisions of this article notwithstanding, the requirements of the Bay Area Air Quality Management District Rule 8-49 shall remain in effect for all aerosol coating products sold, supplied, offered for sale, applied, or manufactured for use in the Bay Area Air Quality Management District (as defined in section section 40200 of the Health and Safety Code).
(e) A responsible ACP party may transfer an ACP to another responsible ACP party, provided that all of the following conditions are met:
(1) The Executive Officer shall be notified, in writing, by both responsible ACP parties participating in the transfer of the ACP and its associated Executive Order. The written notifications shall be postmarked at least five (5) working days prior to the effective date of the transfer and shall be signed and submitted separately by both responsible parties. The written notifications shall clearly identify the contact persons, business names, mail and street addresses, and phone numbers of the responsible parties involved in the transfer.
(2) The responsible ACP party to which the ACP is being transferred shall provide a written declaration stating that the transferee shall fully comply with all requirements of the Executive Order approving the ACP and this article.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
2. Amendment of subsections (a) and (b), new subsection (d) and subsection relettering filed 1-8-96; operative 1-8-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§94554. Federal Enforceability.
Note     •     History

For purposes of federal enforceability of this article, the Environmental Protection Agency is not subject to approval determinations made by the Executive Officer under this article. Within 180 days of a request from a responsible ACP party whose ACP has been approved by the Executive Officer, an ACP meeting the requirements of the Clean Air Act shall be submitted by the Executive Officer to the Environmental Protection Agency for inclusion in the applicable implementation plan approved or promulgated by the Environmental Protection Agency pursuant to section 110 of the Clean Air Act, 42 U.S.C., section 7410.
Prior to submitting an ACP as a revision to the applicable implementation plan, the Executive Officer shall hold a public hearing on the proposed revision. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the California Regulatory Notice Register and sent to the Environmental Protection Agency, every person who requests such notice, and to any person or group of persons whom the Executive Officer believes may be interested in the application. Within 30 days of the hearing the Executive Officer shall notify the applicant of the decision in writing as provided in section 94543(b). The decision may approve, disapprove, or modify an ACP previously granted pursuant to section 94543.
NOTE

Authority cited: Sections 39600, 39601, 39602 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
§94555. Federal Clean Air Act Requirements.
Note     •     History

(a) Unless otherwise determined by the U.S. Environmental Protection Agency, products sold, supplied, offered for sale, or manufactured for use in California under the requirements of an ACP are not subject to the requirements of Title V of the Federal Clean Air Act (42 U.S.C. sections 7661-7661f).
(b) Nothing in this article shall be construed to modify or in any way affect any requirements of the federal Clean Air Act, including but not limited to Title V of the federal Clean Air Act, which are applicable to the construction or operation of the responsible ACP party's manufacturing facility or to any other activities of the responsible ACP party.
NOTE

Authority cited: Sections 39600, 39601, 39602 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-10-95; operative 9-9-95 (Register 95, No. 32).
Article 5. Hairspray Credit Program
§94560. Purpose.
Note     •     History

The purpose of this article is to provide a voluntary program, the Hairspray Credit Program, that rewards and provides an incentive for early compliance, and over compliance, with the second-tier hairspray standard of 55 percent volatile organic compounds (VOC) which is effective June 1, 1999, as specified in section 94509(a), Title 17, California Code of Regulations. The goal of the program is to benefit both the environment and the regulated entities. This program allows responsible parties for hairspray products to voluntarily generate surplus VOC emission reductions which may be certified by the Executive Officer as Hairspray Emission Reduction Credits (HERCs). HERCs may be used as an alternative method to comply with certain requirements of the California regulations for consumer products (sections 94500-94555, Title 17, California Code of Regulations). 
This article is intended to ensure that all HERCs represent verified emission reductions that are real, permanent, quantifiable, enforceable, and surplus.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New article 5 (sections 94560-94575) and section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94561. Applicability.
Note     •     History

(a) This article applies to the following:
(1) the calculation, certification, issuance, registration, transfer, use, retirement, and expiration of HERCs; and
(2) any person who applies for, is issued, holds, transfers, or uses HERCs.
(b) Only a responsible party for a hairspray product may submit an application to request HERCs. Applications to use HERCs may be submitted only by responsible ACP (Alternative Control Plan) parties and responsible parties for antiperspirant and deodorant, aerosol coating products, and other consumer products that are subject to the VOC standards in sections 94500-94555, Title 17, California Code of Regulations.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94562. Definitions.
Note     •     History

For the purposes of this article, the following definitions shall apply in addition to the definitions set forth in sections 94501, 94508, 94521, 94542, Title 17, California Code of Regulations:
(a) “Air Quality Plan” includes, but is not limited to, attainment, rate-of-progress, and maintenance plans adopted by a California air pollution control or air quality management district (district) pursuant to State requirements specified in Chapter 10 (commencing with section 40910) of Part 3, Division 26 of the Health and Safety Code, and federal requirements specified in the Clean Air Act governing the State Implementation Plan.
(b) “Applicable Hairspray Product” means a hairspray product listed in an application to request HERCs submitted pursuant to section 94563(b)(2)(B).
(c) “Applicable Consumer Product” means an antiperspirant, deodorant, aerosol coating product, or other consumer product listed in an application to use HERCs submitted pursuant to section 94568(b)(2)(D).
(d) “Credit Generation Period” means the period of time, in days, during which an applicable hairspray product will be manufactured that will generate surplus VOC emission reductions. The dates on which a specified credit generation period will begin and end must be in one of the following: (1) for early compliance, which may include over compliance, with the second-tier hairspray standard, the time period between January 1, 1998, and May 31, 1999, or (2) for over compliance with the second-tier hairspray standard on and after its effective date of June 1, 1999, the time period between June 1, 1999, and January 1, 2005. The credit generation period may be divided into installment periods for issuance of HERCs.
(e) “Delayed Compliance Period” means the period of time, in days, during which a consumer product will be manufactured that does not comply with its applicable VOC limit in sections 94502, 94509, 94522, Title 17, California Code of Regulations. The date on which a specified delayed compliance period will end must be on or prior to January 1, 2010. 
(f) “Documented Sales” means the total amount of the following products, as applicable, sold for use in California:
(1) For the Purpose of Credit Generation. The applicable hairspray product that was manufactured during the credit generation period as specified in an application submitted to the Executive Officer in accordance with section 94563, or 
(2) For the Purpose of Credit Use. The applicable consumer product that was manufactured during the following time periods:
(A) the most recent twelve-month period (for which documented sales records are available) prior to the delayed compliance period as specified in the application submitted to the Executive Officer in accordance with section 94568, and 
(B) the delayed compliance period as specified in the application submitted to the Executive Officer in accordance with section 94568.
“Documented Sales” shall be determined through documented sales records (expressed to the nearest pound, excluding product container and packaging).
(g) “Documented Sales Record” means a written, point-of-sale record, or any other Executive Officer-approved system of documentation, from which the mass, in pounds (less product container and packaging), of a product manufactured during an applicable time period and sold for use in California can be accurately documented. For the purposes of this article, “documented sales record” may include, but is not limited to, the following types of records:
(1) accurate records of direct retail or other outlet sales;
(2) accurate compilations made by independent market surveying services, using methods consistent with widely-accepted practices of the business, scientific, or regulatory communities, of direct retail or other outlet sales, provided that a detailed method which can be used to verify any data comprising such summaries is submitted by the responsible party and approved by the Executive Officer;
(3) accurate manufacturing records in combination with any other data or information that permits determination of California sales; or 
(4) for pesticides only, accurate mill assessment records for economic poisons, verified by the California Department of Pesticide Regulations, which cover the sales of the pesticide product.
(h) “Hairspray” means a consumer product designed primarily for the purpose of dispensing droplets of resin on and into a hair coiffure which will impart sufficient rigidity to the coiffure to establish or retain the style for a period of time.
(i) “Reformulated or Reformulation” means a change in the formulation of a hairspray product for the primary purpose of lowering the product's VOC content to 55 percent or less, as determined pursuant to section 94515, Title 17, California Code of Regulations.
(j) “Responsible Party” means the company, firm or establishment which is listed on the product's label. If the label lists two companies, firms or establishments, the responsible party is the party which the product was “manufactured for” or “distributed by”, as noted on the label.
(k) “State Implementation Plan” means the California State Implementation Plan approved by the United States Environmental Protection Agency (U.S. EPA), in accordance with requirements of the Clean Air Act.
(l) “Stock Keeping Unit” means the classification used by consumer product manufacturers to identify products that have the same brand name, formulation, net weight, and other distinguishing characteristics.
(m) “Surplus” means VOC emission reductions not required by any hairspray standard in section 94509, Title 17, California Code of Regulations; Alternative Control Plan approved pursuant to section 94543, Title 17, California Code of Regulations; or air quality plan. For the purposes of this article only, surplus emission reductions shall include emission reductions resulting from compliance with the second-tier hairspray standard of 55 percent VOC between January 1, 1998, and June 1, 1999. Surplus VOC emission reductions shall not include emission reductions occurring prior to January 1, 1998. 
(n) “VOC Content” shall have the same meaning in this article as it has in sections 94500-94555, Title 17, California Code of Regulations, as applicable. 
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94563. Application Process to Request Hairspray Emission Reduction Credits.
Note     •     History

(a) A responsible party for a hairspray product who is requesting HERCs for a specified credit generation period must submit a written, two-part application to the Executive Officer. Any information in the custody of the California Air Resources Board that has been submitted as confidential by a responsible party (or by a person acting on behalf of the responsible party) pursuant to this section shall be handled by the Air Resources Board in accordance with the procedures specified in sections 91000-91022 (Disclosure of Public Records), Title 17, California Code of Regulations, provided that such information is clearly identified as being confidential. 
(b) Application Requirements: Part One. The first part of an application to request HERCs must be submitted in accordance with the following requirements: 
(1) Timing of Application Submittal. For a hairspray product initially manufactured for sale in California on or after July 1, 1998, or a hairspray product reformulated after June 1, 1999, the first part of the application must be submitted before the start of the credit generation period, and no later than six months after the product's initial date of manufacture for sale in California. For all other hairspray products, the first part of the application must be submitted before the mid-point of the credit generation period; 
(2) Application Contents. The first part of the application must include the following information:
(A) the responsible party's company name, street and mailing address, telephone number, and designated contact person for the application;
(B) a list of the hairspray products for which the responsible party is requesting HERCs (i.e., the applicable hairspray products); 
(C) a list of all stock keeping units for each applicable hairspray product, including any product identification numbers used by the responsible party to identify the stock keeping units; 
(D) the credit generation period (in days) for which the responsible party is requesting HERCs for the applicable hairspray product, including the dates on which the credit generation period will begin and end (If the responsible party is requesting HERCs to be issued in more than one installment, the application must include the number of installments and the ending date of each installment period.); 
(E) product labels for each stock keeping unit for each applicable hairspray product;
(F) speciated formulation data for the applicable hairspray product, and for the product prior to its reformulation, if applicable, (aggregated data may be submitted for the different stock keeping units) including percent by weight values to the nearest 0.1 percent for the following:
1. VOC content (for aggregated data, the applicant shall submit the highest VOC content or a sales-weighted average VOC content) and
2. each compound present in the formulation, except compounds that amount to a combined concentration of one percent by weight;
(G) the approximate date on which sales in California began (or will begin) for each applicable hairspray product;
(H) the list of contact persons, telephone numbers, and street and mailing addresses of all persons and businesses who will provide information that will be used to determine documented sales for the applicable hairspray products; 
(I) a demonstration, which will be subject to Executive Officer approval, of the validity of the methodology that will be used to calculate documented sales, based on the documented sales records, that will be provided pursuant to section 94563(c)(2)(A); 
(J) for a hairspray product initially manufactured for sale in California on or after July 1, 1998, or a hairspray product reformulated after June 1, 1999, a statement that the hairspray product is formulated for the primary purpose of generating emission reductions for credits; 
(K) for a credit generation period greater than 365 days, a proposed schedule for the annual submittal of test results required pursuant to section 94563(c)(2)(B); and
(L) a signed declaration as specified in section 94563(e).
(c) Application Requirements: Part Two. The second part of an application to request HERCs must be submitted in accordance with the following requirements: 
(1) Timing of Application Submittal. The second part of the application must be submitted after the conclusion of the credit generation period, and any installment period, if applicable. 
(2) Application Contents. The second part of the application must include the following information for each applicable hairspray product:
(A) documented sales for the installment period or credit generation period, as applicable, and supporting documentation that shows how sales were calculated using documented sales records and a methodology previously approved by the Executive Officer; 
(B) test results, using a method(s) specified in section 94515, Title 17, California Code of Regulations, that verify the VOC content information provided for the applicable hairspray product in the first part of the application; the units that were tested must come from three different batches that were manufactured during the credit generation period (If the credit generation period is greater than 365 days, such verification shall be performed at least annually and the test results submitted to the Executive Officer); 
(C) the responsible party's own calculation of the quantity of HERCs for each applicable hairspray product for the credit generation period, or installment period, if applicable, calculated by using the protocol specified in section 94564; and
(D) a signed declaration as specified in section 94563(e).
(d) Applicable Time Periods and Procedures for Review and Approval of Application. The following time periods and procedures shall apply to the Executive Officer's review of Parts One and Two of the application:
(1) Application Completeness Determination. Within 30 days after receiving either a Part One or Part Two application submittal, the Executive Officer shall inform the applicant in writing that the submittal is complete, or that it is deficient and shall identify the specific information required to make the submittal complete.
(2) Application Completeness Determination After Receiving Additional Information. Within 15 days after receiving additional information submitted in response to a determination by the Executive Officer that Part One or Part Two of the application is deficient, the Executive Officer shall inform the applicant in writing, either that the new information is sufficient to make the application complete, or that the application is deficient and shall identify the specific information required to make it complete.
(3) Approval Determination for Part One of Application. Within 45 days after determining that Part One of the application is complete, the Executive Officer shall inform the applicant in writing whether the information provided in Part One is approved for the purposes of calculating HERCs in accordance with the protocol specified in section 94564. The Executive Officer's determination, through an Executive Order, shall include, but not be limited to the following:
(A) whether the VOC content for each applicable hairspray product is verified by the speciated formulation data submitted pursuant to section 94563(b)(2)(F), and
(B) whether the applicant's proposed methodology for calculating documented sales is approved.
(4) Approval Determination for Part Two of Application. Within 90 days of determining that Part Two of the application (or the information required by this part of the application for installment issuance of HERCs) is complete, the Executive Officer shall determine whether to issue and certify the HERCs in accordance with section 94565.
(5) Extension of Time Periods. For any of the time periods specified in this subsection (d), the Executive Officer and the applicant may agree to a longer time period for the Executive Officer to make a decision.
(e) Declaration by Responsible Party. Parts One and Two of the application, and any additional information submitted, must include a declaration, signed by a legal representative of the responsible party, that the submittal contains true, accurate, and complete information based on information and belief formed after reasonable inquiry. Any person submitting information directly (i.e., the information is not reviewed by or submitted through the responsible party) to the Executive Officer on behalf of the responsible party must also make such a declaration. 
(f) Specified VOC Limit for a Hairspray Product in the Hairspray Credit Program. No applicable hairspray product manufactured during a credit generation period shall exceed the VOC content for the product specified in the Executive Order approving the application to request HERCs and issuing the HERCs. 
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94564. Protocol for Calculating Hairspray Emission Reduction Credits.
Note     •     History

(a) The following equation shall be used to calculate the quantity of HERCs generated for either early compliance or over compliance for an applicable hairspray product manufactured during a specified credit generation period (or installment period, if applicable) expressed to the nearest pound of surplus VOC emission reductions:

HERCs =
(Documented SalesHCP)([VOC Content]Baseline - [VOC Content]hairspray)/100
where,
“Documented SalesHCP” means the documented sales, in pounds, of the applicable hairspray product manufactured during the credit generation period (or installment period, if applicable) as specified in the application pursuant to section 94563(c)(2)(A).
“[VOC Content]Baseline” means the following: 
For an applicable hairspray product initially offered for sale in California after January 1, 1993, the lower of the following:
(1) if the applicable hairspray product is a reformulated product, the VOC content, in percent, of the product before it was reformulated, as reported in the application and verified by the speciated formulation data required pursuant to section 94563(b)(2)(F), or 
(2) 80 percent for a credit generation period between January 1, 1998, and May 31, 1999, and 55 percent for a credit generation period between June 1, 1999, and January 1, 2005. 
For an applicable hairspray product initially offered for sale in California between October 11, 1990, and January 1, 1993: 80 percent for a credit generation period between January 1, 1998, and May 31, 1999, and 55 percent for a credit generation period between June 1, 1999, and January 1, 2005.
For an applicable hairspray product initially offered for sale in California before October 11, 1990, that has not been reformulated after October 11, 1990, the condition in section 94564(b)(5) shall apply. 
“[VOC Content]Hairspray” means the VOC content, in percent, of the applicable hairspray product as reported in the application and verified by the speciated formulation data required pursuant to section 94563(b)(2)(F).
(b) For the purposes of the calculation protocol specified in section 94564(a), the following conditions shall apply: 
(1) HERCs shall only be calculated if the Executive Officer has approved the methodology used to calculate documented sales in accordance with section 94563(d)(3)(B). 
(2) HERCs shall only be calculated if the “[VOC Content]Hairspray” reported in the application is verified by speciated formulation data and test results required pursuant to sections 94563(b)(2)(F) and 94563(c)(2)(B). If the test results do not verify the reported “[VOC Content]Hairspray,” the Executive Officer and the responsible party may agree to an alternative “[VOC Content]Hairspray” provided it is supported by testing or demonstrations specified in section 94515, Title 17, California Code of Regulations. 
(3) HERCs shall equal zero for any credit generation period after June 1, 1999, unless either of the following circumstances applies:
(A) the applicable hairspray product has generated surplus emission reductions prior to June 1, 1999, and the surplus emission reductions have been, or will be, certified by the Executive Officer as HERCs, or 
(B) the applicable hairspray product was initially manufactured for sale in California, or reformulated, after June 1, 1999, in which case paragraph (4) of this subsection (b) shall apply. 
(4) For an applicable hairspray product initially manufactured for sale in California on or after July 1, 1998, or reformulated after June 1, 1999, HERCs shall be zero unless all of the following circumstances have occurred:
(A) Pursuant to section 94563(b)(1), the responsible party has submitted to the Executive Officer an application to request HERCs before the start of the credit generation period, and no later than six months after the applicable hairspray product's initial date of manufacture for sale in California.
(B) Pursuant to section 94563(b)(2)(J), the responsible party has provided a statement that the hairspray product is formulated for the primary purpose of generating emission reductions for credits.
(C) For a reformulated hairspray product, the “[VOC Content]Baseline” for the calculation of HERCs shall equal the product's lowest VOC content prior to its reformulation.
(5) For an applicable hairspray product initially offered for sale in California before October 11, 1990, that has not been reformulated after October 11, 1990, HERCs shall be zero.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94565. Issuance of Hairspray Emission Reduction Credits.
Note     •     History

(a) After evaluating an application to request HERCs in accordance with the requirements specified in section 94563, the Executive Officer shall determine whether HERCs should be issued to the responsible party. In addition, the Executive Officer shall issue and certify the HERCs only if the Executive Officer is satisfied that the application provides sufficient and verifiable information to assure that surplus emission reductions have been generated. The Executive Officer shall issue HERCs by means of an Executive Order that certifies the HERCs as follows:
(1) Each HERC has been calculated in accordance with the protocol specified in section 94564 and is otherwise in compliance with this article and any applicable federal requirements.
(2) Each HERC is for surplus emission reductions.
(3) Each HERC is expressed as a pound of surplus VOC emission reductions.
(4) Each HERC has been assigned an expiration date that is five years after the issuance date of the Executive Order or a January 1, 2005, expiration date, whichever is later, after which the ability to use the HERC ceases. 
(b) On January 1, 2010, all outstanding HERCs shall expire, and may no longer be used.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94566. HERC Account Registry.
Note     •     History

(a) The Executive Officer shall maintain a HERC Registry listing all HERCs held in HERC Accounts by each person. Each HERC Account will list information on the holder, quantities, credit generation periods and expiration dates of HERCs. The HERC Registry shall constitute the official and controlling record of all HERC holdings. HERCs shall not constitute instruments, securities, or any other form of property. Information contained in the HERC Registry shall be available to the public upon request, except that HERC Account information in the custody of the California Air Resources Board, and claimed as confidential by the responsible party, shall be handled by the Air Resources Board in accordance with the procedures specified in sections 91000-91022 (Disclosure of Public Records), Title 17, California Code of Regulations.
(b) The Executive Officer shall modify the account information in the HERC Registry upon any of the following actions:
(1) the issuance of HERCs in accordance with section 94565;
(2) the transfer of HERCs to an existing or a newly created HERC Account in accordance with sections 94566(c) and 94566(d);
(3) the use of HERCs in accordance with sections 94567, 94570, and 94571;
(4) a credit or debit to a HERC Account to correct for differences between “Projected Excess Emissions” and “Actual Excess Emissions”, including any additional amount of HERCs required pursuant to section 94567(h), in accordance with section 94571(c); 
(5) a change of name, ownership, or other pertinent information for a HERC Account holder;
(6) a HERC Account holder's written request that HERCs be retired for an environmental benefit pursuant to section 94567(d); or 
(7) the expiration of HERCs as required by sections 94565(a)(4) or 94565(b).
(c) Any person may acquire HERCs through purchase, trade or other means of transfer from any HERC Account holder. The transfer of HERCs shall be effective only upon amendment of the HERC Registry by the Executive Officer.
(d) Any person who requests a transfer of HERCs must provide the following information in writing to the Executive Officer:
(1) the contact persons, names of the companies, street and mailing addresses, and telephone numbers of the parties involved in the transfer (For some transfers, the provider and recipient may be the same.); 
(2) information on the HERCs to be transferred, including quantities, credit generation periods, and expiration dates;
(3) the date the transfer is proposed to become effective; and
(4) a statement, signed by both the provider and the recipient, that both parties fully understand the conditions and limitations of the HERCs being transferred and accept full responsibility for the appropriate use of the HERCs as provided in this article.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94567. Allowable Uses of Hairspray Emission Reduction Credits.
Note     •     History

Except as provided in subsections (f), (g), and (h) of this section, HERCs may be used as follows upon approval by the Executive Officer:
(a) A responsible party for a consumer product regulated by the Air Resources Board pursuant to sections 94500- 94528, Title 17, California Code of Regulations who is also a HERC Account holder may use HERCs to obtain additional time (i.e., a delayed compliance period) for a product to comply with an applicable VOC standard set forth in sections 94502, 94509 or 94522, Title 17, California Code of Regulations, provided the product has been manufactured for sale in California for at least 12 months before the submittal of an application in accordance with section 94568. During a delayed compliance period, the responsible party must comply with the following:
(1) the specified VOC content for the product reported in the HERC use application, and approved by the Executive Officer, instead of the applicable VOC standard specified in sections 94502, 94509, 94522, Title 17, California Code of Regulations, and
(2) except as provided in paragraph (1) of this subsection (a), with all other applicable requirements specified in sections 94500-94528, Title 17, California Code of Regulations. 
(b) In accordance with section 94514(h), Title 17, California Code of Regulations, a responsible party for a hairspray product who is also a HERC Account holder may use HERCs to mitigate excess emissions that result from the granting of a variance. 
(c) In accordance with sections 94543(a)(7)(J) and 94548, Title 17, California Code of Regulations, a “responsible ACP party” who is also a HERC Account holder may use HERCs to reconcile any shortfalls occurring in a compliance period for an Alternative Control Plan. 
(d) Any person who is a HERC Account holder may retire HERCs to provide an environmental benefit. 
(e) For purposes of this article, high volatility organic compounds (HVOCs) and medium volatility organic compounds (MVOCs) in antiperspirants and deodorants shall be treated the same as other VOCs for HERC use.
(f) The use of HERCs shall not result in any greater emissions of toxic air contaminants, as defined per Health and Safety Code section 39657(b), than would otherwise have occurred if HERCs were not used.
(g) All outstanding HERCs shall expire on January 1, 2010, after which HERCs may no longer be used. 
(h) On or before December 31, 2002, the Executive Officer shall determine whether the Hairspray Credit Program has demonstrated an environmental benefit. For the purposes of this article, the Hairspray Credit Program has demonstrated an environmental benefit if, during the time period from the start of the program until December 31, 2002, the total amount of HERCs generated under the program is five percent greater than the total amount of HERCs used. If the Executive Officer determines that the Hairspray Credit Program has not demonstrated an environmental benefit by December 31, 2002, then all HERCs will be discounted by an amount of five percent upon use. 
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94568. Application Process for Use of Hairspray Emission Reduction Credits.
Note     •     History

(a) Any HERC Account holder who wishes to use HERCs as specified in sections 94567(a), 94567(b), or 94567(c) must submit a written application to the Executive Officer. Any information in the custody of the California Air Resources Board that has been submitted as confidential by a responsible party (or a person acting on behalf of the responsible party) pursuant to this section shall be handled by the Air Resources Board in accordance with the procedures specified in sections 91000-91022 (Disclosure of Public Records), Title 17, California Code of Regulations, provided that such information is clearly identified as being confidential. 
(b) Application Requirements for HERC Use Pursuant to Section 94567(a). An application to use HERCs for a delayed compliance period pursuant to section 94567(a) must be submitted in accordance with the following requirements: 
(1) Timing of Application Submittal. An application must be submitted and approved by the Executive Officer before the start of the proposed delayed compliance period. 
(2) Application Contents. The application must contain all of the following information:
(A) the responsible party's company name, street and mailing address, telephone number, and designated contact person for the application;
(B) information on the HERCs to be used, including HERC Account Holder, quantities, credit generation periods, and expiration dates;
(C) the amount of excess emissions the HERCs will be used to offset (i.e., “Projected Excess Emissions” calculated using the protocol specified in section 94569);
(D) the list of the consumer products (i.e., applicable consumer products) for which the responsible party is requesting additional time to comply with the VOC standard identified in paragraph (E) of this subsection;
(E) the VOC standard specified in sections 94502, 94509, 94522, Title 17, California Code of Regulations, for which the responsible party is requesting additional time to comply;
(F) the list of stock keeping units for each applicable consumer product, including any product identification numbers used by the responsible party to identify the stock keeping units;
(G) product labels for each stock keeping unit for each applicable consumer product;
(H) the responsible party's most recent speciated formulation data for each applicable consumer product (aggregated data may be submitted for the different stock keeping units) including percent by weight values to the nearest 0.1 percent for the following:
1. VOC content (for aggregated data, the applicant shall submit the highest VOC content or a sales-weighted average VOC content) and
2. each compound present in the formulation, except compounds that amount to a combined concentration of one percent by weight or less; 
(I) documented sales for each applicable consumer product for the most recent twelve-month period (for which documented sales records are available) prior to the delayed compliance period, and supporting documentation that shows how sales were calculated using the documented sales records and a methodology which will be subject to Executive Officer approval pursuant to section 94568(b)(2)(K) and section 94570(a)(2);
(J) the list of contact persons, telephone numbers, and street and mailing addresses of all persons and businesses who have provided, or will provide, information for the determination of documented sales for all the applicable consumer products;
(K) a demonstration to the satisfaction of the Executive Officer of the validity of the methodology(ies) used, or to be used, to calculate documented sales pursuant to sections 94568(b)(2)(I), 94569, and 94571(b), based on the documented sales records provided by the responsible party or the contact persons listed in paragraph (J) of this subsection (b)(2);
(L) test results, using a method(s) specified in sections 94506, 94515 or 94526, Title 17, California Code of Regulations, as applicable, that verify the VOC content information for the applicable consumer product as specified in paragraph (H) of this subsection (b)(2); the units that were tested must have come from three different batches that were manufactured less than one calendar year before the beginning of the proposed delayed compliance period;
(M) the proposed delayed compliance period, in days, requested by the responsible party, including the dates on which the delayed compliance period would begin and end; 
(N) for a proposed delayed compliance period greater than 365 days, a proposed schedule for annual submittal of information on “Documented SalesDelayed Compliance Period” and “Actual Excess Emissions” as defined in section 94569 and required pursuant to section 94571(b); and
(O) a signed declaration as specified in section 94568(e).
(c) Application Requirements for HERC Use Pursuant to Sections 94567(b) or 94567(c). For HERC use as specified in sections 94567(b) or 94567(c), an application must be submitted in accordance with the following requirements:
(1) Timing of Application Submittal. The application must be submitted to and approved by the Executive Officer prior to the use of HERCs as specified in sections 94567(b) or 94567(c).
(2) Application Contents. The application must contain all of the following information:
(A) the responsible party's company name, street and mailing address, telephone number, and designated contact person for the application;
(B) information on the HERCs to be used, including HERC Account Holder, quantities, credit generation periods, and expiration dates; 
(C) the amount of excess emissions the HERCs will be used to offset; and
(D) a signed declaration as specified in section 94568(e).
(d) Applicable Time Periods and Procedures for Review of HERC Use Applications. The following time periods and procedures shall apply to the Executive Officer's review of a HERC use application:
(1) Application Completeness Determination. Within 30 days after receiving an application, the Executive Officer shall inform the applicant in writing that the application is complete, or that the application is deficient and shall identify the specific information required to make the application complete.
(2) Application Completeness Determination After Receiving Additional Information. Within 15 days after receiving additional information provided in response to a determination by the Executive Officer that an application is deficient, the Executive Officer shall inform the applicant in writing, either that the new information is sufficient to make the application complete, or that the application is deficient and shall identify the specific information required to make the application complete.
(3) Approval Determination for Application. Within 90 days after determining that the HERC use application is complete, the Executive Officer shall determine whether to approve the use of HERCs. 
(4) Extension of Time Periods. For any of the time periods specified in this subsection (d), the Executive Officer and the applicant may agree to a longer time period for the Executive Officer to make a decision. 
(e) Declaration by Responsible Party. The application, and any additional information submitted, must include a declaration, signed by a legal representative of the responsible party, that the submittal contains true, accurate, and complete information based on information and belief formed after reasonable inquiry. Any person submitting information directly (i.e., the information is not reviewed or submitted through the responsible party) to the Executive Officer on behalf of the responsible party must also make such a declaration. 
(f) Specified VOC Limit for a Consumer Product in the Hairspray Credit Program. No applicable consumer product manufactured during a delayed compliance period shall exceed the VOC content for that product specified in the Executive Order approving the application to use HERCs. 
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code. 
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94569. Protocol for Calculation of Excess Emissions During a Delayed Compliance Period.
Note     •     History

The following equations shall be used to determine the amount of excess emissions from an applicable consumer product manufactured during a delayed compliance period (or a portion of a period, if applicable):

Projected Excess Emissions = 

([VOC Content]Product - [VOC Standard]Product)(Projected Sales)

Actual Excess Emissions = 

([VOC Content]Product - [VOC Standard]Product)(Documented SalesDelayed Compliance Period) 
where,
“Projected Excess Emissions” and “Actual Excess Emissions” shall be expressed to the nearest pound of VOC (if the product is an antiperspirant or deodorant, the nearest pound of HVOC or MVOC, as applicable).
“Projected Sales” shall be determined with the following equation:

Projected Sales = 

(Delayed Compliance Period/365)(Documented SalesPrevious Year)
where,
“Delayed Compliance Period” shall be expressed in days.
“Documented SalesPrevious Year” means the documented sales, in pounds, (determined using methodology approved by the Executive Officer) for the applicable consumer product for the most recent twelve-month period (for which documented sales records are available) prior to the delayed compliance period, as reported in the HERC use application submitted in accordance with section 94568.
“[VOC Content]Product” means the VOC content, in percent, of the applicable consumer product as reported in the HERC use application. (If the product is an antiperspirant or deodorant, the VOC Content shall be expressed as HVOC or MVOC, as applicable.)
“[VOC Standard]Product” means the VOC standard, in percent, for the consumer product category as set forth by sections 94502, 94509 or 94522, Title 17, California Code of Regulations. 
“Documented SalesDelayed Compliance Period” means the documented sales, in pounds, (determined using methodology approved by the Executive Officer) for the applicable consumer product manufactured during the delayed compliance period, or a portion of the delayed compliance period, if applicable, as reported pursuant to section 94571(b).
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94570. Approval of Application for Use of Hairspray Emission Reduction Credits.
Note     •     History

The Executive Officer shall, by means of Executive Order, approve the use of HERCs only after making the following determinations:
(a) For HERC use as specified in section 94567(a), the Executive Officer shall determine the following:
(1) “Projected Excess Emissions” have been calculated in accordance with the protocol specified in section 94569;
(2) the methodology(ies) used pursuant to sections 94568(b)(2)(I), 94569, and 94571(b) is appropriate for determining accurate documented sales information;
(3) the VOC content specified for the applicable consumer product, as reported in the application, has been verified by speciated formulation data submitted pursuant to section 94568(b)(2)(H) and test results in accordance with sections 94506, 94515 or 94526, Title 17, California Code of Regulations, as applicable; and 
(4) the use of HERCs is consistent with the State Implementation Plan and federal requirements;
(b) For HERC use specified in sections 94567(a), 94567(b), and 94567(c), the Executive Officer shall determine that the responsible party's HERC account contains a sufficient quantity of HERCs to offset the projected excess emissions (which may consist of VOC, HVOC, or MVOC), to mitigate excess emissions that result from the granting of a variance, or to reconcile any shortfall occurring in a compliance period for an Alternative Control Plan, as applicable. The Executive Officer shall also determine if the responsible party's HERC account contains a sufficient quantity of HERCs to provide the additional amount of HERCs required pursuant to section 94567(h), if applicable. 
(c) For HERC use specified in sections 94567(a), 94567(b), and 94567(c), the Executive Officer shall determine that the use of HERCs will not result in any greater emissions of toxic air contaminants, as defined per Health and Safety Code section 39657(b), than would otherwise have occurred if HERCs were not used.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94571. Modification and Reconciliation of Account Balance for HERC Use.
Note     •     History

(a) Modification of Account Balance After Approval of HERC Use. When an application for HERC use is approved, the Executive Officer shall modify the applicant's HERC account to remove the amount of HERCs necessary to offset the excess emissions, as specified in the application (e.g., for use pursuant to section 94567(a), “Projected Excess Emissions” calculated pursuant to section 94569) and, if applicable, to provide the additional amount of HERCs required pursuant to section 94567(h).
(b) Requirement to Submit Information on Documented Sales and Actual Excess Emissions. For HERC use pursuant to section 94567(a) only, the responsible party (i.e, the applicant for HERC use or the HERC Account holder) must submit to the Executive Officer, within 120 days after the conclusion of the delayed compliance period, documented sales for the delayed compliance period and “Actual Excess Emissions” calculated in accordance with section 94569. For a delayed compliance period of more than 365 days, information on documented sales and actual excess emissions must be submitted annually in accordance with the time schedule specified in the Executive Order approving the application to use HERCs. 
(c) Correction of Account Balance. The Executive Officer shall debit or credit the HERC Account accordingly to correct for any difference between the “Projected Excess Emissions” and the “Actual Excess Emissions” during the delayed compliance period (or portion of the period, if applicable), including any additional amount of HERCs required pursuant to section 94567(h), based on the documented sales information submitted in accordance with section 94571(b). 
(d) Reconciliation of Negative Balance. If correction of the HERC Account pursuant to section 94571(c) results in an overall negative balance in the HERC Account, the responsible party must completely reconcile the negative balance within 180 days of the conclusion of the delayed compliance period (or portion of the period, if applicable) or within the time period specified in the Executive Order. 
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94572. Recordkeeping and Availability of Requested Information.
Note     •     History

(a) All information specified in the Executive Order approving an application to request HERCs or an application to use HERCs must be maintained by the responsible party for a minimum of five years after the approval date of the Executive Order, or the date such records are generated, whichever is later.
(b) The records specified in subsection (a) of this section shall be made available to the Executive Officer or his or her authorized representative within the following time periods:
(1) immediately upon request, during an on-site visit to the responsible party for a product participating in the Hairspray Credit Program, 
(2) within 7 days after receipt of a written request from the Executive Officer, or
(3) within a time period agreed upon by both the Executive Officer and the responsible party.
NOTE

Authority cited: Sections 39600, 39601, 41511 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41511 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94573. Violations.
Note     •     History

(a) Violations in General. Any person who commits a violation of this article is subject to the penalties specified in Health and Safety Code section 42400 et seq. Failure to meet any requirement of this article or any condition of an applicable Executive Order shall constitute a single, separate violation of this article for each day until such requirement or condition is satisfied, except as otherwise provided in subsections (b), (c), (d), (e) and (f) of this section.
(b) Exceedances of Specified VOC Content. Any exceedance during the applicable compliance period of the VOC content specified for a hairspray product or other consumer product in the Executive Order approving (1) Part Two of an application to request HERCs pursuant to section 94563 or (2) an application to use HERCs pursuant to section 94568 shall constitute a single, separate violation of the requirements of this article for each product unit manufactured during the applicable compliance period for sale in California which exceeds the specified VOC content. 
(c) False Reporting of Information.
(1) False reporting of any information contained in an application to request HERCs pursuant to section 94563, or in any supporting documentation or amendments to an application, shall constitute a single, separate violation of the requirements of this article for each day of the credit generation period for the HERCs.
(2) False reporting of any information contained in an application to use HERCs pursuant to section 94568, or in any supporting documentation or amendments to an application, shall constitute a single, separate violation of the requirements of this article for each day during the time period in which the HERCs are to be used.
(3) False reporting of any information submitted to satisfy the requirements of section 94571(b) for documented sales information during a delayed compliance period shall constitute a single, separate violation of the requirements of this article for each day of the delayed compliance period.
(d) Failure to Meet Applicable Deadlines. Any of the following actions shall each constitute a single, separate violation of the requirements of this article for each day after the applicable deadline until the requirement is satisfied:
(1) Failure to submit accurate documented sales for a delayed compliance period (or a portion of the period, if applicable) within 120 days after conclusion of this period, as specified in section 94571(b), or within the time schedule specified in the Executive Order approving the application to use HERCs. 
(2) Failure to compltely reconcile a negative balance for a HERC account within 180 days after the conclusion of the applicable delayed compliance period (or portion of the period, if applicable) as specified in section 94571(d), or within the time schedule specified in the Executive Order approving the application to use HERCs.
(e) Negative Balances in HERC Accounts at End of Delayed Compliance Period. Except as provided in subsection (f) of this section, any overall negative balance that occurs in a HERC Account after the Executive Officer has made the correction specified in section 94571(c) for the difference between “Projected Excess Emissions” and “Actual Excess Emissions” at the end of a delayed compliance period (or portion of the period, if applicable) shall constitute a single, separate violation of the requirements of this article for each day of the delayed compliance period, or portion of the period.
(f) Number of Violations Resulting from Negative Balances. If a violation specified in subsection (e) of this section occurs, the responsible party may, pursuant to this subsection (f), establish a number of violations less than that set forth in subsection (e) as calculated according to the following equation: 

Number of Violations = DaysDelayed - DaysCovered 
where, 
“DaysDelayed” means the number of days in the delayed compliance period (or portion of the period, if applicable) 
“DaysCovered” means the number of days in the delayed compliance period (or portion of the period, if applicable) for which there are sufficient HERCs to offset excess emissions as calculated using the following equation:

DaysCovered =

(HERCsProvided + HERCsCorrection)(DaysDelayed/Actual Excess 
Emissions)
where,
“HERCsProvided” means the amount of HERCs, expressed as pounds, removed from the applicant's HERC Account upon approval of a HERC use application pursuant to section 94571(a);
“HERCsCorrection” means the amount of HERCs, expressed as pounds, removed from the applicant's HERC Account to correct for a difference in “Projected Excess Emissions” and “Actual Excess Emissions” pursuant to section 94571(c); and
“Actual Excess Emissions” means the amount of excess emissions, expressed as pounds, from a consumer product manufactured during a delayed compliance period (or portion of the period, if applicable) as calculated pursuant to section 94569 and reported by the responsible party pursuant to section 94571(b).
The responsible party may determine the number of violations pursuant to this subsection (f) only if it has provided all required information for the applicable delayed compliance period (or portion of the period, if applicable) as specified in the Executive Order approving the HERC use. By choosing this option, the responsible party waives any and all legal objections to the calculation of the number of violations pursuant to this subsection (f). 
(g) Assessment of Penalties. In assessing the amount of penalties for any violation occurring pursuant to subsections (a)-(f) of this section, the circumstances identified in Health and Safety Code section 42403(b) shall be taken into consideration.
(h) Statute of Limitations. Any limitation of time applicable to actions brought pursuant to this article shall be deemed to accrue on the date(s) when the records establishing a violation are received by the Executive Officer.
(i) Liability of Responsible Parties and HERC Account Holders. A responsible party or HERC Account holder is fully liable for compliance with the requirements of this article, even if the responsible party or HERC account holder contracts with or otherwise relies on another person to carry out some or all of the requirements of this article.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000, 41712, 42400-42403 and 42404.5, Health and Safety Code; and Section 338(k), Code of Civil Procedure
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94574. Federal Enforceability.
Note     •     History

For purposes of federal enforceability of this article, the United States Environmental Protection Agency (U.S. EPA) is not subject to approval determinations made by the Executive Officer under this article. Within 180 days of a request from a responsible party who has received approval of an application to use HERCs, a HERC use approval meeting the requirements of the Clean Air Act shall be submitted by the Executive Officer to the U.S. EPA for inclusion in the applicable implementation plan approved or promulgated by the U.S. EPA pursuant to section 110 of the Clean Air Act, 42 U.S.C., section 7410. Prior to submitting a HERC use approval as a revision to the applicable implementation plan, the Executive Officer shall hold a public hearing on the revision. Notice of the time and place of the hearing shall be sent to the applicant by certified mail not less than 30 days prior to the hearing. Notice of the hearing shall also be submitted for publication in the California Regulatory Notice Register and sent to the U.S. EPA, every person who requests such notice, and any person or group of persons whom the Executive Officer believes may be interested in the application. Within 30 days of the hearing, the Executive Officer shall notify the applicant of the decision in writing. The decision may approve, disapprove, or modify a HERC use approval previously granted pursuant to section 94568.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code.
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
§94575. Program Evaluation.
Note     •     History

On an ongoing basis the Executive Officer shall evaluate the implementation of the Hairspray Credit Program, and track program results in terms of both actual emission reductions, and, to the extent practicable, cost savings relative to traditional regulatory programs. This program evaluation shall include an annual analysis of credit generation and use activities, and a description of any significant problems in the implementation of the program. 
At least once every three years, the Executive Officer shall provide to the United States Environmental Protection Agency (U.S. EPA) a report on the program evaluation, including a comparison of credit generation and use activities for the previous three years, an assessment of the benefit to the environment which has resulted from the program, and a description of any significant problems that have occurred.
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code. 
HISTORY

1. New section filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35).
Subchapter 8.6. Maximum Incremental Reactivity
Article 1. Tables of Maximum Incremental Reactivity (MIR) Values
§94700. MIR Values for Compounds.
Note     •     History

		MIR Value	New MIR Value
	Organic Compound	(July 18, 2001)	October 2, 2010

	Alkanes
1	methane	0.01	0.014
2	ethane	0.31	0.28
3	propane	0.56	0.49
4	cyclopropane	0.10	0.09
5	n-butane	1.33	1.15
6	isobutane	1.35	1.23
7	cyclobutane	1.05	1.20
8	n-pentane	1.54	1.31
9	branched C5 alkane(s)	1.68	1.45
10	neopentane	0.69	0.67
11	isopentane	1.68	1.45
12	cyclopentane	2.69	2.39
13	n-hexane	1.45	1.24
14	branched C6 alkane(s)	1.53	1.31
15 	2,2-dimethyl butane	1.33	1.17
16 	2,3-dimethyl butane	1.14	0.97
17 	2-methyl pentane	1.80	1.50
18 	3-methyl pentane	2.07	1.80
19 	C6 cycloalkane(s)	1.46	1.25
20 	cyclohexane	1.46	1.25
21 	isopropyl cyclopropane	1.52	1.22
22 	methyl cyclopentane	2.42	2.19
23 	unspeciated C6 alkane(s)	1.48	1.27
24 	n-heptane	1.28	1.07
25 	2,2,3-trimethyl butane	1.32	1.11
26 	2,2-dimethyl pentane	1.22	1.12
27 	2,3-dimethyl pentane	1.55	1.34
28 	2,4-dimethyl pentane	1.65	1.55
29 	2-methyl hexane	1.37	1.19
30 	3,3-dimethyl pentane	1.32	1.20
31 	3-methyl hexane	1.86	1.61
32 	3-ethyl pentane*	1.79	1.90
33 	branched C7 alkane(s)	1.63	1.48
34 	1,1-dimethyl cyclopentane*	1.01	1.08
35 	1,2-dimethyl cyclopentane*	1.87	1.99
36 	C7 cycloalkane(s)	1.99	1.70
37 	1,3-dimethyl cyclopentane	2.15	1.94
38 	cycloheptane	2.26	1.96
39 	ethyl cyclopentane	2.27	2.01
40 	methyl cyclohexane	1.99	1.70
41 	unspeciated C7 alkane(s)	1.79	1.41
42 	n-octane	1.11	0.90
43 	branched C8 alkane(s)	1.57	1.45
44 	2,2,3,3-tetramethyl butane	0.44	0.33
45 	2,2,4-trimethyl pentane	1.44	1.26
46 	2,2-dimethyl hexane	1.13	1.02
47 	2,3,4-trimethyl pentane	1.23	1.03
48 	2,3-dimethyl hexane	1.34	1.19
49 	2,4-dimethyl hexane	1.80	1.73
50 	2,5-dimethyl hexane	1.68	1.46
51 	2-methyl heptane	1.20	1.07
52 	3-methyl heptane	1.35	1.24
53 	4-methyl heptane	1.48	1.25
54 	2,3,3-trimethyl pentane*	0.95	1.02
55 	3,3-dimethyl hexane*	1.16	1.24
56 	2,2,3-trimethyl pentane*	1.15	1.22
57 	3,4-dimethyl hexane*	1.41	1.51
58 	3-ethyl 2-methyl pentane*	1.25	1.33
59 	C8 bicycloalkane(s)	1.75	1.51
60 	1,1,2-trimethyl cyclopentane*	1.04	1.12
61 	1,1,3-trimethyl cyclopentane*	0.94	1.01
62 	1,1-dimethyl cyclohexane*	1.13	1.22
63 	1,2,3-trimethyl cyclopentane*	1.52	1.63
64 	1,2,4-trimethyl cyclopentane*	1.43	1.53
65 	1-methyl-3-ethyl cyclopentane*	1.53	1.64
66 	1,2-dimethyl cyclohexane*	1.30	1.41
67 	1,4-dimethyl cyclohexane*	1.51	1.62
68 	C8 cycloalkane(s)	1.75	1.47
69 	1,3-dimethyl cyclohexane	1.72	1.52
70 	cyclooctane	1.73	1.46
71 	ethyl cyclohexane	1.75	1.47
72 	propyl cyclopentane	1.91	1.69
73 	unspeciated C8 alkane(s)	1.64	1.27
74 	n-nonane	0.95	0.78
75 	branched C9 alkane(s)	1.25	1.14
76	2,2,5-trimethyl hexane	1.33	1.13
77 	2,3,5-trimethyl hexane	1.33	1.22
78 	2,4-dimethyl heptane	1.48	1.38
79 	2-methyl octane	0.96	0.83
80 	3,3-diethyl pentane	1.35	1.21
81 	3,5-dimethyl heptane	1.63	1.56
82 	4-ethyl heptane	1.44	1.22
83 	4-methyl octane	1.08	0.95
84 	2,4,4-trimethyl hexane*	1.26	1.34
85 	3,3-dimethyl heptane*	1.05	1.13
86 	4,4-dimethyl heptane*	1.19	1.27
87 	2,2-dimethyl heptane*	0.93	1.00
88 	2,2,4-trimethyl hexane*	1.19	1.26
89 	2,6-dimethyl heptane*	0.96	1.04
90 	2,3-dimethyl heptane*	1.01	1.09
91 	2,5-dimethyl heptane*	1.25	1.35
92 	3-methyl octane*	0.91	0.99
93 	3,4-dimethyl heptane*	1.15	1.24
94 	3-ethyl heptane*	1.01	1.10
95 	cis-hydrindane; bicyclo[4.3.0]
	 nonane*	1.20	1.31
96 	C9 bicycloalkane(s)	1.57	1.39
97 	1,2,3-trimethyl cyclohexane*	1.12	1.22
98 	1,3,5-trimethyl cyclohexane*	1.06	1.15
99 	1,1,3-trimethyl cyclohexane	1.37	1.19
100 	1-ethyl-4-methyl cyclohexane	1.62	1.44
101 	propyl cyclohexane	1.47	1.29
102 	C9 cycloalkane(s)	1.55	1.36
103 	unspeciated C9 alkane(s)	2.13	1.09
104 	n-decane; n-C10	0.83	0.68
105 	branched C10 alkane(s)	1.09	0.94
106 	2,4,6-trimethyl heptane*	1.20	1.28
107 	2,4-dimethyl octane	1.09	1.03
108 	2,6-dimethyl octane	1.27	1.08
109 	2-methyl nonane	0.86	0.73
110 	3,4-diethyl hexane	1.20	0.89
111 	3-methyl nonane	0.89	0.75
112 	4-methyl nonane	0.99	0.86
113 	4-propyl heptane	1.24	1.02
114 	2,4,4-trimethyl heptane*	1.23	1.31
115 	2,5,5-trimethyl heptane*	1.17	1.25
116	3,3-dimethyl octane*	1.01	1.09
117 	4,4-dimethyl octane*	1.06	1.14
118 	2,2-dimethyl octane*	0.77	0.83
119 	2,2,4-trimethyl heptane*	1.09	1.16
120 	2,2,5-trimethyl heptane*	1.18	1.26
121 	2,3,6-trimethyl heptane*	0.82	0.90
122 	2,3-dimethyl octane*	0.79	0.86
123 	2,5-dimethyl octane*	0.94	1.03
124 	2-methyl-3-ethyl heptane*	0.91	0.99
125 	4-ethyl octane*	0.71	0.79
126 	C10 bicycloalkane(s)	1.29	1.09
127 	isobutyl cyclohexane; 
	 (2-methylpropyl) cyclohexane*	0.90	0.99
128 	sec-butyl cyclohexane*	0.90	0.99
129 	C10 cycloalkane(s)	1.27	1.07
130 	1,3-diethyl cyclohexane	1.34	1.26
131 	1,4-diethyl cyclohexane	1.49	1.23
132 	1-methyl-3-isopropyl 
	 cyclohexane	1.26	1.00
133 	butyl cyclohexane	1.07	0.99
134 	unspeciated C10 alkane(s) 	1.16	0.90
135 	n-undecane; n-C11	0.74	0.61
136 	branched C11 alkane(s)	0.87	0.73
137 	2,3,4,6-tetramethyl heptane	1.26	1.11
138 	2,6-dimethyl nonane	0.95	0.79
139 	3,5-diethyl heptane	1.21	1.11
140 	3-methyl decane	0.77	0.65
141 	4-methyl decane	0.80	0.68
142 	C11 bicycloalkane(s)	1.01	0.91
143 	C11 cycloalkane(s)	0.99	0.90
144 	1,3-diethyl-5-methyl 
	 cyclohexane	1.11	1.04
145 	1-ethyl-2-propyl cyclohexane	0.95	0.81
146 	pentyl cyclohexane	0.91	0.84
147 	unspeciated C11 alkane(s) 	0.90	0.74
148 	n-dodecane; n-C12	0.66	0.55
149 	branched C12 alkane(s)	0.80	0.63

150 	2,3,5,7-tetramethyl octane	1.06	0.91
151 	2,6-diethyl octane	1.09	0.97
152 	3,6-dimethyl decane	0.88	0.70
153 	3-methyl undecane	0.70	0.59
154 	5-methyl undecane	0.72	0.55
155 	C12 tricycloalkane(s)*	0.74	0.82
156 	C12 bicycloalkane(s)	0.88	0.81
157 	C12 cycloalkane(s)	0.87	0.80
158 	1,3,5-triethyl cyclohexane	1.06	1.02
159 	1-methyl-4-pentyl cyclohexane	0.81	0.72
160 	hexyl cyclohexane	0.75	0.65
161 	unspeciated C12 alkane(s) 	0.81	0.66
162 	n-tridecane; n-C-13	0.62	0.53
163 	branched C13 alkane(s)	0.73	0.60
164 	2,3,6-trimethyl 4-isopropyl 
	 heptane	1.24	0.93
165 	2,4,6,8-tetramethyl nonane	0.94	0.76
166 	3,6-dimethyl undecane	0.82	0.69
167 	3,7-diethyl nonane	1.08	0.89
168 	3-methyl dodecane	0.64	0.54
169 	5-methyl dodecane	0.64	0.47
170 	C13 tricycloalkane(s)*	0.64	0.71
171 	C13 bicycloalkane(s)	0.79	0.70
172 	C13 cycloalkane(s)	0.78	0.70
173 	1,3-diethyl-5-propyl 
	 cyclohexane	0.96	0.96
174 	1-methyl-2-hexyl cyclohexane	0.70	0.58
175 	heptyl cyclohexane	0.66	0.55
176 	unspeciated C13 alkane(s) 	0.73	0.61
177 	n-tetradecane; n-C14	0.58	0.51
178 	branched C14 alkane(s)	0.67	0.55
179	2,4,5,6,8-pentamethyl nonane	1.11	0.95
180 	2-methyl 3,5-diisopropyl 
	 heptane	0.78	0.56
181 	3,7-dimethyl dodecane	0.74	0.62
182 	3,8-diethyl decane	0.68	0.60
183 	3-methyl tridecane	0.57	0.51
184 	6-methyl tridecane	0.62	0.46
185 	C14 tricycloalkane(s)*	0.60	0.66
186 	C14 bicycloalkane(s)	0.71	0.66
187 	C14 cycloalkane(s)	0.71	0.65
188 	1,3-dipropyl-5-ethyl 
	 cyclohexane	0.94	0.91
189 	trans-1-methyl-4-heptyl 
	 cyclohexane	0.58	0.53
190 	octyl cyclohexane	0.60	0.51
191 	unspeciated C14 alkane(s) 	0.67	0.57
192 	n-pentadecane; n-C15	0.53	0.50
193 	branched C15 alkane(s)	0.60	0.50
194 	2,6,8-trimethyl 4-isopropyl 
	 nonane	0.76	0.63
195 	3,7-dimethyl tridecane	0.64	0.55
196 	3,9-diethyl undecane	0.62	0.51
197 	3-methyl tetradecane	0.53	0.48
198 	6-methyl tetradecane	0.57	0.42
199 	C15 tricycloalkane(s)*	0.56	0.63
200 	C15 bicycloalkane(s)	0.69	0.62
201 	C15 cycloalkane(s)	0.68	0.61
202 	1,3,5-tripropyl cyclohexane	0.90	0.87
203 	1-methyl-2-octyl cyclohexane	0.60	0.50
204 	nonyl cyclohexane	0.54	0.47
205 	1,3-diethyl-5-pentyl 
	 cyclohexane	0.99	0.66
206 	unspeciated C15 alkane(s) 	0.61	0.54
207 	n-hexadecane; n-C16 	0.52	0.45
208 	branched C16 alkane(s)	0.54	0.47
209 	2,7-dimethyl 3,5-diisopropyl
	 heptane	0.69	0.52
210 	3-methyl pentadecane	0.50	0.46
211 	4,8-dimethyl tetradecane	0.55	0.49
212 	7-methyl pentadecane	0.51	0.45
213 	C16 tricycloalkane(s)*	0.53	0.59
214 	C16 bicycloalkane(s)*	0.52	0.58
215 	C16 cycloalkane(s)	0.61	0.55
216 	1,3-propyl-5-butyl cyclohexane	0.77	0.75
217 	1-methyl-4-nonyl cyclohexane	0.55	0.46
218 	decyl cyclohexane	0.50	0.43
219 	unspeciated C16 alkane(s) 	0.55	0.49
220 	n-heptadecane; n-C17 	0.49	0.42
221 	branched C17 alkane(s)	0.51	0.44
222 	C17 tricycloalkane(s)*	0.50	0.55
223 	C17 bicycloalkane(s)*	0.49	0.55
224 	C17 cycloalkane(s)*	0.46	0.52
225 	unspeciated C17 alkane(s) 	0.52	0.46
226 	n-octadecane; n-C18 	0.44	0.40
227 	branched C18 alkane(s)	0.48	0.42
228 	C18 tricycloalkane(s)*	0.47	0.52
229 	C18 bicycloalkane(s)*	0.46	0.52
230 	C18 cycloalkane(s)*	0.44	0.49
231 	unspeciated C18 alkane(s) 	0.49	0.44
232 	n-nonadecane; n-C19	0.44	0.38
233 	branched C19 alkane(s)*	0.35	0.40
234 	C19 tricycloalkane(s)*	0.44	0.49
235 	C19 bicycloalkane(s)*	0.44	0.49
236 	C19 cycloalkane(s)*	0.42	0.46
237 	n-eicosane; icosane; n-C20	0.42	0.36
238 	branched C20 alkane(s)*	0.34	0.38
239 	C20 tricycloalkane(s)*	0.42	0.47
240 	C20 bicycloalkane(s)*	0.42	0.46
241 	C20 cycloalkane(s)*	0.39	0.44
242 	n-heneicosane; n-C21 	0.40	0.34
243 	branched C21 alkane(s)*	0.32	0.36
244 	C21 tricycloalkane(s)*	0.40	0.44
245 	C21 bicycloalkane(s)*	0.40	0.44
246 	C21 cycloalkane(s)*	0.38	0.42
247 	n-docosane, n-C22 	0.38	0.33
248 	branched C22 alkane(s)*	0.31	0.34
249 	C22 tricycloalkane(s)*	0.38	0.42
250 	C22 bicycloalkane(s)*	0.38	0.42
251 	C22 cycloalkane(s)*	0.36	0.40

	Alkenes
252 	ethene	9.08	9.00
253 	propene	11.58	11.66
254 	1,2-propadiene; allene*	8.11	8.45
255 	1-butene	10.29	9.73
256 	C4 terminal alkenes	10.29	9.73
257 	isobutene	6.35	6.29
258 	cis-2-butene	13.22	14.24
259 	trans-2-butene	13.91	15.16
260 	C4 internal alkenes	13.57	14.70
261 	1,2-butadiene*	9.03	9.35
262 	1,3-butadiene	13.58	12.61
263 	C4 alkenes	11.93	12.22
264 	1-pentene	7.79	7.21
265 	3-methyl-1-butene	6.99	6.99
266 	C5 terminal alkenes	7.79	7.21
267 	2-methyl-1-butene	6.51	6.40
268 	2-methyl-2-butene	14.45	14.08
269 	cis-2-pentene	10.24	10.38
270 	trans-2-pentene	10.23	10.56
271 	2-pentenes	10.23	10.47
272 	C5 internal alkenes	10.23	10.47
273 	cyclopentene	7.38	6.77
274 	trans-1,3-pentadiene*	12.10	12.50
275 	cis-1,3-pentadiene*	12.10	12.50
276 	1,4-pentadiene*	8.92	9.24
277 	1,2-pentadiene*	7.59	7.86
278 	3-methyl-1,2-butadiene*	9.95	10.29
279 	isoprene; 2-methyl-1,3-
	 butadiene	10.69	10.61
280 	cyclopentadiene	7.61	6.98
281 	C5 alkenes	9.01	8.84
282 	1-hexene	6.17	5.49
283 	3,3-dimethyl-1-butene	6.06	5.82
284 	3-methyl-1-pentene	6.22	6.14
285 	4-methyl-1-pentene	6.26	5.68
286 	C6 terminal alkenes	6.17	5.49
287 	2,3-dimethyl-1-butene	4.77	4.75
288 	2-ethyl-1-butene	5.04	5.07
289 	2-methyl-1-pentene	5.18	5.26
290 	2,3-dimethyl-2-butene	13.32	12.49
291 	2-methyl-2-pentene	12.28	11.00
292 	cis-4-methyl-2-pentene*	7.88	8.12
293 	cis-2-hexene	8.44	8.31
294 	cis-3-hexene	8.22	7.61
295 	cis-3-methyl-2-pentene	12.84	12.49
296 	trans-3-methyl-2-pentene*	14.17	13.17
297 	trans-4-methyl-2-pentene*	7.88	8.12
298 	trans-2-hexene	8.44	8.62
299 	trans-3-hexene	8.16	7.57
300 	2-hexenes	8.44	8.47
301 	C6 internal alkenes	8.44	8.47
302 	3-methyl cyclopentene*	4.92	5.10
303 	1-methyl cyclopentene	13.95	12.49
304 	cyclohexene	5.45	5.00
305 	trans,trans-2,4-hexadiene*	8.57	8.83
306 	trans-1,3-hexadiene*	10.03	10.37
307 	trans-1,4-hexadiene*	8.36	8.64
308 	C6 cyclic olefins or di-olefins	8.65	8.68

309 	C6 alkenes	6.88	6.98
310 	trans-4-methyl-2-hexene	7.88	7.18
311 	trans-3-methyl-2-hexene	14.17	10.07
312 	2,3-dimethyl-2-hexene	10.41	8.53
313 	1-heptene	4.20	4.43
314 	3,4-dimethyl-1-pentene*	4.66	4.84
315 	3-methyl-1-hexene*	4.24	4.41
316 	2,4-dimethyl-1-pentene*	5.81	6.01
317 	2,3-dimethyl-1-pentene*	4.97	5.15
318 	3,3-dimethyl-1-pentene*	4.71	4.91
319 	2-methyl-1-hexene*	4.92	5.10
320 	2,3,3-trimethyl-1-butene	4.62	4.49
321 	C7 terminal alkenes	4.20	4.43
322 	4,4-dimethyl-cis-2-pentene*	6.45	6.64
323 	2,4-dimethyl-2-pentene*	9.03	9.29
324 	2-methyl-2-hexene*	9.22	9.47
325 	3-ethyl-2-pentene*	9.49	9.75
326 	3-methyl-trans-3-hexene*	9.44	9.72
327 	cis-2-heptene*	6.94	7.16
328 	2-methyl-trans-3-hexene*	6.03	6.25
329 	3-methyl-cis-3-hexene*	9.44	9.72
330 	3,4-dimethyl-cis-2-pentene*	8.91	9.15
331 	2,3-dimethyl-2-pentene*	10.41	9.74
332 	cis-3-heptene	6.96	6.33
333 	trans-4,4-dimethyl-2-pentene	6.99	6.64
334 	trans-2-heptene	7.33	7.14
335 	trans-3-heptene	6.96	6.32
336 	cis-3-methyl-2-hexene	13.38	10.07
337 	2-heptenes	6.96	6.32
338 	C7 internal alkenes	6.96	6.32
339 	1-methyl cyclohexene	7.81	6.61
340 	4-methyl cyclohexene	4.48	4.18
341 	C7 cyclic olefins or di-olefins	7.49	7.29
342 	C7 alkenes	5.76	5.37
343 	1-octene	3.45	3.25
344 	C8 terminal alkenes	3.45	3.25
345	2,4,4-trimethyl-1-pentene*	3.24	3.34
346 	3-methyl-2-isopropyl-1-butene	3.29	3.31
347 	trans-2-octene*	5.81	6.00
348 	2-methyl-2-heptene*	8.10	8.33
349 	cis-4-octene	5.94	4.73
350 	trans-2,2-dimethyl 3-hexene	5.97	5.00
351 	trans-2,5-dimethyl 3-hexene	5.44	4.82
352 	trans-3-octene	6.13	5.34
353 	trans-4-octene	5.90	4.81
354 	3-octenes	6.13	5.34
355 	C8 internal alkenes	5.90	4.81
356 	2,4,4-trimethyl-2-pentene	8.52	6.29
357 	1,2-dimethyl cyclohexene	6.77	5.63
358 	C8 cyclic olefins or di-olefins	6.01	4.89
359 	C8 alkenes	4.68	4.03
360 	1-nonene	2.76	2.60
361 	C9 terminal alkenes	2.76	2.60
362 	4,4-dimethyl-1-pentene*	3.00	3.13
363 	4-nonene*	4.37	4.54
364	3-nonenes	5.31	4.54
365	C9 internal alkenes	5.31	4.54
366	trans-4-nonene	5.23	4.54
367	C9 cyclic olefins or di-olefins	5.40	4.62
368	C9 alkenes	4.03	3.57
369	1-decene	2.28	2.17
370	C10 terminal alkenes	2.28	2.17
371	3,4-diethyl-2-hexene	3.95	3.38
372	cis-5-decene	4.89	3.66
373	trans-4-decene	4.50	3.87
374	C10 3-alkenes	4.50	3.87
375	C10 internal alkenes	4.50	3.87
376	C10 cyclic olefins or di-olefins	4.56	3.93
377	3-carene	3.21	3.24
378	a-pinene	4.29	4.51
379	b-pinene	3.28	3.52
380	d-limonene	3.99	4.55
381	sabinene	3.67	4.19
382	terpinolene*	6.16	6.36
383	camphene*	4.38	4.51
384 	terpene (monoterpenes)	3.79	4.04
385	C10 alkenes	3.39	3.31
386	1-undecene	1.95	1.87
387	C11 terminal alkenes	1.95	1.87
388	trans-5-undecene	4.23	3.60
389	C11 3-alkenes	4.23	3.60
390	C11 internal alkenes	4.23	3.60
391	C11 cyclic olefins or di-olefins	4.29	3.65
392	C11 alkenes	3.09	2.73
393	C12 terminal alkenes	1.72	1.64

394	1-dodecene	1.72	1.64
395	C12 2-alkenes	3.75	3.14
396	C12 3-alkenes	3.75	3.14
397	C12 internal alkenes	3.75	3.14
398	trans-5-dodecene	3.74	3.14
399	C12 cyclic olefins or di-olefins	3.79	3.18 
400	C12 alkenes	2.73	2.39
401 	1-tridecene	1.55	1.48
402 	C13 terminal alkenes	1.55	1.48
403 	trans-5-tridecene	3.38	2.59
404 	C13 3-alkenes	3.38	2.59
405 	C13 internal alkenes	3.38	2.59
406 	C13 cyclic olefins or di-olefins	3.42	2.62
407 	C13 alkenes	2.46	2.03
408 	1-tetradecene	1.41	1.34
409 	C14 terminal alkenes	1.41	1.34
410 	trans-5-tetradecene	3.08	2.35
411 	C14 3-alkenes	3.08	2.35
412 	C14 internal alkenes	3.08	2.35
413 	C14 cyclic olefins or di-olefins	3.11	2.38
414 	C14 alkenes	2.28	1.85
415 	1-pentadecene	1.27	1.25
416 	C15 terminal alkenes	1.27	1.25
417 	trans-5-pentadecene	2.82	2.16
418 	C15 3-alkenes	2.82	2.16
419 	C15 internal alkenes	2.82	2.16
420 	C15 cyclic olefins or di-olefins	2.85	2.19
421 	C15 alkenes	2.06	1.71

	Aromatic Hydrocarbons
422 	benzene	0.81	0.72
423 	toluene	3.97	4.00
424 	ethyl benzene	2.79	3.04
425 	m-xylene	10.61	9.75
426 	o-xylene	7.49	7.64
427 	p-xylene	4.25	5.84
428 	C8 disubstituted benzenes	7.48	7.76
429 	isomers of ethylbenzene	5.16	6.57
430 	styrene	1.95	1.73
431 	unspeciated C8 aromatics*	7.42	7.64
432 	C9 monosubstituted benzenes	2.20	2.03
433 	n-propyl benzene	2.20	2.03
434 	isopropyl benzene; cumene	2.32	2.52
435 	C9 disubstituted benzenes	6.61	5.81
436 	m-ethyl toluene	9.37	7.39
437 	o-ethyl toluene	6.61	5.59
438 	p-ethyl toluene	3.75	4.44
439 	C9 trisubstituted benzenes	9.90	10.87
440 	1,2,3-trimethyl benzene	11.26	11.97
441 	1,2,4-trimethyl benzene	7.18	8.87
442 	1,3,5-trimethyl benzene	11.22	11.76
443 	isomers of propyl benzene	6.12	6.23
444 	indene	3.21	1.55
445 	indane	3.17	3.32
446 	allylbenzene*	1.45	1.53
447 	a-methyl styrene	1.72	1.53
448 	C9 styrenes	1.72	1.53
449 	b-methyl styrene*	0.95	1.01
450 	unspeciated C9 aromatics*	7.92	7.99
451 	C10 monosubstituted benzenes	1.97	2.36
452 	n-butyl benzene	1.97	2.36
453 	sec-butyl benzene	1.97	2.36
454 	tert-butyl benzene*	1.89	1.95
455 	o-cymene; 1-methyl-2-(1-
	 methylethyl) benzene*	5.34	5.49
456 	1-methyl-2-n-propyl benzene*	5.34	5.49
457 	m-cymene; 1-methyl-3-(1-
	 methylethyl) benzene*	6.92	7.10
458 	1-methyl-3-n-propyl benzene*	6.92	7.10
459 	1-methyl-4-n-propyl benzene*	4.31	4.43
460 	C10 disubstituted benzenes	5.92	5.68
461 	m-C10 disubstituted benzenes*	6.92	7.10
462 	o-C10 disubstituted benzenes*	5.34	5.49
463 	p-C10 disubstituted benzenes*	4.31	4.43
464 	m-diethyl benzene	8.39	7.10
465 	o-diethyl benzene	5.92	5.49
466 	1-methyl-4-isopropyl benzene; 
	 p-cymene*	4.32	4.44
467 	p-diethyl benzene	3.36	4.43
468 	1,2,3-C10 trisubstituted benzenes*	9.89	10.15
469 	1,2,4-C10 trisubstituted benzenes*	7.35	7.55
470 	1,3,5-C10 trisubstituted benzenes*	9.80	10.08
471 	1,2,3,4-tetramethyl benzene*	9.01	9.26
472 	1,2,4,5-tetramethyl benzene*	9.01	9.26
473 	1,2-dimethyl-3-ethyl benzene*	9.89	10.15

474 	1,2-dimethyl-4-ethyl benzene*	7.35	7.55
475 	1,3-dimethyl-2-ethyl benzene*	9.89	10.15
476 	1,3-dimethyl-4-ethyl benzene*	7.35	7.55
477 	1,3-dimethyl-5-ethyl benzene*	9.80	10.08
478 	1,4-dimethyl-2-ethyl benzene*	7.35	7.55
479 	1,2,3,5-tetramethyl benzene	8.25	9.26
480 	C10 trisubstituted benzenes	8.86	9.26
481 	C10 tetrasubstituted benzenes	8.86	9.26
482 	butylbenzenes 	5.48	5.76
483 	methyl indanes	2.83	2.97
484 	tetralin; 1,2,3,4-
	 tetrahydronaphthalene	2.83	2.97
485 	naphthalene	3.26	3.34
486 	C10 styrenes	1.53	1.37
487 	unspeciated C10 aromatics	5.48	7.07
488 	n-pentyl benzene*	2.04	2.12
489 	C11 monosubstituted benzenes	1.78	2.12
490 	m-C11 disubstituted benzenes*	5.98	6.15
491 	o-C11 disubstituted benzenes*	4.60	4.73
492 	p-C11 disubstituted benzenes*	3.77	3.88
493 	1-butyl-2-methyl benzene*	4.60	4.73
494 	1-ethyl-2-n-propyl benzene*	4.60	4.73
495 	o-tert-butyl toluene; 1-(1,1-
	 dimethylethyl)-2-methyl 
	 benzene*	4.60	4.73
496 	1-methyl-3-n-butyl benzene*	5.98	6.15
497 	p-isobutyl toluene; 1-methyl-4-
	 (2-methylpropyl) benzene*	3.77	3.88
498 	C11 disubstituted benzenes	5.35	4.92
499 	1,2,3-C11 trisubstituted 
	 benzenes*	8.64	8.88
500 	1,2,4-C11 trisubstituted 
	 benzenes*	6.44	6.62
501 	1,3,5-C11 trisubstituted 
	 benzenes*	8.65	8.90
502 	pentamethyl benzene*	7.91	8.13
503 	1-methyl-3,5-diethyl benzene*	8.65	8.90
504 	C11 trisubstituted benzenes	8.03	8.13
505 	C11 tetrasubstituted benzenes	8.03	8.13
506 	C11 pentasubstituted benzenes	8.03	8.13
507 	pentyl benzenes 	4.96	4.90
508 	C11 tetralins or indanes	2.56	2.69
509 	methyl naphthalenes	4.61	3.06
510 	1-methyl naphthalene	4.61	3.06
511 	2-methyl naphthalene	4.61	3.06
512 	unspeciated C11 aromatics	4.96	6.95
513 	C12 monosubstituted benzenes	1.63	1.90
514 	m-C12 disubstituted benzenes*	5.35	5.49
515 	o-C12 disubstituted benzenes*	4.11	4.23
516 	p-C12 disubstituted benzenes*	3.38	3.49
517 	1,3-di-n-propyl benzene*	4.11	4.23
518 	1,4 di-isopropyl benzene*	3.38	3.49
519 	3-isopropyl cumene; 1,3-di-
	 isopropyl benzene*	5.35	5.49
520 	C12 disubstituted benzenes	4.90	4.40
521 	1,2,3-C12 trisubstituted 
	 benzenes*	7.74	7.95
522 	1,2,4-C12 trisubstituted 
	 benzenes*	5.78	5.94
523 	1,3,5-C12 trisubstituted 
	 benzenes*	7.79	8.02
524 	1-(1,1-dimethylethyl)-3,5-
	 dimethylbenzene*	7.79	8.02
525 	C12 trisubstituted benzenes	7.33	7.30
526 	C12 tetrasubstituted benzenes	7.33	7.30
527 	C12 pentasubstituted benzenes	7.33	7.30
528 	C12 hexasubstituted benzenes	7.33	7.30
529 	hexyl benzenes 	4.53	4.39
530 	C12 tetralins or indanes	2.33	2.45
531 	1-ethyl naphthalene*	2.69	2.78
532 	C12 naphthalenes*	3.76	3.89
533 	C12 monosubstituted 
	 naphthalene	4.20	2.78
534 	C12 disubstituted naphthalenes	5.54	4.99
535 	2,3-dimethyl naphthalene	5.54	4.99
536 	dimethyl naphthalenes	5.54	4.99
537 	unspeciated C12 aromatics	4.53	6.02
538 	C13 monosubstituted benzenes	1.50	1.74
539 	m-C13 disubstituted benzenes*	4.80	4.93
540 	o-C13 disubstituted benzenes*	3.67	3.78
541 	p-C13 disubstituted benzenes*	3.03	3.13
542 	C13 disubstituted benzenes	4.50	3.95
543 	1,2,3-C13 trisubstituted 
	 benzenes*	6.94	7.13

544 	1,2,4-C13 trisubstituted 
	 benzenes*	5.20	5.35
545 	1,3,5-C13 trisubstituted 
	 benzenes*	7.04	7.24
546 	C13 trisubstituted benzenes	6.75	6.57
547 	C13 tetralins or indanes*	2.17	2.25
548 	C13 naphthalenes*	3.45	3.57
549 	C13 monosubstituted 
	 naphthalene	3.86	2.55
550 	C13 disubstituted naphthalenes	5.08	4.58
551 	C13 trisubstituted naphthalenes	5.08	4.58
552 	unspeciated C13 aromatics*	4.88	4.81
553 	C14 monosubstituted benzenes*	1.53	1.60
554 	m-C14 disubstituted benzenes*	4.32	4.45
555 	o-C14 disubstituted benzenes*	3.30	3.40
556 	p-C14 disubstituted benzenes*	2.75	2.84
557 	C14 disubstituted benzenes*	3.46	3.56
558 	1,2,3-C14 trisubstituted 
	 benzenes*	6.31	6.49
559 	1,2,4-C14 trisubstituted 
	 benzenes*	4.75	4.89
560 	1,3,5-C14 trisubstituted 
	 benzenes*	6.44	6.63
561 	C14 trisubstituted benzenes*	5.84	6.00
562 	C14 tetralins or indanes*	2.01	2.09
563 	C14 naphthalenes*	3.19	3.30
564 	unspeciated C14 aromatics*	3.93	3.80
565 	C15 monosubstituted benzenes*	1.42	1.48
566 	C15 disubstituted benzenes*	3.15	3.25
567 	m-C15 disubstituted benzenes*	3.93	4.04
568 	o-C15 disubstituted benzenes*	3.00	3.09
569 	p-C15 disubstituted benzenes*	2.51	2.59
570 	C15 trisubstituted benzenes*	5.35	5.50
571 	1,2,3-C15 trisubstituted 
	 benzenes*	5.77	5.94
572 	1,2,4-C15 trisubstituted 
	 benzenes*	4.35	4.47
573 	1,3,5-C15 trisubstituted 
	 benzenes*	5.92	6.10
574 	C15 tetralins or indanes*	1.87	1.94
575 	C15 naphthalenes*	2.97	3.06
576 	unspeciated C15 aromatics*	3.35	3.20
577 	C16 monosubstituted benzenes*	1.32	1.38
578 	m-C16 disubstituted benzenes*	3.60	3.71
579 	o-C16 disubstituted benzenes*	2.74	2.83
580 	p-C16 disubstituted benzenes*	2.30	2.38
581 	C16 disubstituted benzenes*	2.88	2.97
582 	1,2,3-C16 trisubstituted 
	 benzenes*	5.31	5.46
583 	1,2,4-C16 trisubstituted 
	 benzenes*	4.01	4.13
584 	1,3,5-C16 trisubstituted 
	 benzenes*	5.47	5.63
585 	C16 trisubstituted benzenes*	4.93	5.07
586 	C16 tetralins or indanes*	1.75	1.82
587 	C16 naphthalenes*	2.77	2.86
588 	unspeciated C16 aromatics*	2.96	2.79
589 	C17 monosubstituted benzenes*	1.24	1.30
590 	C17 disubstituted benzenes*	2.71	2.79
591 	C17 trisubstituted benzenes*	4.63	4.77
592 	C17 tetralins or indanes*	1.64	1.70
593 	C17 naphthalenes*	2.60	2.68
594 	C18 monosubstituted benzenes*	1.17	1.23
595 	C18 disubstituted benzenes*	2.55	2.63
596 	C18 trisubstituted benzenes*	4.37	4.49
597 	C18 tetralins or indanes*	1.55	1.61
598 	C18 naphthalenes*	2.45	2.53
599 	C19 monosubstituted benzenes*	1.11	1.16
600 	C19 disubstituted benzenes*	2.42	2.49
601 	C19 trisubstituted benzenes*	4.13	4.25
602 	C19 tetralins or indanes*	1.46	1.52
603 	C19 naphthalenes*	2.31	2.39
604 	C20 monosubstituted benzenes*	1.05	1.10
605 	C20 disubstituted benzenes*	2.29	2.36
606 	C20 trisubstituted benzenes*	3.92	4.04
607 	C20 tetralins or indanes*	1.39	1.44
608 	C20 naphthalenes*	2.19	2.26
609 	C21 monosubstituted benzenes*	1.00	1.05
610 	C21 disubstituted benzenes*	2.18	2.25
611 	C21 trisubstituted benzenes*	3.73	3.84
612 	C21 tetralins or indanes*	1.32	1.37
613 	C21 naphthalenes*	2.08	2.15
614 	C22 monosubstituted benzenes*	0.96	1.00
615 	C22 disubstituted benzenes*	2.08	2.14
616 	C22 trisubstituted benzenes*	3.56	3.66
617 	C22 tetralins or indanes*	1.26	1.31
618 	C22 naphthalenes*	1.98	2.05

	Oxygenated Organics 
619 	carbon monoxide	0.06	0.056
620 	formaldehyde	8.97	9.46
621 	methanol	0.71	0.67
622 	formic acid	0.08	0.07
623 	ethylene oxide	0.04	0.04
624 	acetaldehyde	6.84	6.54
625 	ethanol	1.69	1.53
626 	dimethyl ether	0.93	0.81
627 	glyoxal	14.22	12.50
628 	methyl formate	0.06	0.06
629 	acetic acid	0.50	0.68
630 	glycolaldehyde*	4.96	5.10
631 	ethylene glycol	3.36	3.13
632 	glycolic acid	2.67	2.38
633 	peroxyacetic acid	12.62	0.54
634 	acrolein	7.60	7.45
635 	trimethylene oxide	5.22	4.56
636 	propylene oxide	0.32	0.29
637 	propionaldehyde	7.89	7.08
638 	acetone	0.43	0.36
639 	isopropyl alcohol	0.71	0.61
640 	n-propyl alcohol	2.74	2.50
641 	acrylic acid	11.66	11.38
642 	methyl glyoxal	16.21	16.56
643 	1,3-dioxolane	5.47	4.96
644 	ethyl formate	0.52	0.48
645 	methyl acetate	0.07	0.07
646 	propionic acid	0.79	1.22
647 	hydroxy acetone	3.08	3.23
648 	propylene glycol	2.75	2.58
649 	dimethoxy methane	1.04	0.94
650	2-methoxy ethanol	2.98	2.93
651 	dimethyl carbonate; DMC	0.06	0.06
652 	dihydroxy acetone	4.02	3.99
653 	glycerol	3.27	3.15
654 	furan	16.54	9.15
655 	crotonaldehyde	10.07	9.39
656 	methacrolein	6.23	6.01
657 	cyclobutanone	0.68	0.62
658 	methylvinyl ketone	8.73	9.65
659 	tetrahydrofuran	4.95	4.31
660 	1,2-epoxy butane	1.02	0.91
661	2-methyl propanal	5.87	5.25
662 	butanal	6.74	5.97
663 	C4 aldehydes	6.74	5.97
664 	methyl ethyl ketone	1.49	1.48
665 	isobutyl alcohol	2.24	2.51
666 	n-butyl alcohol	3.34	2.88
667 	sec-butyl alcohol	1.60	1.36
668 	tert-butyl alcohol	0.45	0.41
669 	diethyl ether	4.01	3.76
670 	gamma-butyrolactone	1.15	0.96
671 	methacrylic acid	18.78	18.50
672 	methyl acrylate	12.24	11.48
673 	vinyl acetate	3.26	3.20
674 	hydroxyl-methacrolein	6.61	6.24
675 	biacetyl; diacetyl; butanedione	20.73	20.09
676 	1,4-dioxane	2.71	2.62
677 	ethyl acetate	0.64	0.63
678 	methyl propionate	0.71	0.66
679 	n-propyl formate	0.93	0.78
680 	isopropyl formate	0.42	0.37
681 	isobutyric acid	1.22	1.20
682 	butanoic acid	1.78	1.82
683 	methoxy-acetone	2.14	2.03
684 	1,3-butanediol*	3.21	3.36
685 	1,2-butandiol	2.21	2.52
686 	1,4-butanediol	3.22	2.72
687 	2,3-butanediol*	4.23	4.38
688 	1-methoxy-2-propanol	2.62	2.44
689 	2-ethoxy-ethanol	3.78	3.71
690 	2-methoxy-1-propanol	3.01	3.01
691 	3-methoxy-1-propanol	4.01	3.84
692 	propylene carbonate	0.25	0.28
693 	methyl lactate	2.75	2.67
694 	diethylene glycol	3.55	3.35
695 	malic acid	7.51	6.94
696 	2-methyl furan*	8.02	8.30
697 	3-methyl furan*	6.64	6.90
698 	cyclopentanone	1.43	1.15
699 	C5 cyclic ketones	1.43	1.15

700 	cyclopentanol	1.96	1.72
701 	a-methyl tetrahydrofuran	4.62	3.97
702 	tetrahydropyran	3.81	3.22
703 	2-methyl-3-butene-2-ol	5.12	4.91
704 	2,2-dimethylpropanal; 
	 pivaldehyde	5.40	4.89
705 	3-methylbutanal; 
	 isovaleraldehyde	5.52	4.97
706 	pentanal; valeraldehyde	5.76	5.08
707 	C5 aldehydes	5.76	5.08
708 	2-pentanone	3.07	2.81
709 	3-pentanone	1.45	1.24
710 	C5 ketones	3.07	2.81
711 	methyl isopropyl ketone	1.64	1.65
712 	2-pentanol	1.74	1.61
713 	3-pentanol	1.73	1.63
714 	pentyl alcohol	3.35	2.83
715 	isoamyl alcohol; 3-methyl-1-
	 butanol	2.73	3.16
716 	2-methyl-1-butanol	2.60	2.40
717 	ethyl isopropyl ether	3.86	3.74
718 	methyl n-butyl ether	3.66	3.15
719 	methyl tert-butyl ether; MTBE	0.78	0.73
720 	ethyl acrylate	8.78	7.77
721 	methyl methacrylate	15.84	15.61
722 	glutaraldehyde	4.79	4.31
723 	lumped C5+ unsaturated carbonyl 
	 species*	6.18	6.38
724 	2,4-pentanedione	1.02	1.01
725 	tetrahydro-2-furanmethanol; 
	 tetrahydrofurfuryl alcohol	3.54	3.31
726 	ethyl propionate	0.79	0.77
727 	isopropyl acetate	1.12	1.07
728 	methyl butyrate	1.18	1.09
729 	methyl isobutyrate	0.70	0.61
730 	n-butyl formate	0.95	0.83
731 	propyl acetate	0.87	0.78
732 	3-methyl butanoic acid	4.26	4.23
733 	2,2-dimethoxy-propane	0.52	0.48
734 	1-ethoxy-2-propanol	3.25	3.09
735 	2-propoxy-ethanol	3.52	3.30
736 	3-ethoxy-1-propanol	4.24	4.09
737 	3-methoxy-1-butanol	0.97	3.87
738 	2-methoxyethyl acetate	1.18	1.15
739 	ethyl lactate	2.71	2.48
740 	methyl isopropyl carbonate	0.69	0.62
741 	2-(2-methoxyethoxy) ethanol	2.90	2.66
742 	pentaerythritol	2.42	2.17
743 	phenol	1.82	2.76
744 	2-ethyl furan*	6.85	7.09
745 	2,5-dimethyl furan*	7.60	7.88
746 	cyclohexanone	1.61	1.35
747 	C6 cyclic ketones	1.61	1.35
748 	mesityl oxide; 2-methyl-2-penten-
	 4-one	17.37	6.51
749 	cyclohexanol	2.25	1.95
750 	hexanal	4.98	4.35
751 	C6 aldehydes	4.98	4.35
752 	4-methyl-2-pentanone	4.31	3.88
753 	methyl n-butyl ketone	3.55	3.14
754 	methyl tert-butyl ketone	0.78	0.65
755 	C6 ketones	3.55	3.14
756 	1-hexanol	2.74	2.69
757 	2-hexanol	2.46	2.08
758 	4-methyl-2-pentanol; methyl 
	 isobutyl carbinol	2.89	2.64
759 	di-n-propyl ether	3.24	3.08
760 	ethyl n-butyl ether	3.86	3.48
761 	ethyl tert-butyl ether	2.11	2.01
762 	methyl tert-amyl ether; TAME	2.14	1.69
763 	diisopropyl ether	3.56	3.52
764 	ethyl methacrylate*	12.15	12.47
765 	ethyl butyrate	1.25	1.17
766 	isobutyl acetate	0.67	0.62
767 	methyl pivalate	0.39	0.35
768 	n-butyl acetate	0.89	0.83
769 	n-propyl propionate	0.93	0.84
770 	sec-butyl acetate	1.43	1.32
771 	tert-butyl acetate; tBAc	0.20	0.18
772 	diacetone alcohol	0.68	0.60
773 	methyl pentanoate; methyl 
	 valerate*	1.00	1.05
774 	1,2-dihydroxyhexane	2.75	2.55
775 	2-methyl-2,4-pentanediol	1.04	1.45

776 	ethylene glycol diethyl ether; 1,2-
	 diethoxyethane	2.84	2.95
777 	acetal (1,1-diethoxyethane)	3.68	3.58
778 	1-propoxy-2-propanol; propylene 
	 glycol n-propyl ether	2.86	2.68
779 	2-butoxy-ethanol	2.90	2.90
780 	3 methoxy-3-methyl-butanol	1.74	2.88
781 	n-propoxy-propanol	3.84	3.77
782 	hydroxypropyl acrylate	5.56	4.90
783 	1-methoxy-2-propyl acetate	1.71	1.70
784 	2-ethoxyethyl acetate	1.90	1.84
785 	2-methoxy-1-propyl acetate	1.12	1.12
786 	methoxypropanol acetate	1.97	1.86
787 	2-(2-ethoxyethoxy) ethanol	3.19	3.26
788 	dipropylene glycol isomer (1-[2-
	 hydroxypropyl]-2-propanol)	2.48	2.31
789 	dimethyl succinate	0.23	0.23
790 	ethylene glycol diacetate	0.72	0.66
791 	adipic acid; hexanedioic acid	3.37	3.08
792 	triethylene glycol	3.41	3.25
793 	benzaldehyde	0.00	0.00
794 	C7 alkyl phenols	2.34	2.40
795	m-cresol	2.34	2.40
796 	p-cresol	2.34	2.40
797 	o-cresol	2.34	2.40
798 	benzyl alcohol*	4.98	5.11
799 	methoxybenzene; anisole*	6.49	6.66
800 	C7 cyclic ketones	1.41	1.18
801 	heptanal	4.23	3.69
802 	C7 aldehydes	4.23	3.69
803 	2-methyl-hexanal	3.97	3.54
804 	2-heptanone	2.80	2.36
805 	2-methyl-3-hexanone	1.79	1.53
806 	di-isopropyl ketone	1.63	1.31
807 	C7 ketones	2.80	2.36
808 	5-methyl-2-hexanone	2.10	2.41
809 	3-methyl-2-hexanone	2.81	2.55
810 	1-heptanol	2.21	1.84
811	 dimethylpentanol; 2,3-dimethyl-
	 1-pentanol	2.51	2.23
812 	4,4-diethyl-3-oxahexane; tert- 
	 amyl ethyl ether; TAEE	2.03	1.95
813 	n-butyl acrylate	5.52	5.02
814 	isobutyl acrylate	5.05	4.72
815 	butyl propionate	0.89	0.84
816 	amyl acetate; n-pentyl acetate	0.96	0.84
817 	n-propyl butyrate	1.17	1.05
818 	isoamyl acetate; 3-methyl-butyl 
	 acetate	1.18	1.09
819 	2-methyl-1-butyl acetate	1.17	1.08
820 	methyl hexanoate*	0.96	1.02
821 	1-tert-butoxy-2-propanol	1.71	1.61
822 	2-tert-butoxy-1-propanol	1.81	1.81
823 	n-butoxy-2-propanol; propylene 
	 glycol n-butyl ether	2.70	2.72
824 	ethyl 3-ethoxy propionate	3.61	3.58
825 	diisopropyl carbonate	1.04	0.98
826 	2-(2-propoxyethoxy) ethanol	3.00	2.85
827 	dipropylene glycol methyl 
	 ether; 1-methoxy-2-(2-
	 hydroxypropoxy)-propane 	2.21	1.98
828 	dipropylene glycol methyl 
	 ether; 2-(2-methoxypropoxy)-
	 1-propanol	2.70	2.58
829 	1,2-propylene glycol diacetate 	0.94	0.61
830 	dimethyl glutarate	0.51	0.42
831 	2-[2-(2-methoxyethoxy) ethoxy] 
	 ethanol 	2.62	2.58
832 	tolualdehyde	0.00	0.00
833 	4-vinyl phenol*	1.43	1.50
834 	2,4-dimethyl phenol*	2.07	2.12
835 	2,5-dimethyl phenol*	2.07	2.12
836 	3,4-dimethyl phenol*	2.07	2.12
837 	2,3-dimethyl phenol*	2.07	2.12
838 	2,6-dimethyl phenol*	2.07	2.12
839 	C8 alkyl phenols	2.07	2.12
840 	b-phenethyl alcohol; 2-phenyl 
	 ethyl alcohol*	4.41	4.53
841 	C8 cyclic ketones	1.25	1.05
842 	2-butyl tetrahydrofuran	2.53	2.13
843 	octanal	3.65	3.16
844 	C8 aldehydes	3.65	3.16
845 	2-octanone	1.66	1.40
846 	C8 ketones	1.66	1.40
847 	1-octanol	2.01	1.43

848 	2-ethyl-1-hexanol	2.20	2.00
849 	2-octanol	2.16	1.97
850 	3-octanol	2.57	2.28
851 	4-octanol	3.07	2.23
852 	5-methyl-1-heptanol	1.95	1.79
853 	di-isobutyl ether	1.29	1.20
854 	di-n-butyl ether	3.17	2.84
855 	2-phenoxyethanol; ethylene glycol 
	 phenyl ether	3.61	4.49
856 	butyl methacrylate	9.09	8.70
857 	isobutyl methacrylate	8.99	8.62
858 	hexyl acetates*	0.74	0.80
859 	2,3-dimethylbutyl acetate	0.84	0.75
860 	2-methylpentyl acetate	1.11	0.98
861 	3-methylpentyl acetate	1.31	1.07
862 	4-methylpentyl acetate	0.92	0.82
863 	isobutyl isobutyrate	0.61	0.60
864 	n-butyl butyrate	1.12	1.08
865 	n-hexyl acetate	0.87	0.69
866 	methyl amyl acetate; 4-methyl-2-
	 pentanol acetate	1.46	1.35
867 	n-pentyl propionate	0.79	0.71
868 	2-ethyl hexanoic acid	3.49	3.32
869 	methyl heptanoate*	0.76	0.82
870 	2-ethyl-1,3-hexanediol	2.62	2.05
871 	2-n-hexyloxyethanol	2.45	2.09
872 	2,2,4-trimethyl-1,3-pentanediol	1.74	1.54
873 	phthalic anhydride*	2.50	2.58
874 	methylparaben; 4-hydroxybenzoic 
	 acid, methyl ester*	1.66	1.71
875 	2-butoxyethyl acetate	1.67	1.62
876 	2-methoxy-1-(2-methoxy-1-
	 methylethoxy)-propane; 
	 dipropylene glycol dimethyl 
	 ether	2.09	2.02
877 	2-(2-butoxyethoxy)-ethanol	2.87	2.39
878 	dipropylene glycol ethyl ether	2.75	2.72
879 	dimethyl adipate	1.95	1.80
880 	2-(2-ethoxyethoxy) ethyl acetate	1.50	1.48
881 	2-[2-(2-ethoxyethoxy) ethoxy] 
	 ethanol	2.66	2.46
882 	tetraethylene glycol	2.84	2.51
883 	cinnamic aldehyde*	4.68	4.84
884 	cinnamic alcohol*	0.84	0.89
885 	2,3,5-trimethyl phenol*	1.86	1.90
886 	2,3,6-trimethyl phenol*	1.86	1.90
887 	C9 alkyl phenols	1.86	1.90
888 	isophorone; 3,5,5-trimethyl-2-
	 cyclohexenone	10.58	4.63
889 	C9 cyclic ketones	1.13	0.94
890 	2-propyl cyclohexanone	1.71	1.54
891 	4-propyl cyclohexanone	2.08	1.85
892 	1-nonene-4-one	3.39	3.14
893 	trimethyl cyclohexanol	2.17	1.86
894 	2-nonanone	1.30	1.08
895 	di-isobutyl ketone; 2,6-dimethyl-
	 4-heptanone	2.94	2.68
896 	C9 ketones	1.30	1.08
897 	dimethyl heptanol; 2,6-dimethyl-
	 2-heptanol	1.07	0.94
898 	2,6-dimethyl-4-heptanol	2.37	2.09
899 	1-phenoxy-2-propanol	1.73	1.60
900 	2,4-dimethylpentyl acetate	0.98	0.92
901	 2-methylhexyl acetate	0.89	0.69
902 	3-ethylpentyl acetate	1.24	1.10
903 	3-methylhexyl acetate	1.01	0.89
904 	4-methylhexyl acetate	0.91	0.82
905 	5-methylhexyl acetate	0.79	0.59
906 	isoamyl isobutyrate	0.89	0.82
907 	n-heptyl acetate	0.73	0.65
908 	methyl octanoate*	0.64	0.69
909 	1-(butoxyethoxy)-2-propanol	2.08	1.93
910 	dipropylene glycol n-propyl ether 
	 isomer #1	2.13	2.00
911 	dipropylene glycol methyl ether 
	 acetate isomer #1	1.41	1.38
912 	dipropylene glycol methyl ether 
	 acetate isomer #2	1.58	1.52
913 	dipropylene glycol methyl ether 
	 acetate isomers	1.49	1.45
914 	2-[2-(2-propoxyethoxy) ethoxy] 
	 ethanol	2.46	2.17
915 	tripropylene glycol*	2.07	2.18
916 	2,5,8,11-tetraoxatridecan-13-ol	2.15	1.97
917	glyceryl triacetate	0.57	0.55

918 	anethol; p-propenyl-anisole* 	0.76	0.80
919 	C10 alkyl phenols	1.68	1.73
920 	camphor*	0.45	0.49
921 	a-terpineol	5.16	4.63
922 	citronellol; 3,7-dimethyl-6-
	 octen-1-ol*	5.63	5.79
923 	hydroxycitronella*; 
	 hydroxycitronellal	2.50	2.61
924 	C10 cyclic ketones	1.02	0.86
925 	menthol	1.70	1.43
926 	linalool*	5.28	5.43
927 	2-decanone	1.06	0.90
928 	C10 ketones	1.06	0.90
929 	8-methyl-1-nonanol; isodecyl 
	 alcohol	1.23	1.06
930 	1-decanol	1.22	1.06
931 	3,7-dimethyl-1-octanol	1.42	1.20
932 	di-n-pentyl ether	2.64	2.15
933 	1,2-diacetyl benzene*	2.17	2.25
934 	2,4-dimethylhexyl acetate	0.93	0.76
935 	2-ethyl-hexyl acetate	0.79	0.66
936 	3,4-dimethyl-hexyl acetate	1.16	0.87
937 	3,5-dimethyl-hexyl acetate	1.09	0.99
938 	3-ethyl-hexyl acetate	1.03	0.91
939 	3-methyl-heptyl acetate	0.76	0.67
940 	4,5-dimethyl-hexyl acetate	0.86	0.68
941 	4-methyl-heptyl acetate	0.72	0.66
942 	5-methyl-heptyl acetate	0.73	0.61
943 	n-octyl acetate	0.64	0.57
944 	geraniol*	4.97	5.12
945 	methyl nonanoate*	0.54	0.59
946 	2-(2-ethylhexyloxy) ethanol	1.71	1.55
947 	propylparaben*; 4-hydroxybenzoic 
	 acid, propyl ester	1.40	1.44
948 	2-(2-hexyloxyethoxy) ethanol	2.03	1.84
949 	glycol ether DPnB; 
	 dipropylene glycol n-butyl 
	 ether; 1-(2-butoxy-1-
	 methylethoxy)-2-propanol)	1.96	1.83
950 	2-(2-butoxyethoxy) ethyl acetate	1.38	1.38
951 	2-[2-(2-butoxyethoxy) ethoxy] 
	 ethanol	2.24	1.96
952 	tripropylene glycol monomethyl 
	 ether	1.90	1.92
953 	C11 alkyl phenols	1.54	1.58
954 	2-ethyl-hexyl acrylate	2.42	2.52
955 	2,3,5-trimethyl-hexyl acetate	0.86	0.85
956 	2,3-dimethyl-heptyl acetate	0.84	0.71
957 	2,4-dimethyl-heptyl acetate	0.88	0.68
958 	2,5-dimethyl-heptyl acetate	0.86	0.78
959 	2-methyloctyl acetate	0.63	0.52
960 	3,5-dimethyl-heptyl acetate	1.01	0.81
961 	3,6-dimethyl-heptyl acetate	0.87	0.78
962 	3-ethyl-heptyl acetate	0.71	0.63
963 	4,5-dimethyl-heptyl acetate	0.96	0.69
964 	4,6-dimethyl-heptyl acetate	0.83	0.78
965 	4-methyloctyl acetate	0.68	0.61
966 	5-methyloctyl acetate	0.67	0.56
967 	n-nonyl acetate	0.58	0.52
968 	methyl decanoate*	0.48	0.53
969 	C12 alkyl phenols	1.42	1.46
970 	2,6,8-trimethyl-4-nonanone; 
	 isobutyl heptyl ketone	1.86	1.66
971 	trimethylnonanol, threo+erythro; 
	 2,6,8-trimethyl-4-nonanol	1.55	1.33
972 	3,6-dimethyl-octyl acetate	0.88	0.79
973 	3-isopropyl-heptyl acetate	0.71	0.54
974 	4,6-dimethyl-octyl acetate	0.85	0.76
975 	methyl undecanoate*	0.45	0.50
976 	1-hydroxy-2,2,4-trimethylpentyl-
	 3-isobutyrate	0.92	0.89
977 	3-hydroxy-2,2,4-trimethylpentyl-
	 1-isobutyrate	0.88	0.77
978 	2,2,4-trimethyl-1,3-pentanediol 
	 monoisobutyrate and isomers 
	 (texanolÒ)	0.89	0.81
979 	substituted C7 ester (C12)	0.92	0.81
980 	substituted C9 ester (C12)	0.89	0.81
981 	diethylene glycol mono-(2-
	 ethylhexyl) ether*	1.46	1.56
982 	diethyl phthalate*	1.56	1.62
983 	dimethyl sebacate	0.48	0.43
984 	diisopropyl adipate	1.42	1.28
985 	3,6,9,12-tetraoxa-hexadecan-1-ol	1.90	1.72
986 	triethyl citrate*	0.66	0.70

987 	3,5,7-trimethyl-octyl acetate	0.83	0.66
988 	3-ethyl-6-methyl-octyl acetate	0.80	0.63
989 	4,7-dimethyl-nonyl acetate	0.64	0.50
990 	methyl dodecanoate; methyl 
	 laurate	0.53	0.47
991 	tripropylene glycol n-butyl 
	 ether*	1.55	1.64
992 	amyl cinnamal*	3.06	3.16
993 	isobornyl methacrylate	8.64	5.51
994 	2,3,5,7-tetramethyl-octyl acetate	0.74	0.62
995 	3,5,7-trimethyl-nonyl acetate	0.76	0.62
996 	3,6,8-trimethyl-nonyl acetate	0.72	0.59
997 	methyl tridecanoate*	0.40	0.45
998 	hexyl cinnamal*	2.86	2.96
999 	2,6-di-tert-butyl-p-cresol*	1.15	1.18
1000 	2-ethyl-hexyl benzoate*	0.93	0.98
1001 	2,4,6,8-tetramethyl-nonyl 
	 acetate	0.63	0.51
1002 	3-ethyl-6,7-dimethyl-nonyl 
	 acetate	0.76	0.61
1003 	4,7,9-trimethyl-decyl acetate	0.55	0.42
1004 	methyl myristate; methyl 
	 tetradecanoate	0.47	0.43
1005 	methyl cis-9-pentadecenoate*	1.63	1.80
1006 	methyl cis-9-hexadecenoate; 
	 methyl palmitoleate*	1.63	1.70
1007 	methyl pentadecanoate*	0.42	0.47
1008 	2,3,5,6,8-pentamethyl-nonyl 
	 acetate	0.74	0.65
1009 	3,5,7,9-tetramethyl-decyl acetate	0.58	0.48
1010 	5-ethyl-3,6,8-trimethyl-nonyl 
	 acetate	0.77	0.77
1011 	dibutyl phthalate*	1.20	1.25
1012 	2,2,4-trimethyl-1,3-pentanediol 
	 diisobutyrate*	0.34	0.38
1013	methyl hexadecanoate; methyl 
	 palmitate*	0.40	0.44
1014 	methyl cis-9-heptadecenoate*	1.56	1.62
1015	methyl heptadecanoate; methyl 
	 margarate*	0.38	0.42
1016 	methyl linolenate; methyl cis,cis,
	 cis-9,12,15-octadecatrienoate*	1.77	2.32
1017 	methyl linoleate; methyl cis,cis-
	 9,12-octadecadienoate*	1.48	1.84
1018 	methyl cis-9-octadecenoate; 
	 methyl oleate*	1.48	1.54
1019 	methyl octadecanoate; methyl 
	 stearate*	0.36	0.40

	Other Organic Compounds
1020 	methylamine*	7.29	7.70
1021 	methyl chloride	0.03	0.04
1022 	methyl nitrite*	10.50	10.84
1023 	nitromethane	7.86	0.07
1024 	carbon disulfide*	0.23	0.25
1025 	dichloromethane	0.07	0.04
1026 	methyl bromide	0.02	0.02
1027 	chloroform	0.03	0.02
1028 	methyl iodide*	0.00	0.00
1029 	carbon tetrachloride	0.00	0.00
1030 	chloropicrin; trichloro-nitro-
	 methane*	1.80	1.85
1031 	methylene bromide	0.00	0.00
1032 	acetylene	1.25	0.95
1033 	dimethyl amine	9.37	3.17
1034 	ethyl amine	7.80	5.78
1035 	ethanolamine	5.97	6.81
1036 	vinyl chloride	2.92	2.83
1037 	ethyl chloride	0.25	0.29
1038 	1,1-difluoroethane; HFC-152a	0.00	0.02
1039 	methyl isothiocyanate*; MITC	0.31	0.32
1040 	nitroethane	12.79	0.06
1041 	dimethyl sulfoxide; DMSO	6.90	6.68
1042 	chloroacetaldehyde*	12.00	12.30
1043 	1,1-dichloroethene*	1.69	1.79
1044 	trans-1,2-dichloroethene	0.81	1.70
1045 	cis-1,2-dichloroethene*	1.65	1.70
1046 	1,1-dichloroethane	0.10	0.07
1047 	1,2-dichloroethane	0.10	0.21
1048 	1,1,1,2-tetrafluoroethane; HFC-
	 134a	0.00	0.00
1049 	ethyl bromide	0.11	0.13
1050 	trichloroethylene; TCE	0.60	0.64
1051 	1,1,1-trichloroethane	0.00	0.01
1052 	1,1,2-trichloroethane	0.06	0.09

1053 	perchloroethylene; perc	0.04	0.03
1054 	1,2-dibromoethane	0.05	0.10
1055 	methyl acetylene	6.45	6.72
1056 	acrylonitrile*	2.16	2.24
1057 	trimethyl amine	7.06	6.32
1058 	isopropyl amine*	6.93	7.23
1059 	n-methyl acetamide**	19.70	20.19
1060 	1-amino-2-propanol 	13.42	5.42
1061 	3-chloropropene*	11.98	12.22
1062 	1-nitropropane	16.16	0.22
1063 	2-nitropropane	16.16	0.11
1064 	chloroacetone*	9.22	9.41
1065 	trans-1,3-dichloropropene*	4.92	5.03
1066 	cis-1,3-dichloropropene*	3.61	3.70
1067 	1,3-dichloropropene mixture*	4.19	4.29
1068 	1,2-dichloropropane*	0.28	0.29
1069 	trans-1,3,3,3-tetrafluoropropene*; 
	 trans-HFO-1234ze	0.09	0.10
1070 	2,3,3,3-tetrafluoropropene*; 
	 HFO-1234yf	0.27	0.28
1071 	n-propyl bromide	0.35	0.42
1072 	1,1,1,3,3-pentafluoropropane*; 
	 HFC-245fa	0.00	0.00
1073 	3,3-dichloro-1,1,1,2,2-pentafluoro-
	 propane; HCFC-225ca*	0.00	0.00
1074 	1,3-dichloro-1,1,2,2,3-pentafluoro-
	 propane; HCFC-225cb*	0.00	0.00
1075 	1,3-butadiyne*	5.53	5.76
1076 	1-buten-3-yne; vinyl acetylene*	10.15	10.48
1077 	2-butyne	16.33	16.32
1078 	ethyl acetylene	6.20	6.11
1079 	tert-butyl amine*	0.00	0.00
1080	morpholine	15.43	1.98
1081 	ethyl methyl ketone oxime; methyl 
	 ethyl ketoxime*	22.04	1.58
1082 	dimethylaminoethanol; DMAE	4.76	5.62
1083 	2-amino-1-butanol*	4.78	4.98
1084 	2-amino-2-methyl-1-propanol; 
	 AMP	15.08	0.25
1085 	1-chlorobutane*	1.04	1.10
1086 	diethylenetriamine**	13.03	15.53
1087 	diethanol-amine	4.05	2.47
1088 	2-(chloro-methyl)-3-
	 chloro-propene	1.13	7.00
1089 	n-butyl bromide	0.60	0.82
1090 	1,1,1,3,3-pentafluorobutane; 
	 HFC-365mfc*	0.00	0.00
1091 	n-methyl-2-pyrrolidone	2.56	2.41
1092 	2-amino-2-ethyl-1,3-
	 propanediol*	0.00	0.78
1093 	hydroxyethylethylene urea**	14.75	11.22
1094	methoxy-perfluoro-n-butane*;
	 methyl-nonafluoro-butyl ether; 
	 HFE-7100 isomer	0.00	0.00
1095 	methoxy-perfluoro-isobutene*;
	 methyl-nonafluoro-isobutyl 
	 ether; HFE-7100 isomer	0.00	0.00
1096 	1,1,1,2,2,3,4,5,5,5-decafluoro-
	 pentane; HFC-43-10mee*	0.00	0.00
1097 	triethyl amine	16.60	3.84
1098 	triethylene diamine* 	3.31	3.46
1099	monochlorobenzene	0.36	0.32
1100 	nitrobenzene	0.07	0.06
1101 	p-dichlorobenzene	0.20	0.18
1102 	o-dichlorobenzene*	0.17	0.18
1103 	triethanolamine*	2.76	4.21
1104 	hexamethyl-disiloxane*	0.00	0.00
1105 	hydroxymethyl-disiloxane*	0.00	0.00
1106 	hexafluoro-benzene*	0.05	0.05
1107 	ethoxy-perfluoro-n-butane*; ethyl 
	 nonafluoro-butyl ether; HFE-
	 7200 isomer	0.01	0.01
1108 	ethoxy-perfluoro-isobutane*;
	 ethyl nonafluoro-isobutyl ether; 
	 HFE-7200 isomer	0.01	0.01
1109 	perfluoro-n-hexane*	0.00	0.00
1110 	2-chlorotoluene*	2.82	2.92
1111 	m-nitrotoluene*	0.48	0.50
1112 	benzotrifluoride	0.26	0.29
1113 	p-trifluoromethyl-chloro-benzene	0.11	0.13
1114 	p-toluene isocyanate	0.93	1.06
1115 	3-(chloromethyl)-heptane*	0.88	0.95
1116 	cyclosiloxane D4; 
	 octamethylcyclotetrasiloxane*	0.00	0.00
1117 	cumene hydroperoxide; 1-methyl-
	 1-phenylethylhydroperoxide**	12.61	9.08
1118 	2,4-toluene diisocyanate*	0.00	0.00
1119 	2,6-toluene diisocyanate*	0.00	0.00
1120 	toluene diisocyanate (mixed 
	 isomers)*	0.00	0.00
1121 	molinate; S-ethyl hexahydro-1H-
	 azepine-1-carbothioate*	1.43	1.51
1122 	EPTC; S-ethyl dipropyl-
	 thiocarbamate*	1.58	1.67
1123 	triisopropanolamine*	2.60	2.70
1124 	dexpanthenol; pantothenylol**	9.35	6.15
1125 	pebulate; S-propyl butylethylthio-
	 carbamate*	1.58	1.67
1126 	cyclosiloxane D5; decamethyl-
	 cyclopentasiloxane*	0.00	0.00
1127 	thiobencarb; S-[4-chlorobenzyl] 
	 N,N-diethylthiolcarbamate*	0.65	0.68
1128 	methylene diphenylene 
	 diisocyanate	0.79	0.89
1129 	lauryl pyrrolidone*	0.89	0.94

	Complex Mixtures
1130 	base ROG mixture	3.71	3.60
1131 	kerosene*	1.46	1.62
1132 	oxo-tridecyl acetate	0.67	0.55
1133 	oxo-dodecyl acetate	0.72	0.59
1134 	oxo-decyl acetate	0.83	0.70
1135 	oxo-nonyl acetate	0.85	0.72
1136 	oxo-octyl acetate	0.96	0.81
1137 	oxo-heptyl acetate	0.97	0.83
1138 	oxo-hexyl acetate	1.03	0.86
1139 	turpentine*	4.12	4.28
1140 	soy methyl esters; alkyl C16-C18 
	 methyl esters*	1.52	1.58

*This reactive organic compound was added to the Table of MIR Values on October 2, 2010, and may be used in aerosol coating products after this date, as specified in section 94522(h)(2)(B), title 17, California Code of Regulations

**ULMIR (as defined in section 94521 (a)(71), title 17, California Code of Regulations.) 
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code. 
HISTORY

1. New subchapter 8.6, article 1 (sections 94700-94701) and section filed 6-18-2001; operative 7-18-2001 (Register 2001, No. 25).
2. Amendment filed 6-7-2004; operative 7-7-2004 (Register 2004, No. 24).
3. Repealer and new section filed 9-2-2010; operative 10-2-2010 (Register 2010, No. 36).
§94701. MIR Values for Hydrocarbon Solvents.
Note     •     History

(a) Aliphatic Hydrocarbon Solvents 

	Average 		MIR	MIR
	Boiling		Value	Value
 	Point*		(July 18, 	October 2,
Bin	(degrees F) 	Criteria	2001)	2010

1 	80-205	Alkanes (<2%Aromatics)	2.08	1.42
2	80-205	N- & Iso-Alkanes (³90% and 	
		<2% Aromatics)	1.59	1.31
3	80-205	Cyclo-Alkanes (³90% and 	2.52	1.63
		<2%Aromatics)
4	80-205	Alkanes (2 to <8%Aromatics)	2.24	1.47
5	80-205	Alkanes (8 to 22% Aromatics) 	2.56 	1.56
6 	>205-340 	Alkanes (<2% Aromatics)	1.41	1.17
7	>205-340 	N- & Iso-Alkanes (³90% and 	1.17	1.03
		<2%Aromatics)
8	>205-340	Cyclo-Alkanes (³90% and 	1.65	1.44
		<2%Aromatics)	
9	>205-340	Akanes (2 to <8% Aromatics) 	1.62	1.44
10	>205-340	Alkanes (8 to 22% Aromatics) 	2.03	1.98
11	>340-460	Alkanes (<2%Aromatics)	0.91	0.70
12	>340-460	N- & Iso-Alkanes (³90% and 	0.81	0.62
		<2%Aromatics)	
13	>340-460	Cyclo-Alkanes (³90% and 	1.01	0.86
		<2%Aromatics)
14	>340-460	Alkanes (2 to <8% Aromatics) 	1.21	0.99
15	>340-460	Alkanes (8 to 22% Aromatics) 	1.82	1.57
16	>460-580	Alkanes (<2%Aromatics)	0.57	0.52
17	>460-580	N- & Iso-Alkanes (³90% and 	0.51	0.48
		<2% Aromatics)
18	>460-580	Cyclo-Alkanes (³90% and 	0.63	0.60
		<2%Aromatics)	
19	>460-580	Alkanes (2 to <8% Aromatics) 	0.88	0.66
20 	>460-580 	Alkanes (8 to 22% Aromatics) 	1.49	0.95

*Average Boiling Point = (Initial Boiling Point + Dry Point) / 2 
(b) Aromatic Hydrocarbon Solvents 

			MIR	MIR 
	Boiling 		Value	Value
	Range		(July 18, 	October 2,
 Bin 	(degrees F) 	Criteria	2001)	2010

21 	280-290 	Aromatic Content (³98%) 	7.37 	7.64
22 	320-350 	Aromatic Content (³98%) 	7.51 	7.60
23 	355-420 	Aromatic Content (³98%) 	8.07 	6.85
24 	450-535 	Aromatic Content (³98%) 	5.00 	3.82
NOTE

Authority cited: Sections 39600, 39601 and 41712, Health and Safety Code. Reference: Sections 39002, 39600, 40000 and 41712, Health and Safety Code. 
HISTORY

1. New section filed 6-18-2001; operative 7-18-2001 (Register 2001, No. 25).
2. Amendment filed 9-2-2010; operative 10-2-2010 (Register 2010, No. 36).
Subchapter 8.7. Indoor Air Cleaning Devices
Article 1. Indoor Air Cleaning Devices
§94800. Applicability.
Note     •     History

Except as provided in Section 94803, this article shall apply to any person who manufactures, sells, supplies, offers for sale, or introduces into commerce in the state of California indoor air cleaning devices, including both medical and non-medical devices, used or intended for use in occupied spaces.
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code.
HISTORY

1. New subchapter 8.7 (article 1, sections 94800-94810), article 1 and section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
§94801. Definitions.
Note     •     History

(a) For the purpose of this article, the following definitions apply:
(1) “Air exchange rate” means the rate at which outdoor air replaces the volume of indoor air within a given space.
(2) “ANSI” means American National Standards Institute.
(3a) “ANSI/UL Standard 507” means the version of ANSI/UL Standard 507 for Safety for Electric Fans, Ninth Edition, published on September 27, 2007 by Underwriters Laboratories, Inc. (UL).
(3b) “ANSI/UL Standard 867” means the version of ANSI/UL Standard 867 for Electrostatic Air Cleaners, Fourth Edition, published on December 21, 2007 by Underwriters Laboratories, Inc. (UL), and the associated Certification Requirement Decisions published by UL on March 4, 2008; April 17, 2008; April 18, 2008; July 8, 2009; July 9, 2009; and November 23, 2009. 
(3c) “ANSI/UL Standard 484” means the version of the ANSI/UL Standard for Safety for Room Air Conditioners, Eighth Edition, dated December 21, 2007 with revisions through March 27, 2009, and most recently approved by ANSI on March 27, 2009. 
(3d) “ANSI/UL Standard 1278” means the version of ANSI/UL Standard for Safety for Movable and Wall- or Ceiling-Hung Electric Room Heaters, Third Edition, dated June 21, 2000 with revisions through July 30, 2008, and most recently approved by ANSI on July 30, 2008. 
(3e) “ANSI/UL Standard 1017” means the version of the ANSI/UL Standard for Safety for Vacuum Cleaners, Blower Cleaners, and Household Floor Finishing Machines, Seventh Edition, dated December 7, 2001 with revisions through June 15, 2006, and most recently approved by ANSI on June 15, 2006. 
(3f) “ANSI/UL Standard 1993” means the version of the ANSI/UL Standard for Safety for Self-Ballasted Lamps and Lamp Adapters, Third Edition, dated August 28, 2009. 
(4) “ARB” means the California Air Resources Board.
(5) “Certification mark” means the symbol used by a recognized testing organization to indicate that a representative sample of the product bearing the symbol meets certain quality or safety criteria. For this regulation the organizations of interest are the nationally recognized testing laboratories that verify compliance with the applicable ANSI/UL Standards for indoor air cleaning devices.
(6) “CCR” means the California Code of Regulations.
(7) “CFR” means the U. S. Code of Federal Regulations.
(8) “Concentration” means the amount of a specified substance in a unit amount of another substance. 
(9) “de minimis” refers to a quantity so little, small, miniscule or tiny that the law does not refer to it and will not consider it.
(10) “Distributor” means any person to whom an indoor air cleaning device is sold or supplied for the purposes of resale or distribution in commerce.
(11) “Emission” means the release or discharge of a substance into the environment.
(12) “Executive Officer” means the Executive Officer of the Air Resources Board or the Executive Officer's designee.
(13) “Half-life” means the time required for the concentration of a substance to be reduced to half of its initial value.
(14) “Indoor air cleaning device” means an energy-using product whose stated function is to reduce the concentration of airborne pollutants, including but not limited to allergens, microbes (e.g., bacteria, fungi, viruses, and other microorganisms), dusts, particles, smoke, fumes, gases or vapors, and odorous chemicals, from the air inside an enclosed space. Such devices include, but are not necessarily limited to, portable devices of any size intended for cleaning the air nearest a person, in a room of any size, in a whole house or building, or in a motor vehicle; and stand-alone devices designed to be attached to a wall, ceiling, post, or other indoor surface. 
(15) “Industrial use” or “industrial application” means the use of ozone in the following manner:
(A) purification of water in an industrial plant, water treatment facility, municipal water facility, or similar facility, and swimming pools and spas
(B) the destruction of microbes on produce in an agricultural processing plant, refrigerated transport truck, or related facility
(C) chemical oxidation and disinfection in the electronics, pharmaceutical, biotechnology and chemical industries
(D) bleaching and other processing purposes in the pulp and paper industry
(E) odor control from industrial stack gases or wastewater treatment facilities
(F) odor and smoke control in the hotel industry, provided no people are physically present
(G) mold remediation, provided no people are physically present
(H) fire and smoke damage remediation, provided no people are physically present
(I) odor control in the motor vehicle reconditioning and detailing industry provided no people are physically present.
(16) “Label” means an area containing the required statement in an easily readable format, separate from unrelated text. This is printing on the product packaging, or, for air cleaners sold prior to October 1, 2012 may be an adhesive sticker. 
(17) “Listing mark” means the symbol used by Underwriters Laboratories, Inc. to indicate that a representative sample of the product bearing the symbol meets certain UL safety criteria. The safety criteria are found in UL nationally recognized Standards 867 and 507 for air cleaning device safety, and where applicable in Standards 484, 1017, 1278 and 1993 for other appliances and devices.
(18) “Manufacturer” means any person who imports, manufactures, assembles, produces, or packages an indoor air cleaning device.
(19) “Medical device” means “device” as defined in subsection (h) of Section 321 of Title 21 of the United States Code. 
(20) “Mechanical filtration only” means removal of contaminants from air only via filtration with physical barrier, non-electronic techniques, i.e. air is forced through a filter medium. Materials used in the construction of the filter media may include substances such as activated charcoal, paper, foam, synthetics, ceramics, or natural fibers.
(21) “Model group” means indoor air cleaning devices sharing the same design, operational features, device output, and performance characteristics, and manufactured by the same manufacturer. Units in the same model group may be marketed under different brand names. Units that differ only in decorative treatments such as color, remote control, or other cosmetic features not related to ozone output would belong to the same model group.
(22) “NIST” means the U. S. National Institute of Standards and Technology.
(23) “Non-medical device” means any indoor air cleaning device that does not meet the definition of “medical device” above.
(24) “NRTL” means Nationally Recognized Testing Laboratory, as recognized by U. S. OSHA per section 1910.7 of Title 29 of the Code of Federal Regulations.
(25) “Occupied space” means an enclosed space intended to be occupied by people for extended periods of time, e.g., houses, apartments, hospitals and offices.
(26) “OSHA” means U. S. Occupational Safety and Health Administration.
(27) “Packaging” means the materials around the consumer or institutional product which serve only to contain, enclose, incorporate, deliver, dispense, wrap or store the product. “Packaging” includes any article onto or into which the principal display panel and other accompanying literature or graphics are incorporated, etched, printed or attached. “Packaging” does not refer to a secondary container used for shipping purposes.
(28) “ppm” is a unit of concentration measure meaning parts per million by volume. For the purposes of this regulation the volume considered is air and the substance of interest is ozone. 
(29) “Retailer” means any person who sells, supplies, or offers for sale, indoor air cleaning devices, directly to consumers.
(30) “Supply” means to make available for purchase or use.
(31) “UL” means Underwriters Laboratories, Inc.
(32) “U. S.” means United States of America. 
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code; 21 C.F.R. §801.415; 29 C.F.R. §1910.7; and 21 U.S.C. §321. 
HISTORY

1. Amendment of subsection (a)(3b), new section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
2. New subsections (a)(3c)-(a)(3f) and amendment of subsections (a)(16)-(17) and (a)(20) filed 9-9-2010; operative 10-9-2010 (Register 2010, No. 37).
§94802. Standards for Indoor Air Cleaning Devices.
Note     •     History

Except as provided in Section 94803 (Exclusions and Exemptions), title 17, California Code of Regulations, no person shall manufacture for use in California 24 months after the effective date of this regulation, or sell, supply, offer for sale, or introduce into commerce, any indoor air cleaning device for use or intended for use in occupied spaces unless the device is certified by ARB to produce an ozone emission concentration not exceeding 0.050 ppm, as specified in Section 94804; is labeled as required in Section 94806; meets all requirements of this article; and continues to meet all requirements of this article, including the ozone emissions limit as determined by the test procedure in Section 94805. 
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code; and 21 C.F.R. §801.415.
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
§94803. Exclusions and Exemptions.
Note     •     History

(a) Industrial use: The provisions of this article do not apply to indoor air cleaning devices manufactured, advertised, marketed, labeled, and used solely for industrial use as defined in Section 94801(a)(15) above, provided that they are marketed solely through industrial supply outlets or businesses and prominently labeled as “Solely for industrial use. Potential health hazard: emits ozone.” 
(b) In-duct systems: Air cleaning devices designed, marketed, and used solely as a physically integrated part of a central heating, air conditioning, or ventilating system, such as an “in-duct system,” are exempt from this regulation. 
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code.
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
§94804. Certification Requirements.
Note     •     History

(a) Each manufacturer of an indoor air cleaning device subject to Section 94802 is required to submit an application for certification to the ARB Executive Officer, P.O. Box 2815, Sacramento, CA 95812, Attn: Indoor Air Cleaning Device Certification. Information submitted on the certification application must be true and correct. Applications may be submitted by a professional association or certification organization on behalf of a manufacturer, as long as all required information and signatures from the manufacturer and test laboratory representatives are included. Upon verification of compliance with the test methods described in Section 94805, from a laboratory meeting the performance specifications in Section 94805(d), the ARB will issue an Executive Order that the indoor air cleaning device has completed certification for sale of the device within California. Certification will be granted to manufacturers, who have the responsibility to comply with all provisions of this article. 
(b) Any indoor air cleaning device using only mechanical filtration for pollutant removal is exempt from the testing requirement for the ozone emission standard of 0.050 ppm as determined in Section 94805, based on their known de minimis ozone emissions. Verification of this mechanical-filtration-only exclusion from ozone emission testing will be made by the ARB Executive Officer based on the submission of product design specifications and documentation by the manufacturer, distributor, or retailer. Documentation to the ARB shall include a description of the air cleaning performance technology employed, as well as a block diagram and schematic of the model. Indoor air cleaning devices qualifying as “mechanical filtration only” devices shall be certified under ANSI/UL Standard 507, which is hereby incorporated by reference as defined in Section 94801. Multi-function devices that include an air cleaning component that would qualify as “mechanical filtration only” but would normally be tested for their electrical safety under another ANSI/UL Standard shall be tested for electrical safety under the applicable ANSI/UL Standard. Mechanical filtration only devices certified to ANSI/UL Standard 507 or to another applicable ANSI/UL Standard for their electrical safety prior to the enactment of this regulation are eligible for certification without further testing provided documentation of compliance with ANSI/UL Standard 507 or the relevant ANSI/UL Standard is submitted and the model continues to comply with requirements of that standard. To be certified under this regulation, manufacturers of such indoor air cleaning devices must submit the information required in Sections 94804(c)(1) through 94804(c)(3) below, and Sections 94804(c)(4)(A) and 94804(c)(4)(F) below. These products are still subject to the labeling requirements specified in Sections 94806(b) and 94806(d). 
(c) The application for certification of air cleaning devices other than those covered in Section 94804(b) above must include the information in subsections (c)(1) through (c)(5) below, and any other information deemed necessary by the ARB Executive Officer. If the requested information is not applicable to the indoor air cleaning device in question, the applicant must indicate “not applicable”. If the Executive Officer concurs with the applicant's judgment, the Executive Officer may waive the requirement to provide the information requested. 
(1) Manufacturer name, mailing address, physical address, phone number, email address, and website, and name and phone number of the primary contact person for purposes of this certification;
(2) Applicant or representative name, mailing address, physical address, phone number, and email address, if different from manufacturer;
(3) Indoor air cleaning device information:
(A) Brand name
(B) Model name
(C) Model number
(D) Serial number of devices submitted for testing (where applicable)
(E) Manufacture date of devices submitted for testing
(F) Model group, and other models included in model group, where applicable 
(G) Discussion of the principles of operation and design
(H) Device schematics depicting operation
(I) Maintenance requirements
(J) Operations manual, if available
(K) Marketing materials, if available
(4) Indoor air cleaning device test information:
(A) Test facility identification and proof of current Nationally Recognized Testing Laboratory (NRTL) accreditation
(B) Ozone emission concentrations for all units tested, as measured according to Section 94805, including both the 24-hour measurement as well as information regarding whether any transitory measurements exceeded 0.050 ppm
(C) Whether a device failed the ozone emission test for any reason during final certification testing, and if so, the reason (e.g., excess transitory excursions, motor failure during the test, device not received with packaging intact, electrical part overheated/unsafe to continue, etc.)
(D) Chain of custody of test device(s)
(E) Statement from the testing laboratory that the ozone emissions were determined in accordance with the protocols in the December 21, 2007 Revision of Section 37 of ANSI/UL Standard 867, and the associated Certification Requirement Decisions published by UL.
(F) Notification by a testing laboratory or certification organization of compliance with the electrical safety provisions of ANSI/UL Standard 867, ANSI/UL Standard 507, or other applicable ANSI/UL Standard, where applicable, for all units tested.
(5) Any additional information the laboratory needs to communicate.
(d) A written notification will be provided within 30 days of receipt indicating whether the certification application has been accepted for review or, if incomplete, what additional information is required. Within 30 days after application acceptance, written notification of certification approval or disapproval will be provided. These time periods may be extended by the Executive Officer if deemed necessary because of extenuating circumstances.
(e) Notification must be provided to the Executive Officer within 30 days if the indoor air cleaning device fails any post-certification testing conducted to verify compliance with ANSI/UL Standard 867 or ANSI/UL Standard 507, whichever is applicable.
(f) ARB may revoke certification for any device deemed noncompliant in the future when tested according to procedures described in Section 94805, or if any other ARB certification requirements are no longer met.
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code; and 21 C.F.R. §801.415. 
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
2. Amendment of subsections (b) and (c)(4)(E)-(F) filed 9-9-2010; operative 10-9-2010 (Register 2010, No. 37).
§94805. Test Method.
Note     •     History

(a) For the purpose of compliance with this regulation only a single model of indoor air cleaning device within a model group, if one exists, must be evaluated under the test methods. 
(b) Testing to determine compliance with the requirements of this article, shall be performed following the ANSI/UL Standard 867 or ANSI/UL Standard 507, whichever is applicable, in their entirety, which are hereby incorporated by reference as defined in Section 94801. Appliances with a primary purpose other than air cleaning that include an air cleaning component that meets the definition of an indoor air cleaning device given in Section 94801 shall meet the applicable ANSI/UL electrical safety standard for its primary purpose, including ANSI/UL Standards 484, 1017, 1278, and 1993, which are hereby incorporated by reference as defined in Sections 94801(a)(3c), 94801(a)(3e), 94801(a)(3d), and 94801(a)(3f), respectively. 
(c) Ozone emissions will be determined using Section 37 of ANSI/UL Standard 867 and the associated Certification Requirement Decisions, which are hereby incorporated by reference as defined in Section 94801. 
(d) Testing of indoor air cleaning devices must be conducted by a laboratory currently recognized as an NRTL by the U. S. Occupational Safety and Health Administration (OSHA), to perform testing for the entire ANSI/UL Standard 867, ANSI/UL Standard 507, or other UL or ANSI/UL Standard, as applicable. If included within its scope of recognition, such an NRTL may also utilize OSHA Supplemental Programs #2, 3, 4, 5, and 6, as published in Volume 60, Federal Register, pages 12980 to 12985 (March 9, 1995), which is hereby incorporated by reference, for the ANSI/UL Standard 507, 867, or other electrical safety testing required in this regulation. Additionally, if included within its scope of recognition, an NRTL may also utilize OSHA Supplemental Program 10 (also called Satellite Notification and Acceptance Program, or “SNAP”) as published in Volume 74, Federal Register, pages 923 to 927 (January 9, 2009) for the electrical safety testing, including use of test data from Programs 2 through 6 where qualified and overseen by a Program 10 (SNAP) facility. However, the ANSI/UL Standard 867 Section 37 ozone testing required in this regulation may only be performed by an NRTL or an NRTL utilizing a Supplemental Program 2 testing laboratory that has passed an ARB audit to verify their ability to accurately perform the ozone emissions testing procedure as described in ANSI/UL Standard 867 Section 37. The ARB audit may include, and is not necessarily limited to, review of written test protocol operating procedures, test chamber and analyzer configuration, background ozone measurements, air exchange rate, ozone half-life test results, equipment calibration and maintenance records, and other related information; and an onsite review. The audit may also include a requirement for annual submittal of internal audit reports on the ANSI/UL Standard 867 Section 37 test protocol and the performance of the chamber(s) in which ANSI/UL Standard 867 Section 37 tests are conducted, and any related follow up internal audit reports.
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code.
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
2. Amendment of subsections (b) and (d) filed 9-9-2010; operative 10-9-2010 (Register 2010, No. 37).
§94806. Labeling and Safety Mark Requirements.
Note     •     History

(a) All indoor air cleaning devices are required to display an ozone emissions certification label [as defined in Section 94801(a)(16)] on the product packaging after completion of requirements of Section 94804 prior to sale in California, unless satisfying the requirements for exemption as specified in Section 94803. Indoor air cleaning devices submitted to an approved laboratory for certification testing within 12 months of the effective date of this regulation, but unable to obtain certification pursuant to Section 94804 by the end of the 18th month after the effective date of this regulation, shall be allowed an additional 180 days after the postmark date of notification of product certification by ARB to meet the labeling requirements of this section. Indoor air cleaning devices that have been certified by October 18, 2010 may still be sold without the required labeling on the package until October 18, 2011, and may use an adhesive label until October 1, 2012. 
(b) For non-medical devices, the label shall be at least 1 inch by 2 inches in size, easily readable, and shall state “This air cleaner complies with the federal ozone emissions limit. ARB certified” in bold type whose uppercase letters are not less than 3 mm high. 
(c) For medical devices, the label shall be in compliance with federal law, including Section 801.415 of Title 21 of the Code of Federal Regulations. The label shall also state “ARB certified”.
(d) All indoor air cleaning devices (both medical and non-medical) are required to display the ANSI/UL Standard 867 safety certification or listing mark on the device, consistent with the ANSI/UL Standard 867 requirements of the appropriate NRTL safety certification organization, after completion of requirements of Sections 94804 and 94805 and prior to sale in California, unless the device satisfies the requirements for exemption as specified in Section 94803. Devices qualifying as “mechanical filtration only” devices as described in Section 94801(a)(20) and Section 94804(b) shall display the ANSI/UL Standard 507 certification mark.
(e) Any indoor air cleaning device for non-industrial use that is advertised or sold via the Internet or by catalog but that has not been certified according to Section 94804 must display the following advisory in a prominent place on the primary web pages, catalog pages, and related materials where such device is advertised or displayed for sale: “Does not meet California requirements; cannot be shipped to California.”
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code; and 21 C.F.R. §§801 and 801.415.
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
2. Amendment of subsection (a) filed 9-9-2010; operative 10-9-2010 (Register 2010, No. 37).
§94807. Notice to Distributors, Retailers, and Sellers.
Note     •     History

Within 12 months of the effective date of this regulation, manufacturers of indoor air cleaning devices manufactured, sold, supplied, offered for sale, or introduced into commerce in California must submit documentation that they have provided to all of their known distributors, retailers, and sellers true and accurate copies of the final regulation adopted by the ARB and filed with the California Secretary of State. Accepted documentation of a mailed notification will include a hard copy of the materials mailed and the associated mailing list with complete contact information for each address submitted to the ARB Executive Officer. Accepted documentation of an email notification will include a copy of the email and the complete contact information for each email address submitted to the ARB Executive Officer. Such information may be kept confidential upon request as specified in Sections 91000 et seq. of title 17, chapter 1, subchapter 4 (Disclosure of Records) of the California Code of Regulations. For new distributors, retailers and sellers who become known to manufacturers after manufacturers' initial notification to their distributors and retailers, manufacturers must provide similar notice to them and provide contact information to the ARB. Non-compliance with this provision may result in rejection or revocation of certification. 
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code; and Sections 91000 et seq. of Title 17, Chapter 1, Subchapter 4 of the California Code of Regulations. 
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
§94808. Recordkeeping Requirements.
Note     •     History

Manufacturers, distributors, retailers, sellers, and test laboratories are required to maintain production, quality control, sales, or testing records for products sold, supplied, offered for sale, introduced into commerce, or manufactured for sale within California for at least three years, and to make them available to the ARB upon request. Such information may be kept confidential upon request as specified in Sections 91000 et seq. of title 17, chapter 1, subchapter 4 (Disclosure of Records) of the California Code of Regulations. 
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code; and Sections 91000 et seq. of Title 17, Chapter 1, Subchapter 4 of the California Code of Regulations.
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
§94809. Rejection, Revocation, Recall, and Penalties.
Note     •     History

An application for certification may be denied, or a certification may be revoked or suspended, for failure to comply with any provision of this article. If the Executive Officer determines that a violation of this article has occurred, he or she may order that the products involved in or affected by the violation be recalled and replaced with products that comply with this article. In the event of a violation of this article, all other penalties authorized by law apply as well. 
NOTE

Authority cited: Sections 41986 and 42300 et seq., Health and Safety Code. Reference: Sections 41985, 41985.5 and 41986, Health and Safety Code.
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
§94810. Severability.
Note     •     History

Each part of this article shall be deemed severable, and in the event that any part of this article is held to be invalid, the remainder of this article shall continue in full force and effect.
NOTE

Authority cited: Section 41986, Health and Safety Code. Reference: Sections 1985, 41985.5 and 41986, Health and Safety Code.
HISTORY

1. New section filed 9-18-2008; operative 10-18-2008 (Register 2008, No. 38).
Subchapter 9. Conflict of Interest Code
Article 1. General Provisions
§95000. Incorporation by Reference of Standard Conflict of Interest Code.
Note     •     History

The Political Reform Act, Government Code Sections 81000, et seq., requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted a regulation, 2 Cal.  Code  of Regs. Section 18730, which contains the terms of a standard Conflict of Interest Code which can be incorporated by reference into the Conflict of Interest Code of a state agency. The regulation may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of 2 Cal. Code of Regs. Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated herein by reference and, along with the following Appendix in which officials and employees are designated and disclosure categories are set forth, constitute the Conflict of Interest Code of the California Air Resources Board.
Designated employees shall file statements of economic interests with the person designated to perform this function for the agency who shall make the statements available for public inspection and reproduction. Upon receipt of the statements of the Board Members and the Executive Officer of the Air Resources Board, said person shall make and retain a copy and forward the original of these statements to the Fair Political Practices Commission.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 87300 and 87306, Government Code. Reference: Sections 87300, 87301, 87302 and 87500, Government Code; Section 18730 of Title 2, California Code of Regulations.
HISTORY

1. Repealer of subchapter 9 (articles 1-5, sections 95000-95040, not consecutive) and new Subchapter 9 (articles 1-2, sections 95000-95007) filed 11-24-81; effective thirtieth day thereafter (Register 81, No. 48). For prior history, see Register 76, No. 52.
2. Amendment filed 9-12-91; operative 10-14-91 (Register 92, No. 6).
3. Amendment of second paragraph and Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
4. Amendment of final paragraph filed 7-5-2006; operative 8-4-2006. Approved by Fair Political Practices Commission 1-26-2005 (Register 2006, No. 27).
Article 2. Appendix: Designated Employees and Disclosure Categories
§95001. Professional Employees.
Note     •     History

For purposes of the following disclosure categories, persons at all levels of the following employment classifications are deemed to be professional employees:
Analysts
Biostatisticians
Chemists
Engineers
Field Representatives
Managers
Meteorologists
Officers
Programmers
Spectroscopists
Specialists
Supervisors, excluding Auto Emissions Test Supervisors
Toxicologists
Transportation Planners
Writers
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 87300 and 87306, Government Code. Reference: Sections 82019 and 87302, Government Code.
HISTORY

1. Amendment filed 1-18-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-13-84 (Register 85, No. 3).
2. Amendment filed 9-12-91; operative 10-14-91 (Register 92, No. 6).
3. Amendment of section and Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
4. Amendment filed 8-19-97; operative 9-18-97. Submitted to OAL for printing only (Register 97, No. 34).
5. Amendment filed 7-17-2001; operative 8-16-2001. Approved by Fair Political Practices Commission 5-21-2001 (Register 2001, No. 29).
6. Amendment filed 7-5-2006; operative 8-4-2006. Approved by Fair Political Practices Commission 1-26-2005 (Register 2006, No. 27).
§95002. Category I.
Note     •     History

(a) This Category applies to: Air Resources Board Members, the Advisors to the Board, members of the Scientific Review Panel on Toxic Air Contaminants, members of the Scientific Advisory Committee on Acid Deposition, members of the Research Screening Committee, Executive Officer, Chief Deputy Executive Officer, Deputy Executive Officers, all Special Office Chiefs, all Division Chiefs and Assistant Division Chiefs, all Administrative Law Judges, all Staff Attorneys, all professional employees, special assistants and special consultants* attached to the Chair's Office and to the Executive Office, Branch Chiefs of the Administrative Services Division, and the Training Section Manager, the Contracts Manager, Contracts Analysts, Procurement Officers, Business Services Officer Supervisors, and Business Management Analysts.
(b) Every person in this Category must report: all investments, all interests in real property, all sources of income including gifts, loans, and travel payments, and his or her status as a director, officer, partner, trustee, employee, or holder of any position of management in any business entity.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 82019, 87300 and 87306, Government Code. Reference: Sections 82019 and 87302, Government Code.
HISTORY

1. Amendment filed 1-18-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-13-84 (Register 85, No. 3).
2. Amendment of subsection (a) filed 4-1-86; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 2-4-86 (Register 86, No. 14).
3. Amendment of subsection (a) filed 9-12-91; operative 10-14-91 (Register 92, No. 6).
4. Amendment of subsection (a) and Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
5. Amendment of subsection (a) filed 8-19-97; operative 9-18-97. Submitted to OAL for printing only (Register 97, No. 34).
6. Amendment of subsection (a) filed 7-17-2001; operative 8-16-2001. Approved by Fair Political Practices Commission 5-21-2001 (Register 2001, No. 29).
7. Amendment filed 7-5-2006; operative 8-4-2006. Approved by Fair Political Practices Commission 1-26-2005 (Register 2006, No. 27).

---------
*With respect to consultants, however, the Executive Officer may determine in writing that a particular consultant, although a “designated person,” is hired to perform a range of duties that are limited in scope and thus is not required to comply with the disclosure requirements described in this section. Such determination shall include a description of the consultant's duties and, based upon the description, a statement of the extent of the disclosure requirements. A copy of the written determination shall be retained at the Offices of the Air Resources Board and made available for public inspection. Nothing herein excuses any consultant from any other provision of this Conflict of Interest Code. (This footnote applies to consultants in all disclosure categories, as indicated by the asterisks in the following sections.)
§95003. Category II.
Note     •     History

(a) This Category applies to: Members of the Abrasive Blasting Committee and all professional employees in and special consultants* attached to the Stationary Source Division.
(b) Every person in this Category must report: all investments in, income, including gifts, loans, and travel payments from, and his or her status as a director, officer, partner, trustee, employee, or holder of any position of management,
(1) in any business entity which is subject to any laws of the State of California, or regulations promulgated by the Air Resources Board, relating to the control of air pollution from nonvehicular sources, or subject to any rules or regulations promulgated by any local air pollution control district;
(2) in any business entity of the type which has contracted with the Board to provide services, supplies, materials, machinery, instrumentation, or equipment to the Board;
(3) in any business entity, including a construction company, which is regularly engaged in the development of or investment in real property in California; and
(4) in any business entity which is regularly engaged in the preparation of environmental impact reports or environmental impact statements.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 87300 and 87306, Government Code. Reference: Sections 82019 and 87302, Government Code.
HISTORY

1. Amendment filed 1-18-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-13-84 (Register 85, No. 3).
2. Amendment of subsection (a) filed 4-1-86; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 2-4-86 (Register 86, No. 14).
3. Amendment of subsection (a) filed 9-12-91; operative 10-14-91 (Register 92, No. 6).
4. Amendment of  Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
5. Amendment of subsection (b)(2) filed 8-19-97; operative 9-18-97. Submitted to OAL for printing only (Register 97, No. 34).
6. Amendment of subsections (a)-(b) filed 7-5-2006; operative 8-4-2006. Approved by Fair Political Practices Commission 1-26-2005 (Register 2006, No. 27).
§95004. Category III.
Note     •     History

(a) This Category applies to: All professional employees in and special consultants* attached to the Research Division.
(b) Every person in this Category must report: all investments in, income, including gifts, loans, and travel payments from, and his or her status as a director, officer, partner, trustee, employee, or holder of any position of management,
(1) in any business entity which is subject to any laws of the State relating to the control of air pollution from vehicular or nonvehicular sources, or which is subject to any rules or regulations promulgated either by the Air Resources Board or by any local air pollution control district; and
(2) in any business entity involved in activities relating to air pollution research, the development of air pollution control strategies or any activity which for the past two years has been the subject of a board research proposal, bid or contract.
(c) In addition, employees in this category must report any income, including gifts, loans, and travel payments, from any non-profit institution involved in activities relating to air pollution research, the development of air pollution control strategies or any activity which for the past two years has been the subject of a board research proposal, bid or contract.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 87300 and 87306, Government Code. Reference: Sections 82019 and 87302, Government Code.
HISTORY

1. Amendment of subsection (b) filed 1-18-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-13-84 (Register 85, No. 3).
2. Amendment of subsection (a) filed 4-1-86; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 2-4-86 (Register 86, No. 14).
3. Amendment of subsection (b) and Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
4. Amendment filed 7-5-2006; operative 8-4-2006. Approved by Fair Political Practices Commission 1-26-2005 (Register 2006, No. 27).
§95005. Category IV.
Note     •     History

(a) This Category applies to: All professional employees in and special consultants* attached to the Enforcement Division, the Planning and Technical Support Division, the Office of Information Services, and the Monitoring and Laboratory Division.
(b) Every person in this Category must report: all investments in, income, including gifts, loans, and travel payments from, and his or her status as a director, officer, partner, trustee, employee, or holder of any position of management, in any business entity which is subject to any laws of the State of California relating to the control of air pollution from vehicular or nonvehicular sources, or which is  subject to any rules or regulations promulgated either by the Air Resources Board or by any local air pollution control district.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 87300 and 87306, Government Code. Reference: Sections 82019 and 87302, Government Code.
HISTORY

1. Amendment of subsection (a) filed 1-18-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-13-84 (Register 85, No. 3).
2. Amendment of subsection (a) filed 9-12-91; operative 10-14-91 (Register 92, No. 6).
3. Amendment of subsection (a) and Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
4. Amendment of subsection (a) filed 7-17-2001; operative 8-16-2001. Approved by Fair Political Practices Commission 5-21-2001 (Register 2001, No. 29).
5. Amendment filed 7-5-2006; operative 8-4-2006. Approved by Fair Political Practices Commission 1-26-2005 (Register 2006, No. 27).
6. Amendment of subsection (a) filed 7-8-2008; operative 8-7-2008. Approved by Fair Political Practices Commission 6-6-2008 (Register 2008, No. 28). 
§95006. Category V.
Note     •     History

(a) This Category applies to: All professional employees in and special consultants* attached to the Mobile Source Operations Division and the Mobile Source Control Division.
(b) Every person in this Category must report: all investments in, income, including gifts, loans, and travel payments from, and his or her status as a director, officer, partner, trustee, employee, or holder of any position of management,
(1) in any business entity associated with the manufacture, distribution, sale, leasing, repair, or (except for entities associated solely with the news media) the advertisement of motor vehicles, vehicular emission control devices or equipment, or vehicle after market parts or vehicle fuels or fuel additives which may affect emissions; and
(2) in any business entity of the type which has contracted within the previous two years with the Board to provide services, supplies, materials, machinery, instrumentation, or equipment to the Board.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 87300 and 87306, Government Code. Reference: Sections 82019 and 87302, Government Code.
HISTORY

1. Amendment of subsection (a) filed 1-18-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-13-84 (Register 85, No. 3).
2. Amendment of subsection (a) filed 9-12-91; operative 10-14-91 (Register 92, No. 6).
3. Amendment of subsection (b)(2) and Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
4. Amendment of subsection (a) filed 8-19-97; operative 9-18-97. Submitted to OAL for printing only (Register 97, No. 34).
5. Amendment of subsections (a)-(b) filed 7-5-2006; operative 8-4-2006. Approved by Fair Political Practices Commission 1-26-2005 (Register 2006, No. 27).
§95007. Advisory Committees.
Note     •     History

The Board finds that all members of advisory groups or committees appointed by the Board pursuant to Health and Safety Code Section 39603, perform a solely advisory function, and hence are not “designated employees” within the meaning of this Code, and are therefore exempt from the requirements of this Code.
NOTE

Authority cited: Sections 39600 and 39601, Health and Safety Code; Sections 87300 and 87306, Government Code. Reference: Sections 82019 and 87302, Government Code.
HISTORY

1. Amendment filed 4-1-86; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 2-4-86 (Register 86, No. 14).
2. Amendment of section and Note filed 6-20-95; operative 7-20-95. Submitted to OAL for printing only pursuant to Government Code section 11346.2 (Register 95, No. 25).
Subchapter 10. Climate Change
This subchapter contains regulations to implement the California Global Warming Solutions Act of 2006 (Stats. 2006; Chapter 488; Health and Safety Code sections 38500 et seq.)
HISTORY

1. New subchapter 10 (articles 1-2, sections 95100-95133 and Appendix A) filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
Article 1. [Reserved]
Article 2. Mandatory Greenhouse Gas Emissions Reporting
Subarticle 1. General Requirements for Greenhouse Gas Reporting
§95100. Purpose and Scope.
Note     •     History

(a) The purpose of this article is to establish mandatory greenhouse gas (GHG) reporting, verification, and other requirements for operators of certain facilities that directly emit GHGs, suppliers of certain fuels and carbon dioxide, electric power entities, verifiers of GHG emissions data reports and offset project data reports submitted pursuant to the cap-and-trade regulation, and verification bodies. This article is designed to meet the requirements of section 38530 of the Health and Safety Code, and to support GHG emissions inventory and regulatory programs of the California Air Resources Board. 
(b) Organization of this Article. Subarticle 1 specifies general requirements for the reporting of GHG emissions that apply to all reporting entities listed in section 95101. Subarticle 2 specifies reporting requirements and calculation methods for specific types of facilities and entities. Subarticle 3 specifies additional requirements for reported data, including procedures for the substitution for missing data. Subarticle 4 specifies verification requirements for GHG emissions data reports, requirements for those who provide verification services for GHG reporting entities, and accreditation requirements for verifiers of emissions data reports and offset project data reports. Subarticle 5 specifies reporting requirements and calculation methods for petroleum and natural gas production, processing, and storage facilities.
(c) U.S. EPA GHG Reporting Rule. This article incorporates various provisions of title 40, Code of Federal Regulations (CFR), Part 98. These provisions are a portion of the U.S. Environmental Protection Agency (U.S. EPA) Final Rule on Mandatory Reporting of Greenhouse Gases. Unless otherwise specified, references in this article to 40 CFR Part 98 are to those requirements promulgated by U.S. EPA and published in the Federal Register on October 30, 2009, July 12, 2010, September 22, 2010, October 28, 2010, November 30, 2010, December 17, 2010, and April 25, 2011.
(d) Except as otherwise specifically provided:
(1) Wherever the term “Administrator” is used in the federal rules referred to in this article, the term “Executive Officer of the California Air Resources Board” or “Executive Officer” shall be substituted.
(2) Wherever the term “EPA” is used in the federal rules referred to in this article, the term “California Air Resources Board” or “ARB” shall be substituted.
(3) In cases where the owner and operator of a facility or a supplier are not the same party, the operator is responsible for compliance with this article.
(4) For purposes of reporting GHG emissions in California, reporting entities must follow the requirements of this article where any incorporated provisions of 40 CFR Part 98 or Part 75 appear in conflict with it.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New article 2 (subarticles 1-4, sections 95100-95133 and Appendix A) and section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Relocation and amendment of subarticle 1 heading from preceding section 95102 to precede section 95100, amendment of section heading and section and repealer and new Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95101. Applicability.
Note     •     History

(a) General Applicability. 
(1) This article applies to the following entities:
(A) Operators of facilities located in California with source categories included in Tables A-3 or A-4 of 40 CFR Part 98, and operators of facilities with emissions from stationary fuel combustion or geothermal electricity generation, subject to the limitations of this section:
1. Facilities with source categories in Table A-3 are subject to this article regardless of emissions level.
2. Facilities with source categories in Table A-4 are subject to this article when stationary combustion emissions equal or exceed 10,000 metric tons CO2e for 2012 or a later calendar year.
3. Facilities with source categories in Table A-4 are also subject to this article when emissions from all applicable source categories in paragraph (b) of this section equal or exceed 25,000 metric tons CO2e, for 2011 or a later calendar year. 
(B) Suppliers of fuels provided for consumption within California that are specified below in subsection (c); 
(C) Carbon dioxide suppliers as specified below in subsection (c), including CO2 producers regardless of quantity produced, and CO2 importers and exporters when bulk imports or exports equal or exceed 10,000 metric tons for 2011 or a later calendar year;
(D) Electric power entities as specified below in subsection (d); and,
(E) Operators of petroleum and natural gas systems as specified below in subsection (e). 
(2) Any reporting entity that fits into one or more of the categories in subsection (a)(1) above for calendar year 2011 or later must submit an emissions data report for that year and for subsequent calendar years, except as provided in the report cessation provisions of subsection (h) of this section. The emissions data report must cover all source categories and GHGs for which calculation methods are provided or referenced in this article for the reporting entity. Except as otherwise specified in this article, the report must be compiled using the methods specified by source category in 40 CFR Part 98.
(3) Verifiers and Verification Bodies. In addition to the reporting entities specified in subsection (a)(1) above, this article contains requirements for entities acting as verification bodies and individuals acting as third party verifiers of emissions data reports and offset project data reports. These requirements are specified in sections 95130 through 95133 of this article.
(b) Calculating GHG Emissions Relative to Thresholds. For industrial facilities for which an emissions-based applicability threshold is specified in 40 CFR §98.2, the operator must calculate emissions for comparison to applicable thresholds using the requirements of 40 CFR §98.2(b)-(c), except as specified below. 
(1) For the purpose of computing emissions relative to the 25,000 metric ton CO2e threshold specified in section 95812 of the cap-and-trade regulation, operators must include all covered emissions.
(2) For the purpose of computing emissions relative to the 10,000 metric ton CO2e threshold for reporting applicability, operators must include emissions of CO2, CH4 and N2O from stationary combustion sources, but may exclude process, vented, and fugitive emissions from the estimate.
(3) Facilities with only stationary combustion emissions are subject to reporting according to the requirements of 40 CFR §98.2(a)(3), except that the thresholds for reporting in California are 10,000 metric tons of CO2e and an aggregate maximum heat input capacity of 12 MMBtu/hr or greater.
(4) Notwithstanding 40 CFR §98.2(b)(2), operators of facilities and suppliers must include emissions of CO2 from the combustion of biomass and other biofuels when determining applicability relative to thresholds for emissions reporting and cessation of reporting.
(5) Operators of geothermal generating units must report when total facility emissions of CO2 and CH4 equal or exceed 10,000 metric tons of CO2e. 
(c) Fuel and Carbon Dioxide Suppliers. The suppliers listed below, as defined in section 95102(a), are required to report under this article when they produce, import and/or deliver an annual quantity of fuel that, if completely combusted, oxidized, or used in other processes, would result in the release of greater than or equal to 10,000 metric tons of CO2e in California, unless otherwise specified in this article:
(1) Position holders at terminals and refineries delivering petroleum fuels and/or biomass-derived fuels, as described in section 95121; 
(2) Enterers that import petroleum fuels outside the bulk transfer/terminal system, as described in section 95121; 
(3) All refiners that produce liquefied petroleum gas, without regard to quantities, as described in section 95121;
(4) Operators of interstate pipelines delivering natural gas, as described in section 95122;
(5) California consignees of liquefied petroleum gas, as described in section 95122;
(6) Local distribution companies who are public utility gas corporations or publicly-owned natural gas utilities delivering natural gas, as described in section 95122;
(7) Operators of intrastate pipelines delivering natural gas as described in section 95122;
(8) All natural gas liquid fractionators, without regard to quantities produced, as described in section 95122;
(9) All producers of carbon dioxide without regard to quantity produced, and importers and exporters of carbon dioxide with annual bulk imports into or exports from California of 10,000 metric tons or more, as described in section 95123.
(d) Electric Power Entities. The entities listed below are required to report under this article: 
(1) Electricity importers and exporters, as defined in section 95102(a); 
(2) Retail providers, including multi-jurisdictional retail providers, as defined in section 95102(a);
(3) California Department of Water Resources (DWR);
(4) Western Area Power Administration (WAPA);
(5) Bonneville Power Administration (BPA).
(e) Petroleum and Natural Gas Systems. The facility types listed below, as further specified in section 95150, are required to report under this article when their stationary combustion emissions equal or exceed 10,000 metric tons of CO2e, or their stationary combustion, process, and vented emissions equal or exceed 25,000 metric tons of CO2e. 
(1) Offshore petroleum and natural gas production facilities;
(2) Onshore petroleum and natural gas production facilities, as defined in section 95102;
(3) Onshore natural gas processing plants; 
(4) Onshore natural gas transmission compression facilities;
(5) Underground natural gas storage facilities;
(6) Liquefied natural gas storage facilities;
(7) Liquefied natural gas import and export facilities; 
(8) Natural gas distribution facilities. 
(f) Exclusions. This article does not apply to, and greenhouse gas emissions reporting is not required for:
(1) Electricity generating facilities that are solely powered by nuclear, hydroelectric, wind, or solar energy, unless on-site stationary combustion emissions equal or exceed 10,000 metric tons of CO2e;
(2) Generating units designated as backup or emergency generators in a permit issued by an air pollution control district or air quality management district;
(3) Fire suppression systems and equipment;
(4) Portable equipment, except where specifically required to report under 40 CFR Part 98 or this article;
(5) Primary and secondary schools with a NAICS code of 611110;
(6) Fugitive methane emissions from municipal solid waste landfills described in 40 CFR Part 98, Subpart HH;
(7) Fugitive methane and fugitive nitrous oxide emissions from livestock manure management systems described in 40 CFR Part 98, Subpart JJ, regardless of the magnitude of emissions produced;
(8) The emissions source categories specified in 40 CFR Part 98, Subparts E, F, G, I, K, L, O, R, T, X, Z, BB, CC, DD, EE, FF, GG, II, LL, OO, QQ, SS and TT. However, a reporting entity who after the effective date of this article commences an industrial process identified in one of these subparts must notify the Executive Officer within 90 days of beginning that new process;
(9) Agricultural irrigation pumps.
(g) Demonstration of Nonapplicability. The Executive Officer may request a demonstration from any operator, supplier, or entity that the operator, supplier, or entity does not meet one or more of the applicability criteria specified in this article. Such demonstration must be provided to the Executive Officer within 20 days of receipt of a written request.
(h) Cessation of Reporting. Except as otherwise specified below, a facility operator or supplier whose emissions fall below the applicable emissions reporting thresholds of this article and who wishes to cease annual reporting must comply with 40 CFR §98.2(i). The operator or supplier must provide the letter notifications specified in 40 CFR §98.2(i) to the address indicated in section 95103 of this article. For purposes of this article:
(1) Wherever 40 CFR §98.2(i)(1) states “25,000 metric tons of CO2e per year,” the phrase “10,000 metric tons of CO2e per year” shall be substituted, and reporting shall be required for three years rather than five years. 
(2) In cases of permanent shutdown as specified in 40 CFR §98.2(i)(3), a reporter must submit an emissions data report for the year in which a facility or supplier's GHG-emitting processes and operations ceased to operate, and for the first full year of non-operation that follows.
(3) The verification requirements of this article do not apply to the first full year of non-operation following a permanent shutdown, but continue to apply to prior emissions data reports.
(4) Electric power entities that import or export electricity in 2011 or 2012 must continue to submit an emissions data report through the 2014 data year, the end of the first compliance period. Electric power entities that import or export electricity in any year of a subsequent compliance period must continue to submit an emissions data report through the end of the same compliance period. Electric power entities no longer importing or exporting electricity at the beginning of a subsequent compliance period are not required to submit an emissions data report pursuant to this article, but must notify the Executive Officer in writing of the reason(s) for cessation of reporting.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95102. Definitions.
Note     •     History

(a) For the purposes of this article, the following definitions shall apply:
(1) “Accuracy” means the closeness of the agreement between the result of the measurement and the true value of the particular quantity (or a reference value determined empirically using internationally accepted and traceable calibration materials and standard methods), taking into account both random and systematic factors. 
(2) “Acid gas” means hydrogen sulfide (H2S) and/or carbon dioxide (CO2) contaminants that are separated from sour natural gas by an acid gas removal. 
(3) “Acid gas removal unit (AGR)” means a process unit that separates hydrogen sulfide and/or carbon dioxide from sour natural gas using liquid or solid absorbents or membrane separators.
(4) “Acid gas removal vent stack emissions” mean the acid gas separated from the acid gas absorbing medium (e.g., an amine solution) and released with methane and other light hydrocarbons to the atmosphere or a flare.
(5) “Adverse emissions data verification statement” means a verification statement rendered by a verification body attesting that the verification body cannot say with reasonable assurance that the submitted emissions data report is free of material misstatement and is in conformance with section 95131(b)(9) for the emissions data.
(6) “Adverse product data verification statement” means a verification statement rendered by a verification body attesting that the verification body cannot say with reasonable assurance that the submitted emissions data report is free of material misstatement and is in conformance with section 95131(b)(9) for the product data. 
(7) “Adverse verification statement” means a verification statement rendered by a verification body attesting that the verification body cannot say with reasonable assurance that the submitted emissions data report is free of material misstatement and is in conformance with section 95131(b)(9). This definition applies to the adverse emissions data verification statement and the adverse product data verification statement.
(8) “Agricultural waste” means waste produced on land used for horticulture, fruit growing, seed growing, dairy farming, livestock breeding and keeping, or grazing land, meadow land, osier land (growing willow), market gardens and nursery grounds as a result of agricultural activity.
(9) “Air dried ton of paper” means paper with 6% moisture content.
(10) “Annual” means with a frequency of once a year; unless otherwise noted, annual events such as reporting requirements will be based on the calendar year.
(11) “API” means the American Petroleum Institute.
(12) “AQMD/APCD” or “air district” means air quality management district or air pollution control district.
(13) “ARB” means the California Air Resources Board.
(14) “ARB offset credit” is as defined in the cap-and-trade regulation.
(15) “Artificial island” is a plot of land or other structure constructed on a body of water to support onshore petroleum or natural gas production. 
(16) “Asphalt” means a dark brown-to-black cement-like material obtained by petroleum processing and containing bitumens as the predominant component. It includes crude asphalt as well as the following finished products: cements, fluxes, the asphalt content of emulsions (exclusive of water), and petroleum distillates blended with asphalt to make cutback asphalts.
(17) “Asset-controlling supplier” means any entity that owns or operates electricity generating facilities or serves as an exclusive marketer for certain generating facilities even though it does not own them, and is assigned a supplier-specific identification number and specified source emission factor by ARB for the wholesale electricity procured from its system and imported into California. Bonneville Power Administration (BPA) is recognized by ARB as an asset-controlling supplier.
(18) “Assigned emissions level” means an amount of emissions, in CO2e, assigned to the reporting entity by the Executive Officer under the requirements of section 95103(g).
(19) “Associated gas” or “produced gas” means a natural gas that is produced from gas wells or gas produced in association with the production of crude oil.
(20) “ASTM” means the American Society of Testing and Materials.
(21) “Authorized project designee” means an entity authorized by an Offset Project Operator to act on behalf of the Offset Project Operator. 
(22) “Aviation gasoline” means a complex mixture of volatile hydrocarbons, with or without additives, suitably blended to be used in aviation reciprocating engines. Specifications can be found in ASTM Specification D910-07a, “Standard Specification for Aviation Gasolines” (2007).
(23) “Balancing authority” means the responsible entity that integrates resource plans ahead of time, maintains load-interchange-generation balance within a balancing authority area, and supports interconnection frequency in real time.
(24) “Balancing authority area” means the collection of generation, transmission, and loads within the metered boundaries of a balancing authority. A balancing authority maintains load-resource balance within this area.
(25) “Barrel” means a volume equal to 42 U.S. gallons.
(26) “Barrel of oil equivalent,” with respect to reporting of oil and gas production, means barrels of crude oil produced, plus associated gas produced converted to barrels at 5.8 MMBtu per barrel.
(27) “Basin” means geological provinces as defined by the American Association of Petroleum Geologists (AAPG) Geologic Note: AAPG-CSD Geological Provinces Code Map: AAPG Bulletin, Prepared by Richard F. Meyer, Laurie G. Wallace, and Fred J. Wagner, Jr., Volume 75, Number 10 (October 1991), which is hereby incorporated by reference.
(28) “Best available data and methods” means ARB methods for emissions calculations set forth in this article where reasonably feasible, or facility fuel use and other facility process data used in conjunction with ARB-provided emission factors and other data, or other industry standard methods for calculating greenhouse gas emissions.
(29) “Bias” means systematic error, resulting in measurements that will be either consistently low or high relative to the reference value. 
(30) “Bigeneration unit” means a unit that simultaneously generates electricity and useful thermal energy from the same fuel source but without waste heat recovery. An example of bigeneration includes a boiler generating steam that is split into two streams, and one stream powers a steam turbine to generate electricity, while the other stream is used for other industrial, commercial, heating and cooling purposes that are not in support of or a part of the electricity generation system.
(31) “Biodiesel” means a diesel fuel substitute produced from nonpetroleum renewable resources that meet the registration requirements for fuels and fuel additives established by the U.S. Environmental Protection Agency under section 211 of the Clean Air Act. It includes biodiesel that is all of the following:
(A) Registered as a motor vehicle fuel or fuel additive under 40 CFR Part 79;
(B) A mono-alkyl ester;
(C) Meets American Society for Testing and Material designation ASTM D 6751-08 “Standard Specification for Biodiesel Fuel Blendstock (B100) for Middle Distillate Fuels” (2008), which is hereby incorporated by reference;
(D) Intended for use in engines that are designated to run on conventional diesel fuel; and
(E) Derived from nonpetroleum renewable resources.
(32) “Biogas” means gas that is produced from the breakdown of organic material in the absence of oxygen. Biogas is produced in processes including anaerobic digestion, anaerobic decomposition, and thermochemical decomposition. These processes are applied to biodegradable biomass materials, such as manure, sewage, municipal solid waste, green waste, and waste from energy crops, to produce landfill gas, digester gas, and other forms of biogas.
(33) “Biogenic portions of CO2 emissions” means carbon dioxide emissions generated as the result of biomass combustion from combustion units. 
(34) “Biomass” means non-fossilized and biodegradable organic material originating from plants, animals and micro-organisms, including products, byproducts, residues and waste from agriculture, forestry and related industries as well as the non-fossilized and biodegradable organic fractions of industrial and municipal wastes, including gases and liquids recovered from the decomposition of non-fossilized and biodegradable organic material. For the purpose of this article, biomass includes both California Renewable Portfolio Standard (RPS) eligible and non-eligible biomass as defined by the California Energy Commission.
(35) “Biomass-derived fuels” or “biomass fuels” or “biofuels” or “biomass-based fuels” means fuels derived from biomass.
(36) “Biomethane” means biogas that meets pipeline quality natural gas standards.
(37) “Blendstocks” are petroleum products used for blending or compounding into finished motor gasoline. These include RBOB (reformulated blendstock for oxygenate blending) and CBOB (conventional blendstock for oxygenate blending), but exclude oxygenates, butane, and pentanes plus.
(38) “Blowdown” means the act of emptying or depressurizing a vessel. This may also refer to the discarded material such as blowdown water from a boiler or cooling tower. 
(39) “Blowdown vent stack emissions” mean natural gas and/or CO2 released due to maintenance and/or blowdown operations including compressor blowdown and emergency shut-down (ESD) system testing. 
(40) “Bone dry short ton” means an amount of material that weighs 2,000 pounds at zero percent moisture content.
(41) “Bottom ash” means ash that collects at the bottom of a combustion chamber.
(42) “Bottoming cycle” means a type of cogeneration system in which the energy input to the system is first applied to a useful thermal energy application or process, and at least some of the reject heat emerging from the application or process is then used for electricity production.
(43) “British thermal unit” or “Btu” means the quantity of heat required to raise the temperature of one pound of water by one degree Fahrenheit at about 39.2 degrees Fahrenheit.
(44) “Bulk transfer/terminal system” means a fuel distribution system consisting of refineries, pipelines, vessels, and terminals.
(45) “Busbar” means a power conduit of a facility with electricity generating units that serves as the starting point for the electricity transmission system.
(46) “Business-as-usual scenario” means the set of conditions reasonably expected to occur within the offset project boundary in the absence of the financial incentives provided by offset credits, taking into account all current laws and regulations, as well as current economic and technological trends.
(47) “Butane” or “n-Butane” is a paraffinic straight-chain hydrocarbon with molecular formula C4H10.
(48) “Bypass dust” means discarded dust from the bypass system dedusting unit of suspension preheater, precalciner and grate preheater kilns, consisting of fully calcined kiln feed material.
(49) “Calcination” means the thermal decomposition of carbonate minerals, such as calcium carbonate (the principal mineral in limestone) to form calcium oxide in a cement kiln.
(50) “Calcine” means to heat a substance so that it oxidizes or reduces.
(51) “Calcium ammonium nitrate solution” means calcium nitrate that contains ammonium nitrate and water. Calcium ammonium nitrate solution is generally used as agricultural fertilizer.
(52) “Calendar year” means the time period from January 1 through December 31.
(53) “California balancing authority” means a balancing authority with control over a balancing authority area primarily located in the State of California. A California balancing authority is responsible for the operation of the transmission grid within its metered boundaries which may extend beyond the geographical boundaries of the State of California.
(54) “California Climate Action Registry” or “CCAR” means the entity established pursuant to former Health and Safety Code Section 42800 et seq.
(55) “California consignee” means the person or entity in California to whom the shipment is to be delivered.
(56) “California Energy Commission” or “CEC” means the California Energy Resources Conservation and Development Commission.
(57) “Cap-and-trade regulation” or “cap-and-trade program” means ARB's regulation establishing the California Cap on Greenhouse Gas Emissions and Market-Based Compliance Mechanisms set forth in title 17, California Code of Regulations, Chapter 1, Subchapter 10, article 5 (commencing with section 95800).
(58) “Carbon dioxide” or “CO2” means the most common of the six primary greenhouse gases, consisting on a molecular level of a single carbon atom and two oxygen atoms.
(59) “Carbon dioxide equivalent” or “CO2 equivalent” or “CO2e” means the number of metric tons of CO2 emissions with the same global warming potential as one metric ton of another greenhouse gas. For the purposes of this article, global warming potential values listed in Table A-1 of 40 CFR Part 98 are used to determine the CO2 equivalent of emissions.
(60) “Carbon dioxide supplier” means: (a) facilities with production process units located in the State of California that capture a CO2 stream for purposes of supplying CO2 for commercial applications or that capture the CO2 stream in order to utilize it for geologic sequestration where capture refers to the initial separation and removal of CO2 from a manufacturing process or any other process, (b) facilities with CO2 production wells located in the State of California that extract or produce a CO2 stream for purposes of supplying CO2 for commercial applications or that extract a CO2 stream in order to utilize it for geologic sequestration, (c) exporters (out of the State of California) of bulk CO2 that export CO2 for the purpose of geologic sequestration, (d) exporters (out of the State of California) of bulk CO2 that export for purposes other than geologic sequestration, and (e) importers (into the State of California) of bulk CO2. This source category is focused on upstream supply and is not intended to place duplicative compliance obligations on CO2 already covered upstream. The source category does not include transportation or distribution of CO2, purification, compression or processing of CO2, or on-site use of CO2 captured on-site. 
(61) “Carbonate” means compounds containing the radical CO3-2. Upon calcination, the carbonate radical decomposes to evolve carbon dioxide (CO2). Common carbonates consumed in the mineral industry include calcium carbonate (CaCO3) or calcite; magnesium carbonate (MgCO3) or magnesite; and calcium-magnesium carbonate (CaMg(CO3)2) or dolomite.
(62) “Carbonate-based raw material” means any of the following materials used in the manufacture of glass: Limestone, dolomite, soda ash, barium carbonate, potassium carbonate, lithium carbonate, and strontium carbonate.
(63) “Catalyst” means a substance added to a chemical reaction, which facilitates or causes the reaction, and is not consumed by the reaction. 
(64) “Cement” means a building material that is produced by heating mixtures of limestone and other minerals or additives at high temperatures in a rotary kiln to form clinker, followed by cooling and grinding with blended additives. Finished cement is a powder used with water, sand and gravel to make concrete and mortar.
(65) “Cement kiln dust” or “CKD” means the fine-grained, solid, highly alkaline waste removed from cement kiln exhaust gas by air pollution control devices. CKD consists of partly calcined kiln feed material and includes all dust from cement kilns and bypass systems including bottom ash and bypass dust.
(66) “Centrifugal compressor” means any equipment that increases the pressure of a process natural gas or CO2 by centrifugal action, employing rotating movement of the driven shaft.
(67) “Certification” or “certify” refers to the procedure in 40 CFR §98.4(e), as required for reports submitted to ARB under this article.
(68) “Chain of title” means the sequence of historical transfers of title to a fuel from the producer to the reporting entity.
(69) “City gate” means a location at which natural gas ownership or control passes from one party to another, neither of which is the ultimate consumer. In this article, in keeping with common practice, the term refers to a point or measuring station at which a local gas distribution utility receives gas from a natural gas pipeline company or transmission system. Meters at the city gate station measure the flow of natural gas into the local distribution company system and typically are used to measure local distribution company system sendout to customers. 
(70) “Clinker” means the mass of fused material produced in a cement kiln from which finished cement is manufactured by milling and grinding.
(71) “CO2 weighted tonne” or “CWT” means a metric created to evaluate the greenhouse gas efficiency of petroleum refineries and related processes, stated in units of metric tons. The CWT value for an individual refinery is calculated using actual refinery throughput to specified process units and emission factors for these process units. The emission factor is denoted as the CWT factor and is representative of the greenhouse gas emission intensity at an average level of energy efficiency, for the same standard fuel type for each process unit for production, and for average process emissions of the process units across a sample of refineries. Each CWT factor is expressed as a value weighted relative to crude distillation.
(72) “Coal” means all solid fuels classified as anthracite, bituminous, sub-bituminous, or lignite by the American Society for Testing and Materials Designation ASTM D388-05 “Standard Classification of Coals by Rank” (2005), which is hereby incorporated by reference.
(73) “Coal bed methane” or “CBM” means natural gas which is extracted from underground coal deposits or “beds.”
(74) “Cogeneration” means an integrated system that produces electric energy and useful thermal energy for industrial, commercial, or heating and cooling purposes, through the sequential or simultaneous use of the original fuel energy. Cogeneration must involve generation of electricity and useful thermal energy and some form of waste heat recovery. Some examples of cogeneration include: (a) a gas turbine or reciprocating engine generating electricity by combusting fuel, which then uses a heat recovery unit to capture useful heat from the exhaust stream of the turbine or engine; (b) Steam turbines generating electricity as a byproduct of steam generation through a fired boiler; (c) Cogeneration systems in which the fuel input is first applied to a thermal process such as a furnace and at least some of the heat rejected from the process is then used for power production. For the purposes of this article, a combined-cycle power generation unit, where all of the generated steam is used for electricity generation, is not considered a cogeneration unit.
(75) “Cogeneration system” means individual cogeneration components including the prime mover (heat engine), generator, heat recovery, and electrical interconnection, configured into an integrated system that provides sequential or simultaneous generation of multiple forms of useful energy (usually mechanical and thermal), at least one form of which the facility consumes on-site or makes available to other users for an end-use other than electricity generation.
(76) “Cogeneration unit” means a unit that produces electric energy and useful thermal energy for industrial, commercial, or heating and cooling purposes, through the sequential or simultaneous use of the original fuel energy and waste heat recovery. 
(77) “Coke (petroleum)” means a solid residue consisting mainly of carbon which results from the cracking of petroleum hydrocarbons in processes such as coking and fluid coking. This includes catalyst coke deposited on a catalyst during the refining process which must be burned off in order to regenerate the catalyst.
(78) “Cold rolled and annealed steel sheet” means steel that is cold rolled and then annealed. Cold rolling means the changes in the structure and shape of steel through rolling, hammering or stretching the steel at a low temperature. Annealing is a heat or thermal treatment process by which a previously cold-rolled steel coil is made more suitable for forming and bending. The steel sheet is heated to a designated temperature for a sufficient amount of time and then cooled.
(79) “Cold rolling of steel” means the changes in the structure and shape of steel through rolling, hammering or stretching the steel at a low temperature.
(80) “Combustion emissions” means greenhouse gas emissions occurring during the exothermic reaction of a fuel with oxygen.
(81) “Combustion source” means a source of emissions resulting from combustion. 
(82) “Commercial propane” means liquefied petroleum gas that has a wide mixture of gases that can sustain combustion as defined by ASTM D1835-05 “Standard Specification for Liquefied Petroleum (LP) Gases” (2005), which is hereby incorporated by reference.
(83) “Compliance instrument” is as defined in the cap-and-trade regulation. 
(84) “Compliance obligation” means the quantity of verified reported emissions or assigned emissions for which an entity must submit compliance instruments to ARB.
(85) “Compliance offset protocol” means an offset protocol adopted by the Board.
(86) “Compliance period” means the period for which the compliance obligation is calculated for covered entities pursuant to the cap-and-trade regulation.
(87) “Component” for the purposes of sections 95150 to 95157 of this article means each metal to metal joint or seal of non-welded connection separated by a compression gasket, screwed thread (with or without thread sealing compound), metal to metal compression, or fluid barrier through which natural gas or liquid can escape to the atmosphere.
(88) “Compressor” means any machine for raising the pressure of a natural gas or CO2 by drawing in low pressure natural gas and discharging significantly higher pressure natural gas or CO2.
(89) “Condensate” means hydrocarbon and other liquid, including both water and hydrocarbon liquids, separated from natural gas that condenses due to changes in the temperature, pressure, or both, and remains liquid at storage conditions.
(90) “Conflict of interest” means a situation in which, because of financial or other activities or relationships with other persons or organizations, a person or body is unable or potentially unable to render an impartial verification statement of a potential client's greenhouse gas emissions data report, or the person or body's objectivity in performing verification services is or might be otherwise compromised.
(91) “Consignee” means the same as “California consignee.” 
(92) “Container Glass pulled” means the quantity of glass removed from the melting furnace in the container glass manufacturing process where “container glass” is defined as glass products used for packaging.
(93) “Continuous bleed” means a continuous flow of pneumatic supply gas to the process measurement device (e.g. level control, temperature control, pressure control) where the supply gas pressure is modulated by the process condition, and then flows to the valve controller where the signal is compared with the process set-point to adjust gas pressure in the valve actuator.
(94) “Continuous emissions monitoring system” or “CEMS” means the total equipment required to obtain a continuous measurement of a gas concentration or emission rate from combustion or industrial processes.
(95) “Conventional wells” mean gas wells in producing fields that do not employ hydraulic fracturing to produce commercially viable quantities of natural gas.
(96) “Covered emissions” mean all emissions included in a compliance obligation under sections 95852 through 95852.2 of the cap-and-trade regulation, regardless of whether the cap-and-trade regulation imposes a compliance obligation for the data year.
(97) “Cracking” means the process of breaking down larger molecules into smaller molecules, utilizing catalysts and/or elevated temperatures and pressures.
(98) “Crude oil” means a mixture of hydrocarbons that exists in the liquid phase in natural underground reservoirs and remains liquid at atmospheric pressure after passing through surface separating facilities. Depending upon the characteristics of the crude stream, it may also include any of the following:
(A) Small amounts of hydrocarbons that exist in gaseous phase in natural underground reservoirs but are liquid at atmospheric conditions (temperature and pressure) after being recovered from oil well (casing-head) gas in lease separators and are subsequently commingled with the crude stream without being separately measured. Lease condensate recovered as a liquid from natural gas wells in lease or field separation facilities and later mixed into the crude stream is also included.
(B) Small amounts of non-hydrocarbons, such as sulfur and various metals.
(C) Drip gases, and liquid hydrocarbons produced from tar sands, oil sands, gilsonite, and oil shale.
(D) Petroleum products that are received or produced at a refinery and subsequently injected into a crude supply or reservoir by the same refinery owner or operator.
Liquids produced at natural gas processing plants are excluded. Crude oil is refined to produce a wide array of petroleum products, including heating oils; gasoline, diesel and jet fuels; lubricants; asphalt; ethane, propane, and butane; and many other products used for their energy or chemical content.
(99) “Customer” means a purchaser of electricity not for the purposes of retransmission or resale.
(100) “Data year” means the calendar year in which emissions occurred.
(101) “De minimis” means those emissions reported for a source or sources that are calculated using alternative methods selected by the operator, subject to the limits specified in section 95103(i).
(102) “Dehydrator” means a device in which a liquid absorbent (including desiccant, ethylene glycol, diethylene glycol, or triethylene glycol) directly contacts a natural gas stream to absorb water vapor.
(103) Delayed coking” means a process by which heavier crude oil fractions are thermally decomposed under conditions of elevated temperature and pressure to produce a mixture of lighter oils and petroleum coke.
(104) “Delivered electricity” means electricity that was distributed from a PSE and received by a PSE or electricity that was generated, transmitted, and consumed.
(105) “Desiccant” means a material used in solid-bed dehydrators to remove water from raw natural gas by adsorption or absorption. Desiccants include activated alumina, palletized calcium chloride, lithium chloride and granular silica gel material. Wet natural gas is passed through a bed of the granular or pelletized solid adsorbent or absorbent in these dehydrators. As the wet gas contacts the surface of the particles of desiccant material, water is adsorbed on the surface or absorbed and dissolves the surface of these desiccant particles. Passing through the entire desiccant bed, almost all of the water is adsorbed onto or absorbed into the desiccant material, leaving the dry gas to exit the contactor.
(106) “Designated representative” means the person responsible for certifying, signing, and submitting the GHG emissions data report.
(107) “Diesel fuel” means Distillate Fuel No. 1 and Distillate Fuel No. 2, including dyed and nontaxed fuels.
(108) “Direct delivery of electricity” or “directly delivered” means electricity that meets any of the following criteria:
(A) The facility has a first point of interconnection with a California balancing authority; 
(B) The facility has a first point of interconnection with distribution facilities used to serve end users within a California balancing authority area; 
(C) The electricity is scheduled for delivery from the specified source into a California balancing authority via a continuous transmission path from interconnection of the facility in the balancing authority in which the facility is located to a final point of delivery located in the state of California; or
(D) There is an agreement to dynamically transfer electricity from the facility to a California balancing authority. 
(109) “Distillate fuel oil” means a classification for one of the petroleum fractions produced in conventional distillation operations and from crackers and hydrotreating process units. The generic term distillate fuel oil includes kerosene, kerosene-type jet fuel, diesel fuels (Diesel Fuels No. 1, No. 2, and No. 4), and fuel oils (Fuel Oils No. 1, No. 2, and No. 4).
(110) “Distillate Fuel No. 1” has a maximum distillation temperature of 550oF at the 90 percent recovery point and a minimum flash point of 100oF and includes fuels commonly known as Diesel Fuel No. 1 and Fuel Oil No. 1, but excludes kerosene. This fuel is further subdivided into categories of sulfur content: High Sulfur (greater than 500 ppm), Low Sulfur (less than or equal to 500 ppm and greater than 15 ppm), and Ultra Low Sulfur (less than or equal to 15 ppm).
(111) “Distillate Fuel No. 2” has a minimum and maximum distillation temperature of 540oF and 640oF at the 90 percent recovery point, respectively, and includes fuels commonly known as Diesel Fuel No. 2 and Fuel Oil No. 2. This fuel is further subdivided into categories of sulfur content: High Sulfur (greater than 500 ppm), Low Sulfur (less than or equal to 500 ppm and greater than 15 ppm), and Ultra Low Sulfur (less than or equal to 15 ppm).
(112) “Distillate Fuel No. 4” is a distillate fuel oil made by blending distillate fuel oil and residual fuel oil, with a minimum flash point of 131oF.
(113) “Dolime” is calcined dolomite.
(114) “Dry gas” means a natural gas that is produced from gas wells not associated with the production of crude oil.
(115) “E&P Tank” means E&P Tank Version 2.0 for Windows software, copyright 1996-1999 by the American Petroleum Institute and the Gas Research Institute (published 2000).
(116) “EIA” means the Energy Information Administration. The Energy Information Administration (EIA) is a statistical agency of the United States Department of Energy.
(117) “Electric arc furnace” or “EAF” means a furnace that produces molten steel and heats the charge materials with electric arcs from carbon electrodes. Furnaces that continuously feed direct-reduced iron ore pellets as the primary source of iron are not affected facilities within the scope of this definition.
(118) “Electricity exporter” means marketers and retail providers that deliver exported electricity. For electricity delivered between balancing authority areas, the entity that exports electricity is identified on the NERC e-Tag as the purchasing-selling entity (PSE) on the last segment of the tag's physical path, with the point of receipt located inside the state of California and the point of delivery located outside the state of California.
(119) “Electricity generating facility” means a facility that generates electricity and includes one or more generating units at the same location. 
(120) “Electricity generating unit” or “EGU” means any combination of physically connected generator(s), reactor(s), boiler(s), combustion turbine(s), or other prime mover(s) operated together to produce electric power. An EGU may include a unit that generate electricity from fuel combustion or from other renewable energy sources, such as solar and wind. 
(121) “Electricity importers” are marketers and retail providers that deliver imported electricity. For electricity delivered between balancing authority areas, the electricity importer is identified on the NERC e-Tag as the purchasing-selling entity (PSE) on the last segment of the tag's physical path with the point of receipt located outside the state of California and the point of delivery located inside the state of California. For facilities physically located outside the state of California with the first point of interconnection to a California balancing authority's transmission and distribution system, the importer is the facility operator or scheduling coordinator. Federal and state agencies are subject to the regulatory authority of ARB under this article and include Western Area Power Administration (WAPA), Bonneville Power Administration (BPA), and California Department of Water Resources (DWR). 
(122) “Electricity generating facility” means generating facility.
(123) “Electricity wheeled through California” or “wheeled electricity” means electricity that is generated outside the state of California and delivered into California with the final point of delivery outside California. Electricity wheeled through California is documented on a single NERC e-Tag showing the first point of receipt located outside the state of California, an intermediate point of delivery located inside the state of California, and the final point of delivery located outside the state of California. 
(124) “Eligible renewable energy resource” is as defined in section 95802(a) of the cap-and-trade regulation.
(125) “Emission factor” means a unique value for determining an amount of a greenhouse gas emitted for a given quantity of activity (e.g., metric tons of carbon dioxide emitted per barrel of fossil fuel burned.)
(126) “Emissions” means the release of greenhouse gases into the atmosphere from sources and processes in a facility, including from the combustion of transportation fuels such as natural gas, petroleum products, and natural gas liquids.
(127) “Emissions data report” or “greenhouse gas emissions data report” or “report” means the report prepared by an operator or supplier each year and submitted by electronic means to ARB that provides the information required by this article.
(128) “Emissions data verification statement” means the final statement rendered by a verification body attesting whether a reporting entity's emissions data in their emissions data report is free of material misstatement, and whether the emissions data conforms to the requirements of this article.
(129) “End user” means a final purchaser of an energy product, such as electricity, thermal energy, or natural gas not for the purposes of retransmission or resale. In the context of natural gas consumption, an “end user” is the point to which natural gas is delivered for consumption. 
(130) “Enforceable” means the authority for ARB to hold a particular party liable and to take appropriate action if any of the provisions of this article are violated. 
(131) “Engineering estimation,” for the purposes of sections 95150 to 95157 of this article, means an estimate of emissions based on engineering principles applied to measured and/or approximated physical parameters such as dimensions of containment, actual pressures, actual temperatures, and compositions.
(132) “Enhanced oil recovery” or “EOR” means the use of certain methods such as steam (thermal EOR), water flooding or gas injection into existing wells to increase the recovery of crude oil from a reservoir. In the context of this rule, EOR also applies to injection of critical phase carbon dioxide into a crude oil reservoir to enhance the recovery of oil.
(133) “Enterer” means an entity that imports into California motor vehicle fuel, diesel fuel, fuel ethanol, biodiesel, non-exempt biomass-derived fuel or renewable fuel and who is the importer of record under federal customs law or the owner of fuel upon import into California if the fuel is not subject to federal customs law. 
(134) “Entity” means a person, firm, association, organization, partnership, business trust, corporation, limited liability company, company, or government agency. 
(135) “Equipment” means any stationary article, machine, or other contrivance, or combination thereof, which may cause the issuance or control the issuance of air contaminants; equipment shall not mean portable equipment, tactical support equipment, or electricity generators designated as backup generators in a permit issued by an air pollution control district or air quality management district.
(136) “Equipment leak” means those emissions which could not reasonably pass through a stack, chimney, vent, or other functionally-equivalent opening.
(137) “Equipment leak detection” means the process of identifying emissions from equipment, components, and other sources.
(138) “Ethane” is a paraffinic hydrocarbon with molecular formula C2H6. 
(139) “Exchange agreement” means a commitment between electricity market participants to swap energy for energy. Exchange transactions do not involve transfers of payment or receipts of money for the full market value of the energy being exchanged, but may include payment for net differences due to market price differences between the two parts of the transaction or to settle minor imbalances.
(140) “Exclusive marketer” means a marketer that has exclusive rights to market electricity for a generating facility or group of generating facilities.
(141) “Executive Officer” means the Executive Officer of the California Air Resources Board, or his or her delegate.
(142) “Exported electricity” means electricity generated inside the state of California and delivered to serve load located outside the state of California. This includes electricity delivered from a first point of receipt inside California, to the first point of delivery outside California, with a final point of delivery outside the state of California. Exported electricity delivered across balancing authority areas is documented on NERC e-Tags with the first point of receipt located inside the state of California and the final point of delivery located outside the state of California. Exported electricity does not include electricity generated inside the state of California then transmitted outside of California, but with a final point of delivery inside the state of California. Exported electricity does not include electricity generated inside the state of California that is allocated to serve the California retail customers of a multi-jurisdictional retail provider, consistent with a cost allocation methodology approved by the California Public Utilities Commission and the utility regulatory commission of at least one additional state in which the multi-jurisdictional retail provider provides retail electric service. 
(143) “External combustion” means fired combustion in which the flame and products are separated from contact with the process fluid to which the energy is delivered. Process fluids may be air, hot water, or hydrocarbons. External combustion equipment may include fired heaters, industrial boilers, and commercial and domestic combustion units.
(144) “Facility” means any physical property, plant, building, structure, source, or stationary equipment located on one or more contiguous or adjacent properties in actual physical contact or separated solely by a public roadway or other public right-of-way and under common ownership or common control, that emits or may emit any greenhouse gas. Operators of military installations may classify such installations as more than a single facility based on distinct and independent functional groupings within contiguous military properties.
(145) “Feedstock” means the raw material supplied to a process.
(146) “Fiberglass glass pulled” means the quantity of glass removed from the melting furnace in the fiberglass manufacturing process where “fiberglass” is defined as insulation products for thermal, acoustic and fire applications manufactured using glass.
(147) “Field,” in the context of oil and gas systems, means oil and gas fields defined by the Energy Information Administration Oil and Gas Field Code Master List 2008, DOE/EIA 0370(08), January 2009, which is hereby incorporated by reference.
(148) “Flare” means a combustion device, whether at ground level or elevated, that uses an open flame to burn combustible gases with combustion air provided by uncontrolled ambient air around the flame. 
(149) “Flare combustion” means unburned hydrocarbons including CH4, CO2, and N2O emissions resulting from the incomplete combustion of gas in flares.
(150) “Flare combustion efficiency” means the fraction of hydrocarbon gas, on a volume or mole basis, that is combusted at the flare burner tip. 
(151) “Flare stack emissions” means CO2 and N2O from partial combustion of hydrocarbon gas sent to a flare plus CH4 emissions resulting from the incomplete combustion of hydrocarbon gas in flares.
(152) “Flash point” of a volatile liquid is the lowest temperature at which it can vaporize to form an ignitable mixture in air. 
(153) “Flat glass pulled” means the quantity of glass removed from the melting furnace in the flat glass manufacturing process where “flat glass” is defined as glass initially manufactured in a sheet form.
(154) “Flow monitor” means a component of the continuous emission monitoring system that measures the volumetric flow of exhaust gas.
(155) “Fluid catalytic cracking unit” or “FCCU” means a process unit in a refinery in which petroleum derivative feedstock is charged and fractured into smaller molecules in the presence of a catalyst, or reacts with a contact material to improve feedstock quality for additional processing, and in which the catalyst or contact material is regenerated by burning off coke and other deposits. The unit includes, but is not limited to, the riser, reactor, regenerator, air blowers, spent catalyst, and all equipment for controlling air pollutant emissions and recovering heat. 
(156) “Fluid coking” means a thermal cracking process utilizing the fluidized-solids technique to remove carbon (coke) for continuous conversion of heavy, low-grade oils into lighter products.
(157) “Fluorinated greenhouse gas” means sulfur hexafluoride (SF6), nitrogen trifluoride (NF3), and any fluorocarbon except for controlled substances as defined at 40 CFR Part 82, subpart A, (May 1995), which is hereby incorporated by reference, and substances with vapor pressures of less than 1 mm of Hg absolute at 25oC. With these exceptions, “fluorinated GHG” includes any hydrofluorocarbon, any perfluorocarbon, any fully fluorinated linear, branched or cyclic alkane, ether, tertiary amine or aminoether, any perfluoropolyether, and any hydrofluoropolyether.
(158) “Forest-derived wood and wood waste” means wood harvested pursuant to the California Forest Practice Rule, Title 14, California Code of Regulations, Chapters 4, 4.5, and 10 or pursuant to the National Environmental Policy Act.
(159) “Fossil fuel” means natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material.
(160) “Fractionates” means the process of separating natural gas liquids into their constituent liquid products.
(161) “Fractionator” means plants that produce fractionated natural gas liquids (NGLs) extracted from produced natural gas and separate the NGLs individual component products: ethane, propane, butanes and pentane-plus (C5+). Plants that only process natural gas but do not fractionate NGLs further into component products are not considered fractionators. Some fractionators do not process production gas, but instead fractionate bulk NGLs received from natural gas processors. Some fractionators both process natural gas and fractionate bulk NGLs received from other plants.
(162) “Fuel” means solid, liquid or gaseous combustible material. Volatile organic compounds burned in destruction devices are not fuels unless they can sustain combustion without use of a pilot fuel, and such destruction does not result in a commercially useful end product.
(163) “Fuel analytical data” means data collected about fuel usage (including mass, volume, and flow rate) and fuel characteristics (including heating value, carbon content, and molecular weight) to support emissions calculation.
(164) “Fuel characteristic data” means, for the purpose of this article, properties of a fuel used for calculating GHG emissions including carbon content, high heat value, and molecular weight.
(165) “Fuel combusting electricity generating or cogeneration unit” means an electricity generating unit, which may include a cogeneration or bigeneration unit, that produces electricity from fuel combustion.
(166) “Fuel ethanol” means ethanol that meets ASTM D-4806-08 “Standard Specification for Denatured Fuel Ethanol for Blending with Gasolines for Use as Automotive Spark-Ignition Engine Fuel” (2008), specifications, which is hereby incorporated by reference, for blending with gasolines for use as automotive spark-ignition engine fuel.
(167) “Fuel flowmeter system” means a monitoring system which provides a continuous record of the flow rate of fuel oil or gaseous fuel. A fuel flowmeter system consists of one or more fuel flowmeter components, all necessary auxiliary components (e.g., transmitters, transducers, etc.), and a data acquisition and handling system (DAHS).
(168) “Fuel production facility” means a facility, other than a refinery, in which motor vehicle fuel, diesel fuel or biomass-based fuel is produced.
(169) “Fuel supplier” means a supplier of petroleum products, a supplier of biomass-derived transportation fuels, a supplier of natural gas, or a supplier of liquid petroleum gas as specified in this article.
(170) “Fuel transaction” means the record of the exchange of fuel possession, ownership, or title from one entity to another.
(171) “Fugitive emissions” means those emissions which are unintentional and could not reasonably pass through a stack, chimney, vent, or other functionally-equivalent opening. 
(172) “Fugitive emissions detection” means the process of identifying emissions from equipment, components, and other point sources.
(173) “Fugitive source” means a source of fugitive emissions.
(174) “Full verification” means all verification services as provided in section 95131.
(175) “Galvanized steel sheet” means steel coated with a thin layer of zinc to provide corrosion resistance for such products as garbage cans, storage tanks, or framing for buildings. Sheet steel normally must be cold-rolled prior to the galvanizing stage.
(176) “Gas” means the state of matter distinguished from the solid and liquid states by: relatively low density and viscosity; relatively great expansion and contraction with changes in pressure and temperature; the ability to diffuse readily; and the spontaneous tendency to become distributed uniformly throughout any container.
(177) “Gas gathering/booster stations” means centralized stations where produced natural gas from individual wells is co-mingled, compressed for transport to processing plants, transmission and distribution systems, and other gathering/booster stations which co-mingle gas from multiple production gathering/booster stations. Such stations may include gas dehydration, gravity separation of liquids (both hydrocarbon and water), pipeline pig launchers and receivers, and gas powered pneumatic devices.
(178) “Gas well” means a well completed for production of natural gas from one or more gas zones or reservoirs. Such wells contain no completions for the production of crude oil.
(179) “Generated electricity” means electricity generated by an electricity generating unit at the reporting facility. Generated electricity does not include any electricity that is generated outside the facility and delivered into the facility with final destination outside of the facility.
(180) “Generated energy” means electricity or thermal energy generated by the electricity generating, cogeneration, or bigeneration units included in the reporting facility.
(181) “Generating unit” means any combination of physically connected generator(s), reactor(s), boiler(s), combustion turbine(s), or other prime mover(s) operated together to produce electric power.
(182) “Generation providing entity” or “GPE” means a merchant selling energy from owned, affiliated, or contractually bound generation. For purposes of reporting delivered electricity pursuant to section 95111, a GPE is the PSE, operator, or scheduling coordinator with prevailing rights to claim electricity from a specified source. A facility or generating unit operator, full or partial owner, sole party to a tolling agreement with the owner, or exclusive marketer is recognized by ARB as a generation providing entity.
(183) “Geothermal” means heat or other associated energy derived from the natural heat of the earth.
(184) “Global warming potential” or “GWP” means the ratio of the time-integrated radiative forcing from the instantaneous release of one kilogram of a trace substance relative to that of one kilogram of a reference gas, i.e., CO2.
(185) “Greenhouse gas,” or “GHG” means carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), sulfur hexafluoride (SF6), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), and other fluorinated greenhouse gases as defined in this section.
(186) “Greenhouse gas emission reduction” or “GHG emission reduction” or “greenhouse gas reduction” or “GHG reduction” means a calculated decrease in GHG emissions relative to a project baseline over a specified period of time.
(187) “Greenhouse gas removal enhancement” or “GHG removal” means the calculated total mass of a GHG removed, relative to a project baseline, from the atmosphere over a specified period of time. 
(188) “Greenhouse gas reservoir” or “GHG reservoir” means a physical unit or component of the biosphere, geosphere or hydrosphere with the capability to store, accumulate, or release of a GHG removed from the atmosphere by a GHG sink or a GHG captured from a GHG emission source.
(189) “Greenhouse gas sink” or “GHG sink” means a physical unit or process that removes a GHG from the atmosphere.
(190) “Grid” or “electric power grid” means a system of synchronized power providers and consumers connected by transmission and distribution lines and operated by one or more control centers.
(191) “Grid-dedicated facility” means an electricity generating facility in which all net power generated is destined for distribution on the grid through retail providers or electricity marketers, ultimately serving wholesale or retail customers of the grid.
(192) “Gross generation” or “gross power generated” means the total electrical output of the generating facility or unit, expressed in megawatt hours (MWh) per year.
(193) “HD-5” or “special duty propane” means a consumer grade of liquefied petroleum gas containing a minimum of 90% propane, a maximum of 5% propylene, and a maximum of 2.5% butane as specified in ASTM D1835-05.
(194) “HD-10” means the fuel that meets the specifications for propane used in transportation fuel found in Title 13, California Code of Regulations, section 2292.6.
(195) “Heat input rate” means the product (expressed in MMBtu/hr) of the gross calorific value of the fuel (expressed in MMBtu/mass of fuel) and the fuel feed rate into the combustion device (expressed in mass of fuel/hr) and does not include the heat derived from preheated combustion air, recirculated flue gases, or exhaust from other sources.
(196) “Heavy crude oil” or “heavy crude” means a category of crude oil characterized by relatively high viscosity, a higher carbon-to-hydrogen ratio, and a relatively higher density having an API gravity of less than 20.
(197) “High heat value” or “HHV” means the high or gross heat content of the fuel with the heat of vaporization included. The water vapor is assumed to be in a liquid state.
(198) “Horsepower tested” means the total horsepower of all turbine and generator set units tested prior to sale.
(199) “Hot rolled steel sheet” means steel produced from the rolling mill that reduces a hot slab into a coil of specified thickness at a relatively high temperature. 
(200) “Hydrocarbons” means chemical compounds containing predominantly carbon and hydrogen.
(201) “Hydrofluorocarbons” or “HFCs” means a class of GHGs consisting of hydrogen, fluorine, and carbon.
(202) “Hydrogen” means the lightest of all gases, occurring chiefly in combination with oxygen in water; exists also in acids, bases, alcohols, petroleum, and other hydrocarbons.
(203) “Hydrogen plant” means a facility that produces hydrogen with steam hydrocarbon reforming, partial oxidation of hydrocarbons, or other processes.
(204) “Imported electricity” means electricity generated outside the state of California and delivered to serve load located inside the state of California. Imported electricity includes electricity delivered across balancing authority areas from a first point of receipt located outside the state of California, to the first point of delivery located inside the state of California, having a final point of delivery in California. Imported electricity includes electricity imported into California over a multi-jurisdictional retail provider's transmission and distribution system, or electricity imported into the state of California from a facility or unit physically located outside the state of California with the first point of interconnection to a California balancing authority's transmission and distribution system. Imported electricity includes electricity that is a result of cogeneration located outside the state of California. Imported electricity does not include electricity wheeled through California, defined pursuant to this section. Imported electricity does not include electricity imported into the California Independent System Operator (CAISO) balancing authority area to serve retail customers that are located within the CAISO balancing authority area, but outside the state of California.
(205) “Importer of record” means the owner or purchaser of the goods that are imported into California.
(206) “Independently operated and sited cogeneration/bigeneration facility” means a cogeneration or bigeneration facility that is not located on the same facility footprint as its thermal host and has different operational control than the thermal host. 
(207) “Independently operated cogeneration/bigeneration facility co-located with the thermal host” means a cogeneration or bigeneration facility that is located on the same facility footprint as its thermal host but has different operational control than the thermal host. 
(208) “Independent reviewer” has the same meaning as “lead verifier independent reviewer.”
(209) “Industrial/institutional/commercial facility with electricity generation capacity” means a facility whose primary business is not electricity generation and includes one or more electricity generating, cogeneration, or bigeneration units.
(210) “Internal combustion” means the combustion of a fuel that occurs with an oxidizer (usually air) in a combustion chamber. In an internal combustion engine the expansion of the high-temperature and -pressure gases produced by combustion applies direct force to a component of the engine, such as pistons, turbine blades, or a nozzle. This force moves the component over a distance, generating useful mechanical energy. Internal combustion equipment may include gasoline and diesel industrial engines, natural gas-fired reciprocating engines, and gas turbines. 
(211) “Interstate pipeline” means any entity that owns or operates a natural gas pipeline delivering natural gas to consumers in the state and is subject to rate regulation by the Federal Energy Regulatory Commission.
(212) “Intrastate pipeline” means any pipeline wholly within the state of California that is not regulated as a public utility gas corporation by the California Public Utility Commission (CPUC), not a publicly-owned natural gas utility and is not regulated as an interstate pipeline by the Federal Energy Regulatory Commission. 
(213) “Inventory position” means a contractual agreement with the terminal operator for the use of the storage facilities and terminaling services for the fuel.
(214) “ISO” means the International Organization for Standardization.
(215) “Jurisdiction” means U.S. state or Canadian province. For purposes of this article, “U.S. state” means U.S. State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, and American Samoa and includes the Commonwealth of the Northern Mariana Islands. For purposes of this article, “province” means any Canadian province or territory. 
(216) “Kerosene” is a light petroleum distillate with a maximum distillation temperature of 400oF at the 10-percent recovery point, a final maximum boiling point of 572oF, a minimum flash point of 100oF, and a maximum freezing point of -22oF. Included are No. 1-K and No. 2-K, distinguished by maximum sulfur content (0.04 and 0.30 percent of total mass, respectively), as well as all other grades of kerosene called range or stove oil. “Kerosene” does not include kerosene-type jet fuel.
(217) “Kerosene-type jet fuel” means a kerosene-based product used in commercial and military turbojet and turboprop aircraft. The product has a maximum distillation temperature of 400 oF at the 10 percent recovery point and a final maximum boiling point of 572 oF. Included are Jet A, Jet A-1, JP-5, and JP-8.
(218) “Kiln” means an oven, furnace, or heated enclosure used for thermally processing a mineral or mineral-based substance.
(219) “Kilowatt hour” or “kWh” means the electrical energy unit of measure equal to one thousand watts of power supplied to, or taken from, an electric circuit steadily for one hour. (A watt is a unit of electrical power equal to one ampere under pressure of one volt, or 1/746 horsepower.)
(220) “Lead verifier” means a person that has met all of the requirements in section 95132(b)(2) and who may act as the lead verifier of a verification team providing verification services or as a lead verifier providing an independent review of verification services rendered.
(221) “Lead verifier independent reviewer” or “independent reviewer” means a lead verifier within a verification body who has not participated in conducting verification services for a reporting entity, offset project developer, or authorized project designee for the current reporting year who provides an independent review of verification services rendered to the reporting entity as required in section 95131.
(222) “Less intensive verification” means the verification services provided in interim years between full verifications; less intensive verification of a reporting entity's emissions data report only requires data checks and document reviews of a reporting entity's emissions data report based on the analysis and risk assessment in the most current sampling plan developed as part of the most current full verification services. This level of verification may only be used if the verifier can provide findings with a reasonable level of assurance.
(223) “Light Crude Oil” means a category of crude oil characterized by relatively low viscosity, a lower carbon-to-hydrogen ratio, and a relatively lower density having an API gravity of greater than or equal to 20. 
(224) “Liquefied hydrogen” means hydrogen in a liquid state.
(225) “Liquefied natural gas” or “LNG” means natural gas (primarily methane) that has been liquefied by reducing its temperature to -260 degrees Fahrenheit at atmospheric pressure.
(226) “Liquefied petroleum gas” or LP-Gas” or “LPG” means a flammable mixture of hydrocarbon gases used as a fuel. LPG is primarily mixtures of propane, butane, propene (propylene) and ethane. The most common specification categories are propane grades HD-5, HD-10, and commercial grade propane, and propane/butane mix. LPG also includes both odorized and non-odorized liquid petroleum gas, and is also referred to as propane. 
(227) “Linkage” is as defined in section 95802(a) of the cap-and-trade regulation.
(228) “Linked jurisdiction” means a jurisdiction which has entered into a linkage agreement pursuant to subarticle 12 of the cap-and-trade regulation.
(229) “LNG boiloff gas” means natural gas in the gaseous phase that vents from LNG storage tanks due to ambient heat leakage through the tank insulation and heat energy dissipated in the LNG by internal pumps.
(230) “Local distribution company” or “LDC,” for purposes of this article, means a company that owns or operates distribution pipelines, not interstate pipelines, that physically deliver natural gas to end users and includes public utility gas corporations, publicly-owned natural gas utilities and intrastate pipelines.
(231) “Lookback period” means the specified time period of historical data that the operators must use for missing data substitution as required by the regulation.
(232) “Low Btu gas” means gases recovered from casing vents, vapor recovery systems, crude oil and petroleum product storage tanks and other parts of the crude oil refining and natural gas production process.
(233) “Marketer” means a purchasing-selling entity that delivers electricity and is not a retail provider.
(234) “Market-shifting leakage,” in the context of an offset project, means increased GHG emissions or decreased GHG removals outside an offset project's boundary due to the effects of an offset project on an established market for goods or services.
(235) “Material misstatement” means any discrepancy, omission, or misreporting, or aggregation of the three, identified in the course of verification services that leads a verification team to believe that the total reported GHG emissions (metric tons of CO2e) or a reported single product data component contains errors greater than 5%, as applicable, in an emissions data report. Material misstatement is calculated separately for each type of data as specified in section 95131(b)(12)(A).
(236) “Maximum potential fuel flow rate” or “maximum fuel consumption rate” means the maximum fuel use rate the source is capable of combusting, measured in physical unit of the fuel (e.g. million standard cubic feet for gases, gallons for liquids, short tons for non-biomass solids, and bone dry short tons for biomass-derived solids). When the source consists of multiple units, the maximum potential fuel use rate is the sum of the maximum potential fuel use rates of all the units aggregated as a source.
(237) “Megawatt hour” or “MWh” means the electrical energy unit of measure equal to one million watts of power supplied to, or taken from, an electric circuit steadily for one hour.
(238) “Methane” or “CH4” means a GHG consisting on the molecular level of a single carbon atom and four hydrogen atoms.
(239) “Metric ton” or “MT” means a common international measurement for mass, equivalent to 2204.6 pounds or 1.1 short tons.
(240) “Missing data period” means a period of time during which a piece of data is not collected, is invalid, or is collected while the measurement device is not in compliance with the applicable quality-assurance requirements. In the context of periodic fuel sampling, missing data period is the entire sampling period (e.g. week, month, or quarter) for which corresponding fuel characteristic data are not obtained. In the context of periodic fuel consumption monitoring and recording, a missing data period consists of the consecutive time intervals (e.g. hours, days, weeks, or months) for which fuel consumption during the time period is not monitored and recorded.
(241) “Mixed crude oil” means a mix of both heavy and light crude oil.
(242) “MMBtu” means million British thermal units.
(243) “Motor gasoline (finished)” means a complex mixture of volatile hydrocarbons, with or without additives, suitably blended to be used in spark ignition engines. Motor gasoline includes conventional gasoline, reformulated gasoline, and all types of oxygenated gasoline. Gasoline also has seasonal variations in an effort to control ozone levels. This is achieved by lowering the Reid Vapor Pressure (RVP) of gasoline during the summer driving season. Depending on the region of the country the RVP is lowered to below 9.0 psi or 7.8 psi. The RVP may be further lowered by state regulations.
(244) “Motor vehicle fuel” means gasoline. It does not include aviation gasoline, jet fuel, diesel fuel, kerosene, liquefied petroleum gas, natural gas in liquid or gaseous form, alcohol, or racing fuel.
(245) “Mscf” means thousand standard cubic feet.
(246) “Multi-jurisdictional retail provider” means a retail provider that provides electricity to consumers in California and in one or more other states in a contiguous service territory or from a common power system. 
(247) “Municipal solid waste” or “MSW” means solid phase household, commercial/retail, and/or institutional waste. Household waste includes material discarded by single and multiple residential dwellings, hotels, motels, and other similar permanent or temporary housing establishments or facilities. Commercial/retail waste includes material discarded by stores, offices, restaurants, warehouses, non-manufacturing activities at industrial facilities, and other similar establishments or facilities. Institutional waste includes material discarded by schools, nonmedical waste discarded by hospitals, material discarded by non-manufacturing activities at prisons and government facilities, and material discarded by other similar establishments or facilities. Household, commercial/retail, and institutional wastes include yard waste, refuse-derived fuel, and motor vehicle maintenance materials. Insofar as there is separate collection, processing and disposal of industrial source waste streams consisting of used oil, wood pallets, construction, renovation, and demolition wastes (which includes, but is not limited to, railroad ties and telephone poles), paper, clean wood, plastics, industrial process or manufacturing wastes, medical waste, motor vehicle parts or vehicle fluff, or used tires that do not contain hazardous waste identified or listed under 42 U.S.C. §6921, such wastes are not municipal solid waste. However, such wastes qualify as municipal solid waste where they are collected with other municipal solid waste or are otherwise combined with other municipal solid waste for processing and/or disposal.
(248) “NAICS” means North American Industry Classification System. 
(249) “Nameplate generating capacity” means the maximum rated output of a generator under specific conditions designated by the manufacturer. Generator nameplate capacity is usually indicated in units of kilovolt-amperes (kVA) and in Kilowatts (kW) on a nameplate physically attached to the generator.
(250) “Naphthas” (<401oF) is a generic term applid to a petroleum fraction with an approximate boiling range between 122oF and 400oF. The naphtha fraction of crude oil is the raw material for gasoline and is composed largely of paraffinic hydrocarbons.
(251) “Natural gas” means a naturally occurring mixture of hydrocarbon and non-hydrocarbon gases found in geologic formations beneath the earth's surface, of which its constituents include methane, heavier hydrocarbons and carbon dioxide. Natural gas may be field quality (which varies widely) or pipeline quality. For the purposes of this article, the definition of natural gas includes similarly constituted fuels such as field production gas, process gas, and fuel gas.
(252) “Natural gas distribution facility” means the collection of all distribution pipelines, metering stations, and regulating stations that are operated by a local distribution company (LDC) that is regulated as a separate operating company by a public utility commission or that are operated as an independent municipally-owned distribution system. 
(253) “Natural gas driven pneumatic pump” means a pump that uses pressurized natural gas to move a piston or diaphragm, which pumps liquids on the opposite side of the piston or diaphragm.
(254) “Natural gas liquids” or “NGLs “ means those hydrocarbons in natural gas that are separated from the gas as liquids through the process of absorption, condensation, adsorption, or other methods. Generally, such liquids consist of ethane, propane, butanes, and pentanes plus. Bulk NGLs refers to mixtures of NGLs that are sold or delivered as undifferentiated product from natural gas processing plants.
(255) “Natural gas liquid fractionator” means an installation that fractionates natural gas liquids (NGLs) into their constituent liquid products (ethane, propane, normal butane, isobutene or pentanes plus) for supply to downstream facilities.
(256) “NERC e-Tag” means North American Electric Reliability Corporation (NERC) energy tag representing transactions on the North American bulk electricity market scheduled to flow between or across balancing authority areas. 
(257) “Net generation” or “net power generated” means the gross generation minus station service or unit service power requirements, expressed in megawatt hours (MWh) per year. In the case of cogeneration, this value is intended to include internal consumption of electricity for the purposes of a production process, as well as power put on the grid.
(258) “Nitric acid” means HNO3 of 100% purity.
(259) “Nitrous oxide” or “N2O” means a GHG consisting at the molecular level of two nitrogen atoms and a single oxygen atom.
(260) “Nonconformance” means the failure to use the methods or emission factors specified in this article to calculate emissions, or the failure to meet any other requirements of the regulation.
(261) “Non-exempt biomass-derived CO2” means CO2 emissions resulting from the combustion of fuel not listed under section 95852.2(a) of the cap-and-trade regulation, or that does not meet the requirements of section 95131(i) of this article.
(262) “Non-exempt biomass-derived fuel” means fuel not listed under section 95852.2(a) of the cap-and-trade regulation, or that does not meet the requirements of section 95131(i) of this article.
(263) “Non-fuel based renewable electricity generating unit” means a unit that generates electricity not from fuel sources, but from renewable energy sources, such as solar, wind, or hydropower. For the purpose of this article, a non-fuel based renewable electricity generating unit does not include other types of generation explicitly listed in section 95112(a)-(f). 
(264) “Non-submitted/non-verified emissions data report” means an emissions data report that is not submitted to ARB by the applicable reporting deadline, or for which a verification statement has not been issued by the applicable verification deadline.
(265) “North American Industry Classification System (NAICS) code(s)” means the six-digit code(s) that represent the product(s)/activity(s)/service(s) at a facility or supplier as defined in North American Industrial Classification System Manual 2007, available from the U.S. Department of Commerce, National Technical Information Service.
(266) “Offset project” means all equipment, materials, items, or actions that are directly related to or have an impact upon GHG reductions, project emissions or GHG removal enhancements within the offset project boundary.
(267) “Offset project boundary” is defined by and includes all GHG emission sources, GHG sinks or GHG reservoirs that are affected by an offset project and under control of the Offset Project Operator or Authorized Project Designee. GHG emissions sources, GHG sinks or GHG reservoirs not under control of the Offset Project Operator or Authorized Project Designee are not included in the offset project boundary.
(268) “Offset project data report” means the report prepared by an Offset Project Operator or Authorized Project Designee each year that provides the information and documentation required by this article or a compliance offset protocol. 
(269) “Offset project operator” means the entity(ies) with legal authority to implement the offset project. 
(270) “Offset protocol” means a documented set of procedures and requirements to quantify ongoing GHG reductions or GHG removal enhancements achieved by an offset project and calculate the project baseline. Offset protocols specify relevant data collection and monitoring procedures, emission factors and conservatively account for uncertainty and activity-shifting and market-shifting leakage risks associated with an offset project.
(271) “Offshore,” for purposes of this article, means all waters within three nautical miles of the California baseline, starting at the California-Oregon border and ending at the California-Mexico border at the Pacific Ocean, inclusive. For purposes of this definition, “California baseline” means the mean lower low water line along the California Coast.
(272) “Oil well” means a well completed for the production of crude oil from at least one oil zone or reservoir.
(273) “Onshore petroleum and natural gas production facility” means all petroleum or natural gas equipment on a well pad or associated with a well pad and CO2 EOR operations that are under common ownership or common control including leased, rented, or contracted activities by an onshore petroleum and natural gas production owner or operator that are located in a single hydrocarbon basin as defined in 40 CFR §98.238. Where a person or operating entity owns or operates more than one well in a basin, then all onshore petroleum and natural gas production equipment associated with all wells that the person or entity owns or operates in the basin would be considered one facility.
(274) “Onshore petroleum and natural gas production owner or operator” means the person or entity who holds the permit to operate petroleum and natural gas wells on the drilling permit or an operating permit where no drilling permit is issued, which operates an onshore petroleum and/or natural gas production facility (as described in 40 CFR §98.230(a)(2)). Where petroleum and natural gas wells operate without a drilling or operating permit, the person or entity that pays the State or Federal business income taxes is considered the owner or operator.
(275) “On-site” or “onsite” in the context of GHG reporting means within the facility boundary. 
(276) “Operating pressure” means the containment pressure that characterizes the normal state of gas or liquid inside a particular process, pipeline, vessel or tank.
(277) “Operational control” for a facility subject to this article means the authority to introduce and implement operating, environmental, health and safety policies. In any circumstance where this authority is shared among multiple entities, the entity holding the permit to operate from the local air pollution control district or air quality management district is considered to have operational control for purposes of this article.
(278) “Operator” means the entity, including an owner, having operational control of a facility. For onshore petroleum and natural gas production, the operator is the operating entity listed on the state well drilling permit, or a state operating permit for wells where no drilling permit is issued by the state. 
(279) “Outside of the facility boundary” means not within the physical boundary of the facility (regardless of ownership or operational control), or not in the same operational control of the reporting entity if within the same physical boundary of the facility. For example, an entity outside of the facility boundary may include another facility not in the reporting entity's operational control, another facility under the same operational control but considered a separate facility according to the definition of “facility” in this section, or an on-site industrial operation (e.g. a cogeneration system) within the facility fence line but that is operated by another operator and for which the on-site industrial operation has not been included in the reporting entity's GHG report. 
(280) “Particular end-user” means a final purchaser of an energy product (e.g. electricity or thermal energy) for whom the energy product is delivered for final consumption and not for the purposes of retransmission or resale. 
(281) “Perfluorocarbons” or “PFCs” means a class of greenhouse gases consisting on the molecular level of carbon and fluorine.
(282) “Performance review” means an assessment conducted by ARB of an applicant seeking to become accredited as a verification body, verifier, lead verifier, offset project verifier, or sector specific verifier pursuant to section 95132 of this article. Such an assessment may include a review of applicable past sampling plans, verification reports, verification statements, conflict of interest submittals, and additional information or documentation regarding the applicant's fitness for qualification.
(283) “Petroleum” means oil removed from the earth and the oil derived from tar sands and shale.
(284) “Petroleum coke” means a black solid residue, obtained mainly by cracking and carbonizing of petroleum derived feedstocks, vacuum bottoms, tar and pitches in processes such as delayed coking or fluid coking. It consists mainly of carbon (90 to 95 percent), has low ash content, and may be used as a feedstock in coke ovens. This product is also known as marketable coke or catalyst coke.
(285) “Petroleum refinery” or “refinery” means any facility engaged in producing gasoline, gasoline blending stocks, naphtha, kerosene, distillate fuel oils, residual fuel oils, lubricants, or asphalt (bitumen) through distillation of petroleum or through redistillation, cracking, or reforming of unfinished petroleum derivatives. Facilities that distill only pipeline transmix (off-spec material created when different specification products mix during pipeline transportation) are not petroleum refineries, regardless of the products produced. 
(286) “Physical address,” with respect to a United States parent company as defined in this section, means the street address, city, State and zip code of that company's physical location.
(287) “Pickled steel sheet” means hot rolled steel sheet that is sent through a series of hydrochloric acid baths that remove the oxides.
(288) “Pipeline quality natural gas” means, for the purpose of calculating emissions under this article, natural gas having a high heat value greater than 970 Btu/scf and equal to or less than 1,100 Btu/scf, and which is at least ninety percent methane by volume, and which is less than five percent carbon dioxide by volume.
(289) “Plaster” is calcined gypsum that is produced and sold as a finished product and is not used in the production of plasterboard at the same facility.
(290) “Plasterboard” is a panel made of gypsum plaster pressed between two thick sheets of paper. 
(291) “Point of delivery” means the point on an electricity transmission or distribution system where a deliverer makes electricity available to a receiver, or available to serve load. This point can be an interconnection with another system or a substation where the transmission provider's transmission and distribution systems are connected to another system, or a distribution substation where electricity is imported into California over a multi-jurisdictional retail provider's distribution system. 
(292) “Point of receipt” means the point on an electricity transmission or distribution system where an electricity receiver receives electricity from a deliverer. This point can be an interconnection with another system or a substation where the transmission provider's transmission and distribution systems are connected to another system.
(293) “Point source” means any separately identifiable stationary point from which greenhouse gases are emitted.
(294) “Portable” means designed and capable of being carried or moved from one location to another. Indications of portability include wheels, skids, carrying handles, dolly, trailer, or platform. Equipment is not portable if any one of the following conditions exists:
(A) The equipment is attached to a foundation. 
(B) The equipment or a replacement resides at the same location for more than 12 consecutive months.
(C) The equipment is located at a seasonal facility and operates during the full annual operating period of the seasonal facility, remains at the facility for at least two years, and operates at that facility for at least three months each year. 
(D) The equipment is moved from one location to another in an attempt to circumvent the portable residence time requirements of this definition. 
(295) “Portland cement” means hydraulic cement (cement that not only hardens by reacting with water but also forms a water-resistant product) produced by pulverizing clinkers consisting essentially of hydraulic calcium silicates, usually containing one or more of the forms of calcium sulfate as an inter-ground addition. 
(296) “Position holder” means an entity that holds an inventory position in motor vehicle fuel, ethanol, distillate fuel, biodiesel, or renewable diesel as reflected in the records of the terminal operator or a terminal operator that owns motor vehicle fuel or diesel fuel in its terminal.
(297) “Positive emissions data verification statement” means a verification statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the emissions data in the submitted emissions data report is free of material misstatement and that the emissions data conforms to the requirements of this article.
(298) “Positive product data verification statement” means a verification statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the product data in the submitted emissions data report is free of material misstatement and that the product data conforms to the requirements of this article.
(299) “Positive verification statement” means a verification statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the submitted emissions data report is free of material misstatement and that the emissions data report conforms to the requirements of this article. This definition applies to the emissions data verification statement and the product data verification statement.
(300) “Power” means electricity, except where the context makes clear that another meaning is intended.
(301) “Power contract” or “written power contract,” as used for the purposes of documenting specified versus unspecified sources of imported and exported electricity, means a written document, including associated verbal or electronic records if included as part of the written power contract, arranging for the procurement of electricity. Power contracts may be, but are not limited to, power purchase agreements, enabling agreements, and tariff provisions, without regard to duration.
(302) “Primary fuel” means the fuel that provides the greatest percentage of the annual heat input to a stationary fuel combustion unit.
(303) “Primary refinery products” means aviation gasoline, motor gasoline, kerosene-type jet fuel, distillate fuel oil, renewable liquid fuels, and asphalt. For the purpose of calculating this value for each refinery ARB will convert blendstocks into their finished fuel volumes by multiplying blendstocks by an assumed blending ratio.
(304) “Prime mover” means the type of equipment such as an engine or water wheel that drives an electric generator. “Prime movers” include, but are not limited to, reciprocating engines, combustion or gas turbines, steam turbines, microturbines, and fuel cells.
(305) “Process” means the intentional or unintentional reactions between substances or their transformation, including, but not limited to, the chemical or electrolytic reduction of metal ores, the thermal decomposition of substances, and the formation of substances for use as product or feedstock.
(306) “Process emissions” means the emissions from industrial processes (e.g., cement production, ammonia production) involving chemical or physical transformations other than fuel combustion. For example, the calcination of carbonates in a kiln during cement production or the oxidation of methane in an ammonia process results in the release of process CO2 emissions to the atmosphere. Emissions from fuel combustion to provide process heat are not part of process emissions, whether the combustion is internal or external to the process equipment.
(307) “Process gas” means any gas generated by an industrial process such as petroleum refining.
(308) “Process unit” means the equipment assembled and connected by pipes and ducts to process raw materials and to manufacture either a final or an intermediate product used in the onsite production of other products. The process unit also includes the purification of recovered byproducts.
(309) “Process vent” means an opening where a gas stream is continuously or periodically discharged during normal operation.
(310) “Producer” means a person who owns, leases, operates, controls or supervises a California production facility.
(311) “Product data” means the sector-specific data specified in subarticles 2 and 5 of this article, including requirements in 40 CFR Part 98. 
(312) “Product data verification statement” means the final statement rendered by a verification body attesting whether a reporting entity's product data in their emissions data report is free of material misstatement, and whether the product data conforms to the requirements of this article.
(313) “Professional judgment” means the ability to render sound decisions based on professional qualifications and relevant greenhouse gas accounting and auditing experience. 
(314) “Project baseline” means, in the context of a specific offset project, a conservative estimate of business-as-usual GHG emission reductions or GHG removal enhancements for the offset project's GHG emission sources, GHG sinks, or GHG reservoirs within the offset project boundary.
(315) “Propane” is a paraffinic hydrocarbon with molecular formula C3H8.
(316) “Public utility gas corporation” is a gas corporation defined in California Public Utilities Code section 222 that is also a public utility as defined in California Public Utilities Code section 216.
(317) “Publicly-owned natural gas utility” means a municipality or municipal corporation, a municipal utility district, a public utility district, or a joint powers authority that includes one or more of these agencies that furnishes natural gas services to end users.
(318) “Pump” means a device used to raise pressure, drive, or increase flow of liquid streams in closed or open conduits.
(319) “Pump seal emissions” means hydrocarbon gas released from the seal face between the pump internal chamber and the atmosphere.
(320) “Pump seals” means any seal on a pump drive shaft used to keep methane and/or carbon dioxide containing light liquids from escaping the inside of a pump case to the atmosphere.
(321) “Purchasing-selling entity” or “PSE” means the entity that is identified on a NERC e-Tag for each physical path segment.
(322) “Pure” means consisting of at least 97 percent by mass of a specified substance. For facilities burning biomass fuels, this means the fraction of biomass carbon accounts for at least 97 percent of the total amount of carbon in the fuel burned at the facility.
(323) “PURPA Qualifying Facility” means a facility that has acquired a “qualifying facility (QF)” certification pursuant to 18 CFR §292.207 under the Public Utility Regulatory Policies Act of 1978 (PURPA). 
(324) “QA/QC” means quality assurance and quality control. 
(325) “Qualified exports” is as defined in section 95802(a) of the cap-and-trade regulation.
(326) “Qualified positive emissions data verification statement” means a statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the emissions data in the submitted emissions data report is free of material misstatement, but the emissions data may include one or more nonconformances with the requirements of this article which do not result in a material misstatement.
(327) “Qualified positive product data verification statement” means a statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the product data in the submitted emissions data report is free of material misstatement, but the product data may include one or more nonconformance(s) with the requirements of this article which do not result in a material misstatement.
(328) “Qualified positive verification statement” means a statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the submitted emissions data report is free of material misstatement, but the emissions data report may include one or more nonconformance(s) with the requirements of this article which do not result in a material misstatement. This definition applies to the qualified positive emissions data verification statement and the qualified positive product data verification statement.
(329) “Quality-assured data” or “quality-assured value” means the data are obtained from a monitoring system that is operating within the performance specifications and the quality assurance/quality control procedures set forth in the applicable rules, for example 40 CFR Part 60 (July 1, 2009) or Part 75, (July 1, 2009), which is hereby incorporated by reference, without unscheduled maintenance, repair, or adjustment.
(330) “Rack” means a mechanism for delivering motor vehicle fuel or diesel from a refinery or terminal into a truck, trailer, railroad car, or other means of non-bulk transfer.
(331) “Reasonable assurance” means a high degree of confidence that submitted data and statements are valid. 
(332) “Reciprocating compressor” means a piece of equipment that increases the pressure of a process natural gas or CO2 by positive displacement, employing linear movement of a shaft driving a piston in a cylinder.
(333) “Reciprocating compressor rod packing” means a series of flexible rings in machined metal cups that fit around the reciprocating compressor piston rod to create a seal limiting the amount of compressed natural gas or CO2 that escapes to the atmosphere.
(334) “Recycled” refers to a material that is reused or reclaimed.
(335) “Recycled boxboard” means containers of solid fiber made from recycled fibers, including cereal boxes, shoe boxes and protective paper packaging for dry foods. It also includes folding paper cartons, set-up boxes, and similar boxboard products. Recycled boxboard is made from recycled fibers.
(336) “Recycled linerboard” means types of paperboard made from recycled fibers that meet specific tests adopted by the packaging industry to qualify for use as the outer facing layer for corrugated board, from which shipping containers are made.
(337) “Recycled medium” means the center segment of corrugated shipping containers, being faced with linerboard on both sides. Recycled medium is made from recycled fibers.
(338) “Refinery fuel gas” or “still gas” means gas generated at a petroleum refinery or any gas generated by a refinery process unit, and that is combusted separately or in any combination with any type of gas or used as a chemical feedstock.
(339) “Reformulated Gasoline Blendstock for Oxygenate Blending” or “RBOB” has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(340) “Relative Accuracy Test Audit” means a method of determining the correlation of continuous emissions monitoring system data to simultaneously collected reference method test data, for example as required in 40 CFR Part 60 (July 1, 2009) and 40 CFR Part 75 (July 1, 2009).
(341) “Renewable diesel” means a motor vehicle fuel or fuel additive that is all of the following:
(A) Registered as a motor vehicle fuel or fuel additive under 40 CFR Part 79;
(B) Not a mono-alkyl ester;
(C) Intended for use in engines that are designed to run on conventional diesel fuel; and
(D) Derived from nonpetroleum renewable resources.
(342) “Renewable energy” means energy from sources that constantly renew themselves or that are regarded as practically inexhaustible. Renewable energy includes energy derived from solar, wind, geothermal, hydroelectric, wood, biomass, tidal power, sea currents, and ocean thermal gradients.
(343) “Renewable liquid fuels” means fuel ethanol, biomass-based diesel fuel, other renewable diesel fuel and other renewable fuels.
(344) “Reporting entity” means a facility operator, supplier, or electric power entity subject to the requirements of this article.
(345) “Reporting period” means the calendar year which coincides with the data year for the GHG report. 
(346) “Reporting year” or “report year” means data year.
(347) “Reservoir” means a porous and permeable underground natural formation containing significant quantities of hydrocarbon liquids and/or gases. 
(348) “Residual fuel oil” means a general classification for the heavier oils, known as No. 5 and No. 6 fuel oils, that remain after the distillate fuel oils and lighter hydrocarbons are distilled away in refinery operations.
(349) “Residue gas and residue gas compression” means, respectively, production lease natural gas from which gas liquid products and, in some cases, non-hydrocarbon components have been extracted such that it meets the specifications set by a pipeline transmission company, and/or a distribution company; and the compressors operated by the processing facility, whether inside the processing facility boundary fence or outside the fence-line, that deliver the residue gas from the processing facility to a transmission pipeline.
(350) “Retail end-use customer” or “retail end user” means a residential, commercial, agricultural, or industrial electric customer who buys electricity to be consumed as a final product and not for resale.
(351) “Retail provider” means an entity that provides electricity to retail end users in California and is an electric corporation as defined in Public Utilities Code section 218, electric service provider as defined in Public Utilities Code section 218.3, local publicly owned electric utility as defined in Public Utilities Code section 224.3, a community choice aggregator as defined in Public Utilities Code section 331.1, or the Western Area Power Administration. For purposes of this article, electric cooperatives, as defined by Public Utilities Code section 2776, are excluded.
(352) “Retail sales” means electricity sold to retail end users.
(353) “Sector” means a broad industrial categorization such as specified in section 95101. 
(354) “Separator” means a vessel in which streams of multiple phases are gravity separated into individual streams of single phase.
(355) “Short ton” means a common international measurement for mass, equivalent to 2,000 pounds.
(356) “Shutdown” means the cessation of operation of an emission source for any purpose.
(357) “Simplified block diagram” means a diagram consisting of boxes, shapes, lines, arrows, and labels that meets the requirements of section 95112(a)(6). A simplified block diagram is not an architectural drawing or an engineering drawing that shows the likeness of the physical objects being depicted and their actual locations and sizes in scale; it is a simplified graphical representation of the objects being depicted, their relative locations, and how they are connected through flows of energy or energy carrier (e.g. steam, water, electricity, or fuel). 
(358) “Single product data component” means each individual annual product data item that is required to be reported pursuant to the product data requirements of this article.
(359) “Soda ash equivalent” means the total mass of all soda ash, biocarb, borax, V-Bor, DECA, PYROBOR, Boric Acid, Sodium Sulfate, Potassium Sulfate, Potassium Chloride, and Sodium Chloride produced.
(360) “Solomon Energy Intensity Index Ò” or “Solomon EII” or “EII” means a petroleum refinery energy efficiency metric that compares actual energy consumption for a refinery with the “standard” energy consumption for a refinery of similar size and configuration. The “standard” energy consumption is calculated based on an analysis of worldwide refining capacity as contained in the database maintained by Solomon Associates. The ratio of a facility's actual energy to the standard energy is multiplied by 100 to arrive at the Solomon EII for a refinery.
(361) “Solomon Energy Review” means a data submittal and review conducted by a petroleum refinery and Solomon Associates. This process uses the refinery energy utilization, throughput and output to determine the Solomon EII of the refinery.
(362) “Source” means greenhouse gas source; any physical unit, process, or other use or activity that releases a greenhouse gas into the atmosphere.
(363) “Source category” means categories of emission sources as defined by Tables A-3, A-4, and A-5 of 40 CFR Part 98.
(364) “Specified source of electricity” or “specified source” means a facility or unit which is permitted to be claimed as the source of electricity delivered. The reporting entity must have either full or partial ownership in the facility/unit or a written power contract to procure electricity generated by that facility/unit. Specified facilities/units include cogeneration systems. Specified source also means electricity procured from an asset-controlling supplier recognized by the ARB.
(365) “Stand-alone electricity generating facility” means an electricity generating facility whose primary business and sole industrial operation is electricity generation, and is not a cogeneration or bigeneration facility.
(366) “Standard conditions” or “standard temperature and pressure (STP)” means either 60 or 68 degrees Fahrenheit and 14.7 pounds per square inch absolute.
(367) “Standard cubic foot” or “scf” is a measure of quantity of gas, equal to a cubic foot of volume at 60 degrees Fahrenheit and either 14.696 pounds per square inch (1 atm) or 14.73 PSI (30 inches Hg) of pressure.
(368) “SSM” means periods of startup, shutdown and malfunction.
(369) “Stationary” means neither portable nor self propelled, and operated at a single facility.
(370) “Steel produced using an electric arc furnace” means steel produced by an electric arc furnace or “EAF.” EAF means a furnace that produces molten steel and heats the charge materials with electric arcs from carbon electrodes.
(371) “Storage tank” means any tank, other container, or reservoir used for the storage of organic liquids, excluding tanks that are permanently affixed to mobile vehicles such as railroad tank cars, tanker trucks or ocean vessels.
(372) “Stucco” means hemihydrate plaster (CaSO4·D1/2H2O) produced by heating (“calcining”) raw gypsum, thereby removing three-quarters of its chemically combined water. 
(373) “Substitute power” or “substitute electricity” means electricity that is provided to meet the terms of a power purchase contract with a specified facility or unit when that facility or unit is not generating electricity. 
(374) “Sulfur hexafluoride” or “SF6” means a GHG consisting on the molecular level of a single sulfur atom and six fluorine atoms.
(375) “Supplemental firing” means an energy input to the cogeneration facility used only in the thermal process of a topping cycle plant, or in the electricity generating or manufacturing process of a bottoming cycle cogeneration facility.
(376) “Supplier” means a producer, importer, exporter, position holder, or local distribution company of a fossil fuel or an industrial greenhouse gas.
(377) “Tactical support equipment” is as defined in title 17, California Code of Regulations, section 93116.2(a)(36).
(378) “Thermal host” means the user of the steam or heat output of a cogeneration or bigeneration facility.
(379) “Terminal” means a motor vehicle fuel or diesel fuel storage and distribution facility that is supplied by pipeline or vessel, and from which fuel may be removed at a rack. “Terminal” includes a fuel production facility where motor vehicle or diesel fuel is produced and stored and from which fuel may be removed at a rack.
(380) “Terminal operator” means any entity that owns, operates or otherwise controls a terminal that is supplied by pipeline or vessel and from which accountable fuel products may be removed at a rack.
(381) “Thermal energy” means the thermal output produced by a combustion source used directly as part of a manufacturing process, industrial/commercial process, or heating/cooling application, but not used to produce electricity.
(382) “Tier” means the level of calculation method from 40 CFR §98.33 that is required for a stationary combustion source in section 95115 of this article.
(383) “Tier 1” means a stationary combustion calculation method that applies default values for emission factors and high heat value to generate an emissions estimate, as specified in 40 CFR §98.33.
(384) “Tier 2” means a stationary combustion calculation method that applies a default value for an emission factor and a fuel's measured high heat value (or a boiler efficiency for steam-generating solid fuels) to generate an emissions estimate, as specified in 40 CFR §98.33. 
(385) “Tier 3” means a stationary combustion calculation method that utilizes a fuel's measured carbon content to generate an emissions estimate, as specified in 40 CFR §98.33.
(386) “Tier 4” means a stationary combustion calculation method that utilizes quality-assured data from a continuous emission monitoring system to generate an emissions estimate, as specified in 40 CFR §98.33. This method may also capture process emissions from a common stack. 
(387) “Tin Plate” means thin sheet steel with a very thin coating of metallic tin. Tin plate also includes Tin Free Steel or TFS which has an extremely thin coating of chromium, metallic and oxide. Tin plate is used primarily in canmaking. 
(388) “Tissue” means a class of papers which are characteristically gauzy in texture and, in some cases, fairly transparent. They may be glazed, unglazed, or creped, and are used for a variety of purposes. Examples of different types of tissue papers include sanitary grades such as toilet, facial, napkin, towels, wipes, and special sanitary papers.
(389) “Tolling agreement” means an agreement whereby a party rents a power plant from the owner. The rent is generally in the form of a fixed monthly payment plus a charge for every MW generated, generally referred to as a variable payment.
(390) “Topping cycle” means a type of cogeneration system in which the energy input to the plant is first used to produce electricity, and at least some of the reject heat from the electricity production process is then used to provide useful thermal output.
(391) “Total thermal output” means the total amount of usable thermal energy generated by a cogeneration or bigeneration unit that can potentially be made available for use in any industrial or commercial processes, heating or cooling applications, or delivered to other end users. This quantity excludes the heat content of returned condensate and makeup water, but includes the thermal energy used for supporting power generation, thermal energy used in other on-site processes or applications that are not in support of or a part of the electricity generation system, thermal energy provided or sold to particular end-user, and thermal energy that is otherwise not utilized. 
(392) “Transmission pipeline” means a high pressure cross country pipeline transporting sellable quality natural gas from production or natural gas processing to natural gas distribution pressure let-down, metering, regulating stations where the natural gas is typically odorized before delivery to customers.
(393) “Traceable” means that a standard used to calibrate a device has an unbroken chain of comparisons to a stated reference (such as a standard set by the National Institute of Standards and Technology), with each comparison having a stated uncertainty 
(394) “Turbine meter” means a flow meter in which a gas or liquid flow rate through the calibrated tube spins a turbine from which the spin rate is detected and calibrated to measure the fluid flow rate.
(395) “Uncertainty” means the degree to which data or a data system is deemed to be indefinite or unreliable. 
(396) “Uncontrolled blowdown system” means the use of a blowdown procedure that does not result in the recovery of emissions for flaring or re-injection.
(397) “Unconventional wells” means gas wells in producing fields that employ hydraulic fracturing to enhance gas production volumes.
(398) “United States parent company(s)” mean the highest-level United States company(s) with an ownership interest in the reporting entity as of December 31 of the reporting year.
(399) “Unspecified source of electricity” or “unspecified source” means electricity procured and delivered without limitation at the time of transaction to a specific facility's or unit's generation. Unspecified sources contribute to the bulk system power pool and typically are dispatchable, marginal resources that do not serve baseload.
(400) “Upstream entity” means the last entity in the chain of title prior to the fuel being received by the reporting entity.
(401) “Urban waste” means waste pallets, crates, dunnage, manufacturing and construction wood waste, tree trimmings, mill residues and range land maintenance residues.
(402) “U.S. EPA” means the United States Environmental Protection Agency.
(403) “Used oil” means a petroleum-derived or synthetically-derived oil whose physical properties have changed as a result of handling or use, such that the oil cannot be used for its original purpose. Used oil consists primarily of automotive oils (e.g., used motor oil, transmission oil, hydraulic fluids, brake fluid, etc.) and industrial oils (e.g., industrial engine oils, metalworking oils, process oils, industrial grease, etc.).
(404) “Vented emissions” means intentional or designed releases of CH4 or CO2 containing natural gas or hydrocarbon gas (not including stationary combustion flue gas), including process designed flow to the atmosphere through seals or vent pipes, equipment blowdown for maintenance, and direct venting of gas used to power equipment (such as pneumatic devices). 
(405) “Verification” means a systematic, independent and documented process for evaluation of a reporting entity's emissions data report against ARB's reporting procedures and methods for calculation and reporting GHG emissions and product data.
(406) “Verification body” means a firm accredited by ARB that is able to render a verification statement and provide verification services for reporting entities subject to reporting under this article.
(407) “Verification services” means services provided during verification as specified in section 95131 beginning with the development of the verification plan or first site visit, including but not limited to reviewing a reporting entity's emissions data report, ensuring its accuracy according to the standards specified in this article, assessing the reporting entity's compliance with this article, and submitting a verification statement(s) to the ARB. 
(408) “Verification statement” means the final statement rendered by a verification body attesting whether a reporting entity's emissions data report is free of material misstatement, and whether it conforms to the requirements of this article. This definition applies to the emissions data verification statement and the product data verification statement.
(409) “Verification team” means all of those working for a verification body, including all subcontractors, to provide verification services for a reporting entity.
(410) “Verified emissions data report” means an emissions data report that has been reviewed by a third-party verifier and has a verification statement, or statements, if applicable, submitted to the ARB.
(411) “Verifier” means an individual accredited by ARB to carry out verification services as specified in section 95131.
(412) “Verifier review” means a verifier conducts all reviews and services in section 95131, except the material misstatement assessment under section 95131(b)(12). If some of the sources are selected for data checks based on the sampling plan, the verifier will check for conformance with the requirements of this article. 
(413) “Volatile organic compound” or “VOC” means any volatile compound of carbon, excluding carbon monoxide, carbon dioxide, carbonic acid, metallic carbides or carbonates, and ammonium carbonate, which participates in atmospheric photochemical reactions.
(414) “Weighted monthly average” means the sum of the products of two values measured during the same time period divided by the sum of the values not being averaged. For weighted average HHV it would be the sum of the products of volume and HHV measured during the same time period divided by the sum of the volumes.
(415) “Well completions” means the process that allows for the flow of petroleum or natural gas from newly drilled wells to expel drilling and reservoir fluids and test the reservoir flow characteristics, steps which may vent produced gas to the atmosphere via an open pit or tank. Well completion also involves connecting the well bore to the reservoir, which may include treating the formation or installing tubing, packer(s), or lifting equipment, steps that do not significantly vent natural gas to the atmosphere. This process may also include high-rate flowback of injected gas, water, oil, and proppant used to fracture or re-fracture and prop open new fractures in existing lower permeability gas reservoirs, steps that may vent large quantities of produced gas to the atmosphere. 
(416) “Well workover” means the process(es) of performing one or more of a variety of remedial operations on producing petroleum and natural gas wells to try to increase production. This process also includes high-rate flowback of injected gas, water, oil, and proppant used to re-fracture and prop-open new fractures in existing low permeability gas reservoirs, steps that may vent large quantities of produced gas to the atmosphere.
(417) “Wellhead” means the piping, casing, tubing and connected valves protruding above the Earth's surface for an oil and/or natural gas well. The wellhead ends where the flow line connects to a wellhead valve. Wellhead equipment includes all equipment, permanent and portable, located on the improved land area (i.e. well pad) surrounding one or multiple wellheads.
(418) “Wet natural gas” means natural gas in which water vapor exceeds the concentration specified for commercially saleable natural gas delivered from transmission and distribution pipelines. This input stream to a natural gas dehydrator is referred to as “wet gas”. 
(419) “Wholesale sales” means sales to other LDCs.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New subarticle 1 (sections 95102-95109) and section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Relocation of subarticle 1 heading to precede section 95100 and amendment of section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95103. Greenhouse Gas Reporting Requirements.
Note     •     History

The facilities, suppliers, and entities specified in section 95101 must monitor emissions and submit emissions data reports to the Air Resources Board following the requirements specified in 40 CFR §98.3 and §98.4, except as otherwise provided in this section.
(a) Abbreviated Reporting for Facilities with Emissions Below 25,000 Metric Tons of CO2e. A facility operator may submit an abbreviated emissions data report under this article if all of the following conditions have been met: the facility operator does not have a compliance obligation under the cap-and-trade regulation during any year of the current compliance period; the operator is not subject to the reporting requirements of 40 CFR Part 98; and the facility total stationary combustion, process and venting emissions are below 25,000 metric tons of CO2e in 2011 and each subsequent year. This provision does not apply to suppliers or electric power entities. Abbreviated reports must include the information in paragraphs (1)-(6) below, and comply with the requirements specified in paragraphs (7)-(10) below:
(1) Facility name, assigned ARB identification number, physical street address including the city, state and zip code, air basin, air district, county, geographic location, natural gas supplier name, natural gas supplier customer identification number, and annual billed MMBtu (10 therms = 1 MMBtu). 
(2) Total facility GHG stationary combustion emissions aggregated for all stationary fuel combustion units and calculated according to any method in 40 CFR §98.33(a), expressed in metric tons of total CO2, CO2 from biomass-derived fuels, CH4, and N2O.
(3) Identification of the methods chosen for determining emissions. 
(4) Any facility operating data or process information used for the GHG emission calculations, including fuel use by fuel type, reported in million standard cubic feet for gaseous fuels, gallons for liquid fuels, short tons for solid fuels, and bone-dry short tons for biomass-derived solid fuels. If applicable, include high heat values and carbon content values used to calculate emissions. Missing fuel use or fuel characteristics data must be substituted according to the requirements of 40 CFR §98.35.
(5) For facilities with on-site electricity generation or cogeneration, the information specified in section 95112(a)-(b) of this article.
(6) A signed and dated certification statement provided by the designated representative of the owner or operator, according to the requirements of 40 CFR §98.4(e)(1).
(7) Abbreviated emissions data reports submitted under this provision must be certified as complete and accurate no later than June 1 of each calendar year. This requirement begins in 2012 for facilities who were required to report GHG emissions to ARB in 2011, and begins in 2013 for facilities not previously reporting to ARB. 
(8) Subsequent revisions according to the requirements of 40 CFR §98.3(h) must be submitted only if cumulative errors are found to exceed 5 percent of total CO2e emissions, or if error correction would cause the emissions total to exceed 25,000 metric tons of CO2e, in which case a report that meets the full requirements of this article must be submitted within ninety days of discovery.
(9) For abbreviated reports submitted under this provision, records must be kept according to the requirements of 40 CFR §98.3(g), except that a written GHG Monitoring Plan is not required. 
(10) An abbreviated emissions data report is not subject to the third-party verification requirements of this article.
(b)-(d) Reserved
(e) Reporting Deadlines. Except as provided in section 95103(a)(7)-(8), each facility operator or supplier must submit an emissions data report for the previous calendar year no later than April 10 of each calendar year. Each electric power entity must submit an emissions data report for the previous calendar year no later than June 1 of each calendar year. 
(f) Verification Requirement and Deadlines. The requirements of this paragraph apply to each reporting entity submitting an emissions data report for the previous calendar year that indicates emissions equaled or exceeded 25,000 metric tons of CO2e, including CO2 from biomass-derived fuels and geothermal sources, or each reporting entity that has or has had a compliance obligation under the cap-and-trade regulation in any year of the current compliance period. The reporting entity must obtain third-party verification services for that report from a verification body that meets the requirements specified in Subarticle 4 of this article. Such services must be completed and separate verification statements for emissions data and for product data, as applicable, must be submitted by the verification body to the Executive Officer by September 1 each year. Each reporting entity must ensure that these verification statements are submitted by this deadline. Contracting with a verification body without providing sufficient time to complete the verification statements by the applicable deadline will not excuse the reporting entity from this responsibility. These requirements are additional to the requirements in 40 CFR §98.3(f). 
(g) Non-submitted/Non-verified Emissions Data Reports. When a reporting entity that holds a compliance obligation under the cap-and-trade regulation fails to submit an emissions data report or fails to obtain a positive emissions data verification statement or qualified positive emissions data verification statement by the applicable deadline, the Executive Officer shall develop an assigned emissions level for the reporting entity as set forth in section 95131(c)(5)(A)-(C). 
(h) Reporting in 2012. For emissions data reports due in 2012, facility operators may report 2011 emissions using applicable monitoring and calculation methods from 40 CFR Part 98. For entities not required to report 2011 emissions under 40 CFR Part 98, best available data and methods may be used for the 2011 data year. Electric power entities must report 2011 electricity transactions (MWh) and emissions (MT of CO2e) under the full specifications of this article as applicable in 2012. For 2012 reports of 2011 emissions by facilities and suppliers, the missing data substitution requirements specified in this article that are different from the requirements of 40 CFR Part 98 do not apply; missing data for the 2012 report of 2011 emissions must be substituted according to the requirements of 40 CFR Part 98.
(i) Calculation and Reporting of De Minimis Emissions. A facility operator may designate as de minimis a portion of GHG emissions representing no more than 3 percent of a facility's total CO2 equivalent emissions (including emissions from biomass-derived fuels and feedstocks), not to exceed 20,000 metric tons of CO2e. The operator may estimate de minimis emissions using alternative methods of the operator's choosing, subject to the concurrence of the verification body that the methods used are reasonable, not biased toward significant underestimation or overestimation of emissions, and unlikely to exceed the de minimis limits. The operator must separately identify and include in the emissions data report the emissions from designated de minimis sources. The operator must determine CO2 equivalence according to the global warming potentials provided in Table A-1 of 40 CFR Part 98. 
(j) Calculating, Reporting, and Verifying Emissions from Biomass-Derived Fuels. The operator or supplier must separately identify and report all biomass-derived fuels as described in section 95852.2(a) of the cap-and-trade regulation. Except for operators that use the methods of 40 CFR §98.33(a)(2)(iii) or §98.33(a)(4), the operator or supplier must separately identify, calculate, and report all direct emissions of CO2 resulting from the combustion of biomass-derived fuels as specified in sections 95112 and 95115 for facilities, and sections 95121 and 95122 for suppliers. A biomass-derived fuel not listed in section 95852.2(a) of the cap-and-trade regulation must be identified as non-exempt biomass-derived fuel. For a fuel listed under section 95852.2 of the cap-and-trade regulation, reporting entities must also meet the verification requirements in section 95131(i) of this article and the requirements of section 95852.1.1 of the cap-and-trade regulation, or the fuel must be identified as non-exempt biomass-derived fuel. Carbon dioxide combustion emissions from non-exempt biomass-derived fuel will be identified as non-exempt biomass-derived CO2. The responsibility for obtaining verification of a biomass-derived fuel falls on the entity that is claiming there is not a compliance obligation for the fuel, as indicated in section 95852.2 of the cap-and-trade regulation. 
(1) When reporting solid waste, the reporting entity must separately report the mass, in short tons, of urban waste, agricultural waste, and municipal solid waste. 
(2) When reporting the use of forest derived wood and wood waste as identified in section 95852.2(a)(4) of the cap-and-trade regulation and harvested pursuant to any section of the California Forest Practice Rules Title 14, California Code of Regulations, Chapters 4, 4.5 and 10 or federal National Environmental Policy Act, the reporting entity must report the bone-dry mass received and the name, physical address, mailing address, contact person with phone number and e-mail address, and corresponding identification number under which the wood was removed.
(3) When reporting biomethane, documentation including invoices, shipping reports, allocation and balancing reports, storage reports, in-kind nomination reports, and contracts must be made available for verifier or ARB review to demonstrate the receipt of eligible biomethane.
(4) Reporting of fuel consumption from non-exempt biomass-derived fuel is subject to the requirements of section 95103(k) and reporting of emissions from non-exempt biomass-derived fuels is subject to the requirements of sections 95110 to 95157. 
(k) Measurement Accuracy Requirement. The operator or supplier subject to the requirements of 40 CFR §98.3(i) must meet those requirements, except as otherwise specified in this paragraph. In addition, the operator or supplier with covered emission equal to or exceeding 25,000 metric tons of CO2e or a compliance obligation under the cap-and-trade regulation in any year of the current compliance period must meet the requirements of paragraphs (k)(1)-(10) below for calibration and measurement device accuracy. Inventory measurement, stock measurement, or tank drop measurement methods are subject to paragraph (11) below. The requirements of paragraphs (k)(1)-(10) apply to fuel consumption monitoring devices, feedstock consumption monitoring devices, process stream flow monitoring devices, steam flow devices, product data measuring devices, mass and fluid flow meters, weigh scales, conveyer scales, gas chromatographs, mass spectrometers, calorimeters, and devices for determining density, specific gravity, and molecular weight. Unless otherwise required by 40 CFR §98.3(i), the provisions of this section do not apply to: stationary fuel combustion units that use the methods in 40 CFR §98.33(a)(4) to calculate CO2 mass emissions; emissions reported as de minimis under section 95103(i); and devices that are solely used to measure parameters used to calculate emissions that are not covered emissions.
(1) Except as otherwise provided in section 95103(k)(7) through (9), all monitoring and sampling devices used to provide data for the GHG emissions calculations or product data must be calibrated prior to the year data collection is required to begin using the procedures specified in this section. Each of these devices must meet the applicable accuracy specification in section 95103(k)(6). The procedures and methods used to quality-assure the data from each measurement device must be documented in the written monitoring plan required by section 95105(c).
(2) All devices that provide data used to calculate GHG emissions or product data must be calibrated according to either the manufacturer's recommended procedures or a method specified in an applicable subpart of 40 CFR Part 98. The calibration method(s) used must be documented in the monitoring plan required under section 95105(c), and are subject to verification under this article and review by ARB to ensure that measurements used to calculate GHG emissions or product data have met the accuracy requirements of this section.
(3) For facilities and suppliers that become subject to this article after January 1, 2012, all flow meters and other measurement devices that provide data used to calculate GHG emissions or product data must be installed and calibrated no later than the date on which data collection is required to begin under this article.
(4) Except as otherwise provided in section 95103(k)(7) through (9), subsequent recalibrations of the devices subject to the requirements of this section must be performed no less frequently than at one of the following time intervals, whichever is shortest:
(A) The frequency specified in a subpart of 40 CFR Part 98 that is applicable under this article.
(B) The frequency recommended by the manufacturer.
(C) Once during every three-year compliance period of the cap-and-trade regulation, with the time between successive calibrations not to be less than 30 months or greater than 48 months.
(D) Immediately upon replacement of a previously calibrated meter. 
(E) If the device manufacturer explicitly states in the product documentation that calibration is required at a period exceeding three years, the operator may follow the procedures in subparagraph (9) to obtain Executive Officer approval to relieve the operator from having to comply with provisions (A) and (C) of this subparagraph.
(5) All standards used for calibration must be traceable to the National Institute of Standards and Technology or other similar national government body responsible for measurement standards.
(6) In addition to the specific calibration requirements specified below, all devices covered by this section, regardless of type, must be selected, installed, operated, and maintained in a manner to ensure an accuracy within +5%. 
(A) Perform all mass and volume measurement device calibration as specified in the original equipment manufacturer's (OEM) documentation. If OEM documentation is unavailable, calibrate as specified in 40 CFR §98.3(i)(2)-(3), except that a minimum of three calibration points must be used spanning the normal operating conditions. When using the three calibration points, one point must be at or near the zero point, one point must be at or near the upscale point, and one point at or near the mid-point of the devices operating range. Additionally:
1. Pressure differential devices must be inspected at a frequency specified in subparagraph (4) of this section. The inspection must be conducted as described in the appropriate part of ISO 5167-2 (2003), or AGA Report No 3 (2003) Part 2, both of which are incorporated by reference, or a method published by an organization listed in 40 CFR §98.7 applicable to the analysis being conducted. If the plate fails any one of the tests then the meter shall be deemed out of calibration. 
a. Records of all tests must be preserved pursuant to section 95105 and made available to verifiers and ARB upon request. 
b. In addition to the inspection, the primary element must also be photographed on both sides prior to any treatment or cleanup of the element to clearly show the condition of the element as it existed in the pipe.
2. Devices used to measure total pressure and temperature must be calibrated using methods specified in section 95103(k)(2) and at a frequency specified in section 95103(k)(4).
3. If temperature and/or total pressure measurements are not available or are taken at a remote location, the uncertainty caused by this must be factored into the evaluation of the overall measurement accuracy required under section 95103(k)(6).
(7) Financial transaction meters are exempted from the calibration requirements of section 95103(k) provided that the supplier and purchaser do not have any common owners and are not owned by subsidiaries or affiliates of the same company. For a flow meter or measurement device that has been previously calibrated in accordance with section 95103(k)(1) through (5), an additional calibration is not required by the date specified in section 95103(k)(1) if, as of that date, the previous calibration is still active (i.e., the device is not yet due for recalibration because the time interval between successive calibrations has not elapsed). In this case, the deadline for the successive calibrations of the flow meter or measurement device shall be set according to section 95103(k)(4).
(8) For units and processes that operate continuously with infrequent outages, it may not be possible to meet deadlines for the initial or subsequent calibrations of a flow meter or other fuel measurement or sampling device, or inspection of orifice plates without disrupting normal process operation. In such cases, the owner or operator may submit a written request to the Executive Officer to postpone calibration or inspection until the next scheduled maintenance outage. Such postponements are subject to the procedures of section 95103(k)(9) and must be documented in the monitoring plan that is required under section 95105(c).
(9) In cases of continuously operating units and processes where calibration or inspection is not possible without operational disruption, the operator must demonstrate by other means to the satisfaction of the Executive Officer that measurements used to calculate GHG emissions and product data still meet the accuracy requirements of section 95103(k)(6). The Executive Officer must approve any postponement of calibration or required recalibration beyond January 1, 2012. 
(A) A written request for postponement must be submitted to the Executive Officer not less than 30 days before the required calibration, recalibration or inspection date except in 2012, where the postponement request must be received by the reporting deadline in section 95103(e). The Executive Officer may request additional documentation to validate the operator's claim that the device meets the accuracy requirements of this section. The operator shall provide any additional documentation to ARB within ten (10) working days of a request by ARB.
(B) The request must include:
1. The date of the required calibration, recalibration, or inspection;
2. The date of the last calibration or inspection;
3. The proposed date for calibration, recalibration, or inspection which must be during the time period of the next scheduled shutdown. If the next shutdown will not occur within three years, this must be noted and a new request must be received every three years until the shutdown occurs and the calibration, recalibration or inspection is completed.
4. A description of the meter or other device, including at a minimum:
a. make,
b. model, 
c. install date,
d. location,
e. annual emissions calculated or annual product data reported using data from the device,
f. sources for which the device is used to calculate emissions or product data, 
g. calibration or inspection procedure,
h. reason for delaying calibration or inspection,
i. proposed method to assure the accuracy requirements of section 95103(k)(6) are met,
j. name, title, phone number and e-mail of contact person capable of responding to questions regarding the device.
(10) If the results of an initial calibration or a recalibration fail to meet the required accuracy specification, and the emissions or product data estimated using the data provided by the device represent more than 5 percent of total facility emissions or product data on an annual basis, the verifier shall note at a minimum a nonconformance as part of the emissions data verification statement. 
(11) When using an inventory measurement, stock measurement, or tank drop measurement method to calculate volumes and masses, the method must be accurate to +5% for the time periods required by this article, including annually for single product data components. Techniques used to quantify amounts stored at the beginning and end of these time periods are not subject to the calibration requirements of this section. Uncertainties in beginning and end amounts are subject to verifier review for material misstatement under section 95131(b)(12) of this article. If any devices used to measure inputs and outputs do not meet the requirements of paragraphs (1)-(10) above, the verifier must account for this uncertainty when evaluating material misstatements. Reported values must be calculated using the following equations: 
Fuel consumed (volume or mass) = (inputs during time period - outputs during time period) + (amount stored at beginning of time period) - (amount stored at end of time period)
Product produced (volume or mass) = (outputs during time period - inputs during time period) + (amount stored at end of time period - amount stored at beginning of time period) 
(l) Reporting and Verifying Product Data. The reporting entity must separately identify, quantify, and report all product data as specified in sections 95110-95123 and 95156 of this article. It is the responsibility of the reporting entity to obtain verification services for the product data. Product data will be evaluated for conformance and material misstatement independent of GHG emissions data. The operator must not replace data when calculating product data.
(m) Changes in Methodology. Except as specified below, where this article permits a choice between different methods for the monitoring and calculation of GHGs, the operator or supplier must make this choice by January 1, 2013, and continue to use the method chosen for all future emissions data reports, unless the use of an alternative calculation method is approved in advance by the Executive Officer. 
(1) The operator or supplier is permitted to permanently improve the emissions calculation method after January 1, 2013 through a change to a higher-tier monitoring or calculation method, such as the addition of a continuous emissions monitoring system.
(2) The operator or supplier is permitted to temporarily modify the emissions monitoring or calculation method when consistent with and necessary for the avoidance of missing data or to comply with the missing data provisions of this article. 
(3) When proposing a change in monitoring or calculation method, an operator or supplier must indicate why the change in method is being proposed, and provide a demonstration of differences in estimated emissions under the two methods.
(4) When permitted, a change in method must be made after the completion of monitoring for a data year, and not for a portion of a data year except where necessary to comply with section 95129 and other missing data substitution provisions of this article. 
(n) Addresses. The following address shall be substituted for the addresses provided in 40 CFR §98.9 for both U.S. mail and package deliveries:
Executive Officer
Attn: Emission Inventory Branch
California Air Resources Board
P.O. Box 2815
Sacramento, CA 95812
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95104. Emissions Data Report Contents and Mechanism.
Note     •     History

The reporting entities specified in 95101 must develop, submit, and certify greenhouse gas emissions data reports to the Air Resources Board each year in accord with the following requirements. 
(a) General Contents. In addition to the items specified at 40 CFR §98.3(c), each reporting entity must include in the emissions data report the following California information: ARB identification number, air basin, air district, county, and geographic location. Electricity generating units must also provide Energy Information Administration and California Energy Commission identification numbers, as applicable. 
(b) Designated Representative. Each reporting entity must designate a reporting representative and adhere to the requirements of 40 CFR §98.4 for this representative and for any named alternate designated representatives. 
(c) Corporate Parent and NAICS Codes. Each reporting entity must submit information to meet the requirements specified in amendments to 40 CFR Part 98 on Reporting of Corporate Parent Information, NAICS Codes and Cogeneration, as promulgated by U.S. EPA on September 22, 2010. 
(d) Facility Level Energy Input and Output. The operator must include in the emissions data report information about the facility's energy acquisitions and energy provided or sold as specified below. For the purpose of reporting under this paragraph, the operator may exclude any electricity that is generated outside the facility and delivered into the facility with final destination outside of the facility. The operator may also exclude electricity consumed by operations or activities that do not generate any emissions, energy outputs, or products that are covered by this article, and that are neither a part of nor in support of electricity generation or any industrial activities covered by this article. The operator must report this information for the calendar year covered by the emissions data report, pro-rating purchases as necessary to include information for the full months of January and December. 
(1) Electricity purchases or acquisition from sources outside of the facility boundary (MWh) and the name and ARB identification number of each electricity provider, as applicable. 
(2) Thermal energy purchases or acquisitions from sources outside of the facility boundary (MMBtu) and the name and ARB identification number of each energy provider, as applicable. If the operator acquires thermal energy from a PURPA Qualifying Facility and vents, radiates, wastes, or discharges more than 10% of the acquired thermal energy before utilizing the energy in any industrial process, operation, or heating/cooling application, the operator must report the amount of thermal energy actually needed and utilized, in addition to the amount of thermal energy received from the provider. 
(3) Electricity provided or sold, as specified in section 95112(a)(4), if applicable. 
(4) Thermal energy provided or sold to entities outside of the facility boundary: the operator must report the amount of thermal energy provided or sold (MMBtu), the names and ARB identification number of each end-user as applicable, and the type of unit that generates the thermal energy. If section 95112 applies to the operator, the operator must follow the requirements of section 95112(a)(5) in reporting the thermal energy generated by cogeneration or bigeneration units, and if applicable, also separately report the information required in paragraph 95104(d)(4) for the thermal energy provided or sold that is not generated by cogeneration or bigeneration units. 
(e) Reporting Mechanism. Reporting entities shall submit emissions data reports, and any revisions to the reports, through the California Air Resources Board's (ARB) Greenhouse Gas Reporting Tool, or any other reporting tool approved by the Executive Officer that will guarantee transmittal and receipt of data required by ARB's Mandatory Reporting Regulation and Cost of Implementation Fee Regulation. Reporting entities are not responsible for reporting data required under this article that is not specified for reporting in the reporting tool. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. New subsection (e) filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
3. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95105. Recordkeeping Requirements.
Note     •     History

Each reporting entity that is required to report greenhouse gases under this article, except as provided in section 95103(a)(9), must keep records as required by 40 CFR §98.3(g)-(h) with the following qualifications. 
(a) Duration. Reporting entities with a compliance obligation under the cap-and-trade regulation in any year of the current compliance period must maintain all records specified in 40 CFR §98.3(g), and records associated with revisions to emissions data reports as provided under 40 CFR §98.3(h), for a period of ten years from the date of emissions data report certification. The retained documents, including GHG emissions data and input data, must be sufficient to allow for verification of each emissions data report. Reporting entities that do not have a compliance obligation under the cap-and-trade regulation during any year of the current compliance period must maintain such records for a period of five years from the date of certification. 
(b) ARB Requests for Records. Copies of any records or other materials maintained under the requirements of 40 CFR Part 98 or this article must be made available to the Executive Officer upon request, within twenty days of receipt of such request by the designated representative of the reporting entity. 
(c) GHG Monitoring Plan for Facilities and Suppliers. Each facility or supplier that reports under 40 CFR Part 98, each facility or supplier with covered emissions equal to or exceeding 25,000 mtC02e, and each facility or supplier with a compliance obligation under the cap-and-trade regulation in any year of the current compliance period, must complete and retain for review by a verifier or ARB a written GHG Monitoring Plan that meets the requirements of 40 CFR §98.3(g)(5). For facilities, the Plan must also include the following elements, as applicable: 
(1) All fuel use measurement devices used for emissions calculations or product data must be clearly identified, and the plan must indicate how data from these devices are incorporated into the emissions data report. 
(2) Original equipment manufacturer (OEM) documentation, or other documentation that identifies instrument accuracy and required maintenance and calibration requirements for all measurement devices used in the calculation of GHG emissions. 
(3) Identification of measurement device location, and the location of any additional devices or sampling ports required for calculating covered emissions and product data (e.g. temperature, total pressure, HHV). 
(4) The dates of measurement device calibration or inspection, and the dates of the next required calibration or inspection. 
(5) Identification of low flow cutoffs, as applicable. 
(6) A listing of the equation(s) used to calculate mass or volume flows, and from which any non-measured parameters are obtained. 
(7) Records of the most recent orifice plate inspection performed according to the requirements of ISO 5167-2 (2003), section 5, which is hereby incorporated by reference. 
(8) Training practices for personnel involved in GHG monitoring, including documented training procedures, and training materials.
(9) Copies of methodologies used for all fuel-based emissions analyses, including the standardized methods chosen as specified in section 95109. 
(10) At the operator's choosing, a fuel monitoring plan to verify on a regular basis the proper functioning of fuel measurement equipment that is used to determine facility GHG emissions. The operator wishing to preserve the option of using the missing data substitution procedures in section 95129(d)(2) in the event that such procedures become necessary to use, must monitor fuel measurement equipment and maintain records of its proper operation by recording fuel consumption data at least weekly. The operator exercising this option may fulfill periodic fuel monitoring either through manual monitoring or by using an automatic data acquisition system that electronically records, stores, and identifies measurement device malfunctioning periods. The records of fuel consumption must be sufficient for the application of the missing data substitution procedure in section 95129(d)(2) if that option is later chosen by the operator. 
(d) GHG Inventory Program for Electric Power Entities that Import or Export Electricity. In lieu of a GHG Monitoring Plan, electric power entities that import or export electricity must prepare GHG Inventory Program documentation that is maintained and available for verifier review and ARB audit pursuant to the recordkeeping requirements of this section. The following information is required: 
(1) Information to allow the verification team to develop a general understanding of entity boundaries, operations, and electricity transactions; 
(2) Reference to management policies or practices applicable to reporting pursuant to section 95111; 
(3) List of key personnel involved in compiling data and preparing the emissions data report; 
(4) Training practices for personnel involved in reporting delivered electricity pursuant to section 95111 and responsible for data report certification, including documented training procedures; 
(5) Query of NERC e-Tag source data to determine the quantity of electricity (MWh) imported, exported, and wheeled for transactions in which they are the purchasing-selling entity on the last physical path segment that crosses the border of the state of California, access to review the raw e-Tag data, a tabulated summary, and query description; 
(6) Reference to other independent or internal data management systems and records, including written power contracts and associated verbal or electronic records, full or partial ownership, invoices, and settlements data used to document whether reported transactions are specified or unspecified and whether the requirements for adjustments to covered emissions pursuant to section 95852(b) of the cap-and-trade regulation are met;
(7) Description of steps taken and calculations made to aggregate data into reporting categories required pursuant to section 95111;
(8) Records of preventive and corrective actions taken to address verifier and ARB findings of past nonconformances and material misstatements; 
(9) Log of emissions data report modifications made after initial certification; and
(10) A written description of an internal audit program that includes emissions data report review and documents ongoing efforts to improve the GHG Inventory Program. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
3. Editorial correction of section heading (Register 2012, No. 4).
§95106. Confidentiality.
Note     •     History

(a) Emissions data submitted to the ARB under this article is public information and shall not be designated as confidential. Data reported to U.S. EPA under 40 CFR Part 98 which has been released to the public by U.S. EPA shall be considered public information by ARB.
(b) Any entity submitting information to the Executive Officer pursuant to this article may claim such information as “confidential” by clearly identifying such information as “confidential.” Any claim of confidentiality by an entity submitting information must be based on the entity's belief that the information marked as confidential is either trade secret or otherwise exempt from public disclosure under the California Public Records Act (Government Code section 6250 et seq.). All such requests for confidentiality shall be handled in accordance with the procedures specified in title 17, California Code of Regulations, sections 91000 to 91022.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95107. Enforcement.
Note     •     History

(a) Penalties may be assessed for any violation of this article pursuant to Health and Safety Code section 38580. In seeking any penalty amount, ARB shall consider all relevant circumstances, including any pattern of violation, the size and complexity of the reporting entity's operations, and the other criteria in Health and Safety Code section 42403(b).
(b) Each day or portion thereof that any report required by this article remains unsubmitted, is submitted late, or contains information that is incomplete or inaccurate is a single, separate violation. For purposes of this section, “report” means any emissions data report, verification statement, or other document required to be submitted to the Executive Officer by this article.
(c) Each metric ton of CO2e emitted but not reported as required by this article is a separate violation. ARB will not initiate enforcement action under this subparagraph until after any applicable verification deadline for the pertinent report. 
(d) Each failure to measure, collect, record or preserve information in the manner required by this article constitutes a separate violation, except where the reporting entity can demonstrate that the failure results solely from maintenance or calibration required by this article. 
(e) The Executive Officer may revoke or modify any Executive Order issued pursuant to this article as a sanction for a violation of this article.
(f) The violation of any condition of an Executive Order that is issued pursuant to this article is a separate violation.
(g) Any violation of this article may be enjoined pursuant to Health and Safety Code section 41513.
NOTE

Authority cited: Sections 38510, 38530, 38580, 39600, 39601, 39607, 39607.4 and 41511,  Health and Safety Code. Reference: Sections 38530, 38580, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95108. Severability.
Note     •     History

Each part of this article shall be deemed severable, and in the event that any provision of this article is held to be invalid, the remainder of this article shall continue in full force and effect.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95109. Standardized Methods.
Note     •     History

(a) Entities that are required to report greenhouse gas emissions pursuant to this article must use either those standardized methods and materials listed in 40 CFR §98.7, or another similar method published by an organization listed in 40 CFR §98.7 that is applicable to the analysis being conducted. For gaseous fuels, fuel characteristics may be determined using chromatographic analysis as specified in 40 CFR §98.34(a)(6) and §98.34(b)(5). All methods used must be documented in the GHG Monitoring Plan that is as required by section 95105(c). 
(b) Alternative test methods that are demonstrated to the satisfaction of the Executive Officer to be equally or more accurate than the methods in section 95109(a) may be used upon written approval by the Executive Officer. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Repealer and new section heading and section and amendment of Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 2. Requirements for the Mandatory Reporting of Greenhouse Gas Emissions from Specific Types of Facilities, Suppliers, and Entities
§95110. Cement Production.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart H of 40 CFR Part 98 (§§98.80 to 98.88) in reporting annual stationary combustion and process emissions and other data from cement production to ARB, except as otherwise provided in this section.
(a) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fuel combustion, the operator must use a method in 40 CFR §98.33(a)(1) to §98.33(a)(4) as specified by fuel type in section 95115 of this article. 
(b) Monitoring, Data and Records. For each emissions calculation method chosen under section 95110(a), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95110(c)-(d), 95115, and 95129 of this article. 
(c) Missing Data Substitution Procedures. The operator must comply with 40 CFR §98.85 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(3) below.
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) If data for the carbonate content of clinker or cement kiln dust as required by 40 CFR §98.83(d) are missing, and a new analysis cannot be undertaken, the operator must apply a substitute value according to the procedures in paragraphs (A)-(C) below.
(A) If the data capture rate is at least 90 percent for the data year, the operator must substitute for each missing value using the best available estimate of the parameter, based on all available process data. 
(B) If the data capture rate is at least 80 percent but not at least 90 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter during the given data year, as well as the two previous data years. 
(C) If the data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter in all records kept according to section 95105(a).
(3) For each missing value of the monthly raw material consumption or monthly clinker production used to calculate emissions, the operator must apply a substitute value according to paragraphs (A)-(B) below.
(A) If the data capture rate is at least 80 percent for the data year, the operator must substitute for each missing value according to 40 CFR §98.85(c) or 40 CFR §98.85(d), as applicable. 
(B) If the data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the maximum short tons of clinker per day capacity of the system or the maximum short tons per day raw material throughput of the kiln, as applicable, and the number of days per month. 
(4) The operator must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105.
(d) Additional Product Data. In addition to the information required by 40 CFR §98.86, the operator must report the parameters provided in paragraphs (1)-(4) below whether or not a CEMS is used to measure CO2 emissions.
(1) Annual quantity clinker produced (short tons).
(2) Annual quantity clinker consumed (short tons).
(3) Annual quantity of limestone and gypsum (including both natural and synthetic gypsum) consumed for blending (short tons). 
(4) Annual quantity of cement substitute consumed, by type (short tons). This parameter is not subject to review for material misstatement under the requirements of section 95131(b)(12).
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New subarticle 2 (sections 95110-95115) and section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of subarticle heading, repealer and new section heading and section and amendment of Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95111. Data Requirements and Calculation Methods for Electric Power Entities.
Note     •     History

The electric power entity who is required to report under section 95101 of this article must comply with the following requirements.
(a) General Requirements and Content for GHG Emissions Data Reports for Electricity Importers and Exporters. 
(1) Greenhouse Gas Emissions. The electric power entity must report GHG emissions separately for each category of delivered electricity required, in metric tons of CO2 equivalent (MT of CO2e), according to the calculation methods in section 95111(b).
(2) Delivered Electricity. The electric power entity must report imported, exported, and wheeled electricity in MWh disaggregated by first point of receipt or final point of delivery, as applicable, and must also separately report imported and exported electricity from unspecified sources and from each specified source. Substitute electricity defined pursuant to section 95102(a) must be separately reported for each specified source, as applicable. First points of receipt (POR) and final points of delivery (POD) must be reported using the standardized code used in NERC e-Tags, as well as the full name of the POR/POD.
(3) Imported Electricity from Unspecified Sources. When reporting imported electricity from unspecified sources, the electric power entity must report for each first point of receipt the following information:
(A) Whether the first point of receipt is located in a linked jurisdiction published on the ARB Mandatory Reporting website;
(B) The amount of electricity from unspecified sources as measured at the first point of delivery in California; and
(C) GHG emissions, including those associated with transmission losses, as required in section 95111(b).
(4) Imported Electricity from Specified Facilities or Units. The electric power entity must report all direct delivery of electricity as from a specified source for facilities or units in which they are a generation providing entity (GPE) or have a written power contract to procure electricity. When reporting imported electricity from specified facilities or units, the electric power entity must disaggregate electricity deliveries and associated GHG emissions by facility or unit and by first point of receipt, as applicable. The reporting entity must also report total GHG emissions and MWh from specified sources and the sum of emissions from specified sources explicitly listed as not covered pursuant to section 95852.2 of the cap-and-trade regulation. 
(A) Claims of specified sources of imported electricity, defined pursuant to section 95102(a), are calculated pursuant to section 95111(b), must meet the requirements in section 95111(g), and must include the following information:
1. The amount of imported electricity from specified facilities or units as measured at the busbar; and
2. If the amount of imported electricity deliveries from specified facilities or units as measured at the busbar is not known, report the amount of imported electricity as measured at the first point of delivery in California, including estimated transmission losses as required in section 95111(b), and the reason why measurement at the busbar is not known.
(5) Imported Electricity Supplied by Asset-Controlling Suppliers. The reporting entity must separately report imported electricity supplied by Bonneville Power Administration, an asset-controlling supplier recognized by ARB. Bonneville Power Administration must be identified on the NERC e-Tags as the PSE at the first point of receipt. The reporting entity must:
(A) Report the asset-controlling supplier standardized PSE acronym or code, full name, and the ARB identification number; 
(B) Report delivered electricity as specified and not as unspecified;
(C) Report delivered electricity from asset-controlling suppliers as measured at the first point of delivery in the state of California; and, 
(D) Report GHG emissions calculated pursuant to section 95111(b), including transmission losses.
(6) Exported Electricity. The electric power entity must report exported electricity in MWh and associated GHG emissions in MT of CO2e for unspecified sources disaggregated by each final point of delivery outside the state of California, and for each specified source disaggregated by each final point of delivery outside the state of California, as well as the following information: 
(A) Exported electricity as measured at the last point of delivery located in the state of California, if known. If unknown, report as measured at the final point of delivery outside California.
(B) Do not report estimated transmission losses.
(C) Report whether the final point of delivery is located in a linked jurisdiction published on the ARB Mandatory Reporting website. 
(D) Report GHG emissions calculated pursuant to section 95111(b).

(E) 	Separately report qualified exports as defined in section 95102(a).
(7) Exchange Agreements. The electric power entity must report delivered electricity under power exchange agreements consistent with imported and exported electricity requirements of this section. Electricity delivered into the state of California under exchange agreements must be reported as imported electricity and electricity delivered out of California under exchange agreements must be reported as exported electricity. 
(8) Electricity Wheeled Through California. The electric power entity must separately report electricity wheeled through California, aggregated by first point of receipt outside California, and must exclude wheeled power transactions from reported imports and exports. When reporting electricity wheeled through California, the power entity must include the quantities of electricity wheeled through California as measured at the first point of delivery inside the state of California.
(9) Verification Documentation. The electric power entity must retain for purposes of verification NERC e-Tags, written power contracts, settlements data, and all other information required to confirm reported electricity procurements and deliveries pursuant to the recordkeeping requirements of section 95105.
(10) Electricity Generating Units and Cogeneration Units in California. Electric power entities that also operate electricity generating units or cogeneration units located inside the state of California that meet the applicability requirements of this article must report GHG emissions to ARB under section 95112. 
(11) Electricity Generating Units and Cogeneration Units Outside California. Operators and owners of electricity generating units and cogeneration units located outside the state of California who elect to report to ARB under section 95112 must fully comply with the reporting and verification requirements of this article. 
(b) Calculating GHG Emissions.
(1) Calculating GHG Emissions from Unspecified Sources. For electricity from unspecified sources, the electric power entity must calculate the annual CO2 equivalent mass emissions using the following equation:

CO2e = MWh x TL x EFunsp
Where:
CO2e = Annual CO2 equivalent mass emissions from the unspecified electricity deliveries at each point of receipt identified (MT of CO2e).
MWh = Megawatt-hours of unspecified electricity deliveries at each point of receipt identified. 
EFunsp = Default emission factor for unspecified electricity imports.
EFunsp = 0.428 MT of CO2e/MWh 
TL = Transmission loss correction factor.
TL = 1.02 to account for transmission losses between the busbar and measurement at the first point of receipt in California.
(2) Calculating GHG Emissions from Specified Facilities or Units. For electricity from specified facilities or units, the electric power entity must calculate emissions using the following equation: 

CO2e = MWh x TL x EFsp
Where:
CO2e = Annual CO2 equivalent mass emissions from the specified electricity deliveries from each facility or unit claimed (MT of CO2e).

MWh =	 Megawatt-hours of specified electricity deliveries from each facility or unit claimed. 

EFsp =	 Facility-specific or unit-specific emission factor published on the ARB Mandatory Reporting website. 
EFsp = 0 MT of CO2e for facilities below the GHG emissions compliance threshold for delivered electricity pursuant to the cap-and-trade regulation during the first compliance period.
TL = Transmission loss correction factor.

TL =	 1.02 when deliveries are not reported as measured at the busbar, to account for transmission losses between the busbar and measurement at first point of receipt in California.
TL = 1.0 when deliveries are reported as measured at the busbar.
The Executive Officer shall calculate facility-specific or unit-specific emission factors and publish them on the ARB Mandatory Reporting website using the following equation:

EFsp = Esp /EG
Where:
Esp = CO2e emissions for a specified facility or unit for the report year (MT of CO2e).
EG = Net generation from a specified facility or unit for the report year reported to ARB under this section (MWh).
(A) For specified facilities or units whose operators are subject to this article or whose owners or operators voluntarily report under this article, Esp shall be equal to the sum of CO2e emissions reported pursuant to section 95112. 
(B) For specified facilities or units whose operators are not subject to reporting under this article or whose owners or operators do not voluntarily report under this article, but are subject to the U.S. EPA GHG Mandatory Reporting Regulation, Esp shall be based on GHG emissions reported to U.S. EPA pursuant to 40 CFR Part 98. Emissions from combustion of biomass-derived fuels will be based on EIA data, when not reported to U.S. EPA.
(C) For specified facilities or units whose operators are not subject to reporting under this article or whose owners or operators do not voluntarily report under this article, nor are subject to the U.S. EPA GHG Mandatory Reporting Regulation, Esp is calculated using heat of combustion data reported to the Energy Information Administration (EIA) as shown below. 

Esp = 0.001 x  S(Q x EF)
Where:
0.001 = conversion factor kg to MT
Q = Heat of combustion for each specified fuel type from the specified facility or unit for the report year (MMBtu). For cogeneration, Q is the quantity of fuel allocated to electricity generation consistent with EIA reporting. For geothermal electricity, Q is the steam data reported to EIA (MMBtu).
EF = CO2e emission factor for the specified fuel type as required by this article (kg CO2e /MMBtu). For geothermal electricity, EF is the estimated CO2 emission factor published by EIA.
(D) Facilities or units will be assigned an emission factor by the Executive Officer based on the type of fuel combusted or the technology used when a U.S. EPA GHG Report or EIA fuel consumption report is not available, including new facilities and facilities located outside the U.S.
(3) Calculating GHG Emissions of Imported Electricity Supplied by Specified Asset-Controlling Suppliers. ARB will calculate and publish on the ARB Mandatory Reporting website the system emission factor for Bonneville Power Administration, an asset-controlling supplier recognized by the ARB. The reporting entity must calculate emissions for electricity supplied using the following equation: 

CO2e = MWh x TL x EFACS
Where:
CO2e = Annual CO2 equivalent mass emissions from the specified electricity deliveries from Bonneville Power Administration (MT of CO2e).
MWh = Megawatt-hours of specified electricity deliveries. 
EFACS = Supplier-specific emission factor published on the ARB Mandatory Reporting website (MT CO2e/MWh). ARB will assign Bonneville Power Administration (BPA) a default system emission factor equal to 20 percent of the default emission factor for unspecified sources, or when available, based on a previously verified GHG report submitted to ARB, beginning in the 2010 data year and meeting the requirements for asset-controlling suppliers.
TL = Transmission loss correction factor.

TL =	 1.02 when deliveries are not reported as measured at a first point of receipt located within the balancing authority area of the asset-controlling supplier.

TL = 	1.0 when deliveries are reported as measured at a first point of receipt located within the balancing authority area of the asset-controlling supplier.
The Executive Officer shall calculate the system emission factor for asset-controlling suppliers using the following equations:

EFACS = Sum of System Emissions MT of CO2e / Sum of System MWh

Sum of System Emissions, MT of CO2e = SEasp + S(PEsp * EFsp) +
    SPEunsp * EFunsp) - S(SEsp * EFsp)

Sum of System MWh = SEGasp + SPEsp + SPEunsp - SSEsp
Where:
SEasp = Sum of CO2e emissions from each specified facility/unit in the asset-controlling supplier's fleet, consistent with section 95111(b)(2) (MT of CO2e). 
SEGasp = Sum of net generation for each specified facility/unit in the asset-controlling supplier's fleet for the data year as reported to ARB under this article (MWh).
PEsp = Amount of electricity purchased wholesale and taken from specified sources by the asset-controlling supplier for the data year as reported to ARB under this article (MWh).
PEunsp = Amount of electricity purchased wholesale from unspecified sources by the asset-controlling supplier for the data year as reported to ARB under this article (MWh).
SEsp = Amount of wholesale electricity sold from a specified source by the asset-controlling supplier for the data year as reported to ARB under this article (MWh).
EFsp = CO2e emission factor as defined for each specified facility or unit calculated consistent with section 95111(b)(2) (MT CO2e/MWh).
EFunsp = Default emission factor for unspecified sources calculated consistent with section 95111(b)(1) (MT CO2e/MWh).
(4) Calculating GHG Emissions of Imported Electricity for Multi-jurisdictional Retail Providers. Multi-jurisdictional retail providers must include emissions and megawatt-hours in the terms below from facilities or units that contribute to a common system power pool. Multi-jurisdictional retail providers do not include emissions or megawatt-hours in the terms below from facilities or units allocated to serve retail loads in designated states pursuant to a cost allocation methodology approved by the California Public Utilities Commission (CPUC) and the utility regulatory commission of at least one additional state in which the multi-jurisdictional retail provider provides retail electric service. Multi-jurisdictional retail providers must calculate emissions that have a compliance obligation using the following equation: 

CO2e=(MWhRxTLR-MWhWSP-CA-EGCA)xEFMJRP+
    MWWSP-notCAxTLWSPxEFunsp-CO2elinked
Where:

CO2e =	 Annual CO2e mass emissions of imported electricity (MT of CO2e).

MWhR =	 Total electricity procured by multi-jurisdictional retail provider to serve its retail customers in California, reported as retail sales for California service territory, MWh. 
MWhWSP-CA = Wholesale electricity procured in California by multi-jurisdictional retail provider to serve its retail customers in California, as determined by the first point of receipt on a NERC e-Tag and pursuant to a cost allocation methodology approved by the California Public Utilities Commission (CPUC) and the utility regulatory commission of at least one additional state in which the multi-jurisdictional retail provider provides retail electric service, MWh. 
MWhWSP-not CA = Wholesale electricity imported into California by multi-jurisdictional retail provider with a final point of delivery in California and not used to serve its California retail customers, MWh. 
EFMJRP = Multi-jurisdictional retail provider system emission factor calculated by ARB pursuant to subsection 95111(b)(3) and consistent with a cost allocation methodology approved by the California Public Utilities Commission (CPUC) and the utility regulatory commission of at least one additional state in which the multi-jurisdictional retail provider provides retail electric service. 
EFunsp = Default emission factor for unspecified sources calculated consistent with section 95111(b)(1) (MT CO2e/MWh).

EGCA =	Net generation measured at the busbar of facilities and units located in California that are allocated to serve its retail customers in California pursuant to a cost allocation methodology approved by the California Public Utilities Commission (CPUC) and the utility regulatory commission of at least one additional state in which the multi-jurisdictional retail provider provides retail electric service, MWh. 
TL = Transmission loss correction factor.
TLWSP = 1.02 for transmission losses applied to wholesale power.
TLR = Estimate of transmission losses from busbar to end user reported by multi-jurisdictional retail provider.
CO2elinked = Annual CO2e mass emissions recognized by ARB pursuant to linkage under subarticle 12 of the cap-and-trade regulation (MT of CO2e).
(5) Calculation of covered emissions. For imported electricity with covered emissions as defined pursuant to section 95102(a), the electric power entity must calculate and report covered emissions pursuant to the equation in section 95852(b)(1)(B) of the cap-and-trade regulation and include the following information:
CO2ecovered = Sum of covered emissions defined pursuant to section 95102(a) and calculated pursuant to the equation in section 95852(b)(1)(B) of the cap-and-trade regulation (MT of CO2e).
CO2eunsp = Sum of CO2 equivalent mass emissions from imported electricity from unspecified sources (MT of CO2e).
CO2esp = Sum of CO2 equivalent mass emissions from imported electricity that meets the requirements in section 95111(g) for reporting electricity from specified sources (MT of CO2e).
CO2esp-not covered = Sum of CO2 equivalent mass emissions from imported electricity that meets the requirements in section 95111(g) for reporting electricity from specified sources and is explicitly listed as not covered pursuant to section 95852.2 of the cap-and-trade regulation (MT of CO2e).
CO2eRPS adjust = Sum of CO2 equivalent mass emissions adjustment is calculated using the following equation for electricity generated by each eligible renewable energy resource located outside the state of California and registered with ARB by the reporting entity pursuant to section 95111(g)(1), but not directly delivered as defined pursuant to section 95102(a). Electricity included in the RPS adjustment must meet the requirements pursuant to section 95852(b)(4) of the cap-and-trade regulation (MT of CO2e).
CO2e QE adjust = Sum of CO2 equivalent mass emissions adjustment for qualified exports as defined in section 95102(a) and that meet the requirements pursuant to section 95852(b)(5) of the cap-and-trade regulation (MT of CO2e).
CO2e linked = Sum of CO2e mass emissions recognized by ARB pursuant to linkage under subarticle 12 of the cap-and-trade regulation (MT of CO2e).

CO2eRPS-adjust = MWhRPS x AF
Where:
MWhRPS = Sum of MWh generated by each eligible renewable energy resource located outside of the state of California, procured by the reporting entity, registered with ARB pursuant to section 95111(g)(1), and meeting requirements pursuant to section 95852(b)(4) of the cap-and-trade regulation. 
AF = EFunsp (MT CO2e/MWh)
(c) GHG Emissions Data Report: Additional Requirements for Retail Providers, excluding Multi-jurisdictional Retail Providers. Retail providers must include the following information in the GHG emissions data report for each report year, in addition to the information identified in sections 95111(a)-(b) and (g). 
(1) Retail providers must report California retail sales. A retail providers who is required only to report retail sales may choose not to apply the verification requirements specified in section 95103, if the retail provider deems the emissions data report non-confidential.
(2) Retail providers may elect to report the subset of retail sales attributed to the electrification of shipping ports, truck stops, and motor vehicles if metering is available to separately track these sales from other retail sales.
(3) For facilities or units located outside California in a jurisdiction where a GHG emissions trading system has not been approved for linkage pursuant to subarticle 12 of the cap-and-trade regulation, that are fully or partially owned by a retail provider that have GHG emissions greater than the default emission factor for unspecified imported electricity based on the most recent GHG emissions data report submitted to ARB or U.S. EPA, the retail provider must include:
(A) Information required in section 95111(g)(1) in data years with no reported imported electricity from the facility or unit;
(B) The quantity of electricity from the facility or unit sold by the retail provider or on behalf of the retail provider having a final point of delivery outside California, as measured at the busbar.
(C) High GHG-Emitting Facilities or Units. For facilities or units that are operated by a retail provider or fully or partially owned by a retail provider, excluding multi-jurisdictional retail providers, and that have emissions greater than the default emission factor for unspecified electricity based on the most recent GHG emissions data report submitted to ARB or to U.S.EPA, the retail provider must report the following information:
1. When the product of net generation (MWh) and ownership share is greater than imported electricity (MWh), emissions associated with electricity not imported into California must be reported as 

CO2e not imported = (EGsp*OS - Isp)*EFsp.
Where: 
EGsp = facility or unit net generation, MWh.
OS = fraction ownership share.
Isp = imported electricity, MWh.
EFsp. = facility or unit-specific emission factor, MT of CO2e/MWh.
2. List the replacement generation sources, locations, and whether they are new units when Isp<90% of EGsp*OS and when a facilty specified in the previous report year has no imported electricity in the current report year.
(4) Retail providers that report as electricity importers also must separately report electricity imported from specified and unspecified sources by other electric power entities to serve their load, designating the electricity importer. 
(d) GHG Emissions Data Report. Additional Requirements for Multi-Jurisdictional Retail Providers. Multi-jurisdictional retail providers that provide electricity into California at the distribution level must include the following information in the GHG emissions data report for each report year, in addition to the information identified in section 95111(a)-(b). 
(1) A report of the electricity transactions and GHG emissions associated with the common power system or contiguous service territory that includes consumers in California. This includes the requirements in this section as applicable for each generating facility or unit in the multi-jurisdictional retail provider's fleet; 
(2) The multi-jurisdictional retail provider must include in its emissions data report wholesale power purchased and taken (MWh) from specified and unspecified sources and wholesale power sold from specified sources according to the specifications in this section, and as required for ARB to calculate a supplier-specific emission factor; 
(3) Total retail sales (MWh) by the multi-jurisdictional retail provider in the contiguous service territory or power system that includes consumers in California; 
(4) Retail sales (MWh) to California customers served in California's portion of the service territory;
(5) GHG emissions associated with the imported electricity, including both California retail sales and wholesale power imported into California from the retail provider's system, according to the specifications in this section;
(6) Multi-jurisdictional retail providers that serve California load must claim as specified power all power purchased or taken from facilities or units in which they have operational control or an ownership share or written power contract;
(7) Multi-jurisdictional retail providers that serve California load may elect to exclude information listed in 95111(g)(1)(E)-(J) when registering claims to specified power from facilities located outside California and participating in the Federal Energy Regulatory Commission's PURPA Qualifying Facility program.
(e) GHG Emissions Data Report: Additional Requirements for WAPA and DWR. 
(1) In reporting its GHG emissions to ARB, the California Department of Water Resources shall include all applicable information identified in this article for retail providers, including the amount of electricity used for pump loads, to operate the State Water Project.
(2) In reporting its GHG emissions to ARB, the Western Area Power Agency shall include all applicable information identified in this article for retail providers, including the amount of electricity used for pump loads, to operate the Central Valley Project.
(f) GHG Emissions Data Report: Additional Requirements for Asset-Controlling Suppliers. Bonneville Power Administration may request that ARB calculate its supplier-specific emission factor based on a previously verified GHG report that meets the requirements for asset-controlling suppliers, instead of a default system emission factor equal to 20 percent of the default emission factor for unspecified sources. An asset-controlling supplier that chooses this option must:
(1) Meet the requirements in this section as applicable for each generating facility or unit in the supplier's fleet;
(2) Include in its emissions data report wholesale power purchased and taken (MWh) from specified and unspecified sources and wholesale power sold from specified sources according to the specifications in this section, and as required for ARB to calculate a supplier-specific emission factor;
(3) Retain for verification purposes documentation that the power sold by the supplier originated from the supplier's fleet of facilities and either that the fleet is under the supplier's operational control or that the supplier serves as the fleet's exclusive marketer;
(4) Provide the supplier-specific ARB identification number to electric power entities who purchase electricity from the supplier's system.
(g) Requirements for Claims of Specified Sources of Electricity and for Eligible Renewable Energy Resources in the RPS Adjustment. Each reporting entity claiming specified facilities or units for imported or exported electricity must register its anticipated specified sources with ARB pursuant to subsection 95111(g)(1) and by February 1 following each data year to obtain associated emission factors calculated by ARB. Each reporting entity claiming specified facilities or units for imported or exported electricity must also meet requirements pursuant to subsections 95111(g)(2)-(5) in the emissions data report. Each reporting entity claiming an RPS adjustment, as defined in section 95111(b)(5), pursuant to section 95852(b)(4) of the cap-and-trade regulation must include registration information for the eligible renewable energy resources pursuant to subsection 95111(g)(1) in the emissions data report. Prior registration and subsections 95111(g)(2)-(5) do not apply to RPS adjustments. Registration information and the amount of electricity claimed in the RPS adjustment must be fully reconciled and corrections must be certified within 45 days following the emissions data report due date. 
(1) Registration Information for Specified Sources and Eligible Renewable Energy Resources in the RPS Adjustment. The following information is required:
(A) The facility names and, for specification to the unit level, the facility and unit names. 
(B) For sources with a previously assigned ARB identification number, the ARB facility or unit identification number or supplier number published on ARB's mandatory reporting program website. For newly specified sources, ARB will assign a unique identification number.
(C) If applicable, the facility and unit identification numbers as used for reporting to the U.S. EPA Acid Rain Program, U.S. EPA pursuant to 40 CFR Part 98, U.S. Energy Information Administration, Federal Energy Regulatory Commission's PURPA Qualifying Facility program, California Energy Commission, and California Independent System Operator, as applicable.
(D) The physical address of each facility, including jurisdiction.
(E) Provide names of facility owner and operator. 
(F) The percent ownership share and whether the facility or unit is under the electricity importer's operational control.
(G) Total facility or unit gross and net nameplate capacity when the electricity importer is a GPE.
(H) Total facility or unit gross and net generation when the electricity importer is a GPE.
(I) Start date of commercial operation and, when applicable, date of repowering.

(J) 	GPEs claiming additional capacity at an existing facility must include the implementation date, the expected increase in net generation (MWh), and a description of the actions taken to increase capacity.
(K) Designate whether the facility or unit is a newly specified source, a continuing specified source, or was a specified source in the previous report year that will not be specified in the current report year. 
(L) Provide the primary technology or fuel type as listed below:
1. Variable renewable resources by type, defined for purposes of this article as pure solar, pure wind, and run-of-river hydroelectricity;
2. Hybrid facilities such as solar thermal;
3. Hydroelectric facilities <UN-> 30 MW, not run-of-river;
4. Hydroelectric facilities > 30 MW;
5. Geothermal binary cycle plant or closed loop system; 
6. Geothermal steam plant or open loop system;
7. Units combusting biomass-derived fuel, by primary fuel type;
8. Nuclear facilities; 
9. Cogeneration by primary fuel type;
10. Fossil sources by primary fuel type; 
11. Co-fired fuels;
12. Municipal solid waste combustion;
13. Other.
(2) Emission Factors. The emission factor published on the ARB Mandatory Reporting website, calculated by ARB according to the methods in section 95111(b), must be used when reporting GHG emissions for a specified source of electricity. 
(3) Delivery Tracking Conditions Required for Specified Electricity Imports. Electricity importers may claim a specified source when the electricity delivery meets any of the criteria for direct delivery of electricity defined in section 95102(a), and one of the following sets of conditions:
(A) The electricity importer is a GPE; or 
(B) The electricity importer has a written power contract for electricity generated by the facility or unit.
(4) Additional Information for Specified Sources. For each claim to a specified source of electricity, the electricity importer must indicate whether one or more of the following descriptions applies. 
(A) Deliveries from specified sources previously reported as consumed in California. Specified source of electricity has been reported in a 2009 verified data report and is claimed for the current data year by the same electricity importer, based on a written power contract or status as a GPE in effect prior to January 1, 2010 that remains in effect, or that has been renegotiated for the same facility or generating unit for up to the same share or quantity of net generation within 12 months following prior expiration; or a specified facility for which imported electricity was reported as greater than 80 percent of net generation in the 2009 or 2010 data years;
(B) Deliveries from existing federally owned hydroelectricity facilities by exclusive marketers. Electricity from specified federally owned hydroelectricity facility delivered by exclusive marketers;
(C) Deliveries from existing federally owned hydroelectricity facilities allocated by contract. Specified federally owned hydroelectricity source delivered by electricity importers with a written power contract in effect within 12 months after changes in rights due to federal power allocation or redistribution policies, including acts of Congress, and not related to price bidding, that remains in effect or has been renegotiated for the same facility for up to the same share or quantity of net generation within 12 months following prior contract expiration;
(D) Deliveries from new facilities. Specified source of electricity is first registered pursuant to section 95111(g)(1) and delivered by an electricity importer within 12 months of the start date of commercial operation and the electricity importer making a claim in the current data year is either a GPE or purchaser of electricity under a written power contract;

(E) 	Deliveries from existing facilities with additional capacity. Specified source of electricity is first registered pursuant to section 95111(g)(1) and delivered by a GPE within 12 months of the start date of an increase in the facility's generating capacity due to increased efficiencies or other capacity increasing actions. 
(5) Substitute electricity. Report substitute electricity received from specified and unspecified sources pursuant to the requirements of this section. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95112. Electricity Generation and Cogeneration Units.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subparts C and D of 40 CFR Part 98 (§§98.30 to 98.48), as applicable, in reporting emissions and other data from electricity generating and cogeneration units to ARB, except as otherwise provided in this section. Notwithstanding the above, the operator of a facility with total facility nameplate generating capacity of less than 1 MW may elect to follow section 95115 in reporting electricity generating units as general combustion sources, in lieu of the requirements of section 95112. 
(a) Information About the Electricity Generating Facility. Notwithstanding any limitations in 40 CFR Parts 75 or 98, the operator of an electricity generating facility is required to include in the emissions data report the information listed in this paragraph, unless otherwise specified in paragraphs (e) and (g) of this section for geothermal facilities and facilities with renewable energy generation. Reporting of information specified in section 95112(a)(4)-(6) is optional for facilities that do not provide or sell any generated energy outside of the facility boundary. 
(1) If applicable, facility identification numbers assigned by the California Energy Commission, U.S. Energy Information Administration, Federal Energy Regulatory Commission's PURPA Qualifying Facility program, and California Independent System Operator;
(2) Total facility nameplate generating capacity in megawatts (MW);
(3) Indicate whether the facility is a stand-alone electricity generating facility, an independently operated cogeneration/bigeneration facility co-located with the thermal host, an independently operated and sited cogeneration/bigeneration facility, or an industrial/institutional/commercial facility with electricity generation capacity, as applicable. Also indicate whether the facility is a grid-dedicated facility, a facility that does not provide any generated energy outside of the facility boundary, as applicable. 
(4) The disposition of generated electricity in MWh, reported at the facility-level, including:

(A) 	Generated electricity provided or sold to a retail provider or electricity marketer who distributes the electricity over the electric power grid for wholesale or retail customers of the grid. The operator must report the name of the retail provider or electricity marketer; 
(B) Generated electricity provided or sold directly to particular end-users. A reportable end-user includes any entity, under the same or different operational control, that is not a part of the facility. Report each end-user's facility name, NAICS code, and ARB ID if applicable;
(C) If the facility includes industrial processes or operations that are neither in support of or a part of the power generation system, report the amount of generated electricity used by those on-site industrial processes or operations. 
(5) The disposition of the thermal energy (MMBtu) generated by the cogeneration unit or bigeneration unit, if applicable, reported at the facility-level including: 
(A) Thermal energy provided or sold to particular end-users. A reportable end-user includes any entity, under the same or different operational control, that is not a part of the facility. Report each end-user's facility name, NAICS code, ARB ID if applicable, and the types of thermal energy product provided. Exclude from this quantity the amount of thermal energy that is vented, radiated, wasted, or discharged before the energy is provided to the end-user;
(B) Thermal energy used for supporting power production, including steam used for power augmentation, NOx control, sent to a deaerator, or sent to a cooling tower; 
(C) If the facility includes other industrial processes or operations that are neither in support of or a part of the electricity generation or cogeneration system, report the amount of generated thermal energy that is used by those on-site industrial processes or operations and heating or cooling applications. Exclude from this quantity the amount of thermal energy that is vented, radiated, wasted, or discharged before it is utilized at industrial processes or operations. This quantity does not include the amount of thermal energy generated by equipment that is not an integral part of the cogeneration unit. 
(6) For the first year of reporting in 2012 or later, operators of cogeneration or bigeneration units must submit a simplified block diagram depicting the following, as applicable: individual equipment included in the generation system (e.g. turbine, engine, boiler, heat recovery steam generator); direction of flows of energy specified in paragraphs (a)(4)-(5), (b)(2)-(4) and (b)(7)-(8) of this section, with the forms of energy carrier (e.g. steam, water, fuel) labeled; and relative locations of fuel meters and other fuel quantity measurements. If the cogeneration or bigeneration system is modified after the initial submission of the diagram in 2012, the operator must resubmit an updated diagram to ARB. 
(b) Information About Electricity Generating Units.
Notwithstanding any limitations in 40 CFR Parts 75 or 98, the operator of an electricity generating unit must include in the emissions data report the information listed in this paragraph. For aggregation of electricity generating units that meet the applicable criteria in 40 CFR §98.36(c)(1)-(4), the operator may elect to report the following information for a group of aggregated units consisting of only electricity generating units of the same type (e.g., all cogeneration units, all bigeneration units, or all generating units that are neither cogeneration or bigeneration in the grouping), except when 40 CFR 98.36(c) applies to the grouping, in lieu of separately reporting for each single unit. Operators of geothermal facilities, hydrogen fuel cells, and renewable electricity generating units must follow paragraph (e), (f), or (g) of this section, whichever is applicable, instead of paragraph (b) of this section. For bottoming cycle cogeneration units, the operator is not required to report the data specified in section 95112(b)(4)-(6) except for any fuels combusted for supplemental firing as specified in section 95112(b)(7).
(1) Basic information about the generating unit, including:
(A) Nameplate generating capacity in megawatts (MW);
(B) Primer mover technology;
(C) For aggregation of units, provide a description of the individual equipment included in the aggregation;
(D) If the unit generates both electricity and thermal energy, indicate whether the unit is a cogeneration or a bigeneration unit. If the unit is a cogeneration unit, indicate whether it is topping or bottoming cycle.
(2) Net and gross power generated, in megawatt hours (MWh).
(3) If the unit is a cogeneration or bigeneration unit, the operator must report the total thermal output (MMBtu) generated by the unit. Exclude from this quantity the heat content of returned condensate and makeup water.
(4) Fuel consumption by fuel type, reported in units of million standard cubic feet for gases, gallons for liquids, short tons for non-biomass solids, and bone dry short tons for biomass-derived solids.
(5) If not already required to be reported under 40 CFR §98.35(b) for Subpart C units and §98.46 for Subpart D units, annual CO2, CH4, and N2O emissions from the unit, expressed in metric tons of each gas. 
(6) If used to calculate CO2 emissions and not already required to be reported under 40 CFR §98.36(e)(2)(ii)(C) and (iv)(C), report weighted or arithmetic average carbon content and high heat value by fuel type, whichever is used in calculating emissions as specified in 40 CFR §98.33. 
(7) For cogeneration units, where supplemental firing has been applied to support electricity generation or industrial output, report the information in paragraphs (a)(4)-(6) and indicate the purpose of the supplemental firing.
(8) Other steam used for electricity generation. Where steam or heat is acquired from another facility for the generation of electricity, report the amount of acquired steam or heat (MMBtu) for electricity generation. For bottoming cycle cogeneration units only, report the amount of steam used (MMBtu) for generation of electricity.
(c) Emissions from Fuel Combustion. When calculating CO2, CH4, and N2O emissions from fuel combustion, the operator who is subject to Subpart C or D of 40 CFR Part 98 must use a method in 40 CFR §98.33(a)(1)-(4) as specified by fuel type in section 95115 of this article, except that for CO2 emissions the operator who is subject to Subpart D of 40 CFR Part 98 may elect instead to follow the provisions in 40 CFR §98.43, within the limitations of section 95103(m) of this article. 
(1) The operator of a Subpart D unit must report emissions from fuels combusted within the data year but not reported pursuant to 40 CFR Part 75 requirements, such as prior to initial provisional or monitoring certification of CEMS. The operator must use a method in 40 CFR §98.33(a)(1)-(4) as specified by fuel type in section 95115, or if applicable, according to the de minimis provisions in section 95103(i) of this article.
(2) The operator of a Subpart D unit with contractual deliveries of biomethane or biogas is subject to the requirements in 95131(i) of this article and must follow the procedure in sections 95115(e)(4)-(5) in calculating emissions from biomethane, biogas, and natural gas. 
(d) Monitoring, Data and Records. For each emissions calculation method chosen under section 95112(c), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95112, 95115, and 95129 of this article.
(e) CO2 and CH4 Emissions from Geothermal Facilities. Operators of geothermal generating facilities must report CO2 and CH4 emissions from geothermal energy sources, the amount of geothermal steam utilized (MMBtu) if steam quantity is used in calculating emissions, and applicable requirements in section 95112(a)(1)-(4), (b)(1)(A)-(C), and (b)(2). 
The operator must calculate annual emissions of CO2 and CH4 from geothermal energy sources using source specific emission factors derived from a measurement plan approved by the ARB. The operator must submit to the Executive Officer a measurement plan at least 45 days prior to the first test date. The measurement plan must include testing at least annually, and more frequently as needed. Upon approval of the measurement plan by the Executive Officer, the test procedures in that plan must be performed as specified in the plan. The Executive Officer and the local air pollution control officer must be notified at least 20 days in advance of subsequent tests.
(f) Hydrogen Fuel Cells. Operators of stationary hydrogen fuel cell units that produce hydrogen on-site must report information on the fuels or feedstocks used in hydrogen production. The operator must include the following information in the annual GHG emissions data report:
(1) Basic information about the generating unit specified in section 95112(b)(1)-(2);
(2) Fuel or feedstock consumption by fuel/feedstock type, reporting in units of million standard cubic feet for gases, gallons for liquids, short tons for non-biomass solids, and bone dry short tons for biomass-derived solids;
(3) The provider of each fuel or feedstock, and the user's customer account number; 
(4) Cogeneration information in section 95112(b)(3), if applicable.
(g) On-site Renewable Electricity Generation. The requirements in this paragraph apply to facilities that meet the applicability for reporting under section 95101 and are not otherwise exempted from reporting under section 95101(f). If such facility includes non-fuel-based renewable electricity generating units with nameplate generating capacity of greater than 0.5 MW, the operator must report the nameplate generating capacity (MW), gross power generated (MWh) by the non-fuel-based renewable electricity generating units, and the applicable information in 95112(a). For facility operators that do not operate other electricity generating units that are subject to the requirements in paragraphs (a)-(f) of section 95112, reporting of information specified in section 95112(a)(4)(C) and (a)(5)-(6) is optional. 
(h) Missing Data Substitution Procedures. To substitute for missing data for emissions reported under sections 95112 or 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of 40 CFR §98.35 when reporting in 2012, and section 95129 of this article when reporting in 2013 and later years. Facilities reporting under 40 CFR Part 75 must substitute for missing data under the requirements of that part, as specified in 40 CFR §98.45. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95113. Petroleum Refineries.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart Y of 40 CFR Part 98 (40 CFR §§98.250 to 98.258) in reporting emissions and other data from petroleum refineries to ARB, except as otherwise provided in this section. 
(a) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fuel combustion under subpart C as specified at 40 CFR §98.252(a), the operator must use a method in 40 CFR §98.33(a)(1) to §98.33(a)(4) as specified by fuel type in section 95115 of this article. CO2 emissions from refinery fuel gas combustion must be calculated using a Tier 3 or Tier 4 methodology of subpart C, as specified in 40 CFR §98.252(a). 
(b) Monitoring, Data and Records. For each emissions calculation method chosen under section 95113(a), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95113(k), 95115, and 95129 of this article.
(c) Refinery Fuel Gas Sampling. As required by 40 CFR §98.34(b)(3)(ii)(E), in cases where equipment necessary to perform daily sampling and analysis of carbon content and molecular weight for refinery fuel gas is not in place, such equipment must be installed and procedures established to implement daily sampling and analysis no later than January 1, 2013.
(d) Calculating CO2 from Flares. For periods of normal flare operation, the operator must use Equation Y-1a, Y-1b, or Y-2 as specified in 40 CFR §98.253(b)(ii)(A) or 98.253(b)(ii)(B). For periods of startup, shutdown, and malfunction (SSM) during which the operator was unable to measure the parameters required by Equations Y-1a, Y-1b, or Y-2, the operator must determine the quantity of gas discharged to the flare separately for each SSM, and calculate the CO2 emissions as specified in the equation shown below. For SSM periods the operator must use engineering calculations and process knowledge to estimate the carbon content of flared gas as required by §98.253(b)(iii)(A). The terms of the equation below are defined as they are for Equation Y-3 in 40 CFR §98.253(b)(iii)(C). 

View Graphic
(e) Calculating CO2 from FCCUs and Fluid Coking. The requirements of 40 CFR §98.253(c)(2) apply under this article regardless of the rated capacity of a fluid catalytic cracking unit or a fluid coking unit. The operator may not use Equation Y-8 or the option provided under 40 CFR §98.253(c)(3) for units with rated capacities of 10,000 barrels per stream day or less. 
(f) Uncontrolled Blowdown Systems. When calculating CH4 emissions for uncontrolled blowdown systems as required by 40 CFR §98.253(k), the operator must use the methods for process vents in 40 CFR §98.253(j). 
(g) Data Reporting Requirements for Flares. When the operator has calculated flare emissions for SSM periods using the modified equation specified in section 95113(d), the operator reporting data under the requirements of 40 CFR §98.256(e)(8) must report only the total number of SSM events, the volume of gas flared, and the average molecular weight and carbon content of the flare gas for each SSM event, using the units specified. 
(h) Data Reporting Requirements for FCCUs and Coking Units. When the operator has calculated CO2 from fluid catalytic cracking units or fluid coking units consistent with section 95113(e), the operator shall not report the data required by 40 CFR §98.256(f)(9).
(i) Data Reporting Requirements for Uncontrolled Blowdown Systems. When the operator has calculated CH4 from uncontrolled blowdown systems consistent with section 95113(g), the operator must report the information required for process vents in 40 CFR §98.256(l), as applicable, in lieu of the information required by 40 CFR §98.256(m)(2). 
(j) Records that must be retained. In addition to the requirements of 40 CFR §98.257, for each process vent for which the concentration of CO2, N2O and CH4 are determined to be below the thresholds in 40 CFR §98.253(j), the operator must maintain records of the method used to determine the CO2, N2O, and CH4 concentrations, and all supporting documentation necessary to demonstrate that the thresholds in 40 CFR §98.253(j) are not exceeded during the data year pursuant to the record keeping requirements of section 95105.
(k) Missing Data Substitution Procedures. The operator must comply with 40 CFR §98.255 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(2) below.
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) For all other data required for emissions calculations in this section, the operator must follow the requirements of paragraphs (A)-(B) below.
(A) If the analytical data capture rate is at least 90 percent for the data year, the operator must substitute for each missing value using the best available estimate of the parameter, based on all available process data. 
(B) If the analytical data capture rate is at least 80 percent but not at least 90 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter during the given data year, as well as the two previous data years. 
(C) If the analytical data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter in all records kept according to section 95105(a).
(l) Additional Product and Process Data. 
(1) Finished Products. The operator must report production quantities for the data year of each petroleum product listed in Table C-1 of 40 CFR Part 98, and each additional transportation fuel product listed in Table MM-1 of 40 CFR Part 98 (standard cubic feet for gaseous products, barrels for liquid products, short tons for solid products). Among the products reported, only primary refinery products will be subject to review for material misstatement under the requirements of section 95131(b)(12).
(2) Energy Intensity Index. For refineries that participate in the Solomon Energy Reviews, the operator must report Solomon EII values. In the 2012 emissions data report the operator must report Solomon EII values for data years 2008, 2009, 2010, and 2011. In subsequent emissions data reports the operator must continue to report the Solomon EII value for the applicable data year. 
(3) CO2 Weighted Tonne (CWT) Calculation. 
(A) Reporting of CWT Throughput Functions. For data years 2013 and later the operator must report values for the CWT functions listed in Table 1 of this section. Report quantities of net fresh feed (F), reactor feed (R, includes recycle), product Feed (P), or synthesis gas production for POX units (SG) as indicated. 

(B) 	Total facility CWT. The total facility CWT production value must be calculated according to the following formula.

View Graphic
Where:
“CWT” = The total amount of CO2 Weighted Tonnes from a petroleum refinery.
“CWTFactor” = The CWT factor for each process found in Table 1 of this section.
“Throughput” = The reported value for each CWT function identified in Table 1 of this section reported pursuant to section 95113(m)(3)(A). 
(C) Units and Accuracy. Report annual volume in both barrels and mass, in thousands of metric tons, unless other basis units are indicated in column 3 of Table 1 of this section. In order to meet the desired accuracy for CWT, throughput values reported in thousands of metric tons per year must use a certain number of decimals depending on the magnitude of the CWT factor:

	(i) For factors up to 1.99: 	0 decimals
	(ii) For factors between 2.00 and 19.99: 	1 decimal
	(iii) For factors between 20.00 and 99.99: 	2 decimals
	(iv) For factors above 100.00: 	3 decimals

Table 1. CWT Functions and Factors

View Graphic

View Graphic
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95114. Hydrogen Production.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart P of 40 CFR Part 98 (40 CFR §§98.160 to 98.168) in reporting emissions and other data from hydrogen production to ARB, except as otherwise provided in this section. GHG emissions and output associated with hydrogen production must be reported separately from other emissions and output associated with a petroleum refinery.
(a) Definition of Source Category. This source category is defined consistent with 40 CFR §98.160.
(b) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fuel combustion under subpart C as specified at 40 CFR §98.162(b)-(c), the operator must use a method in 40 CFR §98.33(a)(1) to §98.33(a)(4) as specified by fuel type in section 95115 of this article. 
(c) Monitoring, Data and Records. For each emissions calculation method chosen under section 95114(b), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95114(h), 95115, and 95129 of this article.
(d) CO2 Process Emissions. When calculating CO2 under the fuel and feedstock material balance approach specified at 40 CFR §98.163(b), the operator must apply the weighted average carbon content values obtained (the term CCn in Equations P-1 through P-3) according to the frequencies specified in section 95114(e).
(e) Sampling Frequencies. When monitoring GHG emissions without a CEMS as specified at 40 CFR §98.164(b)(2), and reporting data as specified at §98.166, the operator must determine the carbon content and molecular weight values for fuels and feedstocks according to the frequencies specified below.
(1) When reporting CO2 emissions for gaseous fuel and feedstock as specified in 40 CFR §98.163(b)(1), the operator must use a weighted average carbon content from the results of one or more analyses for month n for natural gas or a standardized fuel or feedstock specified in Table 1 of section 95115, or from daily analysis for other gaseous fuels and feedstocks such as refinery fuel gas; 
(2) When reporting CO2 emissions for liquid fuel and feedstock as specified in 40 CFR §98.163(b)(2), the operator must use weighted average carbon content from the results of one or more analyses for month n for a standardized fuel or feedstock specified in Table 1 of section 95115, or from daily sampling for month n for other liquid fuels or feedstocks. Daily liquid samples may be combined to generate a monthly composite sample for carbon analysis; 
(3) When reporting CO2 emissions for solid fuel and feedstock as specified in 40 CFR §98.163(b)(3), the operator must use weighted average carbon content from the results of daily sampling for month n. Daily solid samples may be combined to generate a monthly composite sample for carbon analysis.
(f) Weighted Average Sampling. Where this section requires sampling of a parameter on a more frequent basis than 40 CFR Part 98, the operator or supplier must comply with the following: 
(1) The samples must be spaced apart as evenly as possible over time, taking into account the operating schedule of the relevant unit or facility.
(2) The operator or supplier must calculate and report a weighted average of the values derived from the samples by using the following formula:

View Graphic
Where:
VE = The value of the parameter to be reported under 40 C.F.R. Part 98 for period E.
j = Each period during period E for which a sample is required by this article.
n = The number of periods j in period E.
Vj = The value of the sample for period j.
Mj = The mass of the sampled material processed or otherwise used by the relevant unit or facility in period j.
(3) The operator or supplier must keep records of the date and result for each sample or composite sample and mass measurement used in the equation above and of the calculation of each weighted average included in the emissions data report, pursuant to the record keeping requirements of section 95105.
(g) Data Reporting Requirements. When reporting data as specified at 40 CFR §98.166, the operator may also report the amount of carbon in unconverted feedstock and CO2 for which GHG emissions are calculated and reported by the facility using other calculation methods provided in this regulation. To avoid double-counting, such carbon may be subtracted from the total carbon in the feedstock. For example, carbon in waste diverted to a fuel system or flare, where the CO2 and CH4 emissions are calculated and reported using other methods provided in this regulation, may be separately specified (metric tons of CO2e/year). The operator must also report the amount of hydrogen produced and sold as a transportation fuel, if known.
(h) Missing Data Substitution Procedures. The operator must comply with 40 CFR §98.165 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(2) below.
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) For all other data required for emissions calculations in this section, the operator must follow the requirements of paragraphs (A)-(C) below.
(A) If the analytical data capture rate is at least 90 percent for the data year, the operator must substitute for each missing value using the best available estimate of the parameter, based on all available process data. 
(B) If the analytical data capture rate is at least 80 percent but not at least 90 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter during the given data year, as well as the two previous data years. 
(C) If the analytical data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter in all records kept according to section 95105(a).
(i) Additional Product Data. Operators must report the annual mass of liquefied hydrogen produced (short tons).
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95115. Stationary Fuel Combustion Sources.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart C of 40 CFR Part 98 (§§98.30 to 98.38) in reporting stationary fuel combustion emissions and related data to ARB, except as otherwise provided in this section. 
(a) CO2 from Steam Producing Units. The operator of a steam producing unit combusting municipal solid waste or solid biomass fuels may use Equation C-2c of 40 CFR §98.33(a)(2)(B)(iii), unless required to use Tier 3 or 4 by 40 CFR Part 98 or Part 75. Operators of steam producing units combusting fossil-based solid fuels must select applicable Tier 3 or Tier 4 methods. 
(b) CEMS CO2 Monitoring. Notwithstanding the allowed use of oxygen concentration monitors in 40 CFR §98.33(a)(4)(iv), an operator installing a continuous emissions monitoring system that includes a stack gas volumetric flow rate monitor after January 1, 2012, and who reports CO2 emissions using this system, must install and use a CO2 monitor. An operator without a CO2 monitor who uses a CEMS and O2 concentrations to calculate and report a unit's CO2 emissions, and who conducts a Relative Accuracy Test Audit (RATA) for the unit, must at least annually include in the RATA the direct monitoring of CO2 concentration and flow, and the calculation of CO2 mass per hour. The operator must retain these results pursuant to the recordkeeping requirements of section 95105 and make them available to ARB upon request. The requirements of this paragraph do not apply to facilities for which pipeline natural gas is the only fuel consumed.
(c) Choice of Tier for Calculating CO2 Emissions. Notwithstanding the provisions of 40 CFR §98.33(b), the operator's selection of a method for calculation of CO2 emissions from combustion sources is subject to the following limitations by fuel type and unit size. The operator is permitted to select a higher tier than that required for the fuel type or unit size as specified below.
(1) The operator may select the Tier 1 or Tier 2 calculation method specified in 40 CFR §98.33(a) for any fuel listed in Table 1 of this section that is combusted in a unit with a maximum rated heat input capacity of 250 MMBtu/hr or less, subject to the limitation at 40 CFR §98.33(b)(1)(iv), or for biomass-derived fuels listed in Table C-1 of 40 CFR Part 98 when their emissions are not subject to a compliance obligation under the cap-and-trade regulation and which are not mixed prior to combustion with fuel that has emissions with a compliance obligation.
(2) The operator may select the Tier 2 calculation method specified in 40 CFR §98.33(a)(2) for natural gas when it is pipeline quality as defined in section 95102 of this article, and for distillate fuels listed in Table 1 of this section. Tier 1 may be selected when the fuel supplier is providing pipeline quality natural gas measured in therms. Equation C-2c may be selected for the units specified in paragraph (a) of this section. 
(3) The operator may select any calculation method specified in 40 CFR §98.33(a) when calculating emissions that are shown to be de minimis under section 95103(i) of this article, or for a fuel providing less than 10 percent of the annual heat input to a unit with a maximum rated heat input capacity of 250 MMBtu/hr or less, unless not permitted under 40 CFR §98.33(b). 
(4) The operator must use either the Tier 3 or the Tier 4 calculation method specified under 40 CFR §98.33(a)(3)-(4) for any other fuel, including fuel with emissions identified as non-exempt biomass-derived CO2, subject to the limitations of 40 CFR §98.33(b)(4)-(5) requiring use of the Tier 4 method. The operator using Tier 3 must determine annual average carbon content with weighted fuel use values, as required by Equation C-2b of 40 CFR §98.33. When fuel mass or volume it measured by lot, the term “n” in Equation C-2b is substituted as the number of lots received in the year. 
(d) Source Test Option for N2O and CH4. In lieu of other methods specified in this article, a facility operator may conduct site-specific source testing to derive emission factors and determine annual emissions of N2O or CH4 from any combustion source. Alternatively, the operator may use the results of an applicable test method specified in title 17, California Code of Regulations, section 95471. For source testing:
(1) The facility operator must submit to the Executive Officer a test plan at least 45 days prior to the first test date. The test plan must provide for testing at least annually, and more frequently as needed to account for seasonal variations in fuels or processes.
(2) The plan must specify conduct of performance and stack tests consistent with the requirements of approved ARB or U.S. EPA test methods. Process rates during the test must be determined in a manner that is consistent with the procedures used for GHG report accounting purposes.
(3) Upon approval of the test plan by the Executive Officer, the test procedures in that plan must be repeated as specified in the plan. The Executive Officer and the local air pollution control officer must be notified at least ten days in advance of subsequent tests.
(e) Procedures for Biomass CO2 Determination. Reporting entities must use the following procedures when calculating emissions from biomass-derived fuels that are mixed with fossil fuels prior to measurement:
(1) When combusting municipal solid waste (MSW) or any other fuel for which the biomass fraction is not known, the operator must follow the procedures specified in 40 CFR §98.33(e)(3) to specify a biomass fraction. 
(2) For the analysis conducted under the requirements of 40 CFR §98.34(e) for partially biogenic fuels other than MSW, the operator may choose to analyze monthly fuel samples. The operator must collect such samples weekly and combine a portion of each weekly sample to form a monthly composite mixture. The monthly composite mixture must be homogenized and well mixed prior to withdrawal of a sample for analysis.
(3) When calculating emissions from a biomethane and natural gas mixture as described in 40 CFR §98.33(a)(2) using the annual MMBtu of fuel combusted in place of the product of Fuel and HHV in Equation C-2a, the operator must calculate emissions based on contractual deliveries of biomethane subject to the requirements of 95131(i), using the natural gas emission factor in the following equations: 

Ebiomethane = EFnatural gas x MMBtubiomethane x 0.001
Enatural gas = EFnatural gas x (MMBtuannual - MMBtubiomethane) x 0.001
Where:
Ebiomass = The annual biomass CO2, CH4 or N2O emissions from biomethane (metric tons)
Enatural gas = The annual fossil CO2, CH4 or N2O emissions from natural gas (metric tons)
Etotal = The total annual CO2, CH4 or N2O emissions from a source, determined using 40 CFR §98.33(a)(3)-(4) methodology or Subpart D of 40 CFR Part 98 (metric tons)
EFnatural gas = The natural gas emission factor from Tables C-1 and C-2 of 40 CFR Part 98 (kg/MMBtu)
MMBtuannual = The total delivered MMBtus for the reporting year based on utility bills or meters meeting the accuracy requirements of section 95103(k)
MMBtubiomethane = The total biomethane deliveries subject to the requirements of 95131(i) for the reporting year based on contractual deliveries
(4) When calculating emissions from a biomethane and natural gas mixture as described in 40 CFR §98.33(a)(4) using a continuous emission monitoring system (CEMS), or when calculating those emissions according to Subpart D of 40 CFR Part 98, the reporting entity must calculate the biomethane emissions as described in subparagraph (3) of this section, with the remainder of emission being natural gas emissions.
(5) When calculating emissions from a biogas and natural gas mixture using 40 CFR §98.33(a)(4) or the carbon content method described in 40 CFR §98.33(a)(3), or when calculating those emissions according to Subpart D of 40 CFR Part 98, the reporting entity must calculate biogas emissions using a carbon content method as described in 40 CFR §98.33(a)(3), with the remainder of emissions being natural gas emissions. 
(f) Fuel Sampling Frequencies. The operator who collects and analyzes fuel samples to conduct the monitoring analyses required under 40 CFR §98.34 must sample at the frequencies specified in that section, except in the following cases. 
(1) Natural gas that is outside the range of pipeline quality as defined in section 95102 must be sampled and analyzed at least monthly by the reporting entity or the fuel supplier.
(2) Under 40 CFR §98.34(b)(3)(ii)(E), in cases where equipment necessary to perform daily sampling and analysis of carbon content and molecular weight for refinery fuel gas is not in place, such equipment must be installed and procedures established to implement daily sampling and analysis no later than January 1, 2013.
(3) The operator is estimating CO2 emissions using a CEMS under 40 CFR §98.33(a)(4).
(g) Fuel Use for CEMS Units. The operator who estimates and reports CO2 emissions using a CEMS under 40 CFR §98.33(a)(4) must also report the quantity of each type of fuel combusted in the unit or group of units (as applicable) during the reporting year, in standard cubic feet for gaseous fuels, gallons for liquid fuels, short tons for solid fuels, and bone dry short tons for biomass-derived solids. Fuel use monitoring devices for units covered under this paragraph are exempt from the provisions of section 95103(k) of this article.
(h) Aggregation of Units. Facility operators may elect to aggregate units according to 40 CFR §98.36(c), except as otherwise provided in this paragraph. Facility operators that are reporting under more than one source category in Tables A-3, A-4, and A-5 of 40 CFR Part 98, with the exception of 40 CFR Part 98 Subpart C, and that elect to follow 40 CFR §98.36(c)(1), (c)(3) or (c)(4), must not aggregate units that belong to different source categories. For the purpose of unit aggregation, units subject to 40 CFR Part 98 Subpart C that are associated with one source category must not be grouped with other Subpart C units associated with another source category, except when 40 CFR §98.36(c)(2) applies. Units subject to section 95112 must use the criteria for aggregation in section 95112(b). 
(i) Pilot Lights. Notwithstanding the exclusion of pilot lights from this source category in 40 CFR §98.30(d), the operator must include emissions from pilot lights in the emissions data report when operated 300 hours or more in the data year. The operator may apply appropriate methods from 40 CFR §98.33 or engineering methods to calculate these emissions when pilot lights are unmetered. Pilot lights fueled from a common fuel source may be aggregated for reporting. Pilot lights may be reported as de minimis consistent with the requirements of section 95103(i). Pilot lights are not subject to the measurement device calibration requirements of section 95103, but pilot light emissions calculations are subject to verification. 
(j) Electricity Generating and Cogeneration Units. The operator of a facility that includes electricity generating and cogeneration units meeting the applicability criteria of section 95101 must meet the requirements specified in section 95112 of this article. 
(k) Natural Gas Provider Information. The operator who is reporting emissions from the combustion of natural gas must report the provider(s) of natural gas to the facility, the operator's customer account number(s) and the annual MMBtu delivered to each account according to each provider's billing statement (10 therms = 1 MMBtu).
(l) Procedures for Missing Data. To substitute for missing data for emissions reported under section 95115 of this article, the operator must follow the requirements of section 95129 beginning with the 2013 emissions data report. For reporting of 2011 emissions in 2012, the operator must use the applicable missing data substitution requirements of 40 CFR Part 98.
(m) Additional Product Data. Operators of the following types of facilities must also report the production quantities indicated below. 
(1) The operator of a facility engaged in hot rolling and/or cold rolling of steel must report the quantity of hot rolled steel sheet, pickled steel sheet, cold rolled and annealed steel sheet, galvanized steel sheet, and tin plate produced in the data year (short tons). For cold rolled and annealed steel sheet, the operator must also report a description of the process used to produce the products, such as continuous annealing process or batch annealing.
(2) The operator of a soda ash manufacturing facility must report the quantity of soda ash, biocarb, borax, V-Bor, DECA, PYROBOR, boric acid, and sulfate produced in the data year (short tons).
(3) The operator of a gypsum manufacturing facility must report the quantity of plaster that is sold as a separate finished product and the amount of stucco used to produce saleable plasterboard produced in the data year (short tons)
(4) The operator of a turbine and turbine generator set testing facility must report the nameplate power of the units tested (horsepower tested).

Table 1: Petroleum Fuels For Which Tier 1 or Tier 2 Calculation
Methodologies May Be Used Under Section 95115(c)(1)

	Fuel Type	Default High	Default CO2 
		Heat Value	Emission Factor

		MMBtu/gallon	kg CO2 /MMBtu

Distillate Fuel Oil No. 1	0.139	73.25
Distillate Fuel Oil No. 2	0.138	73.96
Distillate Fuel Oil No. 4	0.146	75.04
Kerosene	0.135	75.20
Liquefied petroleum gases (LPG)1 	0.092	62.98
Propane	0.091	61.46
Propylene	0.091	65.95
Ethane	0.096	62.64
Ethylene	0.100	67.43
Isobutane	0.097	64.91
Isobutylene	0.103	67.74
Butane	0.101	65.15
Butylene	0.103	67.73
Natural Gasoline	0.110	66.83
Motor Gasoline (finished)	0.125	70.22
Aviation Gasoline	0.120	69.25
Kerosene-Type Jet Fuel	0.135	72.22

-----------
1 Commercially sold as “propane” including grades such as HD5.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95116. Glass Production.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart N of 40 CFR Part 98 (§§98.140 to 98.148) in reporting stationary combustion and process emissions and related data from glass production to ARB, except as otherwise provided in this section.
(a) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fuel combustion, the operator must use a method in 40 CFR §98.33(a)(1) to §98.33(a)(4) as specified by fuel type in section 95115 of this article.
(b) Monitoring, Data and Records. For each emissions calculation method chosen under section 95116(a), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95115, 95116(c)-(d), and 95129 of this article.
(c) Missing Data Substitution Procedures. The operator must comply with 40 CFR §98.145 when estimating missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(3) below. 
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) For each missing value of the monthly amounts of carbonate-based raw materials charged to any continuous glass melting furnace, the operator must apply a substitute value according to the procedures in paragraphs (A)-(B) below.
(A) If the data capture rate is at least 80 percent for the data year, the operator must substitute for each missing value according to 40 CFR §98.145(a). 
(B) If the data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the maximum short tons per day raw material capacity of the continuous glass melting furnace.
(3) The operator must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105.
(d) Additional Product Data. In addition to the information required by 40 CFR §98.146, the operator must report the additional parameters provided in paragraphs (1)-(3) below whether or not a CEMS is used to measure CO2 emissions.
(1) The operator of a flat glass manufacturing facility must report the annual quantity of glass pulled from the melting furnace (short tons).
(2) The operator of a container glass manufacturing facility must report the annual quantity of glass pulled from the melting furnace (short tons). 
(3) The operator of a fiberglass manufacturing facility must report the annual quantity of glass pulled from the melting furnace (short tons).
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95117. Lime Manufacturing.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart S of 40 CFR Part 98 (§§98.190 to 98.198) in reporting stationary combustion and process emissions and related data from lime manufacturing to ARB, except as otherwise provided in this section.
(a) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fuel combustion, the operator must use a method in 40 CFR §98.33(a)(1) to §98.33(a)(4), as specified by fuel type in section 95115 of this article. 
(b) Monitoring, Data and Records. For each emissions calculation method chosen under section 95117(a), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95115, 95117(c)-(d), and 95129 of this article.
(c) Missing Data Substitution Procedures. The operator must comply with 40 CFR §98.195 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(2) below. 
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) If CaO and MgO content data required by 40 CFR §98.193(b)(2) are missing and a new analysis cannot be undertaken, the operator must apply substitute values according to the procedures in paragraphs (A)-(C) below.
(A) If the data capture rate is at least 90 percent for the data year, the operator must substitute for each missing value using the best available estimate of the parameter, based on all available process data. 
(B) If the data capture rate is at least 80 percent but not at least 90 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter during the given data year, as well as the two previous data years.
(C) If the data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter in all records kept according to section 95105(a).
(3) For each missing value of the quantity of lime produced (by lime type) and quantity of lime byproduct/waste produced and sold, the operator must, when calculating emissions, apply a substitute value according to the procedures in paragraphs (A)-(B) below. 
(A) If the data capture rate is at least 80 percent for the data year, the operator must substitute for each missing value according to 40 CFR §98.195(a). 
(B) If the data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the maximum capacity of the system.
(4) The operator must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105.
(d) Additional Product Data. The operator of a lime manufacturing facility must report the annual quantity of lime and dolime produced (short tons). 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95118. Nitric Acid Production.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart V of 40 CFR Part 98 (§§98.220 to 98.228) in reporting stationary combustion and process emissions and related data from nitric acid production to ARB, except as otherwise provided in this section.
(a) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fossil fuel combustion at a stationary combustion unit under 40 CFR §98.222(b), the operator must use a method in 40 CFR §98.33(a)(2) to §98.33(a)(4) as specified by fuel type in section 95115 of this article. 
(b) Monitoring, Data and Records. For each emissions calculation method chosen under section 95118(a), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified 40 CFR §98.34 to §98.37, except as modified in sections 95115, 95118(c)-(d), and 95129 of this article.
(c) Missing Data Substitution Procedures. The operator must comply with 40 CFR §98.225 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(3) below. 
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) For each missing value of nitric acid production, the operator must substitute the missing data values according to the procedures in paragraphs (A)-(B) below.
(A) If the analytical data capture rate is at least 80 percent for the data year, the operator must substitute for each missing value according to 40 CFR §98.225(a) and the number of days per month. 
(B) If the analytical data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the maximum capacity of the system and the number of days per month.
(3) The operator must document and keep records of the procedures used for estimating missing data pursuant to the recordkeeping requirements of section 95105.
(d) Additional Product Data. The operator of a nitric acid manufacturing facility must report the annual production of nitric acid (HNO3) and calcium ammonium nitrate solution (short tons). 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95119. Pulp and Paper Manufacturing.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart AA of 40 CFR Part 98 (40 CFR §§98.270 to 98.278) in reporting stationary combustion and process emissions and related data from pulp and paper manufacturing to ARB, except as otherwise provided in this section.
(a) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fossil fuel combustion in a chemical recovery furnace at a kraft or soda facility under 40 CFR §98.273(a)(1), a chemical recovery unit at a sulfite or stand-alone semichemical facility under 40 CFR §98.273(b)(1), a pulp mill lime kiln at a kraft or soda facility under 40 CFR §98.273(c)(1), or other stationary fuel combustion sources, the operator must use a method in 40 CFR §98.33(a)(1) to §98.33(a)(4) as specified by fuel type in section 95115 of this article.
(b) Monitoring, Data and Records. For each emissions calculation method chosen under section 95119(a), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95115, 95119(c)-(d), and 95129 of this article.
(c) Procedures for Missing Data. The operator must comply with 40 CFR §98.275 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(3) below. 
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) For each missing value for the use of makeup chemicals (carbonates), the operator must apply a substitute value according to the procedures in paragraphs (A)-(B) below.
(A) If the data capture rate is at least 80 percent for the data year, the operator must substitute for each missing value according to 40 CFR §98.275(c). 
(B) If the data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the maximum metric tons per day capacity of the system.
(3) The operator must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105.
(d) Additional Product Data. In addition to the information required by 40 CFR §§98.276, the operator must report the annual production (short tons) of recycled boxboard, recycled linerboard, recycled medium and tissue. For tissue, the operator must also report a description of the process used to produce tissue, such as through use of an air dryer.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95120. Iron and Steel Production.
Note     •     History

The operator of a facility who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with Subpart Q of 40 CFR Part 98 (40 CFR §§98.170 to 98.188) in reporting stationary combustion and process emissions and related data from iron and steel production to ARB, except as otherwise provided in this section.
(a) CO2 from Fossil Fuel Combustion. When calculating CO2 emissions from fossil fuel combustion at a stationary combustion unit under §98.172(a), the operator must use a method in §98.33(a)(1) to §98.33(a)(4) as specified by fuel type in section 95115 of this article.
(b) Monitoring, Data and Records. For each emissions calculation method chosen under section 95120(a), the operator must meet the applicable requirements for monitoring, missing data procedures, data reporting, and records retention that are specified in 40 CFR §98.34 to §98.37, except as modified in sections 95115, 95120(c)-(d), and 95129 of this article.
(c) Missing Data Substitution Procedures. The operator must comply with 40 CFR §98.175 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided in paragraphs (1)-(2) below. 
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) If monthly mass or volume of carbon-containing inputs and outputs are missing when using the carbon mass balance procedure in 40 CFR §98.173(b)(1), the operator must apply substitute values according to the procedures in paragraphs (A)-(B) below.
(A) If the data capture rate is at least 80 percent for the data year, the operator must substitute for each missing value based on the best available estimate based on information used for accounting purposes (such as purchase records). 
(B) If the data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the maximum throughput capacity of the system.
(3) The operator must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105.
(d) Additional Product Data. In addition to the information required by 40 CFR §98.176, the operator must report the annual production of primary iron and steel products in short tons, a description of the product(s), and, the process used to produce the products, such as use of an electric arc furnace.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95121. Suppliers of Transportation Fuels.
Note     •     History

Any position holder, enterer, or refiner who is required to report under section 95101 of this article must comply with Subpart MM of 40 CFR Part 98 (§§98.390 to 98.398) in reporting emissions and related data to ARB, except as otherwise provided in this section. 
(a) GHGs to Report. 
(1) In addition to the CO2 emissions specified under 40 CFR §98.392, all refiners that produce liquefied petroleum gas must report the CO2, CH4, N2O and CO2e emissions that would result from the complete combustion or oxidation of the annual quantity of liquefied petroleum gas sold or delivered, except for fuel for which a final destination outside California can be demonstrated. 
(2) Refiners that supply fuel at a rack onsite, and position holders of fossil fuels and biomass-derived fuels and enterers outside the bulk transfer/terminal system of fossil fuels must report the CO2, CO2 from biomass-derived fuels, CH4, N2O, and CO2e emissions that would result from the complete combustion or oxidation of each Blendstock, Distillate Fuel Oil or biomass-derived fuel (Biomass-Based Fuel and Biomass) listed in Tables MM-1 or MM-2 of 40 CFR Part 98, except that Distillate Fuel Oil is limited to diesel fuel as defined in this regulation and except for fuel for which a final destination outside California can be demonstrated. No fuel shall be reported as finished fuel. Fuels must be reported as the individual Blendstock, Distillate Fuel Oil or biomass-derived fuel listed in 40 CFR Part 98 Tables MM-1 and MM-2.
(b) Calculating GHG emissions.
(1) Refiners, position holders at California terminals, and enterers who bring fuel into California outside the bulk transfer/terminal system must use Equation MM-1 as specified in 40 CFR §98.393(a)(1) to estimate the CO2 emissions that would result from the complete combustion of the fuel removed from the rack (for refiners and position holders), imported and not delivered to the bulk transfer/terminal system(by enterers), sold to unlicensed entities as specified in section 95121(d)(3) (by refiners). For fuels that are blended, emissions must be reported for each individual Blendstock, Distillate Fuel Oil or biomass-derived fuel listed in 40 CFR Part 98 Tables MM-1 and MM-2 separately, and not as motor gasoline (finished), biofuel blends, or other similar finished fuel. Emissions from denatured fuel ethanol must be calculated as 100% ethanol only. The volume of denaturant is assumed to be zero and is not required to be reported. Emission factors must be taken from column C of 40 CFR Part 98 Table MM-1 or MM-2 as specified in Calculation Method 1 of 40 CFR §98.393(f)(1). If a position holder in diesel or biodiesel fuel does not have sealed or financial transaction meters at the rack, and the position holder is the sole position holder at the terminal, the position holder must calculate emissions based on the delivering entity's invoiced volume of fuel or a meter that meets the requirements of section 95103(k) either at the rack or at a point prior to the fuel going into the terminal storage tanks.
(2) Refiners that produce liquefied petroleum gas must use Equation MM-1 as specified in 40 CFR §98.393(a)(1) to estimate the CO2 emissions that would result from the complete combustion of the fuel supplied. For calculating the emissions from liquefied petroleum gas, the emissions from the individual components must be summed. Emission factors must be taken from column C of 40 CFR Part 98 Table MM-1 as specified in Calculation Method 1 of 40 CFR §98.393(f)(1).
(3) Refiners, position holders at California terminals, and enterers outside of the bulk transfer/terminal system must estimate and report CH4 and N2O emissions using Equation C-8 and Table C-2 as described in 40 CFR §98.33(c)(1), except that the emission factors in Table 1 of this section will be used for each fuel required to be reported in section 95121(a)(2) above. 

Table 1. Transportation Fuel CH4 and N2O emission factors

	Fuel	CH4 (g/bbl)	N2O (g/bbl)
	Blendstock	20	20
	Distillate	2	1
	Ethanol	37	27
	Biodiesel	2	1
(4) All fuel suppliers in this section must estimate CO2e emissions using the following equation:

View Graphic
Where:
CO2e = Carbon dioxide equivalent, metric tons/year.

GHGi = 	Mass emissions of CO2, CH4, N2O from fuels combusted or oxidized.
GWPi = Global warming potential for each greenhouse gas from Table A-1 of 40 CFR Part 98. 
n = Number of greenhouse gases emitted.
(c) Monitoring and QA/QC Requirements. For the emissions calculation method chosen under section 95121(b), the operator must meet all the monitoring and QA/QC requirements as specified in 40 CFR §98.394, and the requirements of 40 CFR §98.3(i) as further specified in section 95103 of this article and below.
(1) Position holders are exempt from 40 CFR §98.3(i) calibration requirements except when the position holder and entity receiving the fuel have common ownership or are owned by subsidiaries or affiliates of the same company. In such cases the 40 CFR §98.3(i) calibration requirements apply, unless:
(A) The fuel supplier does not operate the fuel billing meter;
(B) The fuel billing meter is also used by companies that do not share common ownership with the fuel supplier; or
(C) The fuel billing meter is sealed with a valid seal from the county sealer of weights and measures and the operator has no reason to suspect inaccuracies.
(2) As required by 40 CFR §98.394(a)(1)(iii), for fuels that are liquid at 60 degrees Fahrenheit and one standard atmosphere, the volume reported must be temperature- and pressure-adjusted to these conditions. For liquefied petroleum gas the volume reported must be temperature-adjusted to 60 degrees Fahrenheit. 
(d) Data Reporting Requirements. In addition to reporting the information required in 40 CFR §98.3(c), the following entities must also report the information identified below:
(1) California position holders must report the annual quantity in barrels, as reported by the terminal operator, of each Blendstock, Distillate Fuel Oil, or biomass-derived fuel listed in Tables MM-1 and MM-2 of 40 CFR Part 98 that is delivered across the rack in California, except that distillate fuel oil is limited to diesel fuel and except for fuel for which a final destination outside California can be demonstrated. Denatured fuel ethanol will be reported with the entire volume as 100% ethanol only. The volume of denaturant is assumed to be zero and is not required to be reported. 
(2) California position holders that are also terminal operators and refiners with on-site racks must report the annual quantity in barrels delivered across the rack of each Blendstock, Distillate Fuel Oil, or biomass-derived fuel listed in Tables MM-1 and MM-2 of 40 CFR Part 98, except distillate fuel oil is limited to diesel fuel and except for fuel for which a final destination outside California can be demonstrated. Denatured fuel ethanol will be reported with the entire volume as 100% ethanol only. The volume of denaturant is assumed to be zero and is not required to be reported. If there is only a single position holder at the terminal, and only diesel or biodiesel is being dispensed at the rack then the position holder must report the annual quantity of fuel using a meter meeting the requirements of section 95103(k) or billing invoices from the entity delivering fuel to the terminal. 
(3) Refiners that supply fuel within the bulk transfer system to entities not licensed by the California Board of Equalization as a fuel supplier must report the annual quantity in barrels delivered of each Blendstock, Distillate Fuel Oil, or biomass-derived fuellisted in Tables MM-1 and MM-2 of 40 CFR Part 98, except Distillate Fuel Oil is limited to diesel fuel and except for fuel for which a final destination outside California can be demonstrated. Denatured fuel ethanol will be reported with the entire volume as 100% ethanol only. The volume of denaturant is assumed to be zero and is not required to be reported. 
(4) Enterers of fossil-derived transportation fuels not directly delivered to the bulk transfer/terminal system must report the annual quantity in barrels, as reported on the bill of lading or other shipping documents of each Blendstock, Distillate Fuel Oil, or biomass-derived fuel listed in Tables MM-1 and MM-2 of 40 CFR Part 98 that is imported into California, except that Distillate Fuel Oil is limited to diesel fuel and except for fuel for which a final destination outside California can be demonstrated. Denatured fuel ethanol will be reported with the entire volume as 100% ethanol only. The volume of denaturant is assumed to be zero and is not required to be reported.
(5) In addition to the information required in 40 CFR §98.396, petroleum refineries must also report the volume of liquefied petroleum gas in barrels supplied in California as well as the volumes of the individual components as listed in 40 CFR 98 Table MM-1, except for fuel for which a final destination outside California can be demonstrated.
(6) All fuel suppliers identified in this section must also report CO2, CO2 from biomass-derived fuels, CH4, N2O and CO2e emissions in metric tons that would result from the complete combustion or oxidation of each petroleum fuel identified in 95121(a)(2), liquefied petroleum gas, or biomass-derived fuel reported in this section, calculated according to section 95121(b). 
(e) Procedures for Missing Data. For quantities of fuels that are purchased, sold, or transferred in any manner, fuel suppliers must follow the missing data procedures specified in 40 CFR §98.395. The supplier must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95122. Suppliers of Natural Gas, Natural Gas Liquids, and Liquefied Petroleum Gas.
Note     •     History

Any supplier of natural gas or natural gas liquids who is required to report under section 95101 must comply with Subpart NN of 40 CFR Part 98 (§§98.400 to 98.408) in reporting emissions and related data to ARB, except as otherwise provided in this section.
(a) GHGs to Report. 
(1) In addition to the CO2 emissions specified under 40 CFR §98.402(a), natural gas liquid fractionators must report the CO2, CH4, N2O and CO2e emissions that would result from the complete combustion or oxidation of liquefied petroleum gas sold or delivered to others, except for products for which a final destination outside California can be demonstrated. 
(2) In addition to the CO2 emissions specified under 40 CFR §98.402(b), local distribution companies and intrastate pipelines must report the CO2, CO2 from biomass-derived fuels, CH4, N2O, and CO2e emissions from the complete combustion or oxidation of the annual volume of natural gas provided to all entities on their distribution systems in California 
(3) The California consignee for liquefied petroleum gas will report the CO2, CH4, N2O and CO2e emissions that would result from the complete combustion or oxidation of the annual quantity of liquefied petroleum gas imported into the state, except for products for which a final destination outside California can be demonstrated. 
(b) Calculating GHG Emissions. 
(1) Natural gas liquid fractionators must use calculation methodology 2 as specified in 40 CFR §98.403(a)(2) to estimate the CO2 emissions that would result from the complete combustion of the product supplied except that Table MM-1 must be used in place of Table NN-2. For calculating the emissions from liquefied petroleum gas, the fractionators must sum the emissions from the individual constituents. 
(2) Local distribution companies must estimate CO2 emissions at the state border or city gate for pipeline quality natural gas using calculation methodology 1 as specified in 40 CFR §98.403(a)(1), except that the product of HHV and Fuel is replaced by the annual MMBtu of natural gas received.
(3) Public utility gas corporations must estimate annual CO2 emissions from instate receipts of pipeline quality natural gas from other public utility gas corporations, interstate pipelines and intrastate transmission pipelines, and annual CO2 emissions from all natural gas redelivered to other public utility gas corporations or interstate pipelines. Annual CO2 emissions from redelivered natural gas to intrastate pipelines or publicly owned natural gas utilities must be estimated only if emissions from the redelivered natural gas equals or exceeds 25,000 MTCO2e calculated according to subparagraph (2) above. Emissions are calculated according to Equation NN-3 of 40 CFR §98.403(b)(1) except that CO2j will be the product of MMBtuTotal and the default emission factor from Table NN-1 or the product of MMBtuTotal and the reporter specific emission factor. MMBtuTotal must be calculated as follows:

MMBtuTotal = MMBturedelivery - MMBtureceipts
Where 
MMBtuTotal = Total annual MMBtu used in equation NN-3
MMBturedelivery = Total annual MMBtu of natural gas delivered to other companies as specified above 
MMBtureceipts = Total annual MMBtu of natural gas received from other companies as specified above
(4) Emissions from receipts of pipeline quality natural gas from in-state natural gas producers and net volume of pipeline quality natural gas injected into storage are estimated according to Equation NN-5 of 40 CFR §98.403(b)(3) except that CO2l will be calculated as the product of the net annual MMBtu and a default emission factor from Table NN-1 or the product of the net annual MMBtu and a reporter specific emission factor.
(5) Determination of pipeline quality natural gas is based on the annual weighted average HHV, determined according to Equation C-2b of 40 CFR §98.33(a)(2)(ii)(A), for natural gas from a single city gate, storage facility, or connection with an in-state producer, interstate pipeline, intrastate pipeline or local distribution company. If the HHV is outside the range of pipeline quality natural gas, emissions will be calculated using the appropriate subparagraph of section 95122(a) replacing the default emission factor with either a reporter specific emission factor as calculated in 40 CFR §98.404(b)(2) or one determined as follows:
(A) For natural gas or biomethane with an annual weighted HHV below 970 Btu/scf and not exceeding 3% of total emissions estimated under this section, the local distribution company may use the reporter specific weighted yearly average higher heating value and the default emission factor or an emission factor as determined in 40 CFR §98.404(c)(3). If emissions exceed 3% of the total, then the Tier 3 method specified in 40 CFR §98.33(a)(3)(iii) must be used with monthly carbon content samples to calculate the annual emissions from the portion of natural gas that is below 970 Btu/scf. 
(B) For natural gas or biomethane with an annual HHV above 1100 Btu/scf and not exceeding 3% of total emissions estimated under this section, the local distribution company must use the reporter specific weighted yearly average higher heating value and a default emission factor of 54.67 kg CO2/MMBtu or an emission factor as determined in 40 CFR §98.404(c)(3). If emissions exceed 3% of the total, then the Tier 3 method specified in 40 CFR §98.33(a)(3)(iii) must be used with monthly carbon content samples to calculate the annual emissions from the portion of natural gas that is above 1100 Btu/scf. 
(6) When calculating total CO2 emissions for California, the equation below must be used:

View Graphic
Where:
CO2 = Total emissions.

CO2i = 	Emissions from natural gas received at the state border or city gate.
CO2j = Emissions from natural gas received for redistribution to or received from other natural gas transmission companies
CO2l = Emissions from storage and direct deliveries from producers.
(7) Natural gas liquid fractionators and local distribution companies must estimate and report CH4 and N2O emissions using equation C-8 and Table C-2 as described in 40 CFR §98.33(c)(1) for all fuels where annual CO2 emissions are required to be reported by 40 CFR §98.406 and this section. Local distribution companies must use the annual MMBtu determined in paragraphs (2)-(4) above in place of the product of the Fuel and HHV in equation C-8 when calculating emissions.
(8) Local distribution companies must separately and individually calculate end-user emissions of CH4, N2O, CO2 from biomass-derived fuels, and CO2e by replacing CO2 in the equation in section 95122(b)(6) with CH4, N2O, CO2 from biomass-derived fuels, and CO2e. CO2 emissions from biomass-derived fuel are based on the fuel the LDC has purchased on behalf of and delivered to end users. Emissions from biomethane are calculated using the methods for natural gas required by this section. Biomass-derived fuels directly purchased by end users and delivered by the LDC are reported as natural gas. 
(9) The California consignee for liquefied petroleum gas must use calculation methodology 2 described in 40 CFR §98.403(a)(2) for calculating CO2 emissions except that Table MM-1 of 40 CFR Part 98 must be used in place of Table NN-2. The consignee must sum the emissions from the individual components of the liquefied petroleum gas, to calculate the total emissions. If the composition is not supplied by the producer, the consignee must use the default value for liquefied petroleum gas presented in Table C-1 of 40 CFR Part 98.
(10) The California consignee for liquefied petroleum gas must estimate and report CH4 and N2O emissions using equation C-8 and Table C-2 as described in 40 CFR §98.33(c)(1). 
(11) All fuel suppliers in this section must also estimate CO2e emissions using the following equation:

View Graphic
Where:
CO2e = Carbon dioxide equivalent, metric tons/year.
GHGi = Mass emissions of CO2, CH4, N2O from fuels combusted or oxidized.
GWPi = Global warming potential for each greenhouse gas from Table A-1 of 40 CFR Part 98. 
n = Number of greenhouse gases emitted.
(c) Monitoring and QA/QC Requirements. For each emissions calculation method chosen under this section, the supplier must meet all monitoring and QA/QC requirements specified in 40 CFR §98.404, except as modified in sections 95103, 95115, and below.
(1) All natural gas suppliers must measure required values at least monthly. 
(2) All natural gas suppliers must determine reporter specific HHV at least monthly, or if the local distribution company does not make its own measurements according to standard business practices it must use the delivering pipeline measurement.
(3) All natural gas liquid fractionators must sample for composition at least monthly.
(4) All California consignees of liquefied petroleum gas must record composition, if provided by the supplier, and quantity in barrels, corrected to 60 degrees Fahrenheit, for each shipment received.
(d) Data Reporting Requirements. 
(1) For the emissions calculation method selected under section 95122(b), natural gas liquid fractionators must report, in addition to the data required by 40 CFR §98.406(a), the annual volume of liquefied petroleum gas, corrected to 60 degrees Fahrenheit, sold or delivered to others, except for products for which a final destination outside California can be demonstrated. Natural gas liquid fractionators must report the annual quantity of liquefied petroleum gas delivered to others as the total volume in barrels as well as the volume of the individual components for all components listed in 40 CFR 98 Table MM-1. Fractionators must also include the annual CO2, CH4, N2O, and CO2e mass emissions (metric tons) from the volume of liquefied petroleum gas reported in 40 CFR §98.406(a)(5) as modified by this regulation, calculated in accordance with section 95122(b).
(2) For the emissions calculation method selected under section 95122(b), local distribution companies must report all the data required by 40 CFR §98.406(b) subject to the following modifications:
(A) Publicly-owned natural gas utilities that report in-state receipts at the city gate under 40 CFR §98.406(b)(1) must also identify each delivering entity by name and report the annual volumes received in Mscf and the annual energy in MMBtu. 
(B) Local distribution companies that report under 40 CFR §98.406(b)(1) through (b)(7) must also report the annual energy of natural gas in MMBtu associated with the volumes.
(C) In addition to the requirements in 40 CFR §98.406(b)(8), local distribution companies must also include CO2, CO2 from biomass-derived fuels, CH4, N2O, and CO2e annual mass emissions in metric tons calculated in accordance with 40 CFR §98.403(a) and (b)(1) through (b)(3) as modified by section 95122(b). 
(D) For each publicly-owned natural gas utility to which a local distribution company delivers natural gas, the local distribution companies must report the annual volumes(in Mscf), annual energy in (MMBtu), and the information required in 40 CFR §98.406(b)(12), including EIA number. These requirements are in addition to the requirements of 40 CFR §98.406(b)(6). 
(E) For each customer, local distribution companies that report under 40 CFR §98.406(b)(7) must report the annual volumes in Mscf, annual energy in MMBtu, and customer information required in 40 CFR §98.406(b)(12).
(F) Local distribution companies that report under 40 CFR §98.406(b)(9) must report annual CO2, CO2 from biomass-derived fuel, CH4, N2O, and CO2e emissions (metric tons) that would result from the complete combustion or oxidation of the natural gas supplied to all entities calculated in accordance with section 95122(b).
(3) In addition to the information required in 40 CFR §98.3(c), the operator of an interstate pipeline, which is not a local distribution company, must report the customer name, address, and ARB ID along with annual volumes of natural gas, in Mscf, and the annual energy of natural gas in MMBtu for natural gas delivered to each customer, including themselves.
(4) In addition to the information required in 40 CFR §98.3(c), the operator of an intrastate pipeline that delivers natural gas directly to end users, local distribution companies, interstate pipelines or other intrastate pipelines must follow the reporting requirements described under Subpart NN of 40 CFR Part 98 and this section for local distribution companies. In lieu of the city gate information specified by section 95122(b)(2), the intrastate pipeline operator must report the summed volumes (Mscf) and energy (MMBtu) of natural gas delivered to each entity receiving gas from the intrastate pipeline. Additionally, intrastate pipeline operators are not required to estimate values for CO2j and CO2l as specified in §95122(b)(3) and (b)(4) and must use a value of 0 for both when calculating emissions as required by §95122(b)(6).
(5) In addition to the information required in 40 CFR §98.3(c), the California consignee for liquefied petroleum gas must report the annual quantity of liquefied petroleum gas imported as the total volume in barrels as well as the volume of its individual components for all components listed in 40 CFR 98 Table MM-1, if supplied by the producer, and report CO2, CH4, N2O, and CO2e annual mass emissions in metric tons using the calculation methods in section 95122(b).
(e) Procedures for estimating missing data. Suppliers must follow the missing data procedures specified in 40 CFR §98.405. The operator must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105. 
(f) Additional Product Data. The operator of a natural gas liquid fractionating facility must report the annual production of liquefied petroleum gas in barrels corrected to 60 degrees Fahrenheit. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95123. Suppliers of Carbon Dioxide.
Note     •     History

Any supplier of carbon dioxide who is required to report under section 95101 of this article must comply with Subpart PP of 40 CFR Part 98 (§§98.420 to 98.428) in reporting to ARB, except as otherwise provided in this section.
(a) When reporting imported and exported quantities of CO2 as required in 40 CFR §98.422, the supplier must report quantities of carbon dioxide imported into and exported from the State of California. Exports for purposes of geologic sequestration must be reported separately from exports for other purposes.
(b) Missing Data Substitution Procedures. The supplier must comply with 40 CFR §98.165 when substituting for missing data, except for 2013 and later emissions data reports as otherwise provided below.
(1) For all data required for emissions calculations in this section, the supplier must follow the requirements of paragraphs (A)-(D) below.
(A) If the data capture rate is at least 90 percent for the data year, the supplier must substitute for each missing value using the best available estimate of the parameter, based on all available process data. 
(B) If the data capture rate is at least 80 percent but not at least 90 percent for the data year, the supplier must substitute for each missing value with the highest quality assured value recorded for the parameter during the given data year, as well as the two previous data years. 
(C) If the data capture rate is less than 80 percent for the data year, the supplier must substitute for each missing value with the highest quality assured value recorded for the parameter in all records kept according to section 95105(a).
(D) The supplier must document and retain records of the procedure used for all missing data estimates pursuant to the recordkeeping requirements of section 95105.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95125. Additional Calculation Methods.
Note     •     History

Operators shall use one or more of the following methods to calculate emissions as required in sections 95110 through 95115.
(a) Method for Calculating CO2 Emissions from Fuel Combustion Using Default Emission Factors and Default Heat Content.
(1) The operator shall use the method in section 95125(a)(2) to calculate CO2 emissions, applying the default emission factors and default heat content values provided in the Appendix A, for each type of fuel combusted at the facility.
(2) The operator shall calculate each fuel's CO2 emissions and report them in metric tonnes using the following equation:

CO2 = Fuel * HHVD * EFCO2* 0.001
Where:
CO2 = CO2 emissions from a specific fuel type, metric tonnes CO2 per year
Fuel = Mass or volume of fuel combusted specified by fuel type, unit of mass or volume per year
HHVD = Default high heat value specified by fuel type supplied by ARB, MMBtu per unit of mass or volume
EFCO2 = Default carbon dioxide emission factor provided in Appendix A, kg CO2 per MMBtu
0.001 = Factor to convert kg to metric tonnes
(b) Method for Calculating CH4 and N2O Emissions from Fuel Combustion Using Default Emission Factors.
(1) The operator shall use the methods in this section to calculate CH4 and N2O emissions, applying the default emission factors provided in the Appendix A for each type of fuel, except as provided in section 95125(b)(4). If the operator measures heat content as specified in section 95125(c), the measured heat content shall be used in the equation in section 95125(b)(2). If the heat content is not measured, the operator shall employ the default heat content values specified in Appendix A by fuel type and the equation specified in section 95125(b)(3). If an operator combusts a fuel whose heat content is not provided in Appendix A, the operator shall measure heat content as specified by fuel type in section 95125(c) and utilize the N2O and CH4 emissions methodology specified in section 95125(b)(2). Operators may elect to determine N2O and CH4 emissions using the method specified in section 95125(b)(4) in lieu of the methods provided in sections 95125(b)(2)-(3). 
(2) If the heat content of the fuel is measured, the operator shall calculate each fuel's CH4 and N2O emissions and report them in metric tonnes using the following equation: 

View Graphic
Where:
CH4 or N2O = combustion emissions from specific fuel type, metric tonnes CH4 or N2O per year
n = Period/frequency of heat content measurements over the year (e.g. monthly n = 12)
FuelP = Mass or volume of fuel combusted for the measurement period specified by fuel type, units of mass or volume per unit time 
HHVP = High heat value measured for the measurement period specified by fuel type, MMBtu per unit mass or volume
EF = Default CH4 or N2O emission factor provided in Appendix A, kg CH4 or N2O per MMBtu
0.001 = Factor to convert kg to metric tonnes
(3) If the heat content of the fuel is not measured, the operator shall calculate each fuel's CH4 and N2O emissions and report them in metric tonnes using the following equation:

CH4 or N2O= Fuel * HHVD * EF* 0.001
Where:
CH4 or N2O = CH4 or N2O emissions from a specific fuel type, metric tonnes CH4 or N2O per year
Fuel = Mass or volume of fuel combusted specified by fuel type, unit of mass or volume per year
HHVD = Default high heat value specified by fuel type provided in Appendix A, MMBtu per unit of mass or volume
EF = Default emission factor provided in Appendix A, kg CH4 or N2O per MMBtu
0.001 = Factor to convert kg to metric tonnes
(4) The operator may elect to calculate CH4 and N2O emissions using ARB approved source specific emission factors derived from source tests conducted at least annually under the supervision of ARB or the local air pollution control district or air quality management district. Upon approval of a source test plan by ARB, the source test procedures in that plan shall be repeated in future years to update the source specific emission factors annually. In the absence of source specific emission factors approved by ARB, the operator shall use the default emission factors provided in Appendix A.
(c) Method for Calculating CO2 Emissions from Fuel Combustion Using Measured Heat Content.
(1) The operator shall use the following equation to calculate fuel combustion CO2 emissions by fuel type using the measured heat content of the fuel combusted: 

View Graphic
Where:
CO2 = combustion emissions from specific fuel type, metric tonnes CO2 per year
n = Period/frequency of heat content measurements over the year (e.g. monthly n = 12)
FuelP = Mass or volume of fuel combusted for the measurement period specified by fuel type, units of mass or volume per unit time 
HHVP = High heat value measured for the measurement period specified by fuel type, MMBtu per unit mass or volume

	EF = 	Default carbon dioxide emission factor provided in the Appendix A, kg CO2 per MMBtu
0.001 = Factor to convert kg to metric tonnes
(A) The operator shall measure and record fuel consumption and the fuel's high heat value at frequencies specified by fuel type below. The operator may elect to utilize and record high heat values provided by the fuel supplier. The frequencies for measurements and recordings are as follows:
1. At receipt of each new fuel shipment or delivery or on a monthly basis for middle distillates (diesel, gasoline, fuel oil, kerosene), residual oil, liquid waste-derived fuels, and LPG (ethane, propane, isobutene, n-Butane, unspecified LPG); 
2. Monthly for natural gas, associated gas, and mixtures of low Btu gas excluding refinery fuel gas. Operators combusting gases with high heat value <975 or>1100 Btu per scf including natural gas, associated gas, and mixtures of low Btu gas and natural gas, shall use the methodology provided in section 95125(d) to calculate CO2 emissions;
3. Monthly for gases derived from biomass including landfill gas and biogas from wastewater treatment or agricultural processes.
4. The heat content of all solid fuels shall be measured and recorded monthly. The monthly solid fuel sample shall be a composite sample of weekly samples. The solid fuel shall be sampled at a location after all fuel treatment operations and the samples shall be representative of the fuel chemical and physical characteristics immediately prior to combustion. Each weekly sub-sample shall be collected at a time (day and hour) of the week when the fuel consumption rate is representative and unbiased. Four weekly samples (or a sample collected during each week of operation during the month) of equal mass shall be combined to form the monthly composite sample. The monthly composite sample shall be homogenized and well mixed prior to withdrawal of a sample for analysis. One in twelve composite samples shall be randomly selected for additional analysis of its discreet constituent samples. This information will be used to monitor the homogeneity of the composite.
(B) When measured by the operator or fuel supplier, high heat values shall be determined using one of the following methods:
1. For gases, use ASTM D1826-94 (Reapproved 2003), ASTM D3588-98 (Reapproved 2003), ASTM D4891-89 (Reapproved 2006), GPA Standard 2261-00 “Analysis for Natural Gas and Similar Gaseous Mixtures by Gas Chromatography.” The operator may alternatively elect to use on-line instrumentation that determines heating value accurate to within + 5.0 percent. Where existing on-line instrumentation provides only low heating value, the operator shall convert the value to high heating value as specified in section 95125(c)(1)(C).
2. For middle distillates and oil, or liquid waste-derived fuels, use ASTM D240-02 (Reapproved 2007), ASTM D240-87 (Reapproved 1991), ASTM D4809-00 (Reapproved 2005).
3. For solid biomass-derived fuels use ASTM D5865-07a.
4. For waste-derived fuels use ASTM D5865-07a or ASTM D5468-02 (Reapproved 2007). Operators who combust waste-derived fuels that are partly but not pure biomass shall determine the biomass-derived portion of CO2 emissions using the method specified in section 95125(h)(2), if applicable
(C) Operators of facilities where currently installed on-line instrumentation provides a measure of lower heating value (LHV) but not higher heating value (HHV), shall convert LHVs (Btu/scf) to HHVs (Btu/scf) in the following manner.

HHV = LHV * CF
Where:
HHV = fuel or fuel mixture higher heating value (Btu/scf)
LHV = fuel or fuel mixture lower heating value (Btu/scf)
CF = conversion factor
For natural gas, operators shall use a CF of 1.11. 
For refinery fuel gas and mixtures of refinery fuel gas, operators shall derive a fuel system specific CF. A weekly average CF shall be determined from either concurrent LHV instrumentation measurements and HHV determined as part of the daily carbon content determination, either by on-line instrumentation or laboratory analysis, or by the HHV/LHV ratio obtained from the laboratory analysis of the daily samples.
(d) Method for Calculating CO2 emissions from Fuel Combustion Using Measured Carbon Content -- For each type of fuel combusted at the facility, the operator shall calculate CO2 emissions using the appropriate method below:
(1) Solid Fuels.
(A) Operators combusting solid fuels shall use the following equation to calculate CO2 emissions:

View Graphic
Where:
CO2 = carbon dioxide emissions, metric tonnes per year
Fueln = mass of fuel combusted in month “n,” metric tonnes
CCn = carbon content from fuel analysis for month “n,” percent (e.g. 95% expressed as 0.95)
3.664 = conversion factor for carbon to carbon dioxide
(B) The carbon content of all solid fuels shall be measured and recorded monthly. The monthly solid fuel sample shall be a composite sample of weekly samples. The solid fuel shall be sampled at a location after all fuel treatment operations and the samples shall be representative of the fuel chemical characteristics combusted during the sample week. Each weekly sub-sample shall be collected at a time (day and hour) of the week when the fuel consumption rate is representative and unbiased. Four weekly samples (or a sample collected during each week of operation during the month) of equal mass shall be combined to form the monthly composite sample. The monthly composite sample shall be homogenized and well mixed prior to withdrawal of a sample for analysis. One in twelve composite samples shall be randomly selected for additional analysis of its discreet constituent samples. This information will be used to monitor the homogeneity of the composite. 
(C) When measured by the operator or fuel supplier, carbon content shall be determined using the following ASTM method:
1. For coal and coke, solid biomass-derived fuels, and waste-derived fuels use ASTM 5373-02 (Reapproved 2007).
(2) Liquid Fuels.
(A) Operators combusting liquid fuels shall use the following equation to calculate CO2 emissions:

View Graphic
Where:
CO2 = carbon dioxide emissions, metric tonnes per year
Fueln = volume of fuel combusted in month “n,” gallons
CCn = carbon content from fuel analysis for month “n,” kg C per gallon fuel
3.664 = conversion factor for carbon to carbon dioxide
0.001 = factor to convert kg to metric tonnes
(B) The carbon content shall be measured and recorded monthly. When measured by the operator or fuel supplier, carbon content shall be determined using the following ASTM methods: For petroleum-based liquid fuels and liquid waste-derived fuels, use ASTM D5291-02 (Reapproved 2007) “Standard Test Methods for Instrumental Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products and Lubricants,” ultimate analysis of oil or computations based on ASTM D3238-95 (Reapproved 2005) and either ASTM D2502-04 or ASTM D2503-92 (Reapproved 2002).
(3) Gaseous Fuels. Operators combusting gaseous fuels shall use the following equation to calculate CO2 emissions:

View Graphic
Where:
CO2 = carbon dioxide emissions, metric tonnes per year
Fueln = volume of gaseous fuel combusted in month “n,” scf
CCn = carbon content from fuel analysis for month “n,” kg C per kg-mole fuel
MVC = molar volume conversion factor (849.5 scf/kg-mole for STP of 20oC and 1 atmosphere, or 836 scf/kg-mole for STP of 60oF and 1 atmosphere)
3.664 = conversion factor for carbon to carbon dioxide
0.001 = Factor to convert kg to metric tonnes
(A) When measured by the operator or fuel supplier, carbon content shall be determined using the following ASTM methods: ASTM D1945-03 or ASTM D1946-90 (Reapproved 2006). Except for refinery fuel gas and flexicoker derived fuel gas, the carbon content shall be measured and recorded monthly. Petroleum refiners electing to use this method to calculate CO2 emissions resulting from the combustion of refinery fuel gas shall determine refinery fuel gas carbon content (CC) a minimum of 3 times per day (every eight hours) using on-line instrumentation or discrete sample laboratory analysis. The carbon content of flexigas shall be determined once per day with either on-line instrumentation or discrete sampling and lab based analysis using one of the ASTM methods listed above. Operators shall calculate CO2 emissions for a refinery fuel gas system and flexigas combustion in the following manner:

View Graphic
Where:
CO2 = carbon dioxide emissions, metric tonnes/year
FuelA = refinery fuel or flexigas from system A combusted on day n (scf)
CCAn-ave = system A refinery fuel gas average daily carbon content or flexigas carbon content for day n (kg C/kg fuel)
MWRFG-A = average daily molecular weight of refinery fuel gas system A or flexigas molecular weight for day n
MVC = molar volume conversion factor (849.5 scf/kg-mole for STP of 20oC and 1 atmosphere, or 836 scf/kg-mole for STP of 60oF and 1 atmosphere)
3.664 = conversion factor -- carbon to carbon dioxide
0.001 = conversion factor -- kg to metric tonnes
(4) Operators who combust waste-derived fuels that are partly but not pure biomass and who determine CO2 emissions using methods provided in sections 95125(d)(1)-(3) shall determine the biomass-derived portion of CO2 emissions using the method specified in section 95125(h)(2), if applicable.
(e) Method for Calculating CO2 Emissions from Fuel Combustion Using Measured Heat and Measured Carbon Content.
(1) The operator shall use the following method to calculate CO2 emissions from combustion of refinery fuel gas using both high heat value (HHV) and fuel carbon content.
(2) Each fuel gas system that provides fuel to one or more combustion devices shall be subject to the measurement and reporting methods described herein. The operator shall obtain fuel samples and choose measurement locations in a manner that minimizes bias and is representative of each fuel gas system.
(3) For each separate fuel gas system, the operator shall calculate a daily fuel specific emission factor using the equation shown below. Operators meeting the definition of “small refiner” shall calculate a weekly emission factor for each refinery fuel gas system. 

EFCO2-A = CCA/HHVA * MWA/MVC * 3.664 * 1000
Where:
EFCO2-A = daily CO2 emission factor for fuel gas system A (metric tonnes CO2/MMBtu)
CCA = fuel gas carbon content for fuel gas system A (kg carbon/kg fuel)
HHVA = high heating value for fuel gas system A (Btu/scf)
MWA = refinery fuel A molecular weight (kg/kg-mole)
MVC = molar volume conversion (849.5 scf/ kg-mole, for STP of 20oC and 1 atmosphere, or 836 scf/kg-mole for STP of 60oF and 1 atmosphere)
3.664 = conversion factor -- carbon to carbon dioxide
1000 = conversion factor -- kg/Btu to metric tonnes/MMBtu
(A) The operator shall determine carbon content once per day for each fuel gas system, by on-line instrumentation or by laboratory analysis of a representative gas sample drawn from the system, using the method specified in section 95125(d)(3). Small refiners shall determine carbon content weekly.
(B) The operator shall determine high heating value from the fuel sample obtained to conduct carbon analysis, or from continuous on-line instrumentation. When HHVA is derived from on-line instrumentation, operators shall use either an hourly average HHV value coinciding with the hour in which the carbon content determination was made, or the hour in which the sample was collected for analysis. The operator shall use the method specified in section 95125(c)(1)(B). Operators of facilities with installed instrumentation which provides fuel or fuel mixture LHV (Btu/scf) shall use methods specified in section 95125(c)(1)(C) for the conversion of LHV to HHV.
(4) For each refinery fuel gas system the operator shall use the system specific daily (weekly for small refiners) fuel emission factor calculated using the equation in section 95125(e)(3) to calculate daily (weekly for small refiners) CO2 emissions from all combustion devices where the fuel gas from that system was combusted, using the following equation.

View Graphic
Where:
CO2-A = CO2 emissions resulting from the combustion of fuel gas from system A (metric tonnes/yr)
HHVDA = daily average high heating value for system A (Btu/scf) 
FRA = daily fuel consumption for fuel gas system A (scf/d) 
EFCO2-A = daily CO2 emission factor for fuel gas system A (tonnes CO2/MM Btu)
0.000001 = conversion factor -- Btu to MMBtu
The operator shall determine the daily average high heating value (HHVDA) from continuous on-line instrumentation (except for small refiners). Small refiners may use the HHV value determined as part of the weekly fuel carbon content analysis to calculate weekly CO2 emissions.
(5) The operator shall calculate and report total CO2 emissions resulting from the combustion of fuel gas as the sum of CO2 combustion emissions from each fuel gas system in the following manner:

CO2 = CO2-A + CO2-B + CO2-C + ............CO2-X
Where:
CO2 = total CO2 emissions from the combustion of fuel gas (metric tonnes/yr)
CO2A,B,C = CO2 emissions from the combustion sources in fuel gas system A,B,C, etc. (metric tonnes/yr)
CO2-X = CO2 emissions from the combustion of fuel gas system X, where X is the total number of fuel gas systems (metric tonnes/yr)
(f) Method for Calculating CO2 Emissions from Fuel Combustion for Fuel Mixtures. (Petroleum Refineries and Crude Oil and Natural Gas Processing Facilities)
(1) Where individual fuels are mixed prior to combustion, the operator shall choose one of the methods below to calculate and report CO2 emissions. 
(A) Determine fuel flow rate and appropriate fuel specific parameters (carbon content, HHV) of each fuel stream prior to mixing, calculate CO2 emissions for each fuel in the mixture using the appropriate methodology (specified in section 95125(c) for natural gas and associated gas, 95125(f)(1)(B)-(D) for refinery fuel gas and flexigas, and 95113(d)(3) for low Btu gas) and sum individual fuel emissions to calculate emissions resulting from combustion of the mixture.
(B) Determine CO2 emissions using a Continuous Emissions Monitor System (CEMS) as specified in section 95125(g).
(C) Operators of petroleum refineries where refinery fuel gas is mixed with natural gas and/or low Btu gas shall use the methods specified in sections 95125(d)(3)(A) or 95125(e),
(D) Operators of oil and gas production facilities and natural gas production and processing facilities where associated gas or low Btu gas is mixed with natural gas prior to combustion shall use methods specified in section 95125(c).
(g) Method for Calculating CO2 Emissions Using Continuous Emissions Monitoring Systems.
(1) The operator of a facility that combusts fossil fuels or biomass and operates continuous emissions monitoring systems (CEMS) in response to federal, state, or air pollution control district/air quality management district (AQMD/APCD) regulations, including 40 CFR Part 60 or 40 CFR Part 75, may use CO2 or O2 concentrations and flue gas flow measurements to determine hourly CO2 mass emissions using methodologies provided in 40 CFR Part 75, Appendix F. The operator shall report CO2 emissions for the report year in metric tonnes based on the sum of hourly CO2 mass emissions over the year, converted to metric tonnes. 
(A) If the operator of a facility that combusts biomass uses O2 concentrations to calculate CO2 concentrations, annual source testing must demonstrate that calculated CO2 concentrations when compared to measured CO2 concentrations meet the Relative Accuracy Test Audit (RATA) requirements in 40 CFR Part 60, Appendix B, Performance Specification 3.
(2) The operators of a facility that combusts municipal solid waste or other waste-derived fuels and operates a CEMS in response to federal, state, or AQMD/APCD regulations, including 40 CFR Part 60 or 40 CFR Part 75, may use CO2 concentrations and flue gas flow measurements to determine hourly CO2 mass emissions using methodologies provided in 40 CFR Part 75, Appendix F. The operator shall report CO2 emissions for the report year in metric tonnes based on the sum of hourly CO2 mass emissions over the year and converted to metric tonnes. Emissions calculations shall not be based on O2 concentrations. 
(3) The operator of a facility that combusts municipal solid waste or other waste-derived fuels who chooses to calculate CO2 emissions using the methodology provided in section 95125(g)(2) shall determine the portion of emissions associated with the combustion of biomass-derived fuels using the method provided in section 95125(h)(2), if applicable. 
(4) The operator who chooses to use CEMS data to report CO2 emissions from a facility that co-fires fossil fuels with biomass or waste-derived fuels that are partly biomass shall determine the portion of total CO2 emissions separately assigned to the fossil fuel and the biomass-derived fuel using the method provided in section 95125(h)(2), if applicable. The operator who co-fires pure biomass with fossil fuels may elect to calculate CO2 emissions for the fossil fuels using methods designated in section 95111(c) by fuel type and then subtract the fossil fuel related emissions from the total CO2 emissions determined using the CEMS based methodology.
(5) The operator who chooses to report CO2 emissions using CEMS data is relieved of requirements to separately report process emissions from combustion emissions or to report emissions separately for different fossil fuels when only fossil fuels are co-fired. In this circumstance operators shall still report fuel use by fuel type as otherwise required in this article. 
(6) If a facility is subject to requirements in 40 CFR Part 60 or 40 CFR Part 75 and the operator chooses to add devices to an existing continuous monitoring system for the purpose of measuring CO2 concentrations or flue gas flow, the operator shall select and operate the added devices pursuant to the requirements in 40 CFR Part 60 or Part 75 that apply to the facility. If the facility is subject to both 40 CFR Part 60 and 40 CFR Part 75, the operator shall select and operate the added devices pursuant to the requirements in 40 CFR Part 75.
(7) If a facility does not have a continuous emissions monitoring system and the operator chooses to add one in order to measure CO2 concentrations, the operator shall select and operate the CEMS pursuant to the requirements in 40 CFR Part 75. The operator shall use CO2 concentrations and flue gas flow measurements to determine hourly CO2 mass emissions using methodologies provided in 40 CFR Part 75, Appendix F. The operator shall report CO2 emissions for the report year in metric tonnes based on the sum of hourly CO2 mass emissions over the year, converted to metric tonnes. Operators who add CEMS under this article are subject to specifications in section 95125(g)(3)-(6), if applicable.
(h) Method for Calculating CO2 Emissions from Combustion of Biomass, Municipal Solid Waste, or Waste Derived Fuels with Biomass.
(1) The operator shall use the following method to calculate CO2 emissions in the report year from combustion of biomass solid fuels or municipal solid waste.
(A) CO2 emissions from combusting biomass or municipal solid waste shall be calculated using the following equation:

CO2 = Heat * CCEF * 3.664 * 0.001 
Where: 
CO2 = CO2 emissions from fuel combustion, metric tonnes per year 
Heat = Heat calculated in section 95125(h)(1)(B), MMBtu per year
CCEF = Default carbon content emission factor provided in Appendix A, kg carbon per MMBtu
3.664 = CO2 to carbon molar ratio 
0.001 = Conversion factor to convert kilograms to metric tonnes 
(B) Heat content shall be calculated using the following equation:
Heat = Steam * B
Where 
Heat = Heat, MMBtu per year 
Steam = Actual Steam generated, pounds per year 
B = Boiler Design Heat Input/Boiler Design Steam Output, as Design MMBtu per pound Steam 
(2) The operator that combusts fuels or fuel mixtures that are at least 5 percent biomass by weight and not pure biomass, except waste-derived fuels that are less than 30 percent by weight of total fuels combusted for the report year, shall determine the biomass-derived portion of CO2 emissions using ASTM D6866-06a as specified in this article. The operator shall conduct ASTM D6866-06a analysis at least every three months, and shall collect each gas sample for analysis during normal operating conditions over at least 24 consecutive hours. The operator shall divide total CO2 emissions between biomass-derived emissions and non-biomass-derived emissions using the average proportionalities of the samples analyzed. If there is a common fuel source to multiple units at the facility, the operator may elect to conduct ASTM D6866-06a testing for one of the units. 
(3) In lieu of the method provided in section 95125(h)(1), operators of facilities that combust biomass solid fuels, waste-derived fuels, or municipal solid waste may elect to calculate CO2 emissions using ARB approved source specific emission factors derived from source tests conducted at least annually under the supervision of ARB or the local air pollution control district or air quality management district. For fuels or fuel mixtures that contain at least 5 percent biomass by weight but are not pure biomass, the source test protocol shall include determination of the biomass-derived portion of CO2 emissions as specified in section 95125(h)(2) if applicable. Upon approval of a source test plan by ARB, the source test procedures in that plan shall be repeated in subsequent years to update the source specific emission factors annually. In the absence of source specific emission factors approved by ARB, the operator shall determine CO2 emissions using a method otherwise specified for the source in this article. 
(i) Method for Calculating Mobile Combustion Emissions. 
(1) For operators choosing to report mobile source combustion emissions, the operator shall use the following equation to compute mobile combustion CO2 emissions for the report year by fuel type:

CO2 = Fuel * EFCO2 * 0.001
Where:
CO2 = emissions from mobile combustion by fuel type, metric tonnes per year
Fuel = volume of fuel consumed, gallons per year
EFCO2 = default emission factor by fuel type provided in Appendix A, kg CO2/gallon
0.001 = conversion factor to convert kg to metric tonnes
(2) The operator shall obtain data on the volume of fuel consumed during the report year from fuel records data (including bulk fuel purchase records, collected fuel receipts, official logs of vehicle fuel gauges or storage tanks) as shown in section 95125(i)(2)(A), unless the operator elects to calculate fuel use from miles traveled per vehicle using the fuel economy method shown in section 95125(i)(2)(B).
(A) The operator shall use the following equation to calculate mobile source fuel consumption from fuel records data:

Fuel = FP + FSbeg - FSend
Where:
Fuel = volume of fuel consumed, gallons per year 
FP = total fuel purchases, gallons per year
FSbeg = amount of fuel stored at the beginning of the year, gallons
FSend = amount of fuel stored at the end of the year, gallons
(B) The operator shall use the following equation to calculate mobile source fuel consumption using U.S. EPA fuel economy values for specific vehicle models and miles traveled per vehicle:

View Graphic
Where: 
Fuel = volume of fuel consumed, gallons per year
Mileagei = total miles traveled by vehicle i, miles per year
FEcity,i = U.S. EPA specified vehicle i fuel economy for city driving, miles per gallon
DPcity,i = proportion of miles traveled spent in city driving conditions for vehicle i, percent/100 (0.55 may be used as a default value or a fleet specific number may be substituted if known)
FEhighway,i = U.S. EPA specified vehicle i fuel economy for highway driving, miles per gallon
DPhighway,i = proportion of miles traveled spent in highway driving  conditions for vehicle i, percent/100 (0.45 may be used as a default value or a fleet specific number may be substituted if known)  
n = total number of vehicles
(3) The operator shall use the following equation to compute mobile combustion CH4 and N2O emissions by vehicle type:

TE = EF * Mileage * 0.000001
Where:
TE = total emissions of CH4 or N2O from mobile combustion by vehicle type, metric tonnes per year
EF = emission factor by vehicle type and fuel type provided in Appendix A, g of CH4 or N2O/mile
Mileage = total miles traveled by vehicle type, miles per year
0.000001 = conversion factor to convert grams to metric tonnes 
(A) If mile traveled data are not available, the operator may elect to back calculate total miles traveled by vehicle type from fuel usage data using U.S. EPA fuel economy values for specific vehicle models and the following equation:

View Graphic
Where: 
Mileage = total miles traveled by vehicle type, miles per year
Fueli = volume of fuel consumed by vehicle model i, gallons per year 
FEcity,i = U.S. EPA specified vehicle i fuel economy for city driving, miles per gallon
DPcity,i = proportion of miles traveled spent in city driving for vehicle i, percent/100 (0.55 may be used as a default value or a fleet specific number may substituted if known)
FEhighway,i = U.S. EPA specified vehicle i fuel economy for highway driving, miles per gallon
DPhighway,i = proportion of miles traveled spent in highway driving conditions for vehicle i, percent/100 (0.45 may be used as a default value or a fleet-specific number may be substituted if known)
n = number of vehicles 
(j) Method for Calculating Fugitive CH4 Emissions from Coal Storage. 
The operator shall calculate fugitive CH4 emissions from coal storage using the following equation: 

CH4 = PC * EF * CF1/CF2
Where 
CH4 = CH4 emissions in the report year, metric tonnes per year
PC = Purchased coal in the report year, tons per year
EF = Default emission factor for CH4 based on coal origin and mine type provided in Appendix A, scf CH4/ton
CF1 = Conversion factor equals 0.04228, lbs CH4/scf
CF2 = Conversion factor equals 2,204.6, lbs/metric ton
(k) Method for Calculating Indirect Electricity Usage. 
The operator of a facility that consumes electricity that is purchased or acquired from a retail provider or a facility they do not own or operate shall report electricity use and identify the provider(s) for all electricity consumed at the facility.
(1) For each electricity provider, the operator shall sum electricity use (kWh) from billing records for the report year. If the records do not begin on January 1 and end on December 31 of the report year, but span two calendar years, the facility shall pro-rate its power usage according to the fraction of days billed for each month in each year using the equation shown.
Calculating electricity use for partial months:

	Partial Month Electricity use (kWh) = 
	(electricity use (kWh) in period billed / total number days in period billed) * (number of report year days in the period billed) 
(2) The operator shall report by electricity provider the electricity consumed at the facility in kilowatt-hours (kWh).
(l) Method for Calculating Indirect Thermal Energy Usage. 
The operator of a facility that consumes steam, heat, and/or cooling that is purchased or acquired from a facility that they do not own or operate shall report thermal energy use and identify the provider(s) for all thermal energy consumed at the facility. 
(1) For each thermal energy provider, the operator shall obtain data from the facility's thermal use records, and sum this usage for the report year. If the records do not begin on January 1 and end on December 31 of the report year, but span two calendar years, the facility shall pro-rate its indirect thermal energy usage according to the fraction of days billed for each month in each year using the equation shown. 
Calculating thermal use for partial months:

	Partial Month Thermal use (Btu) = 
	(thermal use (Btu) in period billed / total number days in period billed) * (number of report year days in the period billed) 
(2) The operator shall report by thermal energy provider the thermal energy consumed at the facility in British thermal units (Btu).
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New subarticle 3 (section 95125) and section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
Subarticle 3. Additional Requirements for Reported Data
§95129. Substitution for Missing Data Used to Calculate Emissions from Stationary Combustion and CEMS Sources.
Note     •     History

In lieu of the requirements for estimating missing data in Subparts C and D of 40 CFR Part 98, the operator of a facility who is reporting emissions under section 95115 or 95112 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must follow the applicable procedures of this section for estimating missing or invalid data. The operator must include the substituted data in the GHG emissions data report and maintain all records, calculations, and data used to estimate substituted data according to the requirements of section 95105 and 40 CFR Part 98. Alternatively, under the limited circumstances specified in this section for equipment breakdown, the operator may request approval of an interim data collection procedure as specified in section 95129(h)-(i). For units combusting pure biomass-derived fuels or for de minimis sources, the operator who is reporting emissions must follow either the requirements below or the requirements of 40 CFR §98.35. In the event that section 95129 becomes applicable to a source, compliance with the requirements of section 95129 does not relieve the operator from complying with other sections of this article. 
(a) Missing Data Substitution Procedures for Units Reporting Under 40 CFR Part 75. The operator of a unit that is reporting CO2 using 40 CFR Part 75 must follow the applicable missing data substitution procedures in Part 75 for CO2 concentration, stack gas flow rate, fuel flow rate, high heat value, and fuel carbon content, except as otherwise provided in this section. Paragraphs (b) through (g) of this section do not apply to these units for CO2 emissions, but do apply for CH4 and N2O emissions that are not de minimis if data required for calculating CH4 and N2O emissions are missing or invalid.
(b) Missing Data Substitution Procedures for Other Units Equipped with CEMS. The operator of a stationary combustion unit who monitors and reports emissions and heat input data for that unit under section 95115 of this article using Tier 4 of Subpart C (40 CFR §98.33(a)(4)) must follow the applicable missing data substitution procedures in 40 CFR §75.31 to 75.37 (revised as of July 1, 2009). For the purpose of missing data substitution, for CEMS certified under 40 CFR Part 60, quality-assured data is defined according to the quality assurance/quality control procedures in 40 CFR Part 60. Paragraphs (c) through (h) of this section do not apply to units using Tier 4 for CO2 emissions, but do apply for CH4 and N2O emissions that are not de minimis if data required for calculating CH4 and N2O emissions are missing or invalid. 
(c) Missing Data Substitution Procedures for Fuel Characteristic Data. When the applicable emissions estimation methods of this article require periodic collection of fuel characteristic data (including carbon content, high heat value, and molecular weight) the operator must demonstrate every reasonable effort to obtain a fuel characteristic data capture rate of 100 percent for each data year. When fuel characteristic data of a required fuel sample are missing or invalid, the operator must first attempt to either reanalyze the original sample or perform the fuel analysis on a backup sample, or replacement sample from the same collection period as specified in 40 CFR §98.34(a)(2)-(3), to obtain valid fuel characteristic data. If the sample collection period has elapsed and no valid fuel characteristic data can be obtained from a backup or replacement sample, the operator must substitute for the missing data the values obtained according to the procedures in section 95129(c)(1)-(3). The data capture rate for the data year must be calculated as follows for each type of fuel and each fuel characteristic parameter:

Data capture rate = S / T x 100%
Where:
S = Number of fuel samples for which valid fuel characteristic data were obtained according to the applicable sampling requirements (including sampling schedule) 
T = Total number of fuel samples required by the applicable sampling requirements 
(1) If the fuel characteristic data capture rate is at least 90.0 percent for the data year, the operator must substitute the arithmetic average of the values of that parameter immediately preceding and immediately following the missing data incident that are representative of the fuel type. If the “after” value has not been obtained by the time that the GHG emissions data report is due, the operator must use the “before” value for missing data substitution.
(2) If the fuel characteristic data capture rate is at least 80.0 percent but not more than 90.0 percent for the data year, the operator must substitute for each missed value with the highest valid value recorded for that type of fuel during the data year as well as the two previous data years. 
(3) If the operator is unable to obtain fuel characteristic data such that less than 80.0 percent of emissions from a source are directly accounted for, the operator must then substitute for each missed data point the greater of the following:
(A) the highest valid value recorded for that type of fuel for all records kept under the requirements of section 95105, or
(B) the default value in Table 1 of this section (for carbon content) or Table C-1 of 40 CFR Part 98 (for high heat value). If a substitute value is not available in Table 1 of this section or Table C-1 of 40 CFR Part 98, the operator must substitute the highest value recorded for that type of fuel for all records kept pursuant to the requirements of section 95105.

Table 1. Default Carbon Content

		  Parameter	Missing Data Value
		Anthracite Coal	90%
		Bituminous	85%
		Subbituminous/Lignite	75%
		Oil	90%
		Natural Gas	75%
		Other Gaseous Fuels	90%
(d) Missing Data Substitution Procedures for Fuel Consumption Data. The operator subject to the requirements of this article must demonstrate every reasonable effort to obtain a total facility fuel consumption data capture rate of 100 percent for each year for each type of fuel. The total facility fuel consumption for the data year can be determined using any combination of meters and/or other fuel measurement devices or methods that individually meet the accuracy requirements of this article, provided that the total amount of fuel consumed at the facility level is completely accounted for during each time period that the facility is in operation. For each fuel type, when the total facility fuel consumption data that meet the accuracy requirements of this article are available during each time period that the facility is in operation, but such data are missing or invalid at the unit level, the operator must either estimate missing unit-level fuel consumption data using other available data parameters that are routinely measured at the facility (e.g., electrical load, steam production, operating hours, production output, or fuel consumption data at other measurement points), or use an applicable missing data substitution procedure from section 95129(d)(1)-(3). If during any time periods that the facility is in operation, a portion of the total facility fuel consumption is missing or cannot be determined at the accuracy required by this article, the operator must use the applicable missing data substitution procedure from section 95129(d)(1)-(3) below, so that the total facility fuel consumption quantity for the missing data periods is reconstructed. If a source is eligible for more than one procedure in section 95129(d)(1)-(3), the operator has the option to choose one of the applicable procedures in section 95129(d)(1)-(3). The requirements in section 95129(d)(1)-(3) are optional for sources that are not required to meet the accuracy standard specified in section 95103(k) and for sources that do not utilize fuel consumption data for emission calculation.
(1) Continuous Fuel Flow Rate Data Using Load Ranges. The sources that meet the following criteria are eligible for using the procedures in paragraph (d)(1): the sources combust gaseous or liquid fuels, produce electrical or thermal output, use a fuel flowmeter system to continuously measure fuel flow rate; and are equipped with a data acquisition and handling system (DAHS) that continuously records fuel flow rates and measured electrical or thermal output on an hourly basis, which enables segregation of the fuel flow rate data into bins. The operator of such sources that applies the requirements in this paragraph must substitute missing fuel flow rate data according to this paragraph.
Whenever quality-assured fuel flow rate data are missing and there is no backup system available to record the fuel flow rate, the operator must use the following procedures to account for the flow rate of fuel combusted at the source for each hour during the missing data period. Before using these procedures, operators must establish load ranges for the affected sources using the procedures in paragraph (f) of this section.
When load ranges are used for estimating missing fuel flow rate data, the operator must create and maintain separate fuel-specific databases for the source. The database for each type of fuel combusted must include the hours in which the fuel is combusted alone at the source and the hours in which it is co-fired with any other fuel types. The database must record fuel flow rate and corresponding electrical output or thermal output, and assign these values into the established load bins. To be eligible to use the missing data procedures in this paragraph, measured electrical output or thermal output must be available for the hour(s) in which fuel flow rate data are missing. If output data are missing, the operator must follow the requirements of paragraph (d)(3). 
(A) Single Fuel Type. For missing data periods that occur when only one type of fuel is being combusted, the operator must provide substitute data for each hour of the missing data period as follows: Substitute the arithmetic average of the hourly quality-assured fuel flow rate(s) measured and recorded by a fuel flowmeter system at the corresponding operating source load range during the previous 720 operating hours in which the source combusted only that same fuel. If 720 hours of fuel flow rate data are not available at the corresponding load range, the operator may combine available data with data from higher load ranges if available until 720 hours are reached. If 720 hours of quality-assured fuel flow rate data are not available when combined with higher load ranges, the operator must substitute the maximum potential fuel flow rate for each hour of the missing data period.
(B) Multiple Fuel Types. For missing data periods that occur when two or more different types of fuel are being co-fired, the operator must provide substitute fuel flow rate data for each hour of the missing data period as follows:
1. Substitute the maximum hourly quality-assured fuel flow rate(s) measured and recorded by a fuel flowmeter system at the corresponding operating source load range during the previous 720 operating hours when the fuel for which the flow rate data are missing was co-fired with any other type of fuel. If 720 hours of fuel flow rate data are not available at the corresponding load range, data from higher load ranges if available may be combined until 720 hours are reached. If 720 hours of quality-assured fuel flow rate data are not available when combined with higher load ranges, the operator must substitute the maximum potential fuel flow rate for each hour of the missing data period.
2. If, during an hour in which different types of fuel are co-fired, quality-assured fuel flow rate data are missing for two or more of the fuels being combusted, apply the procedures in subparagraph (d)(1)(B)1. separately for each type of fuel.
3. If the missing data substitution required in subparagraphs (d)(1)(B)1.-2. causes the reported hourly heat input rate based on the combined fuel usage to exceed the maximum rated hourly heat input of the unit, adjust the substitute fuel flow rate value(s) so that the reported heat input rate equals the unit's maximum rated hourly heat input. 
(C) Lookback Period. In any case where the missing data provisions of this section require substitution of data measured and recorded more than three years (26,280 clock hours) prior to the date and time of the missing data period, the operator must substitute the maximum potential fuel flow rate for each hour of the missing data period. In addition, for sources in operation less than three years (26,280 clock hours), until 720 hours of quality-assured fuel flowmeter data are available for the lookback periods described in subparagraphs (d)(1)(A) and (d)(1)(B), the methodology in section (d)(3) must be used to determine the appropriate substitute data values.
(2) Fuel Consumption Data Without Load Ranges. The sources that meet the following criteria are eligible to use the procedures in this paragraph: the facility operator has established and implemented a fuel monitoring plan as a part of the GHG Monitoring Plan specified in section 95105(c)(5), has monitored fuel measurement equipment and maintained records of its proper operation by recording fuel consumption quantities at least weekly, and has compiled records of fuel consumption that are sufficient for the application of the procedures in this paragraph. For operators that apply the requirements in this paragraph, whenever quality-assured fuel consumption data are missing and there is no backup system available to record the fuel consumption, the operator must use the procedures in this paragraph to account for the consumption of fuel combusted at the unit during the missing data period. For fuels that are combusted less than 180 days in a calendar year, the operator must record fuel consumption at least daily on each day the fuel is combusted. For all other sources or fuels, the operator must record fuel consumption at least weekly.
The data capture rate for the data year must be calculated as follows for each unit with missing fuel consumption data:

Data capture rate = S / T x 100%
Where: 
S = Number of fuel monitoring periods (e.g., days or weeks) in the data year for which valid measured fuel consumption data are available. Do not include fuel monitoring periods when the fuel was not combusted at the unit. 
T = Total number of fuel monitoring periods (e.g., days or weeks) in the data year that the fuel is combusted at the unit.
(A) Single Fuel. For missing data periods that occur when only one type of fuel is being combusted, the operator must provide substitute data for each missing data period as follows:
1. If the fuel consumption data capture rate is equal to or greater than 95.0 percent during the data year, the operator must develop an estimate based on available process data that are routinely measured and recorded at the unit (e.g., electrical load, steam production, operating hours) or fuel consumption data recorded at other upstream or downstream measurement points.
2. If the fuel consumption data capture rate is equal to or greater than 90.0 percent but less than 95.0 percent during the data year, the operator must calculate substitute data as the 90th percentile value of the fuel consumption data recorded for the data year as well as the two previous data years.
3. If the fuel consumption data capture rate is at least 80.0 percent but less than 90.0 percent during the data year, the operator must calculate substitute data as the 95th percentile value of the fuel consumption data recorded for the data year as well as the two previous data years.
4. If the fuel consumption data capture rate is less than 80.0 percent during the data year, the operator must apply as substitute data the maximum potential fuel consumption rate.
(B) Multiple Fuels. For missing data periods that occur when two or more different types of fuel are being co-fired, the operator must provide substitute fuel flow rate data for each missing data period as follows:
1. If the fuel consumption data for a single fuel are missing, provide substitute fuel consumption data for the missing data period using the procedures in section 95129(d)(2)(A).
2. If fuel consumption data are missing for two or more of the fuels being combusted, apply the procedures in section 95129(d)(2)(A) (as applicable) separately for each type of fuel.
3. If the missing data substitution required in section 95129(d)(2)(A) causes the reported heat input rate based on the combined fuel usage to exceed the maximum rated heat input of the source, adjust the substitute fuel consumption value(s) so that the reported heat input rate equals the source's maximum rated heat input.
(C) Prorating Substitute Value. When applying the procedures in subparagraphs (d)(2)(A)-(B), if an individual missing data period is shorter than the fuel consumption data monitoring period, the operator must prorate the specified value for the fuel consumption data monitoring period by the missing data period. For example, for a unit with a missing data period length of one day but weekly fuel consumption monitoring schedule, the operator may divide the substitute value, estimated on a weekly basis, by the number of days the unit operates in a week to obtain the substitute value for the missing data day. 
(3) Alternate Missing Data Procedure for Fuel Consumption Data. This paragraph applies to fuel combusting units that cannot use the missing data procedures in paragraphs (d)(1) and (d)(2). If fuel consumption data are missing or invalid for a fuel combusting unit, and the total facility fuel consumption data cannot be determined at the accuracy required by this article for the particular missing data period, the operator must substitute for each hour of missing data using the maximum potential fuel consumption rate for the unit. If fuel consumption data at the facility level or at a higher aggregated-units level are available and meet the accuracy requirements of this article, the operator may estimate the missing unit-level fuel consumption data using available process data that are routinely measured at the facility (e.g., electrical load, steam production, operating hours) or fuel consumption data recorded at other upstream or downstream measurement points that meet the accuracy requirements of this article.
(e) Missing Data Substitution Procedures for Steam Production. The operator of a steam-producing unit who calculates and reports emissions using Equation C-2c in 40 CFR §98.33(a)(2) must apply the procedures in this paragraph to substitute for missing steam production data, unless a backup system to record steam production is available. For sources for which steam production data are not used to calculate emissions, the operator may develop an estimate using available process data that are routinely measured and recorded at the unit (e.g., electrical load, steam production, product output, operating hours) to estimate missing steam production. 
If hourly steam production data are not available at the facility, the operator must record steam production data at least weekly and use the weekly records for substituting the missing steam production data. The operator must prorate the steam data using the same procedure in paragraph (d)(2)(C).
The data capture rate for the data year must be calculated as follows for each unit with a missing data period:

Data capture rate = S / T x 100%
Where: 
S = Number of monitoring intervals (e.g. hourly, daily, or weekly) with valid measured steam production data.
T = Total number of monitoring intervals that the unit is operated in the data year.
(1) If the steam production data capture rate is at least 90.0 percent during the data year, the operator must develop an estimate using available process data that are routinely measured and recorded at the unit (e.g., electrical load, steam production, product output, and operating hours).
(2) If the steam production data capture rate is at least 80.0 percent but less than 90.0 percent during the data year, the operator must calculate substitute data as the 90th percentile value of the steam production data recorded for the data year.
(3) If the steam production data capture rate is less than 80.0 percent during the data year, the operator must substitute the highest valid steam production value recorded in all records kept according to section 95105(a).
(f) Procedure for Establishing Load Ranges. This paragraph is applicable to units that produce electrical output or thermal output. For a single unit, the operator must establish ten operating load ranges, each defined in terms of percent of the maximum hourly average gross load of the unit, in gross megawatts (MW). (Do not use integrated hourly gross load in MWh.) For a cogenerating unit or other unit at which some portion of the heat input is not used to produce electricity, or for a unit for which hourly average gross load in MW is not recorded separately, the operator must use the hourly gross steam load of the unit, in pounds of steam per hour at the measured temperature (oF) and pressure (psia), instead of gross MW. 
Beginning with the first hour of unit operation after installation and certification of the fuel flowmeter, for each hour of unit operation the operator must record a number, 1 through 10, that identifies the operating load range corresponding to the integrated hourly gross load of the unit(s) recorded for each unit operating hour. The operator must calculate maximum values and percentile values determined by this procedure using bias adjusted values in the load ranges. When a bias adjustment is necessary for the fuel flowmeter, the operator must apply the adjustment factor to all data values placed in the load ranges. The operator must use the calculated maximum values and percentile values to substitute for missing flow rate according to the procedures in paragraph (d)(1) of this section.
(g) Executive Officer Approved Load Range. An operator may petition the Executive Officer for approval to use an alternate load based methodology for substituting missing data to using the procedures in section 95129(d)(1). The operator must be able to prove to the satisfaction of the Executive Officer that there is a direct correlation between fuel consumption and the proposed load metric. At a minimum, the operator will have a system in place that electronically measures and records fuel consumption and load at least hourly. The alternate load metric must be a metric that can be accurately measured, correlated to fuel consumption, and divided into ten operating load ranges. In order to verify the feasibility of the methodology the Executive Officer will require at least three years of fuel consumption and load data and may request up to the maximum years of data required to be retained under section 95105(a).
(h) Procedure for Approval of Interim Fuel Analytical Data Collection Procedure During Equipment Breakdowns. 
(1) In the event of an unforeseen breakdown of the fuel characteristic data monitoring or fuel flow monitoring equipment used to estimate emissions under this article, the Executive Officer may authorize an operator to use an interim data collection procedure under the circumstances specified below. The operator must satisfactorily demonstrate to the Executive Officer that: 
(A) The breakdown may result in a loss of more than 10 percent of a fuel characteristic data element or a fuel usage data element for the data year, and back-up sampling for affected fuel characteristics is unavailable; 
(B) The affected monitoring equipment cannot be promptly repaired or replaced without shutting down a process unit significantly affecting facility operations, or the monitoring equipment must be replaced and replacement equipment is not immediately available; and,
(C) The interim procedure will not remain in effect longer than is reasonably necessary for repair or replacement of the malfunctioning monitoring equipment.
(2) An operator seeking approval of an interim data collection procedure must, within sixty days of the monitoring equipment breakdown, submit a written request to the Executive Officer that includes all of the following:
(A) The proposed start date and end date of the interim procedure;
(B) A detailed description of what data are affected by the breakdown;
(C) A discussion of the accuracy of data collected during the interim procedure compared with the data collected under the usual procedure used by the operator;
(D) A demonstration that the criteria in paragraph (h)(1) are satisfied, and operator certification that no feasible alternative procedure exists that would provide more accurate emissions data.
(3) The Executive Officer may limit the duration of the interim data collection procedure to ensure the criteria in paragraph (h)(1) are met.
(4) When reviewing an interim data collection procedure, the Executive Officer shall determine whether the accuracy of data collected under the procedure is reasonably equivalent to data collected from properly functioning monitoring equipment, and if it is not, the relative accuracy to assign for purposes of assessing possible material misstatement under section 95131 of this article. Data collected pursuant to an approved interim data collection procedure shall be considered captured data for purposes of compliance with the capture rate requirements in this section.
(5) The Executive Officer shall provide written notification to the operator of approval or disapproval of the interim data collection procedure within sixty days of receipt of the request, or within thirty days of receipt of any additional information requested by the Executive Officer, whichever is later. 
(i) Procedure for Approval of Interim Data Collection Procedure During Breakdown for Units Equipped with CEMS. 
(1) In the event of an unforeseen breakdown of CEMS equipment at a combustion unit where the operator uses the Tier 4 Calculation Methodology (40 CFR §98.33(a)(4)) to monitor and report emissions under this article, the operator may request approval from the Executive Officer to temporarily use the Tier 2 Calculation Methodology (40 CFR §98.33(a)(2)) for pipeline quality natural gas, biomass, or municipal solid waste, or the Tier 3 Calculation Methodology (40 CFR §98.33(a)(3)) for other fuels, to calculate emissions during the equipment breakdown period. The operator must satisfactorily demonstrate to the Executive Officer that: 
(A) The breakdown will result in a loss of more than 10 percent of the concentration, flow rate, or other information used to calculate and report annual emissions for the data year, and that back-up monitoring is unavailable; 
(B) The affected monitoring equipment cannot be promptly repaired or replaced without shutting down a process unit significantly affecting facility operations, or the monitoring equipment must be replaced and replacement equipment is not immediately available; and,
(C) The interim procedure will not remain in effect longer than is reasonably necessary for repair or replacement of the malfunctioning monitoring equipment.
(2) The operator must collect fuel samples and comply with all applicable requirements of the Tier 2 or Tier 3 Calculation Methodology in 40 CFR §98.33(a)(2) or (3), as modified by section 95115 of this article, during the equipment breakdown period. Fuel characteristics data provided by the fuel suppliers can be used if available. The operator must, within sixty days of the monitoring equipment breakdown, submit a written request to the Executive Officer that includes all the following information:
(A) The proposed start date and end date of the interim procedure, including a demonstration that the interim procedure will not remain in effect longer than is reasonably necessary for repair or replacement of the malfunctioning equipment;
(B) A detailed description of what data are affected by the breakdown; and,
(C) An interim monitoring plan that meets the requirements of the Tiers 2 and 3 Calculation Methodologies as applicable by fuel type in section 95115.
(3) The Executive Officer may limit the duration of the interim data collection procedure to ensure the criteria in paragraph (i)(1) are met.
(4) The Executive Officer shall provide written notification to the operator of approval or disapproval of the interim data collection procedure within sixty days of receipt of the request, or within thirty days of receipt of any additional information requested by the Executive Officer, whichever is later. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New subarticle 3 (section 95129) and section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 4. Requirements for Verification of Greenhouse Gas Emissions Data Reports and Requirements Applicable to Emissions Data Verifiers; Requirements for Accreditation of Emissions Data and Offset Project Data Report Verifiers
§95130. Requirements for Verification of Emissions Data Reports.
Note     •     History

The reporting entity who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must obtain the services of an accredited verification body for purposes of verifying each emissions data report submitted under this article, as specified in section 95103(f). 
(a) Annual Verification.
(1) Reporting entities required to obtain annual verification services as specified in section 95103(f) are subject to full verification requirements in the first year that verification is required in each compliance period. Upon receiving a positive verification statement, or statements, if applicable, under full verification requirements, the reporting entity may choose to obtain less intensive verification services for the remaining years of the compliance period. Reporting entities subject to this section are also required to obtain full verification services if any of the following apply:
(A) The emissions data report is for the 2011 data year;
(B) There has been a change in the verification body;
(C) An adverse verification statement or qualified positive verification statement was issued for the previous year for either emissions data or product data, or both;
(D) A change of ownership of the reporting entity occurred in the previous year.
(E) Nothing in this paragraph shall be construed as preventing a verification body from performing a full verification in instances where there are changes in sources or emissions. The verification body must provide information on the causes of the emission changes and justification in the verification report if a full verification was not conducted in instances where the total reported GHG emissions differ by greater than 25 percent relative to the preceding year's emissions data report.
(2) Reporting entities subject to annual verification under section 95130 shall not use the same verification body or verifier(s) for a period of more than six consecutive years, which includes any verifications conducted under this article and for the California Climate Action Registry, The Climate Registry, or Climate Action Reserve. 
(3) If a reporting entity is required or elects to contract with another verification body or verifier(s), the reporting entity may contract verification services from the previous verification body or verifier(s) only after not using the previous verification body or verifier(s) for at least three years. 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New subarticle 4 (sections 95130-95133) and section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of subarticle heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95131. Requirements for Verification Services.
Note     •     History

Verification services shall be subject to the following requirements.
(a) Notice of Verification Services. After the Executive Officer has provided a determination that the potential for a conflict of interest is acceptable as specified in section 95133(f) and that verification services may proceed, the verification body shall submit a notice of verification services to ARB. The verification body may begin verification services for the reporting entity ten working days after the notice is received by the Executive Officer, or earlier if approved by the Executive Officer in writing. In the event that the conflict of interest statement and the notice of verification services are submitted together, verification services cannot begin until ten working days after the Executive Officer has deemed acceptable the potential for conflict of interest as specified in 95133(f). The notice shall include the following information:
(1) A list of the staff who will be designated to provide verification services as a verification team, including the names of each designated staff member, the lead verifier, and all subcontractors, and a description of the roles and responsibilities each member will have during verification.
(2) Documentation that the verification team has the skills required to provide verification services for the reporting facility. This shall include a demonstration that a verification team includes at least one member accredited to provide sector specific verification services when required below:
(A) For providing verification services to an electric power entity, a supplier of petroleum products or biofuels, a supplier of natural gas, natural gas liquids, or liquefied petroleum gas, or a supplier of carbon dioxide, at least one verification team member must be accredited by ARB as a transactions specialist;

(B) 	For providing verification services to the operator of a petroleum refinery, hydrogen production unit or facility, or petroleum and natural gas system listed in section 95101(e), at least one verification team member must be accredited by ARB as an oil and gas systems specialist;

(C) 	For providing verification services to the operator of a facility engaged in cement production, glass production, lime manufacturing, pulp and paper manufacturing, iron and steel production, or nitric acid production, at least one verification team member must be accredited by ARB as a process emissions specialist.
(3) General information on the reporting entity, including:
(A) The name of the reporting entity and the facilities and other locations that will be subject to verification services, reporting entity contact, address, telephone number, and e-mail address;
(B) The industry sector and the North American Industry Classification System (NAICS) code for the reporting facility;
(C) The date(s) of the on-site visit, if required in section 95130(a)(1), with facility address and contact information;
(D) A brief description of expected verification services to be performed, including expected completion date.
(4) If any of the information under section 95131(a)(1) or 95131(a)(3) changes after the notice is submitted to ARB, the verification body must notify ARB by submitting an updated conflict of interest self-evaluation form as soon as the change is made but at least five working days before the verification services start date. If any information submitted under section 95131(a)(1) or 95131(a)(3) changes during the verification services, the verification body must notify ARB. In either instance, the conflict of interest must be reevaluated pursuant to section 95133(f) and ARB must approve any changes in writing.
(b) Verification services shall include, but are not limited to, the following:
(1) Verification Plan. The verification team shall develop a verification plan based on the following: 
(A) Information from the reporting entity. Such information shall include:
1. Information to allow the verification team to develop a general understanding of facility or entity boundaries, operations, emissions sources, product data, and electricity or fuel transactions as applicable;
2. Information regarding the training or qualifications of personnel involved in developing the emissions data report; 
3. Description of the specific methodologies used to quantify and report greenhouse gas emissions, product data, electricity and fuel transactions, and associated data as needed to develop the verification plan;
4. Information about the data management system used to track greenhouse gas emissions, product data, electricity and fuel transactions, and associated data as needed to develop the verification plan;
5. Previous verification reports. 
(B) Timing of verification services. Such information shall include: 
1. Dates of proposed meetings and interviews with reporting facility personnel;
2. Dates of proposed site visits;
3. Types of proposed document and data reviews;
4. Expected date for completing verification services.
(2) Planning Meetings with the Reporting Entity. The verification team shall discuss with the reporting entity the scope of the verification services and request any information and documents needed for initial verification services. The verification team shall review the documents submitted and plan and conduct a review of original documents and supporting data for the emissions data report.
(3) Site Visits. At least one accredited verifier in the verification team, including the sector specialist, if applicable, shall at a minimum make one site visit, during each year full verification is required, to each facility for which an emissions data report is submitted. The verification team member(s) shall visit the headquarters or other location of central data management when the reporting entity is a retail provider, marketer, or fuel supplier. During the site visit, the verification team member(s) shall conduct the following:
(A) The verification team member(s) shall check that all sources specified in sections 95110 to 95123, and 95150 to 95157, as applicable to the reporting entity are identified appropriately.
(B) The verification team member(s) shall review and understand the data management systems used by the reporting entity to track, quantify, and report greenhouse gas emissions and, when applicable, product data, and electricity and fuel transactions. The verification team member(s) shall evaluate the uncertainty and effectiveness of these systems. 
(C) The verification team shall carry out tasks that, in the professional judgment of the team, are needed in the verification process, including the following:
1. Interviews with key personnel, such as process engineers and metering experts, as well as staff involved in compiling data and preparing the emissions data report;
2. Making direct observations of equipment for data sources and equipment supplying data for sources determined in the sampling plan to be high risk;
3. Assessing conformance with measurement accuracy, data capture, and missing data substitution requirements;
4. Reviewing financial transactions to confirm fuel, feedstock, product data and electricity purchases and sales.
(4) Review of Reporting Entity's Operations, Product Data and Emissions. The verification team shall review facility operations to identify applicable greenhouse gas emissions sources and product data. This shall include a review of the emissions inventory and each type of emission source to ensure that all sources listed in sections 95110 to 95123 and sections 95150 to 95157 of this article are properly included in the emissions data report. This shall also include a review of the product data to ensure that all product data listed in sections 95110 to 95123 and sections 95150 to 95157 of this article are included in the emissions data report as required by this article. 
(5) Other Reporting Entity Information. Reporting entities shall make available to the verification team all information and documentation used to calculate and report emissions, product data, fuels and electricity transactions, and other information required under this article, as applicable.
(6) Electricity Importers and Exporters. The verification team shall review the GHG Inventory Program documentation required pursuant to section 95105(d), electricity transaction records, including deliveries and receipts of power via North American Electric Reliability Corporation (NERC) e-Tags, written power contracts, settlements data, and any other applicable information required to confirm reported electricity procurements and deliveries. 
(7) Sampling Plan. As part of confirming emissions data, product data, electricity transactions, or fuel transactions the verification team shall develop a sampling plan that meets the following requirements:
(A) The verification team shall develop a sampling plan based on a strategic analysis developed from document reviews and interviews to assess the likely nature, scale and complexity of the verification services for a reporting entity. The analysis shall review the inputs for the development of the submitted emissions data report, the rigor and appropriateness of data management systems, and the coordination within the reporting entity's organization to manage the operation and maintenance of equipment and systems used to develop emissions data reports.
(B) The verification team shall include in the sampling plan a ranking of emissions sources by amount of contribution to total CO2 equivalent emissions for the reporting entity, and a ranking of emissions sources with the largest calculation uncertainty. The verification team shall also include in the sampling plan a ranking of the single product data components by units specified in the appropriate section of this article and a ranking of the single product data components with the largest uncertainty. As applicable and deemed appropriate by the verification team, fuel and electricity transactions shall also be ranked or evaluated relative to the amount of fuel or power exchanged and uncertainties that may apply to data provided by the reporting entity.
(C) The verification team shall include in the sampling plan a qualitative narrative of uncertainty risk assessment in the following areas as applicable under sections 95110 to 95123, 95129, and 95150 to 95157:
1. Data acquisition equipment;
2. Data sampling and frequency;
3. Data processing and tracking;
4. Emissions calculations;
5. Product data;
6. Data reporting;
7. Management policies or practices in developing emissions data reports.
(D) After completing the analyses required by sections 95131(b)(7)(A)-(C), the verification team shall include in the sampling plan a list which includes the following: 
1. Emissions sources, product data, and/or transactions that will be targeted for document reviews, and data checks as specified in 95131(b)(8), and an explanation of why they were chosen;
2. Methods used to conduct data checks for each source, product data, or transaction;
3. A summary of the information analyzed in the data checks and document reviews conducted for each emissions source, product data, or transaction targeted.
The sampling plan list must be updated and finalized prior to the completion of verification services. The final sampling plan must describe in detail how the identified risks were addressed during the verification.
(E) The verification team shall revise the sampling plan to describe tasks completed by the verification team as information becomes available and potential issues emerge with material misstatement or nonconformance with the requirements of this article.
(F) The verification body shall retain the sampling plan in paper, electronic, or other format for a period of not less than ten years following the submission of each verification statement. The sampling plan shall be made available to ARB upon request. 
(G) The verification body shall retain all material received, reviewed, or generated to render a verification statement for a reporting entity for no less than ten years. The documentation must allow for a transparent review of how a verification body reached its conclusion in the verification statement. 
(8) Data Checks. To determine the reliability of the submitted emissions data report, the verification team shall use data checks. Such data checks shall focus on the largest and most uncertain estimates of emissions, product data and fuel and electricity transactions, and shall include the following:
(A) The verification team shall use data checks to ensure that the appropriate methodologies and emission factors have been applied for the emissions sources, fuel and electricity transactions covered under sections 95110 to 95123, 95129, and 95150 to 95157;
(B) The verification team shall use data checks to ensure the accuracy of product data reported under sections 95110 to 95123, and 95150 to 95157 of this article;
(C) The verification team shall choose data checks for emissions sources, product data, and fuel and electricity transactions data, as applicable, based on their relative contributions to emissions and the associated risks of contributing to material misstatement or nonconformance, as indicated in the sampling plan;

(D) 	The verification team shall use professional judgment in the number of data checks required for the team to conclude with reasonable assurance whether the total reported emissions and product data are free of material misstatement and the emissions data report otherwise conforms to the requirements of this article. At a minimum, data checks must include the following:
1. Tracing data in the emissions data report to its origin;
2. Looking at the process for data compilation and collection;
3. Recalculating emission estimates to check original calculations; 
4. Reviewing calculation methodologies used by the reporting entity for conformance with this article; and
5. Reviewing meter and fuel analytical instrumentation measurement accuracy and calibration for consistency with the requirements of section 95103(k).
(E) As applicable, the verification team shall review the following information when conducting data checks for product data:
1. Product inventory and stock records;
2. Product sales records and contracts;
3. Onsite and offsite product delivery records;
4. Purchase and delivery records for inputs to product(s);
5. Product measurement records; and
6. Other information or documentation that provides financial or direct measurement information about total product(s) reported.
(F) The verification team shall compare its own calculated results with the reported data in order to confirm the extent and impact of any omissions and errors. Any discrepancies must be investigated. The comparison of data checks must also include a narrative to indicate which sources, product data, and transactions were checked, the types and quantity of data that were evaluated for each source, product data, and transaction, the percentage of reported emissions covered by the data checks, the percentage of product data covered by the data checks, and any separate discrepancies that were identified in emission data or product data.
(9) Emissions Data Report Modifications. As a result of data checks by the verification team and prior to completion of a verification statement(s), the reporting entity must make any possible improvements or corrections to the submitted emissions data report, and submit a revised emissions data report to ARB. The reporting entity shall maintain documentation to support any revisions made to the initial emissions data report. Documentation for all emissions data report submittals shall be retained by the reporting entity for ten years pursuant to section 95105. 
(10) Findings. To verify that the emissions data report is free of material misstatements, the verification team shall make its own determination of emissions for checked sources and product data for checked data and shall determine whether there is reasonable assurance that the emissions data report does not contain a material misstatement in GHG emissions reported for the reporting entity, on a CO2 equivalent basis and/or a material misstatement in product data for the reporting entity, using the units required by the applicable sections of this article. For product data, a material misstatement on a single product data component, except as otherwise specified in this article, will lead to an adverse product data verification statement. To assess conformance with this article the verification team shall review the methods and factors used to develop the emissions data report for adherence to the requirements of this article and ensure that other requirements of this article are met.
(11) Log of Issues. The verification team must keep a log of any issues identified in the course of verification activities that may affect determinations of material misstatement and nonconformance. The issues log must identify the regulatory section related to the nonconformance, if applicable, and indicate if the issues were corrected by the reporting entity prior to completing the verification. Any other concerns that the verification team has with the preparation of the emissions data report, including with any de minimis method calculations, must be documented in the issues log. The log of issues must indicate whether each issue has a potential bearing on material misstatement, nonconformance, or both.
(12) Material Misstatement Assessment. Assessments of material misstatement are conducted independently on total reported covered emissions and reported single product data components (units from the applicable sections of this article).
(A) In assessing whether an emissions data report contains a material misstatement, the verification team must separately determine whether the total reported covered emissions and reported single product data components contain a material misstatement using the following equation:

View Graphic
Where:
“Discrepancies” means any differences between the covered emissions/product data and verifier calculated covered emissions/product data for a data source or product data subject to data checks in section 95131(b)(8).
“Omissions” means any covered emissions or product data the verifier concludes must be part of the emissions data report, but were not included by the reporting entity in the emissions data report.
“Misreporting” means duplicate, incomplete or other covered emissions the verifier concludes should, or should not, be part of the emissions data report or duplicate or other product data the verifier concludes should not be part of the emissions data report. 
“Total reported emissions/product data” means the total annual reporting entity covered emissions or reported single product data components for which the verifier is conducting a material misstatement assessment.
(13) Review of Missing Data Substitution. If a source selected for a data check was affected by a loss of data used to calculate GHG emissions for the data year:
(A) The verification team shall confirm that the reported emissions for that source were calculated using the applicable missing data procedures, or that an approved interim data collection procedure was used for the source.
(B) The difference between the reporting entity's calculated emissions and verifier's calculated emissions for that source will be zero when assessing for material misstatement under section 95131(b)(12)(A), when the applicable missing data substitution procedures or interim data collection procedure has been correctly applied by the reporting entity; or, any relative accuracy assigned to the emissions estimate under section 95129(h)(4) has been correctly applied. 
(C) If 20 percent or less of any single data elements used to calculate emissions are missing, and emissions are correctly calculated using the missing data requirements in sections 95110 to 95123, 95129, and 95150 to 95157 these emissions will be considered accurate and as meeting the reporting requirements for that source. 
(D) If greater than 20 percent of any single data element used to calculate emissions are missing or any combination of data elements that would result in more than 5% of a facility's emissions being calculated using missing data requirements in sections 95110 to 95123, 95129, and 95150 to 95157, the verifier will note, at a minimum, a non-conformance as part of the verification statement.
(E) The verifier must note the date, time and source of any missing data substitutions discovered during the course of verification in the verification report.
(14) Review of Product Data. The verifier must confirm that data substitutions were not used for product data.
(c) Completion of verification services must include:
(1) Verification Statement. Upon completion of the verification services specified in section 95131(b), the verification body shall complete an emissions data verification statement and a product data verification statement, and provide those statements to the reporting entity and ARB by the applicable verification deadline specified in section 95103(f). Before the emissions data verification statement and product data verification statement are completed, the verification body shall have the verification services and findings of the verification team independently reviewed within the verification body by an independent reviewer who is a lead verifier not involved in services for that reporting entity during that year.
(2) Independent Review. The independent reviewer shall serve as a final check on the verification team's work to identify any significant concerns, including: 
(A) Errors in planning, 
(B) Errors in data sampling, and 
(C) Errors in judgment by the verification team that are related to the draft verification statement.
The independent reviewer must maintain independence from the verification services by not making specific recommendations about how the verification services should be conducted. The independent reviewer will review documents applicable to the verification services provided, and identify any failure to comply with requirements of this article or with the verification body's internal policies and procedures for providing verification services. The independent reviewer must concur with the verification findings before the verification statement(s) can be issued.
(3) Completion of Findings and Verification Report. The verification body is required to provide each reporting entity with the following:
(A) A detailed verification report, which shall at a minimum include:
1. A detailed description of the facility or entity including all emissions and product data sources and boundaries;
2. A detailed description of data acquisition, tracking and emission calculation/product data systems;
3. The verification plan; 
4. The detailed comparison of the data checks conducted during verification services for emissions and product data sources; 
5. The log of issues identified in the course of verification activities and their resolution; 
6. Any qualifying comments on findings during verification services; and
7. The calculation performed in section 95131(b)(12)(A) for emissions and product data. 
The verification report shall be submitted to the reporting entity at the same time as or before the final emissions data verification statement and product data verification statement are submitted to ARB. The detailed verification report shall be made available to ARB upon request.
(B) The verification team shall have a final discussion with the reporting entity explaining its findings, and notify the reporting entity of any unresolved issues noted in the issues log before the verification statement(s) are finalized.
(C) The verification body shall provide the verification statement(s) to the reporting entity and the ARB, attesting whether the verification body has found the submitted emissions data report to be free of material misstatements, and whether the emissions data report is in conformance with the requirements of this article. For every qualified positive verification statement, the verification body shall explain the non-conformances contained within the emissions data report and shall cite the section(s) in this article that corresponds to the non-conformance and why the non-conformances do not result in a material misstatement. For every adverse verification statement, the verification body must explain all non-conformances and material misstatements leading to the adverse verification statement and shall cite the section(s) in this article that corresponds to the non-conformance(s) and material misstatements. 
(D) The lead verifier in the verification team shall attest that the verification team has carried out all verification services as required by this article, and the lead verifier who has conducted the independent review of verification services and findings shall attest to his or her independent review on behalf of the verification body and his or her concurrence with the verification findings.
1. The lead verifier must attest in the verification statement, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California that the verification team has carried out all verification services as required by this article.”
2. The lead verifier independent reviewer who has conducted the independent review of verification services and findings must attest in the verification statement, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California that I have conducted an independent review of the verification services and findings on behalf of the verification body as required by this article and that the findings are true, accurate, and complete.” 
(4) Adverse Verification Statement and Petition Process. Prior to the verification body providing an adverse verification statement for emissions or product data, or both, to ARB, the verification body shall notify the reporting entity and the reporting entity shall be provided at least ten working days to modify the emissions data report to correct any material misstatements or nonconformance found by the verification team. The verification body must also provide notice to ARB of the potential for an adverse verification statement(s) at the same time it notifies the reporting entity. The modified report and verification statement(s) must be submitted to ARB before the applicable verification deadline, unless the reporting entity makes a request to the Executive Officer as provided below in section 95131(c)(4)(A). 
(A) If the reporting entity and the verification body cannot reach agreement on modifications to the emissions data report that result in a positive verification statement or qualified positive verification statement for the emissions or product data because of a disagreement on the requirements of this article, the reporting entity may petition the ARB Executive Officer before the verification deadline and before the verification statement is submitted to make a final decision as to the verifiability of the submitted emissions data report. The reporting entity may petition either emissions or product data, or both. At the same time that the reporting entity petitions the Executive Officer, the reporting entity must submit all information it believes is necessary for the ARB Executive Officer to make a final decision. 
(B) The Executive Officer shall make a final decision no later than October 10 following the submission of a petition pursuant to section 95131(c)(4)(A). If at any point ARB requests information from the verification body or the reporting entity, the information must be submitted to ARB within five working days. ARB will notify both the reporting entity and the verification body of its determination, which may also include an assigned emissions level calculated pursuant to section 95131(c)(5), if applicable. 
(5) Assigned Emissions Level. When a reporting entity fails to receive a verification statement for a data year by the applicable deadline or receives an adverse emissions data verification statement, the Executive Officer shall develop an assigned emissions level for the data year for the reporting entity. Within five working days of a written request by the Executive Officer, the verification body (if applicable) shall provide any available verification services information or correspondence related to the emissions data. Within five working days of a request by the Executive Officer, the reporting entity shall provide the data that is required to calculate GHG emissions for the entity according to the requirements of this article, the preliminary or final detailed verification report prepared by the verification body (if applicable), and other information requested by the Executive Officer, including the operating days and hours of the reporting entity during the data year. The reporting entity shall also make available personnel who can assist the Executive Officer's determination of an assigned emissions level for the data year.
(A) In preparing the assigned emissions level for the reporting entity, the Executive Officer shall consider at a minimum the following information: 
1. The number, types and days and hours of operation of the sources operated by the reporting entity for the emissions data year;
2. Any previous emissions data reports submitted by the reporting entity and verification statements rendered for those reports;
3. The potential maximum fuel and process material input and output capacities for the reporting entity's emissions sources during operating hours;
4. For electric power entities, wholesale and retail transactions that would affect an assigned emissions level, for the applicable data year and for previous years;
5. Emissions, electricity transactions, fuel use, or product output information reported to ARB or other State, federal, or local agencies.
(B) In preparing the assigned emissions level for the reporting entity, the Executive Officer may use the following methods, as applicable:
1. The sector specific calculation methodologies in this article;
2. In the event of missing data, the Executive Officer will rely on the missing data provisions of this article; and
3. Any information reported under this article for this data year and past years.
(C) The Executive Officer shall assign the emissions level for the reporting entity using the best information available, including the information in section 95131(c)(5)(A) and methods in section 95131(c)(5)(B), as applicable. The Executive Officer shall include an assigned emissions level in the decision made pursuant to section 95131(c)(4)(B), if applicable. 
(d) Upon provision of the verification statement, or statements, if applicable, to ARB, the emissions data report shall be considered final. No changes shall be made to the report as submitted to ARB, notwithstanding the requirements of 40 CFR §98.3(h), and all verification requirements of this article shall be considered complete except in the circumstance specified in section 95131(e).
(e) If the Executive Officer finds a high level of conflict of interest existed between a verification body and a reporting entity, or an emissions data report that received a positive or qualified positive verification statement fails an ARB audit, the Executive Officer may set aside the positive or qualified positive verification statement issued by the verification body, and require the reporting entity to have the emissions data report re-verified by a different verification body within 90 days. This paragraph applies to verification statements for emissions and product data.
(f) Upon request by the Executive Officer, the reporting entity shall provide the data used to generate an emissions data report, including all data available to a verifier in the conduct of verification services, within 20 working days. 
(g) Upon request of the Executive Officer, the verification body shall provide ARB the full verification report given to the reporting entity, as well as the sampling plan, contracts for verification services, and any other supporting documents and calculations, within 20 working days.
(h) Upon written notification by the Executive Officer, the verification body shall make itself and its personnel available for an ARB audit.
(i) Verifying Biomass-derived Fuels. In the absence of certification of the biomass-derived fuel by an accredited certifier of biomass-derived fuels, the verification body is subject to the requirements of subarticle 4 of this article as modified below when verifying biomass-derived fuel:
(1) General biomass-derived fuel verification requirements. The following requirements apply to the biomass-derived fuel verification:
(A) Annual Verification. Biomass-derived fuel is subject to annual verification as specified in section 95103(f). 
(B) Verification Services for Biomass-derived Fuels. When a reporting entity reports that biomass-derived fuels are used, the biomass-derived fuels must be considered when providing all verification services required under section 95131(b) of this article. The verification team must:
1. Review the reporting entity's reported biomass-derived fuel emissions to ensure the biomass-derived fuels are properly listed in the emissions data report as required in section 95103(j) of this article and sections 95852.1 and 95852.2 of the cap-and-trade regulation.
2. Conduct separate data checks that are consistent with the requirements in 95131(i)(2)(D) for the fuel type being verified using the following documentation, as appropriate: the invoice, nomination, scheduling, storage, in-kind fuel purchase, allocation, transportation and balancing reports or other documents used as evidence of the fuel delivery. 
a. The reporting entity may arrange for the documentation to be supplied directly to the verifier if there are confidentiality issues that would prevent these documents from being made available to the reporting entity.
(C) Completion of Verification Services for Biomass-derived Fuels.
1. All information used for the verification of biomass-derived fuels must be included in the independent review as required in section 93131(c)(2) of this article.
2. Conformance for biomass-derived fuels is evaluated against the requirements of this article and sections 95852.1.1 and 95852.2 of the cap-and-trade regulation.
3. Carbon dioxide emissions from biomass-derived fuels are included in the reporting entity's overall evaluation for material misstatement. Any fuel that does not conform with sections 95852.1.1 and 95852.2 of the cap-and-trade regulation and its emissions are not listed as non-exempt biomass-derived CO2 will be considered an omission when evaluating for material misstatement under section 95131(b)(12)(A) of this article.
(2) Specific biomass-derived fuel verification requirements.
(A) For urban, agricultural and forest derived wood and wood waste, the verifier must determine the reporting entity met the requirements of section 95103(j).
(B) For biodiesel and fuel ethanol, the verifier must determine the reporting entity met the requirements of section 95103(j) and the following requirements:
1. At combustion sources that purchase biomass-derived fuels, verify records to demonstrate that volume purchased equals or exceeds volume reported.
2. At combustion sources that produce their own fuel, verify:
a. that raw material is sufficient to produce the quantity of fuel reported;
b. that the facility has the ability to produce the biomass-derived fuel reported;
c. that the emissions from the fuel are accurately reported and do not lead to the underreporting of fossil fuel emissions.
(C) For municipal solid waste and tires, the verifier must determine the reporting entity met the requirements of section 95103(j).
(D) For biomethane and biogas, the verifier must:
1. Examine all nomination, invoice, scheduling, allocation, transportation, storage, in-kind fuel purchase and balancing reports from the producer to the reporting entity and have reasonable assurance that the reporting entity is receiving the identified fuel; 
2. Determine a contract is in place for the purchase of biogas or biomethane that meets all requirements of sections 95852.1.1 and 95852.2 of the cap-and-trade regulation and that no fossil-derived fuel is used to supplement the biomass-derived fuel deliveries except for documented fuel purchases to avoid loss of metered volumes in connection with the transportation of the biomethane to the reporting entity;
3. Ensure any discrepancies in the fuel volumes, heat values and/or energies will be carried over into the evaluation of material misstatement for the reporting entity;
(3) Assessment. If the reporting entity is unable to demonstrate that the biomass-derived fuel is consistent with the requirements in sections 95852.1.1 and 95852.2 of the cap-and-trade regulation, the emission data report must be revised to list these biomass CO2 emissions as non-exempt biomass-derived CO2.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95132. Accreditation Requirements for Verification Bodies, Lead Verifiers, and Verifiers of Emissions Data Reports and Offset Project Data Reports.
Note     •     History

(a) The accreditation requirements specified in this subarticle shall apply to all verification bodies, lead verifiers, and verifiers that wish to provide verification services under this article and under the cap-and-trade regulation.
(b) The Executive Officer may issue accreditation to verification bodies, lead verifiers, and verifiers that meet the requirements specified in this section.
(1) Verification Body Accreditation Application. To apply for accreditation as a verification body, the applicant shall submit the following information to the Executive Officer:
(A) A list of all verification staff and a description of their duties and qualifications, including ARB accredited verifiers on staff. The applicant shall demonstrate staff qualifications by listing each individual's education, experience, professional licenses, and other pertinent information.
1. A verification body shall have and retain at least two verifiers that have been accredited as lead verifiers, as specified in section 95132(b)(2);
2. A verification body shall have and retain at least five total full-time staff.
(B) The applicant shall provide a list of any judicial proceedings, enforcement actions, or administrative actions filed against the body within the previous 5 years, with an explanation as to the nature of the proceedings.
(C) The applicant shall provide documentation that the proposed verification body maintains a minimum of four million U.S. dollars of professional liability insurance and must maintain this insurance for three years after completing verification services.
(D) The applicant shall provide a demonstration that the body has policies and mechanisms in place to prevent conflicts of interest and to identify and resolve potential conflict of interest situations if they arise. The applicant shall provide the following information:
1. Identification of services provided by the verification body, the industries that the body serves, and the locations where those services are provided;
2. A detailed organizational chart that includes the verification body, its management structure, and any related entities;
3. The verification body's internal conflict of interest policy that identifies activities and limits to monetary or non-monetary gifts that apply to all employees. 
(E) The applicant shall provide a demonstration that the body has procedures or policies to support staff technical training as it relates to verification. This training shall include participating in ARB verifier training on an ongoing basis.
(F) The verification body shall notify ARB within 30 days of when it no longer meets the requirements for accreditation as a verification body in section 95132(b)(1). The verification body may request that the Executive Officer provide an additional time to hire additional staff to meet the requirements of this section.
(G) If the applicant is a California air pollution control district or air quality management district, the requirements of section 95132(b)(1)(A)(2) and 95132(b)(1)(B)-(D) do not apply, except that the applicant shall provide a demonstration that the district has policies and mechanisms in place to prevent conflicts of interest and resolve potential conflict of interest situations if they arise.
(2) Lead Verifier Accreditation Application. To apply for accreditation as a lead verifier, the applicant shall submit documentation to the Executive Officer that provides the evidence specified in section 95132(b)(2)(A), and section 95132(b)(2)(B), or (C):
(A) Evidence that the applicant meets the criteria in 95132(b)(3); and,
(B) Evidence that the applicant has been an ARB accredited verifier for two continuous years and has worked as a verifier in at least three completed verifications under the supervision of an ARB accredited lead verifier, with evidence of favorable assessment by ARB for services performed; or, 
(C) Evidence that at the time of the verification training examination, the applicant has worked as a project manager or lead person for not less than four years, of which two may be graduate level work:
1. In the development of GHG or other air emissions inventories; or,
2. As a lead environmental data or financial auditor in the private sector. 
(3) Verifier Accreditation Application. To apply for accreditation as a verifier, the applicant shall submit the following documentation to the Executive Officer:
(A) Evidence demonstrating the minimum education background required to act as a verifier for ARB. Minimum education background means that the applicant has either:
1. A bachelors level college degree or equivalent in science, technology, business, statistics, mathematics, environmental policy, economics, or financial auditing; or 
2. Evidence demonstrating the completion of significant and relevant work experience or other personal development activities that have provided the applicant with the communication, technical and analytical skills necessary to conduct verification.
(B) Evidence demonstrating sufficient workplace experience to act as a verifier, including evidence that the applicant has a minimum of two years of fulltime work experience in a professional role involved in emissions data management, emissions technology, emissions inventories, environmental auditing, or other technical skills necessary to conduct verification.
(4) The applicant must take an ARB approved general verification training and receive a passing score of greater than an unweighted 70% on an exit examination. If the applicant does not pass the exam after the training, they may retake the exam a second time. Only one retake of the examination is allowed before the applicant is required to retake the ARB approved general verification training course. Training under the previous version of the regulation does not qualify an applicant to retake an exam under this version without first taking the training for this revised regulation.
(5) Sector Specific and Offset Project Specific Verifiers. 
(A) Sector Specific Verifier. The applicant seeking to be accredited as a sector specific verifier as specified in section 95131(a)(2) must, in addition to meeting the requirements for accredited lead verifier or verifier qualification, have at least two years of professional experience related to the sector in which they are seeking accreditation, take ARB sector specific verification training and receive a passing score of greater than an unweighted 70% on an exit examination. If the applicant does not pass the exam after the training, they may retake the exam a second time. Only one retake of the examination is allowed before the applicant is required to retake the ARB approved sector specific verification training.
(B) Offset Project Specific Verifier. The applicant seeking to be accredited as an offset project specific verifier as specified in section 95977(e)(4)(A)(iii) of the cap-and-trade regulation must, in addition to meeting the requirements for accredited lead verifier or verifier qualification, meet one of the following requirements:
1. Have at least two years of professional experience related to developing emission inventories, conducting technical analyses, or environmental audits of the offset project type, and take general ARB offset verification training and ARB offset project specific verification training for an offset project type, and receive a passing score of greater than an unweighted 70% on an exit examination. If the applicant does not pass the exam after the training, they may retake the exam a second time. Only one retake of the examination is allowed before the applicant is required to retake the applicable ARB-approved offset verification training; or,
2. Be a verifier in good standing for the Climate Action Reserve prior to October 28, 2011, taken Climate Action Reserve project specific verifier training, have performed at least two project verifications for a project type by October 28, 2011, and have taken general ARB offset verification training, and receive a passing score of greater than an unweighted 70% on an exit examination. If the applicant does not pass the exam after the training, they may retake the exam a second time. Only one retake of the examination is allowed before the applicant is required to retake the ARB approved general ARB offset verification training and offset project specific verification training.
(6) Nothing in this section shall be construed as preventing the Executive Officer from requesting additional information or documentation from an applicant after receipt of the application for accreditation as a verification body, lead verifier, or verifier, or from seeking additional information from other persons or entities regarding the applicant's fitness for qualification.
(c) ARB Accreditation.
(1) Within 90 days of receiving an application for accreditation as a verification body, lead verifier, verifier, sector specific verifier, or offset project verifier, the Executive Officer shall inform the applicant in writing either that the application is complete or that additional specific information is required to make the application complete. 
(2) Upon a finding by the Executive Officer that an application for accreditation as a verification body, verifier, lead verifier, sector specific verifier, or offset project verifier is complete, meets all applicable regulatory requirements, and passes a performance review as defined in section 95102(a), the prescreening requirement is met and the applicant will be eligible to attend the verification training required by this section.
(3) Within 45 days following completion of the application process and all applicable training and examination requirements, the Executive Officer shall act to issue an Executive Order to grant or withhold accreditation for the verification body, lead verifier, sector specific verifier, offset project verifier or verifier.
(4) The Executive Order for accreditation is valid for a period of three years, whereupon the applicant may re-apply for accreditation as a verifier, lead verifier, sector specific verifier, offset project verifier, or verification body if the applicant has not been subject to ARB enforcement action under this article. All ARB approved general, sector specific, or offset project specific verification training and examination requirements applicable at the time of re-application must be met for accreditation to be renewed by the Executive Officer. In addition, the performance review requirement set forth in section 95132(c)(2) must be met for accreditation to be renewed by the Executive Officer.
(5) All verification body requirements in section 95132(b)(1) must be met for the Executive Officer to renew the verification body accreditation. 
(6) The Executive Officer and the applicant may mutually agree to longer time periods than those specified in subsections 95132(c)(1) or 95132(c)(3), and the applicant may submit additional supporting documentation before a decision has been made by the Executive Officer. 
(7) Within 15 working days of being notified of any corrective action in another voluntary or mandatory GHG program, an ARB accredited verification body, lead verifier, sector specific verifier, offset project verifier, or verifier shall provide written notice to the Executive Officer of the corrective action. That notification shall include reasons for the corrective action and the type of corrective action. The verification body or verifier must provide additional information to the Executive Officer upon request. 
(8) Verifiers shall take ARB approved training to continue to provide verification services after January 1, 2012. The verifier must receive a passing score of greater than an unweighted 70% on the exit examination.
(d) Modification, Suspension, or Revocation of an Executive Order Approving a Verification Body, Lead Verifier, or Verifier. The Executive Officer may review and, for good cause, including any violation of subarticle 4 of this article or any similar action in an analogous GHG system, modify, suspend, or revoke an Executive Order providing accreditation to a verification body, lead verifier, or verifier. The Executive Officer shall not revoke an Executive Order without affording the verification body, lead verifier, or verifier the opportunity for a hearing in accordance with the procedures specified in title 17, California Code of Regulations, section 60055.1 et seq. 
(1) During suspension or revocation proceedings, the verification body, lead verifier, or verifier may not continue to provide verification services.
(2) Within five working days of suspension or revocation of accreditation, a verification body must notify all reporting entities, offset project operators, or authorized project designees for whom it is providing verification services, or has provided verification services within the past 6 months of its suspension or revocation of accreditation.
(3) A reporting entity, offset project operator, or authorized project designee who has been notified by a verification body of a suspended or revoked accreditation must contract with a new verification body for verification services.

(e) 	Subcontracting. The following requirements shall apply to any verification body that elects to subcontract a portion of verification services.

(1) 	All subcontractors must be accredited by ARB to perform the verification services for which the subcontractor has been engaged by the verification body. 

(2) 	The verification body must assume full responsibility for verification services performed by subcontractor verifiers. 

(3) 	A verification body shall not use subcontractors to meet the minimum staff total or lead verifier requirements as specified in section 95132(b)(1)(A)1. and section 95132(b)(1)(A)2.
(4) A verifier acting as a subcontractor to another verification body shall not further subcontract or outsource verification services for a reporting entity.

(5) 	A verification body that engages a subcontractor shall be responsible for demonstrating an acceptable level of conflict of interest, as provided in section 95133, between its subcontractor and the reporting entity for which it will provide verification services. 
(6) A verification body may not use a subcontractor as the independent reviewer.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section heading, section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95133. Conflict of Interest Requirements for Verification Bodies.
Note     •     History

(a) The conflict of interest provisions of this section shall apply to verification bodies, lead verifiers, and verifiers accredited by ARB to perform verification services for reporting entities.
(b) The potential for a conflict of interest must be deemed to be high where:
(1) The verification body and reporting entity share any management staff or board of directors membership, or any of the senior management staff of the reporting entity have been employed by the verification body, or vice versa, within the previous three years; or 
(2) Within the previous five years, any staff member of the verification body or any related entity has provided to the reporting entity any of the following non-verification services: 
(A) Designing, developing, implementing, reviewing, or maintaining an inventory or information or data management system for facility air emissions, or, where applicable, electricity or fuel transactions, unless the review was part of providing greenhouse gas verification services;
(B) Developing greenhouse gas emission factors or other greenhouse gas-related engineering analysis, including developing or reviewing a California Environmental Quality Act (CEQA) greenhouse gas analysis that includes facility specific information;
(C) Designing energy efficiency, renewable power, or other projects which explicitly identify greenhouse gas reductions as a benefit;
(D) Designing, developing, implementing, conducting an internal audit, consulting, or maintaining a GHG emissions reduction or GHG removal offset project as defined in the cap-and-trade regulation;
(E) Owning, buying, selling, trading, or retiring shares, stocks, or emissions reduction credits from an offset project that was developed by or resulting reduction credits are owned by the reporting entity;
(F) Dealing in or being a promoter of credits on behalf of an offset project operator or authorized project designee where the credits are owned by or the offset project was developed by the reporting entity;
(G) Preparing or producing greenhouse gas-related manuals, handbooks, or procedures specifically for the reporting entity;
(H) Appraisal services of carbon or greenhouse gas liabilities or assets;
(I) Brokering in, advising on, or assisting in any way in carbon or greenhouse gas-related markets; 
(J) Directly managing any health, environment or safety functions for the reporting entity; 
(K) Bookkeeping or other services related to accounting records or financial statements; 
(L) Any service related to information systems, including ISO 14001 certification, unless those systems will not be part of the verification process; 
(M) Appraisal and valuation services, both tangible and intangible;
(N) Fairness opinions and contribution-in-kind reports in which the verification body has provided its opinion on the adequacy of consideration in a transaction, unless the resulting services will not be part of the verification process; 
(O) Any actuarially oriented advisory service involving the determination of amounts recorded in financial statements and related accounts; 
(P) Any internal audit service that has been outsourced by the reporting entity or offset project operator that relates to the reporting entity's internal accounting controls, financial systems or financial statements, unless the result of those services will not be part of the verification process; 
(Q) Acting as a broker-dealer (registered or unregistered), promoter or underwriter on behalf of the reporting entity; 
(R) Any legal services; 
(S) Expert services to the reporting entity or a legal representative for the purpose of advocating the reporting entity's interests in litigation or in a regulatory or administrative proceeding or investigation.
“Member” for the purposes of this section means any employee or subcontractor of the verification body or related entities of the verification body. “Member” also includes any individual with majority equity share in the verification body or its related entities. “Related entity” for the purposes of this section means any direct parent company, direct subsidiary, or sister company. 
(3) The potential for conflict of interest shall be deemed to be high when any staff member of the verification body provides any type of non-monetary incentive to a reporting entity to secure a verification services contract.
(4) The potential for a conflict of interest shall also be deemed to be high where any staff member of the verification body has provided verification services for the reporting entity except within the time periods in which the reporting entity is allowed to use the same verification body as specified in section 95130(a).
(c) The potential for a conflict of interest shall be deemed to be low where no potential for a conflict of interest is found under section 95133(b) and any non-verification services provided by any member of the verification body to the reporting entity within the last five years are valued at less than 20 percent of the fee for the proposed verification.
(d) The potential for a conflict of interest shall be deemed to be medium where the potential for a conflict of interest is not deemed to be either high or low as specified in sections 95133(b) and 95133(c). The potential for conflict of interest will also be deemed to be medium where there are any instances of personal or familial relationships between the members of the verification body and management or staff of the reporting entity, and when a conflict of interest self-evaluation is submitted pursuant to section 95133(h).
(1) If a verification body identifies a medium potential for conflict of interest and intends to provide verification services for the reporting entity, the verification body shall submit, in addition to the submittal requirements specified in section 95133(e), a plan to avoid, neutralize, or mitigate the potential conflict of interest situation. At a minimum, the conflict of interest mitigation plan shall include:
(A) A demonstration that any individuals with potential conflicts have been removed and insulated from the project.
(B) An explanation of any changes to the organizational structure or verification body to remove the potential conflict of interest. A demonstration that any unit with potential conflicts has been divested or moved into an independent entity or any subcontractor with potential conflicts has been removed.
(C) Any other circumstance that specifically addresses other sources for potential conflict of interest.
(2) As provided in section 95133(f)(4), the Executive Officer shall evaluate the conflict of interest mitigation plan and determine whether verification services may proceed.
(e) Conflict of Interest Submittal Requirements for Accredited Verification Bodies. 
(1) Before the start of any work related to providing verification services to a reporting entity, a verification body must first be authorized in writing by the Executive Officer to provide verification services. To obtain authorization the verification body shall submit to the Executive Officer a self-evaluation of the potential for any conflict of interest that the body, its partners, or any subcontractors performing verification services may have with the reporting entity for which it will perform verification services. The submittal shall include the following:
(A) Identification of whether the potential for conflict of interest is high, low, or medium based on factors specified in sections 95133(b), (c), and (d);
(B) Identification of whether the verification body or any member of the verification team has previously provided verification services for the reporting entity and, if so, the years in which such verification services were provided;
(C) Identification of whether any member of the verification team or related entity has engaged in any non-verification services of any nature with the reporting entity either within or outside California during the previous three years. If non-verification services have previously been provided, the following information shall also be submitted:
1. Identification of the nature and location of the work performed for the reporting entity and whether the work is similar to the type of work to be performed during verification, such as emissions inventory, auditing, energy efficiency, renewable energy, or other work with implications for the reporting entity's greenhouse gas emissions or the accounting of greenhouse gas emissions or electricity or fuel transactions;
2. The nature of past, present or future relationships with the reporting entity including:
a. Instances when any member of the verification team has performed or intends to perform work for the reporting entity;
b. Identification of whether work is currently being performed for the reporting entity, and if so, the nature of the work;
c. How much work was performed for the reporting entity in the last three years, in dollars;
d. Whether any member of the verification team has any contracts or other arrangements to perform work for the reporting entity or a related entity;
e. How much work related to greenhouse gases or electricity transactions the verification team has performed for the reporting entity or related entities in the last three years, in dollars.
3. Explanation of how the amount and nature of work previously performed is such that any member of the verification team's credibility and lack of bias should not be under question.
(D) A list of names of the staff that would perform verification services for the reporting entity, and a description of any instances of personal or family relationships with management or employees of the reporting entity that potentially represent a conflict of interest; and,
(E) Identification of any other circumstances known to the verification body, or reporting entity that could result in a conflict of interest.
(F) Attest, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California the information provided in the Conflict of Interest submittal is true, accurate, and complete.”
(f) Conflict of Interest Determinations. The Executive Officer must review the self-evaluation submitted by the verification body and determine whether the verification body is authorized to perform verification services for the reporting entity.
(1) The Executive Officer shall notify the verification body in writing when the conflict of interest evaluation information submitted under section 95132(e) is deemed complete. Within 30 working days of deeming the information complete, the Executive Officer shall determine whether the verification body is authorized to proceed with verification and must so notify the verification body.
(2) If the Executive Officer determines the verification body or any member of the verification team meets the criteria specified in section 95133(b), the Executive Officer shall find a high potential conflict of interest and verification services may not proceed.
(3) If the Executive Officer determines that there is a low potential conflict of interest, verification services may proceed.
(4) If the Executive Officer determines that the verification body and verification team have a medium potential for a conflict of interest, the Executive Officer shall evaluate the conflict of interest mitigation plan submitted pursuant to sections 95133(d), and may request additional information from the applicant to complete the determination. In determining whether verification services may proceed, the Executive Officer may consider factors including, but not limited to, the nature of previous work performed, the current and past relationships between the verification body and its subcontractors with the reporting entity, and the cost of the verification services to be performed. If the Executive Officer determines that these factors when considered in combination demonstrate an acceptable level of potential conflict of interest, the Executive Officer will authorize the verification body to provide verification services. 
(g) Monitoring Conflict of Interest Situations.
(1) After commencement of verification services, the verification body shall monitor and immediately make full disclosure in writing to the Executive Officer regarding any potential for a conflict of interest situation that arises. This disclosure shall include a description of actions that the verification body has taken or proposes to take to avoid, neutralize, or mitigate the potential for a conflict of interest.

(2) 	The verification body shall continue to monitor arrangements or relationships that may be present for a period of one year after the completion of verification services. During that period, within 30 days of the verification body or any verification team member entering into any contract with the reporting entity for which the body has provided verification services, the verification body shall notify the Executive Officer of the contract and the nature of the work to be performed. The Executive Officer, within 30 working days, will determine the level or conflict using the criteria in section 95133(a)-(d), if the reporting entity must reverify their emissions data report, and if accreditation revocation is warranted.
(3) The verification body shall notify the Executive Office, within 30 days, of any emerging conflicts of interest during the time verification services are being provided. 
(A) If the Executive Officer determines that a disclosed emerging potential conflict is medium risk and this risk can be mitigated, the verification body is deemed to have met the conflict of interest requirements to continue to provide verification services to the reporting entity and will not be subject to suspension or revocation of accreditation as specified in section 95132(d).
(B) If the Executive Officer determines that a disclosed emerging potential conflict is medium or high risk and this risk cannot be mitigated, the verification body will not be able to continue to provide verification services to the reporting entity, and may be subject to suspension or revocation of accreditation under section 95132(d).
(4) The verification body shall report to the Executive Officer any changes in its organizational structure, including mergers, acquisitions, or divestitures, for one year after completion of verification services.
(5) The Executive Officer may invalidate a verification finding if a potential conflict of interest has arisen for any member of the verification team. In such a case, the reporting entity shall be provided 90 days to complete re-verification. 
(6) If the verification body or its subcontractor(s) are found to have violated the conflict of interest requirements of this article, the Executive Officer may rescind accreditation of the body, its verifier staff, or its subcontractor(s) as provided in section 95132(d).
(h) Specific Requirements for Air Quality Management Districts and Air Pollution Control Districts.
(1) If an air district has provided or is providing any services listed in section 95133(b)(2) as part of its regulatory duties, those services do not constitute non-verification services or a potential for high conflict of interest for purposes of this subarticle;
(2) Before providing verification services, an air district shall either submit a conflict of interest self-evaluation pursuant to section 95133(e) for each reporting entity for which it intends to provide verification services, or shall submit an annual self-evaluation to ARB no later than April 10 of each calendar year containing the information specified in section 95133(e)(1)(A)-(F) for all reporting entities for which it intends to provide verification services;
(3) As part of its conflict of interest self-evaluation submittal under section 95133(e), the air district shall certify that it will prevent conflicts of interests and resolve potential conflict of interest situations pursuant to its policies and mechanisms submitted under section 95132(b)(1)(G);
(4) If an air district hires a subcontractor who is not an air district employee to provide verification services, the air district shall be subject to all of the requirements of section 95133.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code. 
HISTORY

1. New section filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Amendment of section and Note filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).

APPENDIX A [Repealed]

ARB COMPENDIUM OF EMISSION FACTORS AND 
METHODS TO SUPPORT MANDATORY REPORTING OF GREENHOUSE GAS EMISSIONS
HISTORY

1. New Appendix A filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Repealer filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
3. Editorial correction implementing repeal of Appendix A and adding History 2 (Register 2012, No. 11).
Subarticle 5. Reporting Requirements and Calculation Methods for Petroleum and Natural Gas Systems
§95150. Definition of the Source Category.
Note     •     History

(a) This source category consists of the industry segments specified in 40 CFR §98.230(a)(1) through (a)(8) with the following additional source types: 
(1) The onshore natural gas processing segment includes boosting stations;
(2) The onshore natural gas transmission compression segment includes boosting stations.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New subarticle 5 (sections 95150-95157) and section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95151. Reporting Threshold and Reporting Entity.
Note     •     History

(a) The operator of a facility with one or more source categories in section 95150 who is required to report under section 95101 of this article, and who is not eligible for abbreviated reporting under section 95103(a), must comply with this subarticle in reporting GHG emissions from petroleum and natural gas systems to ARB. 
(b) In determining whether a facility in section 95150 meets the reporting threshold defined in section 95101(e), the operator must include combustion emissions from portable equipment that cannot move on roadways under its own power and drive train and that is stationed at a wellhead, including drilling rigs, dehydrators, compressors, electrical generators, steam boilers, and heaters. Natural gas processing facilities must also include owned or operated residue gas compression equipment.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95152. GHGs to Report.
Note     •     History

(a) The operator must monitor, calculate and report CO2, CH4, and N2O emissions as applicable from each source type specified in paragraphs (b) through (k) of this section, according to the requirements of sections 95153 through 95156.
(b) For offshore petroleum and natural gas production, the operator must report emissions from all “stationary fugitive” and “stationary vented” sources as specified in 40 CFR §98.232(b).
(c) For onshore petroleum and natural gas production, the operator must report emissions from the source types specified in 40 CFR §98.232(c)(1)-(17) and (19)-(22), and additional applicable source types for which methods are specified in section 95153. Additional data must be reported in aggregated and disaggregated form as specified in section 95156(a)-(b). 
(d) For onshore natural gas processing, the operator must report emissions from the sources identified in 40 CFR §98.232(d). 
(e) For onshore natural gas transmission compression, the operator must report emissions the sources identified in 40 CFR §98.232(e), and natural gas driven pneumatic pump venting. 
(f) For underground natural gas storage, the operator must report emissions from the sources identified in 40 CFR §98.232(f), and natural gas driven pneumatic pump venting. Additional data must be reported as specified in section 95156(c). 
(g) For liquefied natural gas (LNG) storage, the operator must report emissions from the sources identified in 40 CFR §98.232(g). 
(h) For LNG import and export equipment, the operator must report emissions from the sources identified in 40 CFR §98.232(h). 
(i) For natural gas distribution, the operator must report emissions from the sources identified in 40 CFR §98.232(i), 
(j) The operator in all applicable industry segments must report the CO2, CH4, and N2O emissions from each flare. 
(k) The operator must report emissions of CO2, CH4, and N2O from each stationary fuel combustion unit by following the requirements of section 95115 of this article.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95153. Calculating GHG Emissions.
Note     •     History

The operator who is a local distribution company reporting under section 95122 of this article must comply with 40 CFR §98.233 in reporting emissions from the applicable source types in section 95152(e)-(i) of this article. Other operators must comply with 40 CFR §98.233 in reporting applicable emissions by source type, except as otherwise provided in this section.
(a) Natural Gas Pneumatic High Bleed Device and Pneumatic Pump Venting. The operator who is subject to the requirements of 40 CFR §98.233(a) and (c) must calculate emissions from natural gas high bleed flow control device and pneumatic pump venting using the method specified in paragraph (a)(1) below when the device or pump is metered. By January 1, 2015, natural gas consumption must be metered for all of the operator's pneumatic high bleed devices and pneumatic pumps. For the purposes of this reporting requirement, high bleed devices are defined as all natural gas powered devices (both intermittent and continuous bleed devices) which bleed at a rate greater than 6 scf/hr. For unmetered devices the operator must use the method specified in 40 CFR §98.233(a) and (c) as applicable. Vented emissions from natural gas driven pneumatic pumps covered in paragraph (d) of this section do not have to be reported under paragraph (a) of this section.
(1) The operator must calculate vented emissions for all metered pneumatic high bleed devices and pneumatic pumps using the following equation:

View Graphic
Where:
Em = Annual natural gas emissions at standard conditions, in cubic feet for all pneumatic high bleed devices and pneumatic pumps where gas is metered.
n = Total number of meters.
Bn = Natural gas consumption for meter n.
(2) For both metered and unmetered devices and pumps, CH4 and CO2 volumetric and mass emissions must be calculated from volumetric natural gas emissions using calculations in paragraphs (s) and (t) of this section.
(b) Natural Gas Pneumatic Low Bleed Device Venting. The operator must calculate CH4 and CO2 emissions from natural gas pneumatic low bleed devices using either the method specified in paragraph (a)(1) of this section or the method specified in 40 CFR §98.233(a). For the purposes of this reporting requirement, low bleed devices are defined as all natural gas powered devices (both intermittent and continuous bleed devices) which bleed at a rate less than or equal to 6 scf/hr. 
(1) CH4 and CO2 volumetric and mass emissions must be calculated from volumetric natural gas emissions using calculations in paragraphs (s) and (t) of this section.
(c) Acid Gas Removal (AGR) Vent Stacks. The operator who is subject to the reporting requirements of 40 CFR §98.233(d) for AGR vents must use the applicable Calculation Methodology 1, 2, or 3 in 40 CFR §98.233(d). The operator who uses Calculation Methodology 3 must also use the methodology in paragraph (c)(1) below.:
(1) To measure natural gas volume into the AGR unit, the operator must use the following formula:

Ea,CO2 = VIN(VolIN -  VolOUT)
Where:
Ea,CO2 = Annual volumetric CO2 emissions at actual conditions, in cubic feet per year.
VIN = Total annual volume of natural gas flow into the AGR unit in cubic feet per year at actual conditions using methods specified in paragraph (c)(2) of this section.
VolIN = Volume fraction of CO2 content in natural gas into the AGR unit as determined in 40 CFR §98.233(d)(7).
VolOUT = Volume fraction of CO2 content in natural gas out of the AGR unit as determined in 40 CFR §98.233(d)(8).
(2) If the operator measures natural gas volume out of the AGR, the operator must use the following formula:

Ea,CO2 = [VOUT/1 - (VolIN - VolOUT)](VolIN - VolOUT)
Where:
Ea,CO2 = Annual volumetric CO2 emissions at actual conditions, in cubic feet per year.
VOUT = Total annual volume of natural gas flow out of AGR unit in cubic feet per year at actual conditions using methods specified in paragraph (c)(2) of this section.
VolIN = Volume fraction of CO2 content in natural gas into the AGR unit as determined in paragraph (c)(4) of this section.
VolOUT = Volume fraction of CO2 content in natural gas out of the AGR unit as determined in paragraph (c)(4) of this section.

(3) 	Record the gas flow rate of the inlet and outlet natural gas stream of an AGR unit using a meter according to methods set forth in 40 CFR §98.234(b). 

(4) 	If a continuous gas analyzer is not available on the vent stack, either install a continuous gas analyzer or take quarterly gas samples from the vent gas stream to determine VolCO2 according to methods set forth in 40 CFR §98.234(b).

(5) 	If a continuous gas analyzer is installed on the inlet gas stream, then the continuous gas analyzer results must be used. If a continuous gas analyzer is not available, either install a continuous gas analyzer or take quarterly gas samples from the inlet gas stream to determine VolIN or VolOUT according to methods set forth in 40 CFR §98.234(b).
(6) Determine volume fraction of CO2 content in natural gas out of the AGR unit using one of the methods specified in 40 CFR §98.233(d)(8).
(A) If a continuous gas analyzer is installed on the outlet gas stream, then the continuous gas analyzer results must be used. If a continuous gas analyzer is not available, the operator may install a continuous gas analyzer.
(B) If a continuous gas analyzer is not available or installed, quarterly gas samples may be taken from the outlet gas stream to determine VolO according to methods set forth in 40 CFR §98.234(b).
(7) Calculate CO2 volumetric emissions at standard conditions using calculations in paragraph (r) of this section.
(8) Mass CO2 emissions shall be calculated from volumetric CO2 emissions using calculations in paragraph (t) of this section.
(9) Determine if emissions from the AGR unit are recovered and transferred outside the facility. The operator who is required to report these transferred emissions under section 95123 of this article is not required to report CO2 transferred off-site in this section.
(d) Dehydrator Vent Stacks. The operator who is subject to the reporting requirements for dehydrator vents in 40 CFR §98.233(e) must use Calculation Methodology 1 in 40 CFR §98.233(e) and follow the requirements in 40 CFR §98.233(e)(3)-(5). The operator who uses Calculation Methodology 1 must determine the model input parameters of 40 CFR §98.233(e)(1)(i)-(xi) under normal operating conditions. Wet natural gas composition must be determined using an industry standard method. When using the methodology found in 40 CFR §98.233(e)(5) for desiccant dehydrators, the operator must use the following methodology and equation:
(1) For dehydrators that use desiccant, the operator shall calculate emissions from the amount of gas vented from the vessel every time the desiccator is depressurized for the desiccant refilling process, using the following equation. Desiccant dehydrators covered in paragraph (g) of this section do not have to report emissions under this paragraph.

ES,n = n(H * D2 * p * P2 * %G)/(4 * P1 * 1.000cf / Mcf)
Where;
ES,n = Annual natural gas emissions at standard conditions (Mcf).
n = number of dessicant refillings during the reporting period.
H = Height of the dehydrator vessel (ft).
D = Inside diameter of the vessel (ft).
P1 = Atmospheric pressure (psia)
P2 = Pressure of the gas (psia).
p = pi (3.1416).
%G = Percent of packed vessel volume that is gas (expressed as a decimal).
(2) Both CH4 and CO2 volumetric and mass emissions must be calculated from volumetric natural gas emissions using the calculations in paragraphs (s) and (t) of this section.
(e) Well Venting For Liquids Unloadings
(1) The operator who is subject to the reporting requirements of 40 CFR §98.233(f) must calculate emissions from each well venting for liquids unloading using the methods found in 40 CFR §98.233(f)(2)-(4).
(f) Gas Well Venting During Completions and Workovers.
The operator who is subject to the reporting requirements in 40 CFR §98.233(g) and/or §98.233(h) must calculate emissions for each well completion and workover using one of the following methods.
(1) Calculation Methodology 1:
(A) The operator must measure total gas flow with a recording flow meter (analog or digital) installed in the vent line.
(B) The operator must correct total gas volume vented for the volume of CO2 or N2 injected and the volume of gas recovered into a sales lines as follows:

Vcswo = VM - VCO2sN2p - SG
Where:
Vcswo = Volume of gas vented during the well completion or workover.
VM = Volume of vented gas measured during well completion or workover.
VCO2sN2 = Volume of CO2 or N2 injected during well completion or workover.
SG = Volume of gas recovered into a sales pipeline.
(C) All gas volumes must be corrected to standard temperature and pressure using methods in paragraph (r) of this section.
(D) The operator must calculate CO2 and CH4 mass emissions from gas venting using the methods found in paragraphs (r) and (s) of this section.
(2) Calculation Methodology 2:
(A) The operator must make a series of measurements of upstream pressure (P1) and downstream pressure (P2) across a choke installed in the vent line and upstream gas temperature according to methods in section 95154 during each well completion and well workover. The operator must record this data at a time interval (e.g., every five minutes) suitable to accurately describe both sonic and subsonic flow regimes. Sonic flow is defined as the flow regime where P2/P1 <UN-> 0.542. Subsonic flow is defined as the flow regime where P2/P1 > 0.542. The operator must then calculate flow rate for both sonic and subsonic flow regimes using the following equations:
1. Sonic flow regime
a. The operator must calculate average flow rate during sonic flow conditions as follows:

View Graphic
FRs = Average flow rate in cubic feet per hour under sonic flow conditions.
1.27*105 = Conversion factor from m3/second to ft3/hour.
A = Cross sectional area of the orifice (m2).
187.08. = Constant with units of m2/(sec2*K).
Tu = Upstream gas temperature (degrees Kelvin). 
b. The operator must calculate total gas volume vented during sonic flow conditions as follows:

Vs = Ts * FRs
Where:
Vs = Volume of gas vented during sonic flow conditions (scf).
Ts = Total time the specific source associated with the equipment leak emission was operational in the calendar year, in hours.
FRs = Average flow rate in cubic feet per hour under sonic flow conditions.
c. The operator must correct Vs to standard conditions using the methodology in paragraph (r) of this section.
2. Subsonic flow regime
a. The operator must calculate instantaneous gas flow rates during subsonic flow conditions as follows:

View Graphic
Where:
FRisss = Instantaneous flow rate at time Ti during subsonic flow conditions.
1.27*105 = Conversion factor from m3/second to ft3/hr.
A = Cross sectional area of the orifice (m2).
3430 = Constant with units of m2/(sec*K).
Tu = Upstream gas temperature (degrees Kelvin).
P2 = Downstream pressure (psia).
P1 = Upstream pressure (psia).
b. The operator must determine total gas volume vented during subsonic flow conditions (Vss) as the total volume under the curve of a plot of FRisss and Time (Ti) for the time period during which the well was flowing under subsonic conditions.
c. The operator must sum the vented volumes during sonic and subsonic flow and adjust emissions for the volume of CO2 or N2 injected and the volume of gas recovered into a sales lines as follows:

Vcswo = VS + VSS - VCO2sN2 - SG
Where:
Vcswo = Volume of gas vented during well completion or workover (scf).
Vs = Volume of gas vented during sonic flow conditions (scf).
Vss = Volume of gas vented during subsonic flow conditions (scf).
VCO2sN2 = Volume of CO2 or N2 injected during well completion or workover.
SG = Volume of gas recovered into a sales pipeline (scf).
d. The operator must correct all gas volumes to standard conditions using methods in paragraph (r) of this section.
e. The operator must sum emissions from all well completions and workovers and calculate CO2 and CH4 volumetric and mass emissions using the methods in paragraphs (s) and (t) of this section.
(g) Transmission storage tanks. The operator who is subject to the requirements of 40 CFR §98.233(k) must use the calculation methodologies in 40 CFR §98.233(k). 
(h) Blowdown Vent Stacks. The operator who is subject to the requirements of 40 CFR §98.233(i) must use the reporting methodologies in 40 CFR §98.233(i).
(i) Onshore Production and Processing Storage Tanks. The operator who is subject to the requirements of 40 CFR §98.233(j) must use the calculation methodologies in 40 CFR §98.233(j).
(j) Well Testing Venting and Flaring. The operator who is subject to the reporting requirements in 40 CFR §98.2333(l) must use the calculation methodologies in 40 CFR §98.233(l).
(k) Associated Gas Venting and Flaring. The operator who is subject to the reporting requirements of 40 CFR §98.233(m) must use the calculation methodology found in 40 CFR §98.233(m).
(l) Flare Stacks. The operator who is subject to the reporting requirements in 40 CFR §98.233(n) must use the calculation methodologies found in 40 CFR §98.233(n).
(m) Centrifugal Compressor Venting. 
(1) The operator must calculate CO2, CH4, and N2O (when flared) emissions from both wet seal and dry seal centrifugal compressor vents for all compressors with rated horsepower of 250hp or greater using the methodologies found in 40 CFR §98.233(o)(1)-(6) and (8)-(9).
(2) The operator must calculate CO2, CH4, and N2O (when flared) emissions for all centrifugal compressors with rated horsepower less than 250hp using the methodologies found in 40 CFR §98.233(o)(7). 
(n) Reciprocating Compressor Rod Packing Venting. The operator must calculate annual CH4, CO2, and N2O (when flared) emissions from each reciprocating compressor rod packing venting for each applicable operational mode for all compressors with a rated horse power of 250hp or greater using the methodologies found in 40 CFR §98.233(p)(1)-(8) and (10). The operator must calculate CO2, CH4, and N2O (when flared) emissions from reciprocating compressor rod packing venting for each applicable operational mode for all reciprocating compressors with a rated horse power less than 250hp using the methodologies found in 40 CFR §98.233(p)(9).
(o) Leak Detection and Leaker Emission Factors. The operator who is subject to the reporting requirements found in 40 CFR §98.233(q) must use the calculation methodologies found in 40 CFR §98.233(q). 
(p) Population Count and Emission Factors. The operator who is subject to the reporting requirements found in 40 CFR §98.233(r) must use the calculation methodologies found in 40 CFR §98.233(r). 
(q) Offshore Petroleum and Natural Gas Production Facilities. The operator who is subject to the reporting requirements found in 40 CFR §98.233(s) must use the calculation methodologies found in 40 CFR §98.233(s). 
(r) Volumetric Emissions. The operator must use the calculation methodologies found in 40 CFR §98.233(t) when calculating volumetric emissions at standard conditions using the calculation methodologies found in 40 CFR §98.233(t). 
(s) GHG Volumetric Emissions. The operator must calculate GHG volumetric emissions at standard conditions as specified in 40 CFR §98.233(u).
(t) GHG Mass Emissions. The operator must calculate GHG mass emissions using the following equation:

Masss,i = Es,i * pi * 10-3 
Where:
Masss,i = GHG i (either CO2 or CH4) mass emissions at standard conditions in metric tons.
Es,i = GHG i (either CO2 or CH4) volumetric emissions at standard conditions, in cubic feet.
P = Density of GHG i. Use 0.0538 kg/ft3 for CO2 and N2O, and 0.0196 kg/ft3 for CH4 at 68oF and 14.7 psia or 0.0530 kg/ft3 for CO2 and N2O, and 0.0193 kg/ft3 for CH4 at 60oF and 14.7 psia.
(u) EOR Injection Pump Blowdown. The operator who is subject to the reporting requirements in 40 CFR §98.233(w) must use the calculation methodologies found in 40 CFR §98.233(w).
(v) Produced Water Dissolved CO2 and CH4. The operator must calculate dissolved CO2 and CH4 in produced water. Emissions must be reported for produced water sent to a storage tank or ponds and holding facilities.
(1) Calculate CO2 and CH4 emissions from produced water using the following equation:

ECO2sCH4 = (Spw * Vpw)(1 - VR * CE)
Where:
ECO2sCH4 = Annual CO2 or CH4 emissions in metric tons.
Spw = Mass of CO2 or CH4 liberated in a flash liberation test per barrel of produced water (as determined in section (v)(A)(i) or mass of CO2 or CH4 recovered in a VRU per barrel of produced water (as determined in section (v)(A)(ii).
Vpw = Barrels of produced water sent to tank, pond or holding facility annually.
VR = Percentage of time the vapor recovery unit was operational (expressed as a decimal).
CE = Collection efficiency of the vapor recovery system (expressed as a decimal).
(A) Spw (the mass of CO2 or CH4 per barrel of produced water) shall be determined using one of the following methods:
1. Flash liberation test. Measure the amount of CO2 and CH4 liberated from produced water when the water changes temperature and pressure from well stream to standard atmospheric conditions using a sampling methodology and a flash liberation test such as adopted Gas Processor Association standards. The flash liberation test results must provide the metric tons of CO2 and CH4 liberated per barrel of produced water.
2. Vapor recovery system method. For storage tank systems connected to a vapor recovery system, calculate the mass of CO2 and CH4 liberated from produced water by sampling (under representative operating conditions) and analysis of the VRU gas stream to determine the mass of CO2 and CH4 captured by the vapor recovery system per barrel of water produced. A gas analysis of the processed vapor is required to determine the mole percentage of CO2 and CH4 in the gas stream and to calculate the annual emission rate. 

(B) 	Emissions resulting from the destruction of the VRU gas stream shall be reported using the Flare Stack reporting provisions in paragraph (l) of this section.
(2) EOR operations that route produced water from separation directly to re-injection into the hydrocarbon reservoir are exempt from paragraph (v) of this section. 
(w) Stationary and Portable Equipment Combustion Emissions. The operator must use the methods in section 95115 to report the emissions of CO2, CH4, and N2O from stationary or portable fuel combustion equipment as defined in 40 CFR §98.232(c)(22). 
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95154. Monitoring and QA/QC Requirements.
Note     •     History

(a) The operator must conform with the monitoring and QA/QC requirements of 40 CFR §98.234.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95155. Procedures for Estimating Missing Data.
Note     •     History

(a) A complete record of all estimated and/or measured parameters used in the GHG emissions calculations is required. If data are lost or an error occurs during annual emissions estimation or measurements, the operator must repeat the estimation or measurement activity for those sources within the measurement period. In cases where repeat sampling and/or analysis cannot be completed, the operator must follow the missing data substitution procedures below for 2013 and later emissions data reports. For the 2012 emissions data report, the operator must follow the requirements of 40 CFR §98.235. 
(1) To substitute for missing data for emissions reported under section 95115 of this article (stationary combustion units and units using continuous emissions monitoring systems), the operator must follow the requirements of section 95129 of this article.
(2) If data required by this subarticle are missing and additional sampling and/or analysis is not possible, the operator must generate a substitute value as follows:
(A) If the analytical data capture rate is at least 90 percent for the data year, the operator must substitute for each missing value using available process data. 
(B) If the analytical data capture rate is at least 80 percent but not at least 90 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter during the given data year, as well as the two previous data years. 
(C) If the analytical data capture rate is less than 80 percent for the data year, the operator must substitute for each missing value with the highest quality assured value recorded for the parameter in all records kept according to section 95105(a).
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95156. Data Reporting Requirements.
Note     •     History

Operators must conform with the data reporting requirements in 40 CFR §98.236 except as specified below.
(a) In addition to the data required by 40 CFR §98.236(a)-(c), the operator of an onshore petroleum and natural gas production facility must report the following data disaggregated within the basin by each facility that lies within contiguous property boundaries:
(1) CO2e emissions, including CO2, CH4, and N2O as applicable for the source types specified in section 95152(c);
(2) For combustion sources for which emissions are reported, fuel use by fuel type; 
(3) Barrels of crude oil produced using thermal enhanced oil recovery, and the portion of CO2e emissions associated with this production;
(4) Barrels of crude oil produced using methods other than thermal enhanced oil recovery, and the portion of CO2e emissions associated with this production.
(b) In lieu of the requirements of 40 CFR §98.236(c)(19), the operator of an onshore petroleum and natural gas production facility must submit combustion emissions data according to the requirements of 40 CFR §98.36. 
(c) For underground natural gas storage, the operator must report the volume of natural gas extracted (Mscf).
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95157. Records That Must be Retained.
Note     •     History

The operator shall follow the document retention requirements of section 95105 of this article, in addition to those of 40 CFR §98.237.
NOTE

Authority cited: Sections 38510, 38530, 39600, 39601, 39607, 39607.4 and 41511, Health and Safety Code. Reference: Sections 38530, 39600 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).

APPENDIX A [Repealed]
HISTORY

1. New Appendix A filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
2. Repealer filed 12-14-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Article 3. Fees
Subarticle 1. AB 32 Cost of Implementation Fee Regulation
§95200. Purpose.
Note     •     History

The purpose of this subarticle is to collect fees to be used to carry out the California Global Warming Solutions Act of 2006 (Stats. 2006; Ch. 488; Health and Safety Code sections 38500 et seq.), as provided in Health and Safety Code section 38597.
NOTE

Authority cited: Sections 38510, 38597, 39600 and 39601, Health and Safety Code. Reference: Sections 38530 and 39600, Health and Safety Code.
HISTORY

1. New article 3 (subarticle 1, sections 95200-95207), and section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
§95201. Applicability.
Note     •     History

(a) This subarticle applies to the following entities. The terms used below are defined in section 95202.
(1) Natural Gas Utilities, Users, and Pipeline Owners and Operators that distribute or use natural gas in California.
(A) All public utility gas corporations and publicly owned natural gas utilities operating in California. Fees shall be paid for each therm of natural gas delivered to any end user in California, excluding natural gas delivered to electricity generating facilities.
(B) All owners and operators that are end users of natural gas received directly from interstate pipelines, except for electricity generating facilities. Fees shall be paid for each therm of natural gas directly distributed by interstate pipelines.
(C) All owners or operators of interstate pipelines that are not included in subsection 95201(a)(1)(A), and that distribute natural gas directly to end users in California. These entities are included for the purposes of reporting only. Each owner or operator shall report those end users in California to which they supply natural gas.
(D) All owners or operators of intrastate pipelines that are not included in subsection 95201(a)(1)(A), that distribute natural gas directly to end users. Fees shall be paid for each therm of natural gas distributed directly to end users, except for natural gas delivered to electricity generating facilities.
(E) All California owners or operators that consume natural gas produced on-site and that are subject to the Mandatory Reporting Regulation. Fees shall be paid for each therm of natural gas consumed of the natural gas produced on-site, unless the natural gas is consumed by an electricity generating facility.
(F) All California owners or operators that consume associated gas that is produced on-site and that are subject to the Mandatory Reporting Regulation. Fees shall be paid on the emissions resulting from the combustion of these fuels, unless these fuels are consumed by an electricity generating facility.
(2) Producers and Importers of California Gasoline and California Diesel Fuels.
(A) All producers and importers of California gasoline or California diesel for use in California. Fees shall be paid for each gallon of gasoline or diesel fuel distributed.
(B) All producers and importers of CARBOB. Fees shall be paid for each gallon of CARBOB plus the designated amount of oxygenate.
(3) Cement Manufacturers.
All owners or operators of cement manufacturing facilities that emit greenhouse gases through the clinker manufacturing process. Fees shall be paid on the amount of CO2 emissions.
(4) First Deliverers of Electricity.
(A) Any owner or operator of an electricity generating facility in California that delivers electricity to the California transmission and distribution system, or any electricity importer that is the purchasing or selling entity that delivers electricity at its first point of delivery in California. Fees shall be paid for each megawatt-hour of net power generated by combustion of natural gas, coal or other fossil fuels (except California diesel at an electricity generating facility in California), and reported pursuant to section 95111(a)(1)(A) or 95111(a)(2)(A) of the Mandatory Reporting Regulation. Fees shall also be paid for each megawatt-hour of imported electricity reported pursuant to sections 95111(b)(2)(B and C) and 95111(b)(3)(N) of the Mandatory Reporting Regulation if the electricity is from either unspecified sources or specified sources that combust natural gas, coal, petroleum coke, catalyst coke, refinery gas or other fossil fuels (except California diesel).
(B) No fee shall be paid for any megawatt-hour generated at any electricity generating facility that has a nameplate generating capacity of less than one megawatt, or that emits less than 2,500 metric tons of CO2 from electricity generating activities during the reporting year.
(C) No fee shall be paid for any megawatt-hour of electricity generated at a cogeneration facility.
(5) Facilities that Combust or Consume Coal, Petroleum Coke, Catalyst Coke or Refinery Gas.
Any owner or operator of a facility in California, except for electricity generating facilities, that is subject to the Mandatory Reporting Regulation, and combusts as fuel or consumes as feedstock any of the following substances:
(A) Coal;
(B) Petroleum coke;
For coal and petroleum coke, fees shall be paid on the annual quantity of emissions as calculated pursuant to 95203(i).
(C) Catalyst coke; or
(D) Refinery gas
For catalyst coke or refinery gas, fees shall be paid on the reported emissions.
(b) This subarticle does not apply to any of the following fuels, or to emissions resulting from combustion of any of the following fuels, unless said fuels are used at electricity generating facilities:
(1) aviation gasoline;
(2) jet fuel;
(3) kerosene;
(4) liquefied petroleum gas;
(5) biodiesel;
(6) renewable diesel;
(7) residual fuel oil;
(8) propane; or
(9) any fuel exported for use outside of California.
(c) The fees associated with this subarticle shall be based upon the reported data from the most recent calendar year for which the mandatory reporting data verification process is completed, except for fiscal year 2010/11. 2008 calendar year data shall be used for fiscal year 2010/11.
NOTE

Authority cited: Sections 38510, 38597, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505 and 39300, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
§95202. Definitions.
Note     •     History

(a) For the purposes of this subarticle, the following definitions shall apply:
(1) “AB 32” means the California Global Warming Solutions Act of 2006, Assembly Bill 32, Chapter 488, Statutes of 2006, as codified in Health and Safety Code section 38500 et seq.
(2) “Acid gas reagent” means a substance used to chemically remove acid gases from industrial exhaust streams.
(3) “Acid gas scrubbers” mean a diverse group of air pollution control devices that can be used to remove some particulates and/or gases from industrial exhaust streams.
(4) “Annual” means with a frequency of once a year; unless otherwise noted, annual events such as the fee payment and liability will be based on the calendar year.
(5) “ARB” or “Board” means the California Air Resources Board.
(6) “Asset-controlling supplier” means any entity that operates electricity generating facilities or serves as an exclusive marketer for certain generating facilities even though it does not own them, and assigned a supplier-specific identification number for its fleet of generating facilities under the provisions of subarticle 2, title 17 of the California Code of Regulations.
(7) “Asset-owning supplier” means any entity that owns electricity generating facilities that deliver electricity to a transmission or distribution line, and is assigned a supplier-specific identification number for its fleet of generating facilities under the provisions of article 2, title 17 of the California Code of Regulations.
(8) “Associated gas” means hydrocarbon-based gaseous fuel produced in association with crude oil from any oil well and subsequently burned in the field as a fuel.
(9) “Billing address” means the address where the party responsible for payment would receive an invoice.
(10) “Biodiesel” means a diesel fuel substitute produced from nonpetroleum renewable resources that meet the registration requirements for fuels and fuel additives established by the U.S. Environmental Protection Agency under section 211 of the Clean Air Act. It includes biodiesel meeting all of the following:
(A) Registered as a motor vehicle fuel or fuel additive under title 40, Code of Federal Regulations, part 79;
(B) A mono-alkyl ester;
(C) Meets American Society for Testing and Material designation ASTM D 6751-08 (Standard Specification for Biodiesel Fuel Blendstock (B100) for Middle Distillate Fuels);
(D) Intended for use in engines that are designated to run on conventional diesel fuel; and
(E) Derived from nonpetroleum renewable resources.
(11) “Biogas” (also called biomethane) means gas that is produced from the breakdown of organic material in the absence of oxygen. Biogas is produced in processes including, but not limited to, anaerobic digestion, anaerobic decomposition, and thermochemical decomposition. These processes are applied to biodegradable biomass materials, such as manure, sewage, municipal solid waste, green waste, and waste from energy crops, to produce landfill gas, digester gas, and other forms of biogas.
(12) “Busbar” means the power conduit of an electricity generating facility that serves as the starting point for the electricity transmission and distribution system.
(13) “Calendar year” means the time period from January 1 through December 31.
(14) “California gasoline” has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
For California gasoline,
(A) “Produce” for California gasoline has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(B) “Producer” for California gasoline has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(C) “Supply” for California gasoline has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(D) “Importer” for California gasoline means the majority owner of the California gasoline when it first enters the state of California. For rail cars, cargo tanks, and pipelines, it is the point where the product first crosses the California State border. For imports by marine vessel it is the point where the fuel leaves the vessel.
(E) “Import” for California gasoline means movement of California gasoline into the state of California. For rail cars, cargo tanks, and pipelines it is when the product first crosses the California State border. For imports by marine vessel it is the point where the fuel leaves the vessel.
(15) “California reformulated gasoline blendstock for oxygenate blending,” or “CARBOB,” has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
For CARBOB,
(A) “Produce” for CARBOB has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(B) “Producer” for CARBOB has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(C) “Supply” for CARBOB has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(D) “Importer” for CARBOB means the majority owner of the CARBOB when it first enters the state of California. For rail cars, cargo tanks, and pipelines it is the point where the product first crosses the California State border. For imports by marine vessel it is the point where the fuel leaves the vessel.
(E) “Import” for CARBOB means movement of CARBOB into the state of California. For rail cars, cargo tanks, and pipelines it is when the product first crosses the California state border. For imports by marine vessel it is the point where the fuel leaves the vessel.
(16) “California diesel fuel” has the same meaning as “Vehicular Diesel Fuel,” as defined in title 13 California Code of Regulations, section 2282(b).
For California diesel fuel,
(A) “Produce” for California diesel fuel has the same meaning as “Vehicular Diesel Fuel,” as defined in title 13 of the California Code of Regulations, section 2282(b).
(B) “Producer” for California diesel fuel has the same meaning as “Vehicular Diesel Fuel,” as defined in title 13 of the California Code of Regulations, section 2282(b).
(C) “Supply” for California diesel fuel has the same meaning as defined in title 13 of the California Code of Regulations, section 2282(b).
(D) “Importer” for California diesel fuel means the majority owner of the California diesel fuel when it first enters the state of California. For rail cars, cargo tanks, and pipelines it is the point where the product first crosses the California state border. For imports by marine vessel it is the point where the fuel leaves the vessel.
(E) “Import” for California diesel fuel means movement of product into the state of California. For rail cars, cargo tanks, and pipelines it is when the product first crosses the California state border. For imports by marine vessel it is the point where the fuel leaves the vessel.
(17) “Carbon dioxide” or “CO2” means the most common of the six primary greenhouse gases, consisting on a molecular level of a single carbon atom and two oxygen atoms.
(18) “Carbon dioxide equivalent” or “CO2E” or “CO2 equivalent” means a measure for comparing carbon dioxide with other greenhouse gases, based on the quantity of those gases multiplied by the appropriate global warming potential factor and commonly expressed as metric tons of carbon dioxide equivalents (MTCO2E).
(19) “Catalyst” means a substance added to a chemical reaction, which facilitates or causes the reaction, and is not consumed by the reaction.
(20) “Catalyst coke” means carbon that is deposited on a catalyst, thus deactivating the catalyst.
(21) “Cement” means a building material that is produced by heating mixtures of limestone and other minerals or additives at high temperatures in a rotary kiln to form clinker, followed by cooling and grinding with blended additives. Finished cement is a powder used with water, sand and gravel to make concrete and mortar.
(22) “Cement manufacturer” means an owner or operator of a cement plant.
(23) “Cement plant” means an industrial structure, installation, plant or building primarily engaged in manufacturing Portland, natural, masonry, pozzolanic, or other hydraulic cements, and typically identified by North American Industry Classification System Code 327310.
(24) “Clinker” means the mass of fused material produced in a cement kiln from which finished cement is manufactured by milling and grinding.
(25) “Coal” means all solid fuels classified as anthracite, bituminous, sub-bituminous, or lignite by the American Society for Testing and Material Designation ASTM D388-05 “Standard Classification of Coals by Rank.”
(26) “Cogeneration facility” means an industrial structure, installation, plant, or building or self-generation facility, which may include one or more cogeneration systems configured as either a topping cycling or bottoming cycling plant, and in which electricity is generated solely from cogeneration systems.
(27) “Cogeneration system” means individual cogeneration components including the prime mover (heat engine), generator, heat recovery, and electrical interconnection, configured into an integrated system that provides sequential generation of multiple forms of useful energy (usually electrical and thermal), at least one form of which the facility consumes on-site or makes available to other users for an end-use other than electricity generation.
(28) “Combust” means the process of burning or setting fire to a fuel.
(29) “Combustion emissions” means greenhouse gas emissions occurring during the exothermic reaction of a fuel with oxygen.
(30) “Cracking” means the process of breaking down larger molecules into smaller molecules, utilizing catalysts and/or elevated temperatures and pressures.
(31) “Debt” means those loans obtained by the Board, and required by the Legislature to be repaid, to carry out AB 32 for fiscal years 2007/08, 2008/09, and 2009/10.
(32) “Delivered electricity” means electricity that is delivered to a point of interconnection with the California electricity transmission and distribution system. For electricity that is generated in California, the electricity is delivered from a specified source at the busbar. For electricity generated outside California from specified or unspecified sources, the electricity is delivered to a point of delivery in California for consumption in California.
(33) “Electricity Fee Rate” means the rate charged per megawatt-hour (MWh) of electricity generated at a specified source or an unspecified source based on source-specific emissions factors, or a default emissions factor for unspecified sources.
(34) “Electricity generating facility” or “Generating facility” means a facility that generates electricity and includes one or more generating units at the same location inside or outside California. “Electric generating facility” or “Generating facility” does not include a cogeneration facility or a self-generation facility.
(35) “Electricity importer” means an owner of electricity generated outside of California as it is delivered to the first point of delivery in California, for electricity having a final point of delivery in California.
(36) “Emissions” means the release of greenhouse gases into the atmosphere from sources and processes in a facility.
(37) “Emissions data report” or “greenhouse gas emissions data report” or “report” means the report prepared by an operator each year and submitted by electronic means to ARB to comply with this subarticle.
(38) “Emission factor” means a unique value for determining an amount of a greenhouse gas emitted for a given quantity of activity (e.g., metric tons of carbon dioxide emitted per gallon of gasoline burned).
(39) “End user” means the entity to which natural gas is delivered for combustion or consumption.
(40) “Entity” means a person, firm, association, organization, partnership, business trust, corporation, limited liability company, company, government agency, or public district.
(41) “Exclusive marketer” means a marketer that has exclusive rights to market electricity for a generating facility or group of generating facilities.
(42) “Executive Officer” means the Executive Officer of ARB or his or her delegate.
(43) “Facility” means any property, plant, building, structure, stationary source, stationary equipment or grouping of stationary equipment or stationary sources located on one or more contiguous or adjacent properties, in actual physical contact or separated solely by a public roadway or other public right-of-way, and under common operational control, that emits or may emit any greenhouse gas. Operators of military installations may classify such installations as more than a single facility based on distinct and independent functional groupings within contiguous military properties.
(44) “Fee determination notice” means the notice provided by ARB to entities regulated by this subarticle stating the dollar amount due.
(45) “Feedstock” means the raw material supplied to a process.
(46) “First deliverer” means either the owner or operator of an electricity generating facility in California, or an electricity importer.
(47) “Fiscal year” means the time period from July 1 to June 30.
(48) “Fossil Fuel” means a fuel, including but not limited to coal, oil, natural gas and petroleum by-products, produced by the decomposition of ancient (fossilized) plants and animals.
(49) “Fuel” means solid, liquid or gaseous combustible material.
(50) “Fuel fee rate” means the rate charged per MTCO2 produced by greenhouse gas sources specific to the fuel combusted and calculated by ARB.
(51) “Gallon” means the United States gallon of 231 cubic inches or the volumetric gallon adjusted to 60 degrees Fahrenheit when the invoice and settlement is made on the temperature corrected gallonage.
(52) “Generating unit” means any combination of physically connected generator(s), reactor(s), boiler(s), combustion turbine(s), or other prime mover(s) operated together to produce electric power.
(53) “Global warming potential” or “GWP factor” means the radiative forcing impact of one mass-based unit of a given greenhouse gas relative to an equivalent unit of carbon dioxide over a given period of time.
(54) “Government agency” means any agency as defined in Government Code section 11000.
(55) “Greenhouse gas source” means any physical unit, process, or other use or activity that releases a greenhouse gas into the atmosphere.
(56) “Imported electricity” means electricity that is generated outside of California and delivered to a first point of delivery into California with a final point of delivery in California. Imported electricity does not include:
(A) Power wheeled through California, which is power that is imported into California that terminates in a location outside of California; or
(B) Power transactions in which imported power is simultaneously exchanged for exported power.
(57) “Interstate Pipeline” means any entity engaged in natural gas transportation subject to the jurisdiction of the Federal Energy Regulatory Commission (FERC) under the Natural Gas Act.
(58) “Intrastate Pipeline” means a natural gas pipeline that operates wholly in California.
(59) “Kerosene” means a light distillate fuel that includes No. 1-K and No. 2-K as well as other grades of range or stove oil that have properties similar to those of No. 1 fuel oil.
(60) “Liquefied petroleum gas (LPG)” means normal butane, isobutane, propane, or butylene (including isomers) or mixtures composed predominantly thereof in liquid or gaseous state having a vapor pressure in excess of 40 pounds per square inch absolute at a temperature of 100 degrees Fahrenheit.
(61) “Mandatory Reporting Regulation” means ARB's Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, as set forth in title 17, California Code of Regulations, Chapter 1, Subchapter 10, article 2 (commencing with section 95100).
(62) “Marketer” means a purchasing/selling entity that is not a retail provider, and that is the purchaser/seller at the first point of delivery in California for electric power imported into California, or the last point of receipt in California for power exported from California.
(63) “Megawatt-hour” or “MWh” means the electrical energy unit of measure equal to one million watts of power supplied to, or taken from, an electric circuit steadily for one hour.
(64) “Meter” means a device designed to measure, record or regulate the amount or volume of the flow of a gas.
(65) “Metric ton” or “MT” or “tonne” means a common international measurement for the quantity of greenhouse gas emissions, equivalent to about 2204.6 pounds, or 1.1 short tons.
(66) “Motor vehicle” has the same meaning as defined in section 415 of the Vehicle Code.
(67) “Nameplate generating capacity” means the maximum rated output of a generator under specific conditions designed by the manufacturer. Generator nameplate capacity is usually indicated in units of kilovolt-amperes (kVA) and in Kilowatts (kW) on a nameplate physically attached to the generator.
(68) “Natural gas” means a naturally occurring mixture of hydrocarbons beneath the Earth's surface that maintains a gaseous state at standard atmospheric temperature and pressure under ordinary conditions. “Natural gas” does not include “biogas”.
(69) “Natural gas importer” means any entity that receives natural gas from a party that is not a public gas corporation, as defined in this subarticle, that consumes and/or distributes natural gas to consumers of natural gas.
(70) Net power generated” means the gross generation minus station service or unit service power requirements, expressed in megawatt hours (MWh) per year. In the case of cogeneration, this value is intended to include internal consumption of electricity for the purposes of a production process as well as power put on the grid.
(71) “Operational control” for a facility subject to this subarticle means the entity that has authority to introduce and implement operating, environmental, health and safety policies. In any circumstance where this authority is shared among multiple entities, the entity holding the permit to operate from the local air pollution control district or air quality management district is considered to have operational control for purposes of this subarticle.
(72) “Operator” means the entity having operational control of a facility.
(73) “Owner” means the entity having title of the property or assets which are subject to the fee.
(74) “Payment period” means 60 days from the receipt of the billing, as stated in section 95205 each calendar year.
(75) “Petroleum coke” means a solid residue high in carbon content and low in hydrogen that is the final product of thermal decomposition in the condensation process in cracking.
(76) “Petroleum refinery” or “refinery” means any facility engaged in producing gasoline, aromatics, kerosene, distillate fuel oils, residual fuel oils, lubricants, asphalt, or other products through distillation of petroleum or through redistillation, cracking, rearrangement or reforming of unfinished petroleum derivatives.
(77) “Point of delivery” means a point on an electric system where a power supplier delivers electricity to the receiver of that energy. This point can be an interconnection with another system or a substation where the transmission provider's transmission and distribution systems are connected to another system.
(78) “Power” means electricity, except where the context makes clear that another meaning is intended.
(79) “Process” means the intentional or unintentional reactions between substances or their transformation, including, but not limited to, the chemical or electrolytic reduction of metal ores, the thermal decomposition of substances, and the formation of substances for use as product or feedstock.
(80) “Process emissions” means:
(A) For cement manufacturing: The greenhouse gas emissions produced through the chemical reactions of feedstock during pyroprocessing to produce cement clinker (which does not include greenhouse gas emissions which are the result of fuel combustion emissions).
(B) For refineries and hydrogen plants: The greenhouse gas emissions resulting from the steam methane reforming process excluding those that occur as a result of the use of natural gas as a feedstock.
(81) “Producer” means any person who owns, leases, operates, controls or supervises a California production facility.
(82) “Production facility” means a facility in California at which gasoline or CARBOB is produced. Upon request of a producer, the Executive Officer may designate, as part of the producer's production facility, a physically separate bulk storage facility which (A) is owned or leased by the producer, and (B) is operated by or at the direction of the producer, and (C) is not used to store or distribute gasoline or CARBOB that is not supplied from the production facility.
(83) “Propane” means a normally straight chain hydrocarbon that boils at -3.67 degrees Fahrenheit and is represented by the chemical formula C3H8.
(84) “Publicly-owned natural gas utility” means a municipality or municipal corporation, a municipal utility district, a public utility district, or a joint powers authority that includes one or more of these agencies that furnishes natural gas services to end users.
(85) “Public utility gas corporation” means a gas corporation as defined in California Public Utilities Code section 222 that is also a public utility as defined in California Public Utilities Code section 216.
(86) “Purchasing or selling entity” means for purposes of this regulation an entity that is eligible to purchase or sell energy or capacity and reserve transmission services.
(87) “Refinery gas” means gas generated at a petroleum refinery or any gas generated by a refinery process unit, and that is combusted separately or in any combination with any type of gas.
(88) “Renewable diesel” means a motor vehicle fuel or fuel additive which is all of the following:
(A) Registered as a motor vehicle fuel or fuel additive under 40 CFR part 79;
(B) Not a mono-alkyl ester;
(C) Intended for use in engines that are designed to run on conventional diesel fuel; and
(D) Derived from nonpetroleum renewable resources.
(89) “Report Year” means the calendar year for which emissions are being reported in the emissions data report.
(90) “Residual fuel oil” means a general classification for the heavier oils, known as No. 5 and No. 6 fuel oils, that remain after the distillate fuel oils and lighter hydrocarbons are distilled away in refinery operations.
(91) “Retail provider” means an entity that provides electricity to retail end users in California and is an electric corporation as defined in Public Utilities Code section 218, electric service provider as defined in Public Utilities Code section 218.3, local publicly owned electric utility as defined in Public Utilities Code section 224.3, a community choice aggregator as defined in Public Utilities Code section 331.1, or the Western Area Power Administration.
(92) “Self-generation facility” means a facility dedicated to serving a particular electricity end user, usually located on the user's premises. The facility may either be owned directly by the electricity user or owned by an entity with a contractual arrangement to provide electricity to meet some or all of the user's load.
(93) “Source” means greenhouse gas source.
(94) “Specified source” or “specified source of power” means a particular generating unit or electricity generating facility in California or out of state to which electrical generation can be confidently tracked due to full or partial ownership by a first deliverer, or due to its identification in a power contract with a first deliverer, and also means an asset-owning or asset-controlling supplier.
(95) “Stationary” means neither portable nor self propelled, and operated at a single facility.
(96) “Steam methane reforming process” means a method in which high temperature steam is used to produce hydrogen from a methane source.
(97) “Therm” means a unit of heat equal to 100,000 British thermal units (1.054 x 108 joules).
(98) “Ton” means a short ton equal to 2000 pounds.
(99) “Unspecified source of power” or “unspecified source” means a source of electricity generation that cannot be matched to a particular electricity generating unit or facility, or to an asset-owning or asset-controlling supplier.
NOTE

Authority cited: Section 38510, 38597, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
§95203. Calculation of Fees.
Note     •     History

(a) Total Required Revenue (TRR).
(1) The Required Revenue (RR) shall be the total amount of funds necessary to recover the costs of implementation of AB 32 program expenditures for each fiscal year, based on the number of personnel positions, including salaries and benefits and all other costs, as approved in the California Budget Act for that fiscal year.
(2) For fiscal years 2010/2011, 2011/2012, 2012/2013, and 2013/2014, the RR shall also include the payments required to be made by ARB on the Debt incurred. The Debt shall be repaid at a rate of $27 million dollars for each of fiscal years 2010/2011, 2011/2012, and 2012/2013. The remaining Debt shall be repaid in fiscal year 2013/2014.
(3) The RR shall also include any amounts required to be expended by ARB in defense of this subarticle in court.
(4) If there is any excess or shortfall in the actual revenue collected for any fiscal year, such excess or shortfall shall be carried over to the next year's calculation of the Total Revenue Requirement. If ARB does not expend or encumber the full amount authorized by the California Legislature for any fiscal year, the amount not expended or encumbered in that fiscal year shall be carried over and deducted from the next year's calculation of the Total Revenue Required.
(5) The annual Total Revenue Requirement is equal to the annual RR adjusted for the previous fiscal year's excess or shortfall amount, as provided in subsection (a)(4).
(b) Common Carbon Cost.
The Executive Officer shall calculate a Common Carbon Cost (CCC), which represents the annual cost per MTCO2 emitted. The CCC shall be calculated in accordance with the following formula:

View Graphic
(c) Fuel Fee Rate.
For entities reporting pursuant to section 95204(d)(1), (d)(2), (d)(3), (d)(5), (e), and (f)(1), and (f)(2) the Executive Officer shall calculate a fuel fee rate for each fuel included in subsection 95203(b) using the following formula:
FRi = CCC x EFi
Where:
FRi = Fuel fee rate for the fuel
CCC = Common Carbon Cost
EFi = Emission factor of MTCO2 for each unit of fuel supplied.
(d) Fuel Emission Factors.
For entities reporting pursuant to section 95204(d)(1), (d)(2) (d)(3), (d)(4 5), (e), (f)(1) and (f)(2) the Executive Officer shall calculate the Common Carbon Cost and the Fuel fee rates using the following emissions factors:

            	CO2 Emission
   Fuel Type 	Factor	Emission Factor Units

Coal
 Anthracite	2,597.94	kg CO2 / short ton
 Bituminous	2,328.35	kg CO2 / short ton
 Sub-bituminous	1,673.64	kg CO2 / short ton 
 Lignite	1,369.32	kg CO2 / short ton
Petroleum coke    	2,530.65	kg CO2 / short ton
Natural Gas    	   5.302	kg CO2 / therm
Diesel	     9.96	kg CO2 / gallon
Gasoline	 8.55	kg CO2 / gallon
(e) Electricity Fee Rate.
The Executive Officer shall calculate an Electricity Fee Rate for each source of electricity delivered in California using the following formulas:
EFRsp = CCC x EFsp
EFRasp = CCC X EFasp 
EFRusp = CCC x EFusp
Where:
“sp” denotes a specified source that is an electricity generating facility or unit
“asp” denotes an asset-owning or asset-controlling supplier 
“usp” denotes an unspecified source
EFRsp = The Electricity fee rate for the specified source
EFRasp = The Electricity fee rate for the asset-owning and asset-controlling suppliers
EFRusp = The Electricity fee rate for unspecified sources
EFsp = Emission factor for specified source in MTCO2 per MWh
EFasp = Emission factor for asset-owning and asset-controlling suppliers in MTCO2 per MWh
EFusp = .499 MTCO2 per MWh, the default Emission Factor for unspecified sources.
(f) Emission Factors for Specified Sources that are Electricity Generating Facilities or Units.
The Executive Officer shall calculate emissions factors for specified sources of electricity that are generating units or facilities using the following methodology:
EFsp = Esp                  
  EG
Where:
Esp = CO2 emissions from electricity generating facility for a specified electric generating facility/unit for the report year (MTCO2)
EG = Net generation from a specified electricity generating facility for the report year (MWh)
(1) For specified electricity generating facilities/units whose operators are subject to reporting or who voluntarily report under the Mandatory Reporting Regulation, Esp, shall be equal to the sum of CO2 emissions from fossil fuel combustion, acid gas scrubbers, or acid gas reagents, as reported to ARB. Similarly, EG shall be the net generation reported to ARB.
(2) For specified electricity generating facilities/units whose operators are not subject to Mandatory Reporting Regulation but who are subject to the Acid Rain Program (40 CFR Part 75), ESP shall be equal to the amount of CO2 emissions reported to U.S. EPA pursuant to 40 CFR Part 75 for the facility in metric tons for the report year. EG shall be data reported to EIA and published in the EIA 923 Excel file for the reporting year available at http://www.eia.doe.gov/cneaf/electricity/page/eia906_920.html (the EIA data).
(3) For specified electricity generating facilities whose operators do not report to ARB under the Mandatory Reporting Regulation and do not report to U.S. EPA under the Acid Rain Program, EG shall be taken from the EIA data for the reporting year. Esp shall be calculated using EIA data as shown below.
Esp = 1000 x S(Qfuel x EFfuel)
Where:
Qfuel = Heat of combustion for each specified fuel type from the specified electric generating facility for the report year (MMBtu)
EFfuel = CO2 emission factor for the specified fuel type as taken from the title 17, California Code of Regulations, Chapter 1 Subchapter 9, Article 2, Appendix A (kgCO2/MMBtu).
(g) Emission Factors for Asset Owning/Controlling Suppliers.
The Executive Officer shall calculate emissions factors for asset-owning or asset-controlling suppliers using the following methodology:

View Graphic
(h) Fee Liability for Fuels.
The Executive Officer shall calculate the Fee Liability for each entity reporting pursuant to section 95204(d)(1-3), (d)(5) and (e), based on the quantity of each fuel supplied, consumed or produced, as follows:
FSi = (FRi x QFi)
Where:
FSi = The Fee for each entity
QFi = Quantity of fuel
(Note: The Fee Liability calculation formula for associated gas is addressed under section 95203(k))
(i) Fee Liability for Facilities that Combust Coal, Petroleum Coke, Catalyst Coke, or Refinery Gas.
(1) Coal and Petroleum Coke
The Executive Officer shall calculate the Fee Liability for each entity reporting pursuant to sections 95204(f)(1) and 95204(f)(2), based on the quantity of each fuel consumed as follows:
FSi = (FRi x QFi)
Where:
FSi = The Fee for each entity 
QFi = Quantity of fuel
(2) Catalyst Coke and Refinery Gas
For entities reporting pursuant to sections 95204(f)(3),and 95204(f)(4), each entity shall be charged a Fee based on the total number of MTCO2 emitted and reported annually. The fee shall be calculated as follows:
FSi = CCC x QEi
Where:
FSi = The Fee for the Entity 
CCC = Common Carbon Cost
QEi = the total amount of emissions associated with the catalyst coke or refinery gas, as applicable.
(j) Fee Liability for Delivered Electricity.
The Executive Officer shall calculate the fee liability for each entity reporting pursuant to section 95204(g) based on the quantity of electricity delivered, as follows:
FSi = S(EFRd x QMd)
Where:
FSi = Fee for each entity
QMd = Quantity of MWh of delivered electricity from each specified source, asset-owning or asset-controlling supplier, or unspecified source, as appropriate
EFRd = Electricity fee rate for electricity from each specified source, asset-owning or asset-controlling supplier, or unspecified source, as appropriate
(k) Fee Liability for Entities.
For entities reporting pursuant to section 95204(d)(46), and 95204(h), each entity shall be charged a fee based on the total number of MTCO2 emitted and reported annually. The fee shall be calculated as follows:
FSi = CCC x QEi
Where:
FSi = Fee for the Entity
CCC = Common Carbon Cost
QEi = Total amount of emissions associated with the entity.
NOTE

Authority cited: Sections 38510, 38597, 39600 and 39601, Health and Safety Code Reference: 38501, 38510, 38597, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
§95204. Reporting and Recordkeeping Requirements.
Note     •     History

(a) Reporting Format.
All reports required by this subarticle must be submitted to ARB by using the California Air Resources Board's Greenhouse Gas Reporting Tool, as specified in title 17, California Code of Regulations, section 95104(e), or any other reporting tool approved by the Executive Officer that will guarantee transmittal and receipt of data required by ARB's Mandatory Reporting Regulation and this subarticle. The Reporting Tool is available on ARB's internet website at [www.arb.ca.gov].
(b) All entities subject to this subarticle must report the following:
(1) Report Information:
(A) Report year
(B) Facility information
1. Official responsible for payment
2. Facility name
3. Physical address
4. Mailing address
5. Billing address
6. Description of facility geographic location
(2) Entity Information:
(A) Entity name
(B) Email address
(C) Telephone number
(3) Entity Statement of Truth, Accuracy and Completeness. Entity signature and date stating: This report has been prepared in accordance with the AB 32 Cost of Implementation Fee Regulation (subchapter 10, article 3, subarticle 1, sections 95200 to 95207, title 17, California Code of Regulations). The statements and information contained in this emissions data report are true, accurate and complete.
(c) Timeline for Reporting.
(1) Reports from each affected entity for the 2008 calendar year data and the 2009 calendar year data must be submitted to ARB by August 16, 2010.
(2) Reports for the 2010 calendar year data and subsequent calendar years must be submitted to ARB by June 30 of the following year, each year.
(d) Natural Gas Utilities, Users and Pipeline Owners and Operators.
(1) All public utility gas corporations and publicly owned natural gas utilities operating in California must annually report the aggregate quantity of therms of natural gas delivered at the meter to end users, excluding natural gas delivered to electricity generating facilities.
(2) All owners or operators of intrastate pipelines that distribute natural gas directly to end users must annually report the aggregate quantity of therms of natural gas directly distributed, at the meter to the end users, excluding natural gas delivered to electricity generating facilities.
(3) All owners or operators that are end users of natural gas received directly from interstate pipelines, except for electricity generating facilities, must annually report the therms of natural gas directly distributed, at the meter from the interstate pipeline(s).
(4) All owners or operators of interstate pipelines that distribute natural gas directly to end users must annually report the following information for each end user directly receiving natural gas: name, contact address, facility address, and contact phone number.
(5) All California owners or operators that consume natural gas produced on-site and are subject to the Mandatory Reporting Regulation must report the quantity of therms of natural gas consumed annually of natural gas that is produced on-site, excluding natural gas consumed by an electricity generating facility, in addition to all information required under the Mandatory Reporting Regulation.
(6) All California owners or operators that consume associated gas produced on-site and that are subject to the Mandatory Reporting Regulation must report all information required by the Mandatory Reporting Regulation, including the quantities of emissions resulting from the combustion of these fuels, excluding associated gas produced on-site and consumed by on-site electricity generating facilities.
(e) Producers and importers of Gasoline and Diesel Fuels.
All producers and importers of California gasoline, CARBOB or California diesel fuel must report the total amount of each variety of fuel sold or supplied for use in California. Producers and importers of CARBOB must report each volume of CARBOB and the associated designated volume/volumes of oxygenate.
(f) Coal, Catalyst Coke, Petroleum Coke, or Refinery Gas Combustion or Consumption.
All entities that are subject to the Mandatory Reporting Regulation, except for electricity generating facilities, must report the following information for each of the following substances that are combusted as fuel or consumed as feedstock:
(1) Coal;
The number of tons of coal and the grade of coal combusted or consumed in each calendar year must be reported
(2) Petroleum coke;
The number of tons of petroleum coke combusted or consumed in each calendar year must be reported
(3) Catalyst coke;
The quantity of emissions from combustion as reported each calendar year under the applicable section of the Mandatory Reporting Regulation must be reported
(4) Refinery gas;
The quantity of emissions from combustion or consumption as reported each calendar year under the applicable section of the Mandatory Reporting Regulation must be reported. If known by the reporting entity, the quantity of emissions from natural gas can be excluded. To exclude the quantity of emissions from natural gas, the following method shall be used:
Qrga=Qrg (Qng x EFng)
Where:
Qrga = Adjusted quantity of emissions from refinery gas
Qrg = Quantity of emissions from refinery gas reported through the Mandatory Reporting Regulation
Qng = Quantity of natural gas
EFng = Default emission factor for natural gas found in 95203(d)
(g) First Deliverers of Electricity
(1) Electrical Generating Facilities. All electricity generating facilities shall provide the same information that is required to be submitted under the Mandatory Reporting Regulation. This information must be reported on the same schedule specified in the Mandatory Reporting Regulation.
(2) Electricity Importers All electricity importers must report all information required to be submitted under the Mandatory Reporting Regulation.
(h) Cement Manufacturers.
All cement manufacturers must report all information required under the Mandatory Reporting Regulation, and must also report the total amount of process emissions resulting from their operations, as defined in this subarticle.
(i) Records Retention.
Entities subject to this subarticle must maintain copies of the information reported pursuant to this subarticle and provide them to an authorized representative of ARB within five business days upon request. Records must be kept at a location within the State of California for five years.
NOTE

Authority cited: Sections 38510, 38597, 39600 and 39601, Health and Safety Code. Reference: 38501, 38510, 38597, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
2. Editorial correction of equation in subsection (g) (Register 2011, No. 37).
§95205. Payment and Collection.
Note     •     History

(a) Beginning in fiscal year 2010/2011, and thereafter, within 30 days after the State Budget has been signed by the Governor, the Executive Officer shall provide a written fee determination notice to each affected entity of the amount due. The amount of the fee shall be based on the reports submitted pursuant to section 95204 and the fee calculation formulas set forth in section 95203. ARB will not collect the fee from entities whose total amount due, as calculated per section 95203, is less than or equal to fifty dollars ($50.00).
(b) Payment Period. Each entity that is notified by the Executive Officer that it must remit a specified dollar amount to ARB for the current fiscal year shall transmit that dollar amount to ARB for deposit into the Air Pollution Control Fund within 60 days of receipt of the fee determination notice.
(c) Late Fees. The Executive Officer shall assess an additional fee on entities failing to pay the fee within 60 days of receipt of the fee determination notice. The Executive Officer shall set the late fee in an amount sufficient to pay ARB's additional expenses incurred by the entity's untimely payment. The late fee is in addition to any penalty that may be assessed as provided in section 95206.
(d) Expenditure of Fees. The fees collected from the entities are to be expended by ARB only for the purposes of recovering the costs of carrying out the provisions of AB 32 and repaying the Debt.
NOTE

Authority cited: Sections 38510, 38597, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505 and 39300, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
§95206. Enforcement.
Note     •     History

(a) Penalties. Penalties may be assessed for any violation of this subarticle pursuant to Health and Safety Code section 38580. Each day during any portion of which a violation occurs is a separate offense.
(b) Injunctions. Any violation of this subarticle may be enjoined pursuant to Health and Safety Code section 41513.
(c) Violations. Each day or portion thereof that any report required by this subarticle remains unsubmitted, is submitted late, or contains incomplete or inaccurate information, shall constitute a single, separate violation of this subarticle. For the purposes of this section, “report” means any information required to be submitted by section 95204. 
(d) Payment Violations. The failure to pay the full amount of any fee required by this subarticle shall constitute a single, separate violation of this subarticle for each day or portion thereof that the fee has not been paid after the date the fee is due.
(e) Auditing. The Executive Officer may contract with outside entities, including, but not limited to, the Board of Equalization, to obtain data or services needed to audit the returns provided by fee payers. The Executive Officer may use fee revenues collected under this subarticle to fund auditing and collection procedures.
(f) Authorization to Enforce. Enforcement of this subarticle may be carried out by authorized representatives of ARB, including authorized representatives of air pollution control or air quality management districts.
NOTE

Authority cited: Sections 38510, 38597, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 39300 and 41513, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
§95207. Severability.
Note     •     History

(a) Each part of this subarticle is deemed severable, and, in the event that any part of this subarticle is held to be invalid, the remainder of this subarticle shall continue in full force and effect.
(b) If any fee payer or group of fee payers subject to this subarticle is determined to be ineligible, by a court of law or statute, to pay the fees pursuant to this subarticle, the remaining entities shall be assessed the entire fee based on the formula contained in section 95203, without including the emissions associated with the ineligible fee payer or group of fee payers in the calculation. If a refund is ordered by any court or other authority the remaining fee payers shall be responsible to pay the subsequent deficit.
NOTE

Authority cited: Sections 38510, 38597, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505 and 39300, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 7-17-2010 (Register 2010, No. 25).
Article 3. Fees for Greenhouse Gas Emission Sources [Reserved]
Article 4. Regulations to Achieve Greenhouse Gas Emission Reductions
Subarticle 1. Heavy-Duty Vehicle Greenhouse Gas Emission Reduction Regulation
§95300. Purpose.
Note     •     History

The purpose of this subarticle is to reduce greenhouse gas emissions from heavy-duty (HD) tractors and 53-foot or longer box-type semitrailers (trailers) that transport freight on a highway within California. 
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New subarticle 1 (sections 95300-95311) and section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment of subarticle heading filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95301. Applicability.
Note     •     History

(a) This subarticle applies to owners and drivers of the following equipment when driven on a highway within California, as well as motor carriers, California-based brokers, and California-based shippers that use, or cause to be used, the following equipment on a highway within California:
(1) HD tractors that pull 53-foot or longer box-type trailers; and
(2) 53-foot or longer box-type trailers that are pulled by HD tractors. 
(b) The requirements in this subarticle do not apply to the following vehicles: 
(1) drop-frame trailers;
(2) chassis trailers;
(3) curtain-side trailers;
(4) livestock trailers;
(5) refuse trailers;
(6) box-type trailers less than 53 feet in length;
(7) emergency vehicles; and
(8) military tactical support vehicles.
(c) In accordance with the provisions of section 95305, Exemptions, specified requirements of this subarticle do not apply to: 
(1) local-haul trailers and the tractors pulling local-haul trailers, 
(2) local-haul tractors and the trailers pulled by local-haul tractors, and
(3) short-haul tractors and the trailers pulled by short-haul tractors, 
(4) drayage tractors and the trailers pulled by drayage tractors,
(5) storage trailers and the tractors pulling storage trailers, and
(6) empty 53-foot and longer box-type trailers pulled by HD tractors. 
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment of subsections (c)(3)-(4), new subsection (c)(5) and repealer of subsection (d) filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95302. Definitions.
Note     •     History

(a) The following definitions apply to this subarticle:
(1) “Aerodynamic technologies” means components designed to reduce wind resistance on the tractor or trailer resulting in improved overall tractor fuel economy and reduced carbon dioxide emissions. There are two types of aerodynamic technologies: fairings and flow control devices. 
(2) “Box-type trailer” means a dry-van trailer or refrigerated-van trailer that is not a drop-frame trailer. 
(3) “Broker” means a person who, for compensation, arranges or offers to arrange the transportation of property by a motor carrier. A motor carrier, or person who is an employee or bona fide agent of a carrier, is not a broker within the meaning of this section when it arranges or offers to arrange the transportation of shipments which it is authorized to transport and which it has accepted and legally bound itself to transport.
(4) “Cab side extender” means an air flow control device placed vertically on the rear side of the tractor that reduces the space between the tractor and trailer. 
(5) “California-based broker” means a broker that maintains a business location in California.
(6) “California-based shipper” means a shipper that operates a facility in California where freight is located prior to its transportation.
(7) “Chassis trailer” means a trailer composed of a simple chassis for the mounting of a containerized load.
(8) “Compliance year” means the calendar year in which a fleet owner may bring trailers into compliance to meet the minimum fleet conformance threshold that takes effect on January 1 of the following year.
(9) “Compliant trailer” means a trailer that complies with the equipment requirements set forth in section 95303(b). For the purposes of the optional trailer fleet compliance schedules, to bring a trailer into compliance means to either retrofit the trailer with the necessary aerodynamic technology or technologies to comply with the equipment requirements set forth in section 95303(b), or remove the trailer from the owner's fleet.
(10) “Conformance” means meeting or exceeding the minimum fleet conformance thresholds defined in section 95307, Optional Trailer Fleet Compliance Schedules, Tables 1, 2 and 3. A conformance threshold defines the percentage of trailers in a fleet that are required to be compliant in accordance with a large fleet compliance schedule or a small fleet compliance schedule. 
(11) “Curtain-side trailer” means a trailer with tarp sides that can be loaded from the sides, top, or rear.
(12) “Delayed compliance trailer” means a trailer for which compliance may be delayed pursuant to section 95307(b)(4).
(13) “Dispatch” means to coordinate delivery, pickup, and drop-off schedules of vehicles; and monitor the delivery of freight from these vehicles.
(14) “Drayage tractor” means any in-use on-road tractor with a gross vehicle weight rating of greater than 26,000 pounds operating on or transgressing through port or intermodal railyard property for the purpose of loading, unloading or transporting freight.
(15) “Driver” means a person who physically operates a HD tractor.
(16) “Drop-frame trailer” means an enclosed rectangular trailer with a deck that is lower to the ground in the area between the trailer hitch and the trailer wheels, to create more cargo space. 
(17) “Dry-van trailer” means an enclosed rectangular trailer that is not a refrigerated-van trailer.
(18) “Early compliance trailer” means a trailer that has been brought into compliance with the equipment requirements set forth in section 95303(b)(3) as applicable, before January 1, 2010, and for which the owner receives credit, in accordance with the early compliance option set forth in section 95307(b)(4), that may be used to delay the compliance of delayed compliance trailers.
(19) “Emergency vehicle” means a vehicle as defined in California Vehicle Code section 165.
(20) “Empty trailer” means a trailer that does not contain freight. A trailer that contains only items used for the handling or securing of freight, such as moving blankets, straps, moving dollies, and tool kits that are used in the transport of other items in the trailer, or to maintain the tractor or trailer on the road, is considered an empty trailer. 
(21) “Fairing” means a structure with smoothly contoured solid surfaces that reduces the wind resistance of the objects it covers.
(22) “Fleet” means one or more trailers owned by a person, business, or government agency. A fleet consists of the total number of 53-foot or longer box-type trailers under common ownership or control even if they are part of different subsidiaries, divisions, or other organizational structures of a company or agency.
(23) “Flow control device” means a design element that manipulates the air flow around an object by changing the air flow characteristics in order to reduce the pressure force exerted on the vehicle.
(24) “Freight” means any item being transported for delivery in a 53-foot or longer box-type trailer. Items that remain in the trailer after all freight is delivered are not considered freight. These include items that are used exclusively to secure items being transported in the trailer, protect items being transported in the trailer, load items being transported in the trailer, or repair the tractor or trailer. Items that are not considered freight could include moving blankets, straps, tool kits, and moving dollies. 
(25) “Fuel tank fairing,” also known as a chassis skirt, means a fairing located at the base of the cab between the front wheel of the tractor and the forward-most rear wheel, covering the open space and streamlining the fuel tank. 
(26) “Good operating condition” means the condition of a HD tractor or box-type trailer that meets the applicable standards in section 95304, Good Operating Condition Requirements, for continued aerodynamic efficiency.
(27) “Gross vehicle weight rating” or “GVWR” means the “GVWR” as defined in California Vehicle Code section 350.
(28) “Heavy-duty tractor” or “HD tractor” means a class 7 or class 8 motor vehicle designed to pull a semitrailer on a highway by means of a fifth wheel mounted over the rear axle(s). 
(29) “Highway” means a “highway” as defined in California Vehicle Code section 360.
(30) “Integrated sleeper cab roof fairing” means a fairing located on the roof of a sleeper-cab-equipped tractor that extends from the front windshield of the tractor cab to the rear edge of the sleeper cab, with enclosed sides that line up with the sides of the sleeper cab. 
(31) “Intermodal railyard” means any rail facility where trailers are transferred from drayage tractor to train or vice versa.
(32) “Livestock trailer” means a semitrailer designed to transport live animals. 
(33) “Local-haul base” means the location where a local-haul tractor or local-haul trailer is garaged or from which it is routinely dispatched.
(34) “Local-haul tractor” means a HD tractor that travels exclusively within a 100-mile radius of its local-haul base.
(35) “Local-haul trailer” means a 53-foot or longer box-type trailer that travels exclusively within a 100-mile radius of its local-haul base. 
(36) “Low-rolling-resistance tire” means a tire that is designed to improve fuel efficiency of a tractor pulling a trailer by minimizing its rolling resistance, which consists of the energy lost as heat within the rubber itself, as well as aerodynamic drag of the tire, and friction between the tire and the road and between the tire and the rim when the tire is rolling under load; rolling resistance is expressed as the energy consumed per unit distance as the tire rolls under load. 
(37) “Military tactical support vehicle” means a “Military Tactical Support Vehicle” as defined in title 13, California Code of Regulations (CCR), section 1905. 
(38) “Motor carrier” means a “Motor carrier” as defined in California Vehicle Code section 408. 
(39) “Non-compliant Tractor Pass” means a temporary permit issued by the Executive Officer in accordance with the requirements of section 95305(h) that allows a HD tractor to pull a 53-foot or longer box-type trailer on a highway within California without meeting the requirements of sections 95303(a) and 95305(b) for a defined time period not to exceed five consecutive days.
(40) “Ocean-going vessel” means a commercial, government, or military vessel meeting any one of the following criteria:

(A) 	A vessel greater than or equal to 400 feet in length overall (LOA) as defined in 50 Code of Federal Regulations (CFR) section 679.2, as adopted June 19, 1996;

(B) 	A vessel greater than or equal to 10,000 gross tons (GT ITC) pursuant to the convention measurement (international system) as defined in 46 CFR sections 69.51-.61, as adopted September 12, 1989; or 

(C) 	A vessel propelled by a marine compression ignition engine with a per-cylinder displacement of greater than or equal to 30 liters. 
(41) “Open-shoulder tire” means a tire that is constructed such that the two outer tread ribs, located where the tread and sidewalls meet, are separated into individual tread blocks and is designed to improve traction when traveling on mud or snow covered highways. 
(42) “Owner” of a tractor or trailer means the person or persons registered as the owner of the tractor or trailer by the California Department of Motor Vehicles or its equivalent in another state, province, or country (presumed at the time of any citation to be the person or persons identified as the owner on the registration document or title carried on the vehicle), except in the following circumstances:
(A) for a tractor or trailer owned by the federal government and not registered in any state or local jurisdiction, the owner means the branch, agency or other organization within the federal government that operates the tractor or trailer, that is required to maintain accountability for the vehicle, or that is shown by the accountable entity to be responsible for the tractor's or trailer's maintenance.
(B) for a leased tractor, the person or persons registered as the owner of the tractor or trailer by the California Department of Motor Vehicles or its equivalent in another state, province, or country (usually the lessor) is the owner for purposes of this subarticle, except that the lessee of the tractor is the owner for purposes of this subarticle if the lessor demonstrates that either the lessor provided the lessee with the following statement on a document separate from the lease agreement, or the lease agreement includes the following statement:
“The lessee of this heavy-duty tractor understands that when using a heavy-duty tractor to pull a 53-foot or longer box-type trailer on a highway within California, the heavy-duty tractor must be compliant with sections 95300-95312, title 17, California Code of Regulations, and that it is the responsibility of the lessee to ensure this heavy-duty tractor is compliant. The regulations may require this heavy-duty tractor to have low-rolling-resistance tires that are U.S. Environmental Protection Agency (U.S. EPA) SmartWay Verified Technologies prior to current or future use in California, or may entirely prohibit use of this tractor in California if it is a model year 2011 or later tractor and is not a U.S. EPA SmartWay Certified Tractor.”
(C) for a leased trailer that is leased prior to January 1, 2013, the person or persons registered as the owner of the tractor or trailer by the California Department of Motor Vehicles or its equivalent in another state, province, or country (usually the lessor) is the owner for purposes of this subarticle, except that the lessee of the trailer is the owner for purposes of this subarticle if both of the following requirements are met: 
1. The lessor demonstrates that the lessor provided the lessee with actual written notice that clearly informed the lessee about the requirements of this subarticle and about the lessee's obligation under terms of the lease to ensure the trailer complies with those requirements prior to use of the trailer in California. This requirement may be satisfied if either the lessee is provided with the following statement on a document separate from the lease agreement, or the following statement is included in the lease agreement:
“The lessee of this box-type trailer understands that when using a heavy-duty tractor to pull a 53-foot or longer box-type trailer on a highway within California, the box-type trailer must be compliant with sections 95300-95312, title 17, California Code of Regulations, and that it is the responsibility of the lessee to ensure this box-type trailer is compliant. The regulations may require this trailer to have low-rolling-resistance tires and aerodynamic technologies that are U.S. Environmental Protection Agency SmartWay Verified Technologies prior to current or future use in California.”
2. The lessor demonstrates and informs the lessee that either:
a. the lease agreement does not prohibit the lessee from modifying the trailer to be compliant with the requirements of this subarticle; or
b. the lessor provides a reasonable method to exchange the trailer for one that is compliant with this subarticle.
(D) for a leased trailer that is leased on or after January 1, 2013, the person or persons registered as the owner of the tractor or trailer by the California Department of Motor Vehicles or its equivalent in another state, province, or country (usually the lessor) is the owner for purposes of this subarticle, except that the lessee of the trailer is the owner for purposes of this subarticle if either the lessor demonstrates that the lessor provided the lessee with the following statement on a document separate from the lease agreement prior to entering the lease agreement, or the lease agreement includes the following statement:
“The lessee of this box-type trailer understands that when using a heavy-duty tractor to pull a 53-foot or longer box-type trailer on a highway within California, the box-type trailer must be compliant with sections 95300-95312, title 17, California Code of Regulations,; and that it is the responsibility of the lessee to ensure this box-type trailer is compliant. The regulations may require this trailer to have low-rolling-resistance tires and aerodynamic technologies that are U.S. Environmental Protection Agency SmartWay Verified Technologies prior to current or future use in California.” 
(E) For purposes of this subarticle, the terms “lease agreement,” “leased,” “lessor,” and “lessee” mean the same as “rental agreement,” “rented,” “owner of the rented vehicle,” and “renter,” respectively.
(43) “Person” means an individual, corporation, business trust, estate, trust, partnership, limited liability company, association, joint venture, government, governmental subdivision, agency, instrumentality, public corporation, or any other legal or commercial entity.
(44) “Port” means the port property where marine and port terminals are typically located for the loading and unloading of water-borne commerce onto and from ocean-going vessels. Ports covered by this regulation include, but are not limited to, the Port of Long Beach, Port of Los Angeles, Port of Humboldt Bay, Port of San Diego, Port of Hueneme, Port of Oakland, Port of San Francisco, Port of Sacramento, Port of Stockton, Port of Redwood City, Port of Crockett, Port of Richmond, Port of Pittsburg, and the Port of Benicia.
(45) “Rear trailer fairing” means a fairing that attaches to the perimeter outer edges of the trailer's rear-facing surface to provide a continuous surface for the air passing over the side and top surfaces of the trailer. 
(46) “Refrigerated-van trailer” means a rectangular trailer van that has a refrigeration or heating unit built into the front of the trailer to maintain precise temperatures and is designed to haul freight that requires climate control, such as frozen food, fresh produce, hot or warm food, and other perishable items.
(47) “Refuse trailer” means a trailer that is used to haul solid waste material. Solid waste includes garbage, construction debris, commercial refuse, and other discarded materials.
(48) “Register” means to provide the Executive Officer with the information identified in sections 95306 (b) through (f) and sections 95307(b)(3) and 95307(c)(2), as required, by means of TRUCRS. 
(49) “Relocation Pass” means a temporary permit issued by the Executive Officer in accordance with the requirements of section 95305(f) that allows a local-haul trailer to relocate to either a new local-haul base or to an out-of-state location while hauling freight, or a storage trailer to relocate to a new storage trailer location or to an out-of-state location while hauling freight, without meeting all of the applicable requirements of section 95303(b). 
(50) “Semitrailer” means a “Semitrailer” as defined in section 550 of the California Vehicle Code. 
(51) “Shipper” means a person that has possession of freight prior to its transportation. This may include, but is not limited to, owners of freight distribution centers, and temporary freight storage facilities.
(52) “Short-haul tractor” means a HD tractor that travels less than 50,000 miles per year, including all miles accrued both inside and outside of California.
(53) “Sleeper cab” means a HD tractor body that has a compartment, typically containing a bed, located behind the driving compartment. 
(54) “Storage trailer” means a trailer that is used for the storage of items at a fixed location.
(55) “Storage trailer location” means the street address where a registered storage trailer is used to store items. 
(56) “Tractor” means a “Truck Tractor” as defined in section 655 of the California Vehicle Code.
(57) “Trailer” means a semitrailer.
(58) “Transfer of Ownership Pass” means a temporary permit issued by the Executive Officer in accordance with the requirements of section 95305(g) that allows a HD tractor to pull a non-compliant 53-foot or longer box-type trailer on a highway within California without meeting all of the applicable requirements of section 95303(b) for the purpose of delivering that trailer from its current location to the transferee's location.
(59) “Transport refrigeration unit” or “TRU” means a refrigeration system powered by an integral internal combustion engine designed to control the environment of temperature sensitive products that are transported in refrigerated-van trailers. TRUs may be capable of both cooling and heating.
(60) “TRUCRS (Truck Regulation Upload, Compliance, and Reporting System)” is the on-line reporting tool for this subarticle.
(61) “U.S. EPA SmartWay Certified Tractor” means a tractor that has been certified or designated by the United States Environmental Protection Agency (U.S. EPA) to meet the technical specifications and requirements of the U.S. EPA SmartWay Transport Partnership Program. 
(62) “U.S. EPA SmartWay Certified Trailer” means a 53-foot or longer box-type trailer that has been certified or designated by the U.S. EPA to meet the technical specifications and requirements of the U.S. EPA SmartWay Transport Partnership Program. 
(63) “U.S. EPA SmartWay Transport Partnership Program” means the U.S. EPA's voluntary program that is a collaboration between the U.S. EPA and the transportation industry to improve energy efficiency, reduce greenhouse gas and air pollutant emissions, and improve energy security. This program establishes incentives for improving freight movement efficiency and the fuel efficiency of freight moving equipment. 
(64) “U.S. EPA SmartWay Verified Technology” or “U.S. EPA SmartWay Verified Technologies” means one or more aerodynamic technologies or low-rolling-resistance tire models that have been identified by the U.S. EPA as meeting the technical specifications and requirements of the U.S. EPA SmartWay Transport Partnership Program. 
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95303. Requirements and Compliance Deadlines.
Note     •     History

(a) Tractor Requirements. 
(1) Except as provided in section 95305, Exemptions, beginning January 1, 2010, no 2011 or subsequent model year sleeper-cab HD tractor pulling a 53-foot or longer box-type trailer shall operate on a highway within California unless such tractor is either:
(A) a U.S. EPA SmartWay Certified Tractor, or
(B) a U.S. EPA SmartWay Certified Tractor that has been modified provided:
1. the modification is necessary for the tractor to perform its designed job function, 
2. there is no reasonable alternative to the modification that would involve or require a lesser degree of modifications to the tractor, and 
3. the Executive Officer has previously approved the modification. 
a. An applicant requesting an exemption pursuant to section 95303(a)(1)(B) must submit information to the Executive Officer that describes the proposed modification(s), the need therefor, and the absence or lack of reasonable alternatives to the modification. Such information includes, without limitation, engineering drawings, blueprints, schematics, scientific or technical articles, contract specifications, etc. 
b. The Executive Officer will approve or disapprove a request for an exemption pursuant to section 95303(a)(1)(B) upon information submitted by an applicant as specified in section 95303(a)(1)(B)3.a. and good engineering judgment.
(2) Except as provided in section 95305, Exemptions, beginning January 1, 2010, no 2011 or subsequent model year HD tractor, including but not limited to sleeper-cab HD tractors, pulling a 53-foot or longer box-type trailer shall operate on a highway within California unless such tractor's tires are U.S. EPA SmartWay Verified Technologies.
(3) Except as provided in section 95305, Exemptions, beginning January 1, 2013, no 2010 or previous model year HD tractor, pulling a 53-foot or longer box-type trailer shall operate on a highway within California unless such tractor's tires are U.S. EPA SmartWay Verified Technologies.
(b) Trailer Requirements.
(1) 2011 and Subsequent Model Year Dry-Van Trailer Requirements.
Except as provided in section 95305, Exemptions, beginning January 1, 2010, no 2011 or subsequent model-year 53-foot or longer dry-van trailer shall travel on a highway within California unless such trailer is either:
(A) a U.S. EPA SmartWay Certified Trailer, or 
(B) equipped with both:
1. tires that are U.S. EPA SmartWay Verified Technologies; and 
2. a dry-van trailer aerodynamic technology or combination of technologies that is either 
a. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that has been demonstrated to the U.S. EPA to meet or exceed a 5 percent fuel savings in accordance with the requirements defined by the U.S. EPA SmartWay Partnership Program, or 

b. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that met the criteria defined in section 95303(b)(1)(B)2.a., but has been modified in any manner from the U.S. EPA SmartWay Verified Technology configurations. Only modifications that are required to enable a particular SmartWay technology to be installed on a trailer are allowed. Such modifications must not significantly increase the aerodynamic drag of the base, unmodified SmartWay verified configuration, and the modifications may only be used if prior written approval 	is obtained from the Executive Officer. The Executive Officer will base his or her approval on information submitted that describes the modification, the need therefor, and any test data or other information that demonstrates the proposed modifications would not significantly increase the aerodynamic drag of the SmartWay verified configuration, and on good engineering judgment.
(2) 2011 and Subsequent Model Year Refrigerated-Van Trailer Requirements.
Except as provided in section 95305, Exemptions, beginning January 1, 2010, no 2011 or subsequent model year 53-foot or longer refrigerated-van trailer shall travel on a highway within California unless such trailer is either: 
(A) a U.S. EPA SmartWay Certified Trailer, or 
(B) equipped with both:
1. tires that are U.S. EPA SmartWay Verified Technologies; and 
2. a dry-van trailer or refrigerated-van trailer aerodynamic technology or combination of technologies that is either 
a. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that has been demonstrated to the U.S. EPA to meet or exceed a 4 percent fuel savings in accordance with the requirements defined by the U.S. EPA SmartWay Partnership Program, or 
b. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that met the criteria defined in section 95303(b)(2)(B)2.a., but has been modified in any manner from the U.S. EPA SmartWay Verified Technology configurations. Only modifications that are required to enable a particular SmartWay technology to be installed on a trailer are allowed. Such modifications must not significantly increase the aerodynamic drag of the base, unmodified SmartWay verified configuration, and the modifications may only be used if prior written approval is obtained from the Executive Officer. The Executive Officer will base his or her approval on information submitted that describes the modification, the need therefor, and any test data or other information that demonstrates the proposed modifications would not significantly increase the aerodynamic drag of the SmartWay verified configuration, and on good engineering judgment.
(3) 2010 or Previous Model Year Dry-Van and Refrigerated-Van Trailer Requirements.
Except as provided in section 95305, Exemptions, a 2010 or previous model year 53-foot or longer box-type trailer pulled by a HD tractor may not travel on a highway within California unless all of the following requirements are met by the compliance dates specified. 
(A) By January 1, 2017, a 2010 or previous model year 53-foot or longer box-type trailer not identified in section 95303(b)(3)(F) must be equipped with tires that are U.S. EPA SmartWay Verified Technologies.
(B) By January 1, 2013, a 2010 or previous model year 53-foot or longer dry-van trailer that is not participating in an optional trailer fleet compliance schedule as defined in section 95307, Optional Trailer Fleet Compliance Schedules, must either be 
1. a U.S. EPA SmartWay Certified Trailer, or
2. equipped with a dry-van trailer aerodynamic technology or combination of technologies that is either 
a. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that has been demonstrated to the U.S. EPA to meet or exceed a 5 percent fuel savings in accordance with the requirements defined by the U.S. EPA SmartWay Partnership Program, or 
b. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that met the criteria defined in section 95303(b)(3)(B)2.a., but has been modified in any manner from the U.S. EPA SmartWay Verified Technology configurations. Only modifications that are required to enable a particular SmartWay technology to be installed on a trailer are allowed. Such modifications must not significantly increase the aerodynamic drag of the base, unmodified SmartWay verified configuration, and the modifications may only be used if prior written approval is obtained from the Executive Officer. The Executive Officer will base his or her approval on information submitted that describes the modification, the need therefor, and any test data or other information that demonstrates the proposed modifications would not significantly increase the aerodynamic drag of the SmartWay verified configuration, and on good engineering judgment.
(C) By January 1, 2013, a 2010 or previous model year 53-foot or longer refrigerated-van trailer that is not participating in an optional trailer fleet compliance schedule as defined in section 95307, Optional Trailer Fleet Compliance Schedules, and not identified in section 95303(b)(3)(F), must either be 
1. a U.S. EPA SmartWay Certified Trailer, or
2. equipped with a dry-van or refrigerated-van trailer aerodynamic technology or combination of technologies that is either 
a. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that has been demonstrated to the U.S. EPA to meet or exceed a 4 percent fuel savings in accordance with the requirements defined by the U.S. EPA SmartWay Partnership Program, or 
b. a U.S. EPA SmartWay Verified Technology or combination of U.S. EPA SmartWay Verified Technologies that met the criteria defined in section 95303(b)(3)(C)2.a., but has been modified in any manner from the U.S. EPA SmartWay Verified Technology configurations. Only modifications that are required to enable a particular SmartWay technology to be installed on a trailer are allowed. Such modifications must not significantly increase the aerodynamic drag of the base, unmodified SmartWay verified configuration, and the modifications may only be used if prior written approval is obtained from the Executive Officer. The Executive Officer will base his or her approval on information submitted that describes the modification, the need therefor, and any test data or other information that demonstrates the proposed modifications would not significantly increase the aerodynamic drag of the SmartWay verified configuration, and on good engineering judgment.
(D) For dry-van trailers participating in an optional trailer fleet compliance schedule as defined in section 95307, Optional Trailer Fleet Compliance Schedules, a 2010 or previous model year 53-foot or longer dry-van trailer must either meet the requirements defined in section 95303(b)(3)(B)1. or the requirements defined in section 95303(b)(3)(B)2. by the applicable compliance dates in section 95307, Optional Trailer Fleet Compliance Schedules.
(E) For refrigerated-van trailers participating in an optional trailer fleet compliance schedule as defined in section 95307, Optional Trailer Fleet Compliance Schedules, a 2010 or previous model year 53-foot or longer refrigerated-van trailer must either meet the requirements defined in section 95303(b)(3)(C)1. or the requirements defined in section 95303(b)(3)(C)2. by the applicable compliance dates in section 95307, Optional Trailer Fleet Compliance Schedules.
(F) A 2003 through 2009 model year 53-foot or longer refrigerated-van trailer equipped with 2003 or subsequent model year transport refrigeration unit engine must be equipped with tires that are U.S. EPA SmartWay Verified Technologies and either meet the requirements defined in section 95303(b)(3)(C)1. or the requirements defined in section 95303(b)(3)(C)2. by: 
1. January 1, 2018 for a 2003 or 2004 model year trailer
2. January 1, 2019 for a 2005 or 2006 model year trailer
3. January 1, 2020 for a 2007, 2008, or 2009 model year trailer
(c) Requirements for Drivers.
(1) A driver may not operate a HD tractor to pull a 53-foot or longer box-type trailer on a highway within California unless both the tractor and the trailer:
(A) comply with the applicable requirements and compliance deadlines set forth in sections 95303(a) and 95303(b); and
(B) are in good operating condition as defined in section 95304, Good Operating Condition Requirements.
(2) A driver must, upon request, provide the following information to authorized enforcement personnel identified in section 95308:
(A) driver's license;
(B) vehicle odometer reading, if the tractor is an exempt short-haul tractor;
(C) tractor registration;
(D) trailer registration; 
(E) origin of freight;
(F) destination of freight;
(G) if dispatched by a motor carrier, the motor carrier information set forth in section 95303(g)(1)(B);
(H) if dispatched by a broker, the broker information set forth in section 95303(f)(1)(B);
(I) if operating a drayage tractor that is exempt pursuant to the requirements of section 95305(d), documentation indicating the port or intermodal railyard of origin or destination, as applicable; and 
(J) if operating a HD tractor pulling a 53-foot or longer box-type trailer that is operating under either a Relocation Pass pursuant to section 95305(f), Transfer of Ownership Pass pursuant to section 95305(g), or Non-compliant Tractor Pass pursuant to section 95305(h), the pass approval number, as applicable.
(3) A driver of a HD tractor pulling a 53-foot or longer box-type trailer that is exempt pursuant to section 95305(l) must, upon request, allow authorized enforcement personnel to directly view the inside of the trailer.
(4) A driver shall not operate a HD tractor to pull a 53-foot or longer box-type trailer on a highway within California if the tractor or the trailer has aerodynamic technologies that are not deployed or not in their operational configuration.
(d) Requirements for Owners of HD Tractors.
(1) An owner of a HD tractor may not use or cause to be used a HD tractor to pull a 53-foot or longer box-type trailer on a highway within California unless both the HD tractor and the box-type trailer: 
(A) comply with the applicable requirements and compliance deadlines set forth in sections 95303(a) and 95303(b); and

(B) 	are in good operating condition as defined in section 95304, Good Operating Condition Requirements. 
(e) Requirements for Owners of Box-Type Trailers.

(1) 	An owner of a 53-foot or longer box-type trailer must ensure that the 53-foot or longer box-type trailer will not be pulled by a HD tractor on a highway within California unless the 53-foot or longer box-type trailer:
(A) complies with the requirements and compliance deadlines set forth in section 95303(b); and
(B) is in good operating condition as defined in section 95304, Good Operating Condition Requirements.

(2) 	An owner of one or more 2010 or previous model year 53-foot or longer box-type trailers that are subject to the requirements of section 95303(b)(3) may elect to follow an alternative compliance schedule, if applicable. Owners that choose to follow an alternative compliance schedule must meet the requirements of section 95307, Optional Trailer Fleet Compliance Schedules. 
(f) Requirements for California-based Brokers.
(1) A California-based broker must:
(A) only dispatch a HD tractor or a 53-foot or longer box-type trailer for travel on a highway within California if the tractor or trailer complies with the applicable operating requirements and compliance deadlines set forth in sections 95303(a) and 95303(b);
(B) provide the following information to a dispatched driver who will be traveling on a highway within California: 
1. broker's business name;
2. broker's street address, state, zip code; 
3. broker contact person's name; and
4. broker contact person's business phone number.
(g) Requirements for Motor Carriers.
(1) A motor carrier must:
(A) only dispatch a HD tractor or a 53-foot or longer box-type trailer for travel on a highway within California if the tractor or trailer complies with the applicable operating requirements and compliance deadlines set forth in sections 95303(a) and 95303(b);
(B) provide the following information to a dispatched driver who will be traveling on a highway within California: 
1. motor carrier's business name;
2. motor carrier's street address, state, zip code;
3. motor carrier contact person's name; and
4. motor carrier contact person's business phone number.
(h) Requirements for California-based Shippers.
(1) A California-based shipper must not ship freight from its California facility or facilities in a 53-foot or longer box-type trailer pulled by a HD tractor on a highway within California unless the HD tractor and the 53-foot or longer box-type trailer comply with the operating requirements and compliance deadlines set forth in sections 95303(a) and 95303(b).
(i) Requirements for California-licensed Vehicle Dealers.
(1) Any California-licensed vehicle dealer selling a HD tractor or 53-foot or longer box-type trailer subject to this regulation must provide the buyer with the following disclosure in writing: 
“A heavy-duty tractor and 53-foot or longer box-type trailer operated in California may be subject to the Heavy-Duty Vehicle Greenhouse Gas Emission Reduction Regulation set forth under sections 95300 - 95312, title 17, California Code of Regulations. These vehicles may be required to use low-rolling-resistance tires and meet aerodynamic equipment requirements to reduce greenhouse gas emissions.”
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95304. Good Operating Condition Requirements.
Note     •     History

(a) Good Operating Condition Criteria for U.S. EPA SmartWay Certified Tractor Aerodynamic Technologies. 
(1) An aerodynamic technology such as an aerodynamic mirror, a cab side extender, a fuel tank fairing, and an integrated sleeper cab roof fairing on a U.S. EPA Certified SmartWay Tractor must meet the following criteria: 
(A) Each must be installed in accordance with manufacturer's specifications;
(B) Each must be securely fastened to the tractor; and 

(C) 	Each must not be used if it is damaged to such an extent as to compromise its aerodynamic effectiveness. 
(b) Good Operating Condition Criteria for Trailer Aerodynamic Technologies. 
(1) An aerodynamic technology installed on a box-type trailer must meet the following criteria: 
(A) The aerodynamic technology must either be installed: 
1. in accordance with the aerodynamic technology manufacturer's specifications such that the technology continues to maintain its verified status in accordance with the requirements of the U.S. EPA SmartWay Transport Partnership Program, or 
2. in a configuration approved by the Executive Officer.
(B) The aerodynamic technology must be securely fastened to the trailer;
(C) The aerodynamic technology must not be used with missing sections; and
(D) The aerodynamic technology must not be used if damaged to such an extent as to compromise its aerodynamic effectiveness.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95305. Exemptions.
Note     •     History

(a) Short-Haul Tractor Exemption Requirements. To qualify, the following must be met: 
(1) A short-haul tractor pulling a 53-foot or longer box-type trailer on a California highway is exempt from the requirements of sections 95303(a)(1), 95303(a)(2), and 95303(a)(3) if the short-haul tractor 
(A) has been registered in accordance with the requirements of section 95306, Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements, and
(B) is driven less than 50,000 miles annually, including all miles accrued both inside and outside of California. 
(2) A 53-foot or longer box-type trailer is exempt from the requirements of section 95303(b) while it is being pulled by an exempt short-haul tractor. 
(3) The use of an exempt short-haul tractor in excess of 50,000 miles traveled during the one year period from the date the owner submitted the applicable information identified in sections 95306(b) through (f) is a violation of this subarticle.
(4) The driver of an exempt short-haul tractor must, upon request, provide the applicable information specified in section 95303(c)(2) to authorized enforcement personnel identified in section 95308, Enforcement.
(5) The driver of an exempt short-haul tractor must, upon request, allow authorized enforcement personnel identified in section 95308, Enforcement, to directly view the odometer of the exempt short-haul tractor.
(6) For an exempt short-haul tractor that is removed from an owner's exempt short-haul tractor fleet, taken out of service, or is otherwise no longer exempt, the owner must notify the Executive Officer and update the short-haul tractor information submitted in accordance with section 95306(d) to reflect this change in status prior to change in ownership of the tractor or prior to the tractor traveling on a highway within California, whichever occurs first, or within 30 days of the tractor being taken out of service. A tractor that is removed from the owner's short-haul tractor fleet or that for any other reason loses its exempt status is ineligible for the short-haul exemption under that owner for 36 months from the date its exempt status was terminated.
(7) A short-haul tractor exemption remains in effect for a period of one year from the date that the information required in sections 95306(b) through 95306(d) and section 95306(f) is submitted to the Executive Officer if the owner and the exempt tractor are in continuing compliance with the requirements of this section. To extend the exemption for an additional one year from the expiration date of the exemption, the owner must submit to the Executive Officer the tractor's odometer reading taken at the end of the one year period no more than 15 days after the expiration date of the exemption.
(8) The owner of more than one short-haul tractor may consolidate the dates to apply for an extension with approval of the Executive Officer.
(b) Local-Haul Tractor Exemption Requirements.
(1) A local-haul tractor pulling a 53-foot or longer box-type trailer is exempt from the requirements of sections 95303(a)(1), but still must comply with the requirements of sections 95303(a)(2) and 95303(a)(3), if 
(A) the local-haul tractor has been registered in accordance with the requirements of section 95306, Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements, and
(B) the tractor-trailer combination is traveling within 100 miles of the local-haul tractor's local-haul base.
(2) A 2011 or subsequent model year 53-foot or longer box-type trailer is exempt from the requirements of sections 95303(b)(1)(A), 95303(b)(1)(B)2., 95303(b)(2)(A), and 95303(b)(2)(B)2., but still must comply with the requirements of sections 95303(b)(1)(B)1. or 95303(b)(2)(B)1. while it is being pulled by an exempt local-haul tractor. 
(3) A 2010 or previous model year 53-foot or longer box-type trailer is exempt from the requirements of sections 95303(b)(3)(B) and 95303(b)(3)(C), but still must comply with the requirements of section 95303(b)(3)(A) while it is being pulled by an exempt local-haul tractor.
(4) The driver of an exempt local-haul tractor must, upon request, provide the applicable information listed in section 95305(c)(2) to authorized enforcement personnel identified in section 95308, Enforcement.
(5) A local-haul tractor exemption will remain in effect as long as the owner and the exempt tractor remain in compliance with the requirements of this section. 
(6) The owner of an exempt local-haul tractor must notify the Executive Officer if the information submitted in accordance with sections 95306(b) through 95306(d) and section 95306(f) has changed, and must submit the updated information to the Executive Officer within 15 days of change.
(7) For a local-haul tractor that is removed from an owner's local-haul fleet, taken out of service, or is otherwise no longer exempt, the owner must notify the Executive Officer and update the local-haul tractor information submitted in accordance with section 95306(d) to reflect this change in status prior to change in ownership of the tractor, or prior to the tractor traveling on a highway within California, whichever occurs first, or within 30 days of the tractor being taken out of service.
(c) Local-Haul Trailer Exemption Requirements.
(1) A 2011 or subsequent model year local-haul trailer is exempt from the requirements of sections 95303(b)(1)(A), 95303(b)(1)(B)2., 95303(b)(2)(A), and 95303(b)(2)(B)2., but still must comply with the requirements of sections 95303(b)(1)(B)1. or 95303(b)(2)(B)1. if the trailer has been registered in accordance with the requirements of section 95306, Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements, and the following conditions are met:
(A) the local-haul trailer is being pulled by a HD tractor on a California highway within 100 miles of the local-haul trailer's local-haul base, or
(B) the local-haul trailer is traveling under a valid Relocation Pass.
(2) A 2010 or previous model year local-haul trailer is exempt from the requirements of sections 95303(b)(3)(B) and 95303(b)(3)(C), but still must comply with the requirements of section 95303(b)(3)(A) if the trailer has been registered in accordance with the requirements of section 95306, Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements, and the following conditions are met:
(A) the local-haul trailer is being pulled by a HD tractor on a California highway within 100 miles of the local-haul trailer's local-haul base, or
(B) the local-haul trailer is traveling under a valid Relocation Pass.
(3) A local-haul trailer exemption will remain in effect as long as the owner and the exempt trailer are in compliance with the requirements of this section. 
(4) The owner of an exempt local-haul trailer must notify the Executive Officer if the information submitted in accordance with sections 95306(b), 95306(c), and 95306(e) has changed, and must submit the updated information to the Executive Officer within 15 days of change.
(5) For an exempt local-haul trailer that is removed from an owner's local-haul fleet, taken out of service, or is otherwise no longer exempt, the owner must notify the Executive Officer and update the local-haul trailer information submitted in accordance with section 95306(e) to reflect this change in status prior to change in ownership of the trailer, or prior to the trailer traveling on a highway within California, whichever occurs first, or within 30 days of the trailer being taken out of service. 
(6) A 2011 or subsequent model year sleeper cab HD tractor is exempt from the requirements of section 95303(a)(1), but still must comply with the requirements of section 95303(a)(2), while it is pulling a local-haul trailer that is exempt under section 95305(c).
(d) Drayage Tractor-Trailer Exemption Requirements. 
(1) A drayage tractor pulling a 53-foot or longer box-type trailer on a California highway within 100 miles of a port or intermodal railyard, and the trailer it pulls, are exempt from sections 95303(a) and 95303(b), provided: 
(A) the trailer was off-loaded from an ocean-going vessel or rail car at the port or intermodal railyard prior to being pulled by the drayage tractor, and the driver has documentation indicating the port or intermodal railyard of origin; or 
(B) the drayage tractor is transporting the trailer to the port or intermodal railyard to be loaded onto an ocean-going vessel or rail car, and the driver has documentation indicating the port or intermodal railyard of destination. 
(e) Storage Trailer Exemption Requirements. 
(1) A storage trailer is exempt from the requirements of section 95303(b) if the storage trailer has been registered in accordance with the requirements of section 95306, Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements, and the storage trailer is traveling under a valid Relocation Pass.
(2) A storage trailer exemption will remain in effect as long as the owner and the exempt storage trailer are in compliance with the requirements of this section. 
(3) The owner of an exempt storage trailer must notify the Executive Officer if the information submitted in accordance with sections 95306(b) and 95306(e) has changed, and must submit the updated information to the Executive Officer within 15 days of the change.
(4) For an exempt storage trailer that is removed from an owner's storage trailer fleet, taken out of service, or is otherwise no longer exempt, the owner must notify the Executive Officer and update the exempt storage trailer information submitted in accordance with section 95306(e) to reflect this change in status prior to change in ownership of the trailer, or prior to the trailer traveling on a highway within California, whichever occurs first, or within 30 days of the trailer being taken out of service. 
(5) A HD tractor is exempt from the requirements of section 95303(a) while it is pulling a storage trailer that is exempt under section 95305(e).
(f) Relocation Pass for Trailers.
(1) An owner that obtains a Relocation Pass for a registered local-haul trailer or a registered storage trailer may operate that vehicle in accordance with the provisions of sections 95305(f)(1)(A) or 95305(f)(1)(B) for a specified period, as determined by the Executive Officer, not to exceed five consecutive days. 
(A) A registered local-haul trailer traveling under a Relocation Pass may transport freight on a California highway further than 100 miles from its local-haul base while en route to a new local-haul base, or en route to an out-of-state location.
(B) A registered storage trailer traveling under a Relocation Pass may transport freight on a California highway while en route to a new storage trailer location, or en route to an out-of-state location.
(2) An owner that obtains a Relocation Pass for a 53-foot or longer box-type trailer that is not a registered local-haul trailer or registered storage trailer may operate that vehicle on a California highway exempt from the requirements of section 95303(b) for a specified period, as determined by the Executive Officer, not to exceed five consecutive days provided that the following requirements are met: 
(A) after the trailer's Relocation Pass expires, the trailer may not be used to transport freight on a California highway until it is a registered local-haul trailer and operated in accordance with the provisions of section 95305(c), or
(B) after the trailer's Relocation Pass expires, the trailer will not be used to transport freight on a California highway until it is registered as a storage trailer and operated in accordance with the provisions of section 95305(e), or
(C) after the trailer's Relocation Pass expires, the trailer will not be used to transport freight on a California highway until it complies with the equipment requirements of 95303(b). 
(3) An owner that relocates a registered local-haul trailer to a new local-haul base under a Relocation Pass must assign the trailer to the local-haul base of destination prior to beginning travel under the Relocation Pass.
(4) To obtain a Relocation Pass, a request to the Executive Officer must be made prior to the trailer's relocation. In the request, the owner must provide the Executive Officer with the following information:
(A) Owner contact information, as specified in section 95306(b). 
(B) Trailer vehicle identification number (VIN).
(C) Street address of location of trailer where travel under the Relocation Pass will begin.
(D) Street address of location of trailer where travel under the Relocation Pass will end.
(E) Anticipated date trailer will begin relocation travel.
(5) Regardless of ownership, a trailer will be granted no more than four Relocation Passes per year that are issued in accordance with the requirements of section 95305(f) . 
(6) A trailer that has been issued a Relocation Pass in accordance with section 95305(f)(1) may not be issued another Relocation Pass until 30 days after the Pass was issued.
(7) A trailer that has been issued a Relocation Pass in accordance with section 95305(f)(2) may not be issued another Relocation Pass until 30 days after the trailer was registered as a local-haul trailer or storage trailer in accordance with sections 95305(c) or 95305(e), respectively.
(8) The Executive Officer will respond to a request for a Relocation Pass within 15 days of receiving the information identified in section 95305(f)(4) and notify the owner in writing of the decision.
(A) If approved, and upon confirmation of the date of travel by the owner, the Executive Officer will provide the owner with a Relocation Pass in electronic or written format that will contain the following information:
1. Effective dates of the Relocation Pass which shall not exceed five consecutive days beginning with the date the trailer will begin travel.
2. Relocation Pass Approval Number. 
(g) Transfer of Ownership Pass for Trailers.
(1) Either party (the transferor or transferee) involved in the transfer of ownership of a 53-foot or longer box-type trailer may obtain a Transfer of Ownership Pass for that trailer up to 30 days prior to the transfer of ownership.
(2) A 53-foot or longer box-type trailer traveling under a Transfer of Ownership Pass for the purpose of delivering such trailer from the transferor to the transferee is temporarily exempt from the requirements of section 95303(b).
(3) To obtain a Transfer of Ownership Pass, a request to the Executive Officer must be made prior to the start of trailer delivery from the transferor to the transferee. The request must be made by whomever is the trailer's registered owner at the time of delivery, either the transferor or transferee. In the request, the transferor or transferee must provide the Executive Officer the following information for each trailer: 
(A) Transferor's contact information:
1. Transferor's name, and if a corporate entity or governmental agency is selling the trailer, the responsible official and title (if applicable);
2. Name of transferor's company, corporation, or governmental agency (if applicable);
3. Corporate parent (if applicable);
4. Motor carrier identification number and type (if applicable);
5. Vehicle dealer license number and state where it was issued (if applicable);
6. Street address of transferor or transferor's company including city, state or province, zip code, colonia (Mexico only), and country;
7. Mailing address including city, state or province, zip code, colonia (Mexico only), and country;
8. Physical address of location where records pertaining to the applicable sale will be maintained including city, state or province, zip code, colonia (Mexico only), and country;
9. Transferor's contact person's name;
10. Telephone number of contact person;
11. Email address of contact person (if available);
12. Company taxpayer identification number (if applicable); and
13. TRUCRS identification number of corporate parent (if one has been obtained).
(B) Transferee's contact information:
1. Transferee's name, and if a corporate entity or governmental agency is buying the trailer, the responsible official and title (if applicable);
2. Name of transferee's company, corporation, or governmental agency (if applicable);
3. Corporate parent (if applicable);
4. Motor carrier identification number and type (if applicable);
5. Vehicle dealer license number and state where it was issued (if applicable);
6. Street address of transferee or transferee's company including city, state or province, zip code, colonia (Mexico only), and country;
7. Mailing address including city, state or province, zip code, colonia (Mexico only), and country;
8. Physical address of location where records pertaining to the applicable sale will be maintained including city, state or province, zip code, colonia (Mexico only), and country;
9. Transferee's contact person's name;
10. Telephone number of contact person;
11. Email address of contact person (if available);
12. Company taxpayer identification number (if applicable); and
13. TRUCRS identification number of corporate parent (if one has been obtained).
(C) Trailer identification number (VIN).
(D) Address of trailer location prior to start of delivery. 
(E) Address of trailer location when delivery is complete.
(F) Date when trailer is scheduled to begin travel on a California highway under the Transfer of Ownership Pass. 
(G) Date when trailer is scheduled to end travel on a California highway under the Transfer of Ownership Pass. 

(H) 	If the total length of time from when the trailer is scheduled to begin travel on a California highway under the Transfer of Ownership Pass to when the trailer is scheduled to end travel on a California highway under the Transfer of Ownership Pass is greater than five consecutive days, the Executive Officer may request additional information from the transferee.
(4) For transfers of ownership where the transferor or transferee is not a licensed vehicle dealer, once a Transfer of Ownership Pass has been approved for a trailer, the transferor and transferee are not jointly eligible for another Transfer of Ownership Pass for that same trailer until one year from the last effective date of the approved Transfer of Ownership Pass. 
(5) For transfers of ownership where the transferor or transferee is a licensed vehicle dealer, once a Transfer of Ownership Pass has been approved for a trailer, the transferor and transferee are jointly eligible for only one additional Transfer of Ownership Pass for that same trailer within the one year period that begins with the last effective date of the first approved Transfer of Ownership Pass. 
(6) The Executive Officer will respond to a request for a Transfer of Ownership Pass within 15 days of receiving the information identified in section 95305(g)(3) and notify the transferor or transferee in writing of the decision. 
(A) If approved, The Executive Officer will provide a Transfer of Ownership Pass in electronic or written format that will contain the following information:
1. Effective dates of the Transfer of Ownership Pass.
2. Transfer of Ownership Pass Approval Number. 
(h) Non-compliant Tractor Pass 
(1) Until January 1, 2015, a HD tractor traveling under a Non-compliant Tractor Pass while pulling a 53-foot or longer box-type trailer on a highway within California is temporarily exempt from the requirements of section 95303(a) for a specified period, as determined by the Executive Officer, not to exceed five consecutive days. 
(2) A 53-foot or longer box-type trailer pulled by a HD tractor traveling under a Non-compliant Tractor Pass on a highway within California is temporarily exempt from the requirements of section 95303(b) for a specified period, as determined by the Executive Officer, not to exceed five consecutive days. 
(3) To obtain a Non-compliant Tractor Pass, the tractor owner must make a request to the Executive Officer prior to affected travel. In the request, the owner must provide the following information for each tractor. 
(A) Owner contact information, as specified in section 95306(b). 
(B) Tractor identification number (VIN).
(C) Date tractor will begin travel, or enter California if traveling from out of state location, under the Non-compliant Tractor Pass. 
(4) No owner will be granted more than one Non-compliant Tractor Pass per year
(5) Only one tractor per fleet operating under a common United States Department of Transportation (USDOT) number, motor carrier identification number, or International Registration Plan (IRP) fleet number will be granted a Non-compliant Tractor Pass per year.
(6) The Executive Officer will respond to a request for a Non-compliant Tractor Pass within 15 days of receiving the information identified in section 95305(h)(3) and notify the owner in writing of the decision. 
(A) If approved, The Executive Officer will provide the owner with a Non-compliant Tractor Pass in electronic or written format that will contain the following information:
1. Effective dates of the Non-compliant Tractor Pass.
2. Non-compliant Tractor Pass Approval Number. 
(i) Trailer Aerodynamic Equipment Compliance Delay
(1) An owner of a dry-van or refrigerated-van trailer that is subject to the requirements of section 95303(b) may apply for a Trailer Aerodynamic Equipment Compliance Delay if the trailer is configured such that existing aerodynamic technologies necessary to meet the requirements defined in sections 95303(b)(1)(B)2. or 95303(b)(3)(B)2. for dry-van trailers, or 95303(b)(2)(B)2. or 95303(b)(3)(C)2. for refrigerated-van trailers, cannot be installed.
(2) A trailer identified in a Trailer Aerodynamic Equipment Compliance Delay is subject to the following compliance deadlines
(A) For a trailer not participating in an optional trailer fleet compliance schedule, the applicable compliance date is one year from the trailer's current compliance date, or one year from the Trailer Aerodynamic Equipment Compliance Delay approval date, whichever is later.
(B) For a trailer participating in an optional trailer fleet compliance schedule as defined in section 95307, Optional Trailer Fleet Compliance Schedules, the applicable compliance date is one year from the applicable Conformance Threshold Deadline for that trailer, provided all other trailers in the fleet have been brought into compliance. 
(3) To apply for a Trailer Aerodynamic Equipment Compliance Delay, an owner must provide the Executive Officer the following information
(A) Owner contact information
1. Trailer owner's name, and if a corporate entity or governmental agency owns the trailer, the responsible official and title (if applicable);
2. Street address of owner or owner's company including city, state or province, zip code, colonia (Mexico only), and country;
3. Mailing address including city, state or province, zip code, colonia (Mexico only), and country;
4. Owner contact person's name;
5. Telephone number of contact person;
6. Email address of contact person (if available);
7. TRUCRS identification number (if applicable)
(B) Trailer Information (for each candidate trailer for compliance delay)
1. Trailer vehicle identification number (VIN).
2. Trailer participating in Optional Compliance Schedule? (Y or N)
3. Current scheduled compliance dates of trailers.
4. Narrative description of why exemption is necessary. Description should clearly explain why all available aerodynamic technologies that meet the requirements defined in sections 95303(b)(1)(B)2.a. or 95303(b)(2)(B)2.a. cannot be installed on the trailer, and why modification of such technologies is infeasible without compromising the aerodynamic effectiveness of the technology or technologies. 
5. Additional supporting materials as requested by the Executive Officer. 
(4) Applications for a Trailer Aerodynamic Equipment Compliance Delay may be submitted to the Executive Officer in written or electronic format no sooner than one year prior to the trailer's current compliance date. 
(5) The Executive Officer will respond to the application for a Trailer Aerodynamic Equipment Compliance Delay within 30 days of receipt of the application, and notify the applicant in writing of the decision.
(A) If the Executive Officer determines that the candidate trailer(s) identified in the application can be equipped with an aerodynamic technology that meets the requirements defined in sections 95303(b)(1)(B)2. or 95303(b)(2)(B)2., the application will be denied.
(B) If approved, the Executive Officer will notify the applicant in writing of the new effective compliance dates for those trailers identified in the application.
(6) The applicant may request an extension to an approved Trailer Aerodynamic Equipment Compliance Delay no sooner than 30 days prior to the new effective compliance dates. 
(j) Exemption for 2011 or Subsequent Model Year Tractors with Open-shoulder Drive Tires
(1) Until January 1, 2013, a 2011 or subsequent model year HD tractor pulling a 53-foot or longer box-type trailer subject to the requirements of section 95303(a) may operate on a highway within California with two or more open-shoulder drive tires mounted on the drive axle or axles that are not SmartWay Verified Technologies. 
(k) An owner may be prohibited by the Executive Officer from operating his or her vehicles under the provisions of section 95305 if the owner or any of the owner's vehicles that are registered exempt short-haul tractors, local-haul tractors, local-haul trailers, or storage trailers are found in violation of any requirement of section 95305. 
(l) Tractor-Trailer Exemption for Tractors Pulling Empty Trailers
(1) A HD tractor and the 53-foot or longer box-type trailer it is pulling are exempt from the requirements of sections 95303(a) and 95303(b) if the following conditions are met:
(A) the trailer is empty, and 
(B) the driver of the HD tractor pulling the empty trailer, upon request, allows authorized enforcement personnel to directly view the inside of the trailer.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Repealer and new section filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95306. Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements.
Note     •     History

(a) To qualify for an exemption set forth in sections 95305(a), 95305(b), 95305(c), or 95305(e), the owner of a HD tractor or the owner of a 53-foot or longer box-type trailer must submit to the Executive Officer all applicable information and statements identified in sections 95306(b) through (f). 
(b) Owner Contact Information: 

(1) 	Short-haul or local-haul tractor owner's name, and if a corporate entity or governmental agency owns the tractor, the responsible official and title (if applicable);
(2) Local-haul or storage trailer owner's name, and if a corporate entity or governmental agency owns the trailer, the responsible official and title (if applicable);
(3) Name of owner's company, corporation, or governmental agency (if applicable);
(4) Corporate parent (if applicable);
(5) Motor carrier identification number and type;
(6) Street address of owner or owner's company including city, state or province, zip code, colonia (Mexico only), and country;
(7) Mailing address including city, state or province, zip code, colonia (Mexico only), and country;
(8) Owner contact person's name;
(9) Telephone number of contact person;
(10) Email address of contact person (if available);
(11) Company taxpayer identification number (if applicable); and
(12) TRUCRS identification number of corporate parent (if one has been obtained).
(c) Local-Haul Base Information for Owners of Local-haul Tractors or Trailers (an owner may have multiple local-haul bases):
(1) Local-haul base contact person's name;
(2) Contact person's title;
(3) Street address of local-haul base including city, state, zip code, colonia (Mexico only), and country; and
(4) Telephone number of local-haul base.
(d) Short-haul or Local-haul Tractor Fleet Information. For each tractor to be exempted, the following information:
(1) Type of exemption applied for:
(A) Limit annual miles traveled to 50,000 (short-haul); or
(B) Limit total area of operation to within a 100-mile radius from its local-haul base (local-haul);
(2) Tractor identification number (vehicle identification number (VIN));
(3) Tractor make;
(4) Tractor model;
(5) Tractor model year;
(6) State or province of registration;
(7) Country of registration;
(8) Registration type (state, IRP, temporary, seasonal, monthly, or other);
(9) License plate number;
(10) For short-haul tractors: Odometer reading; and 
(11) For local-haul tractors: tractor's local-haul base street address, including city, state, zip code, colonia (Mexico only), and country. 
(e) Local-haul and Storage Trailer Fleet Information. For each trailer to be exempted, the following information:
(1) Trailer type (dry van or refrigerated van);
(2) Trailer identification number (vehicle identification number (VIN));
(3) Trailer make;
(4) Trailer model;
(5) Trailer model year;
(6) State or province of registration;
(7) Country of registration;
(8) Registration type;
(9) License plate number; and
(10) For a local-haul trailer only, the local-haul trailer's local-haul base street address, including city, state, and zip code.
(f) A dated written submittal by the owner with the information required by sections 95306(b) through 95306(e) and one or all of the following statements, as applicable:
(1) For all local-haul trailers and tractors:
“I agree to limit the use of this [or these] tractor[s] [or trailer[s]] to the area within a 100-mile radius of the local-haul base[s] identified in this submittal when hauling freight with vehicles subject to sections 95303(a) and (b), title 17, California Code of Regulations. I understand that if I transport any freight in the trailer[s] when pulling it [or them] on California highways outside the 100-mile radius, the tractor[s] [or trailer[s]] will be subject to the equipment requirements of this regulation and may lose exempt status if non-compliant. I also understand that if my tractor[s] [or trailer[s]] is [or are] non-compliant, I may be subject to possible enforcement actions for violations of sections 95300-95312, title 17, California Code of Regulations. I also understand that I am allowed to relocate the trailer[s] to a new location, but only if the trailer[s] is [or are] empty or I have obtained a Relocation Pass[es] for the trailer[s]. If stopped for inspection by authorized enforcement personnel, I will allow inspection of the inside[s] of the trailer[s]. I declare under penalty of perjury that the information provided is true, accurate, and complete.”
(2) For short-haul tractors:
“I agree to limit use of this [or these] tractor[s] to 50,000 or fewer miles per year. I understand that operation of the equipment for more than 50,000 miles per year may result in loss of exempt status and possible enforcement actions for violations of sections 95300-95312, title 17, California Code of Regulations. If stopped for inspection by authorized enforcement personnel, I will allow visual inspection of the tractor's [or tractors'] odometer[s]. I declare under penalty of perjury that the information provided is true, accurate, and complete.”
(3) For storage trailers:
“I agree to limit use of this [or these] trailer[s] exclusively for the storage of items at a fixed location. I understand that I am allowed to relocate the trailer[s] to a new location, but only if the trailer[s] is [are] empty or I have obtained a Relocation Pass[es] for the trailer[s]. Without a Relocation Pass, if I transport any items in the trailer[s] when pulling it [them] on California highways, the trailer[s] may lose exempt status, which may result in enforcement action for violations of sections 95300-95312, title 17, California Code of Regulations. If stopped for inspection by authorized enforcement personnel, I will allow inspection of the inside[s] of the trailer[s]. I declare under penalty of perjury that the information provided is true, accurate, and complete.”
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment of section heading and section filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95307. Optional Trailer Fleet Compliance Schedules.
Note     •     History

(a) Trailer Fleet Compliance Schedule Applicability.
(1) As specified in section 95303(b)(3), an owner of one or more 2010 or previous model year 53-foot or longer box-type trailers may bring such trailers into compliance in accordance with an applicable compliance schedule set forth in this section. 
(2) Trailers participating in Option 1 of the large fleet compliance schedule specified in section 95307(b)(1) must be acquired by the fleet owner prior to July 1, 2010.
(3) Trailers participating in Option 2 of the large fleet compliance schedule specified in section 95307(b)(2) must be acquired by the fleet owner prior to July 1, 2011. 
(4) Trailers participating in the small fleet compliance schedule specified in section 95307(c) must be acquired by the fleet owner prior to July, 1, 2012.
(5) Trailer fleet size determination. For purposes of this section, fleet size is the total of all 53-foot or longer box-type trailers within the owner's fleet, including:
(A) trailers that do not operate in California; and
(B) trailers that operate in California, including but not limited to:
1. existing compliant trailers;
2. non-compliant trailers;
3. trailers exempted in accordance with section 95305, Exemptions; and 
4. refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F).
(6) Applicable Compliance Schedules. 
(A) A fleet owner with a trailer fleet size of 21 or more trailers, as determined in accordance with section 95307(a)(5) above, may elect to participate in either of the following two compliance schedule options. A large fleet owner who does not register for one of these options must bring all trailers in the fleet into compliance as specified in section 95303(b)(3)(B) or section 95303(b)(3)(F).
1. Option 1 of the large fleet compliance schedule specified in section 95307(b)(1), or 

2. 	Option 2 of the large fleet compliance schedule specified in section 95307(b)(2).
(B) A fleet owner with a trailer fleet size of 20 or fewer trailers may elect to participate in either of the large fleet compliance schedule options in section 95307(b), or in the small fleet compliance schedule in section 95307(c).
(b) Large Fleet Compliance Schedule. 
(1) Option 1 of the large fleet compliance schedule: 
(A) Minimum fleet conformance thresholds (Table 1): A trailer owner participating in this large fleet compliance schedule option must ensure that the percentage of compliant trailers on the compliance plan base list, as described in section 95307(d)(3), is equal to or greater than: 
1. 5 percent by January 1, 2011;
2. 15 percent by January 1, 2012;
3. 30 percent by January 1, 2013;
4. 50 percent by January 1, 2014;
5. 75 percent by January 1, 2015; and
6. 100 percent by January 1, 2016.

Table 1: Minimum Fleet Conformance Thresholds 
for the Large Fleet Compliance Schedule (Option 1)

	Compliance 	Minimum Fleet Conformance 	Conformance
	Year (Y)	Threshold (PY)	Threshold Deadline

	2010	5%	January 1, 2011
	2011	15%	January 1, 2012
	2012	30%	January 1, 2013
	2013	50%	January 1, 2014
	2014	75%	January 1, 2015
	2015	100%	January 1, 2016
(2) Option 2 of the large fleet compliance schedule:

(A) 	Minimum fleet conformance thresholds (Table 2): A trailer owner participating in this large fleet compliance schedule option must ensure that the percentage of compliant trailers on the compliance plan base list, as described in section 95307(d)(3), is equal to or greater than:
1. 20 percent by June 1, 2012;
2. 40 percent by January 1, 2013;
3. 60 percent by January 1, 2014;
4. 80 percent by January 1, 2015; and
5. 100 percent by January 1, 2016.

Table 2: Minimum Fleet Conformance Thresholds 
for the Large Fleet Compliance Schedule (Option 2)

	Compliance 	Minimum Fleet Conformance 	Conformance
	Year (Y)	Threshold (PY)	Threshold Deadline

	2010	--	--
	2011	20%	June 1, 2012
	2012	40%	January 1, 2013
	2013	60%	January 1, 2014
	2014	80%	January 1, 2015
	2015	100%	January 1, 2016
(3) To participate in either Option 1 or Option 2, a trailer owner must provide the following information to the Executive Officer, electronically or in a document package entitled “Large Fleet Compliance Plan,” by July 1, 2010 for Option 1, and by June 1, 2012 for Option 2. This submittal must include the following:
(A) Statement of intent, in accordance with section 95307(d)(1);
(B) Trailer fleet list, in accordance with section 95307(d)(2);
(C) Large fleet compliance plan base number, calculated in accordance with section 95307(e)(1);
(D) Compliance plan base list, in accordance with section 95307(d)(3);
(E) Annual conformance number for each compliance year, calculated in accordance with section 95307(e)(5); and
(F) Early compliance option reporting, if applicable: If a trailer owner elects to delay the compliance of trailers in accordance with section 95307(b)(4), such owner must submit the following trailer information within the compliance plan:
1. Early compliance trailer number: The number of early compliance trailers determined in accordance with section 95307(b)(4);
2. Early compliance trailer list: A trailer owner participating in the early compliance option must clearly identify on the trailer fleet list all early compliance trailers; 
3. Delayed compliance trailer number, calculated in accordance with section 95307(e)(3); and 
4. Delayed compliance trailer list: A trailer owner participating in the early compliance option must clearly identify on the trailer fleet list all delayed compliance trailers. 
(4) Early compliance option: Subject to the requirements and limitations set forth in this section, for every one early compliance trailer in an owner's fleet, a trailer owner may delay the retrofit or replacement of 1.5 non-compliant trailers until December 31, 2016.
(A) Maximum allowable number of early compliance trailers, as calculated in accordance with section 95307(e)(4): The number of early compliance trailers within a fleet may not exceed the equivalent of 20 percent of the sum of: 1) all trailers that the owner elects to bring into compliance under the large fleet compliance schedule and 2) the total number of trailers within the fleet that are in compliance before January 1, 2010. 
(B) A trailer owner must bring all delayed compliance trailers into compliance before January 1, 2017.
(C) Early compliance option report: To participate in the early compliance option, a trailer owner must submit all information required by section 95307(b)(3)(F), as part of the large fleet compliance plan by July 1, 2010 for Option 1, and by June 1, 2012 for Option 2.
(c) Small Fleet Compliance Schedule.
(1) Minimum fleet conformance thresholds (Table 3): A trailer owner participating in the small fleet compliance schedule must ensure that the percentage of compliant trailers on the compliance plan base list, as defined in section 95307(d)(3), is equal to or greater than:
(A) 25 percent by January 1, 2014;
(B) 50 percent by January 1, 2015;
(C) 75 percent by January 1, 2016; and
(D) 100 percent by January 1, 2017.

Table 3: Minimum Fleet Conformance Thresholds 
for the Small Fleet Compliance Schedule

	Compliance 	Minimum Fleet Conformance	Conformance Threshold
	Year (Y)	Threshold (PY)	Deadline

	2013	25%	January 1, 2014
	2014	50%	January 1, 2015
	2015	75%	January 1, 2016
	2016	100%	January 1, 2017
(2) Small fleet compliance plan: To participate in the small fleet compliance schedule, a trailer owner must provide the following information to the Executive Officer, electronically or in a document package entitled “Small Fleet Compliance Plan,” by July 1, 2012. This submittal must include the following: 
(A) Statement of intent, in accordance with section 95307(d)(1);
(B) Trailer fleet list, in accordance with section 95307(d)(2);
(C) Small fleet compliance plan base number, calculated in accordance with section 95307(e)(2);
(D) Compliance plan base list, in accordance with section 95307(d)(3); and
(E) Annual conformance number for each compliance year, calculated in accordance with section 95307(e)(5).
(d) General Compliance Plan Components.
(1) Statement of intent: The statement of intent must be provided to the Executive Officer as part of the owner's compliance plan by the applicable compliance plan due date. The statement of intent must include the following:
(A) A statement indicating that the trailer owner elects to participate in an optional trailer fleet compliance schedule;
(B) A statement identifying the compliance schedule in which the trailer owner elects to participate;
(C) For trailer owners electing to participate in the small fleet compliance schedule, a statement affirming that the owner's trailer fleet contains 20 or fewer 53-foot or longer box-type trailers;
(D) A statement affirming that the trailer owner will bring all non-compliant trailers subject to the requirements of this regulation into compliance in accordance with the applicable compliance schedule;
(E) A statement affirming that the trailer owner understands that participation in an applicable compliance schedule may be terminated by the Executive Officer should the fleet owner, or any of the owner's vehicles, be found in violation of this regulation;
(F) A statement affirming that the trailer owner understands that if participation in a compliance schedule is terminated by the Executive Officer, the owner must bring all affected trailers into compliance within 90 days or by December 31, 2012, whichever is later, but in no case later than December 31, 2015 if participating in the large fleet compliance schedule and December 31, 2016 if participating in the small fleet compliance schedule;
(G) A statement affirming that the trailer owner understands that if participation in an applicable trailer fleet compliance schedule is withdrawn, such owner will not be allowed to operate a non-compliant trailer on a highway within California beginning January 1, 2013, except for refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F) and exempted trailers;
(H) A statement affirming that the trailer owner agrees to allow the Executive Officer, or any person authorized by the Executive Officer, to conduct periodic audits of vehicles and records to ensure compliance with the applicable compliance schedule, this regulation, and other air quality regulations; and
(I) A signature, or electronic attestation, of the trailer owner or, where applicable, a company or governmental official, affirming that all information contained within the compliance plan, including information contained within the statement of intent and the trailer fleet list, is true and correct. 
(2) Trailer fleet list: The trailer fleet list, as defined in this section, must be provided to the Executive Officer as part of the owner's compliance plan by the applicable compliance plan due date. Except upon specific Executive Officer approval, the trailer owner may not change the number or identity of trailers included on the trailer fleet list once the submission due date for the applicable compliance plan has passed. The trailer fleet list must include the following: 
(A) Name of trailer fleet owner, or responsible official and title if the owner is a business entity or governmental agency;
(B) Name of company, corporation, or governmental agency;
(C) Company's motor carrier identification number and type, if applicable;
(D) Company address including city, state or province, zip code, colonia (Mexico only), and country;
(E) Mailing address including city, state or province, zip code, colonia (Mexico only), and country;
(F) Physical address of location where records pertaining to the applicable compliance schedule will be maintained including city, state or province, zip code, colonia (Mexico only), and country;
(G) Contact person's name;
(H) Telephone number;
(I) Email address (if available);
(J) Company taxpayer identification number (if applicable);
(K) Name of corporate parent (if applicable); 
(L) TRUCRS identification number of corporate parent (if applicable);
(M) List of all 2010 and previous model-year 53-foot or longer box-type trailers that are subject to the requirements of this subarticle while the owner is participating in an optional trailer fleet compliance schedule:
1. For an owner who elects to participate in one of the large fleet compliance schedules, the trailer list must include all trailers that will operate in California including compliant trailers, non-compliant trailers, exempted trailers, and refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F); 
2. For an owner that elects to participate in the small fleet compliance schedule, the trailer list must include all trailers in the owner's fleet, including compliant trailers, non-compliant trailers, exempted trailers, and refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F). For the sole purpose of documenting the owner's eligibility for the small fleet compliance schedule, the trailer list for those submitting a small fleet compliance plan must also include trailers in the fleet that do not travel on a highway within California;
(N) For each trailer listed, provide the following:
1. Trailer type (dry van or refrigerated van);
2. Vehicle identification number (VIN);
3. Trailer make;
4. Trailer model;
5. Trailer model year;
6. License plate number;
7. State or province of registration;
8. Registration type;
9. Country of registration;
10. Compliance status (compliant or non-compliant);
11. Exemption Status (not exempt, exempt local-haul, exempt storage, dedicated to short-haul or local-haul tractors);
12. California operating status (indicate whether the trailer will operate in California during the applicable optional compliance schedule);
13. Transport refrigeration unit model year (as applicable); and
14. Transport refrigeration unit engine model year (as applicable).
(3) Compliance plan base list: The compliance plan base list is the list of all non-compliant trailers identified on the trailer fleet list as trailers that will be brought into compliance in accordance with the applicable compliance schedule. Trailers that are not early compliance trailers but are in compliance before January 1, 2010, may also be included on the compliance plan base list and used to meet minimum fleet conformance thresholds. The compliance plan base list shall not include the following trailers:
(A) Exempted trailers, including those local-haul trailers and storage trailers exempt under sections 95305(c) and 95305(e);
(B) Refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F);
(C) Early compliance trailers, if applicable;
(D) Delayed compliance trailers, if applicable; and
(E) Trailers that will not operate in California for the duration of the applicable trailer fleet compliance schedule.
(e) Calculation Methodology.
(1) Large fleet compliance plan base number: The compliance plan base number for large fleets is the number of trailers that a trailer owner elects to bring into compliance in accordance with the large fleet compliance schedule. 
NLB = NT - ND - NE - NR - NX    (Equation 1)
“NLB” = Large fleet compliance plan base number.
“NT” = Total number of trailers listed on the trailer fleet list.
“ND” = Number of delayed compliance trailers, as determined in accordance with section 95307(e)(3), if applicable.
“NE” = Number of early compliance trailers, not to exceed NE, max as determined in accordance with Equation 5, if applicable.
“NR” = Number of refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F), if applicable.
“NX” = Number of trailers with a trailer fleet list exemption status of “exempt local-haul,” “exempt storage,” “dedicated to short-haul tractors,” or “dedicated to local-haul tractors,” if applicable. 
(2) Small fleet compliance plan base number: The compliance plan base number for small fleets is the number of trailers that a trailer owner elects to bring into compliance in accordance with the small fleet compliance schedule. 
NCA = NT - NNC    (Equation 2)
“NCA” = Total number of trailers in California fleet.
“NT” = Total number of trailers listed on the trailer fleet list.
“NNC” = Number of trailers that will not operate in California for the duration of an applicable trailer fleet compliance schedule 
NSB = NCA - NR - NX     (Equation 3)
“NSB” = Small fleet compliance plan base number.
“NCA” = Total number of trailers in California fleet, as determined in accordance with Equation 2.
“NR” = Number of refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F), if applicable.
“NX” = Number of trailers with a trailer fleet list exemption status of “exempt local-haul,” “exempt storage,” “dedicated to short-haul tractors,” or “dedicated to local-haul tractors,” if applicable.
(3) Large fleet delayed compliance trailer number: The delayed compliance trailer number is the number of trailers for which compliance may be delayed, pursuant to section 95307(b)(4), Early Compliance Option. 
ND = NE x 1.5     (Equation 4)
“ND” = Number of delayed compliance trailers, if applicable. If ND is not a whole number, round down to the next whole number. 
“NE” = Number of early compliance trailers, not to exceed NE, max as determined in accordance with Equation 5, if applicable.
(4) Large fleet maximum allowable number of early compliance trailers: The resultant number must be rounded down to the nearest whole trailer.
NE, max = (NT - NR - NX) x 0.20    (Equation 5).
“NE, max” = Maximum allowable number of early compliance trailers. If NE, max is not a whole number, round down to the next whole number. 
“NT” = Total number of trailers listed on the trailer fleet list.
“NR” = Number of refrigerated-van trailers that are eligible for the compliance deadlines set forth in section 95303(b)(3)(F), if applicable.
“NX” = Number of trailers with a trailer fleet list exemption status of “exempt local-haul,” “exempt storage,” “dedicated to short-haul tractors,” or “dedicated to local-haul tractors,” if applicable. 

(5) 	Annual conformance number: The annual conformance number is the number of trailers that a trailer owner must bring into compliance by December 31st of a particular compliance year to ensure that the percentage of compliant trailers within the compliance plan base list meets or exceeds the applicable minimum fleet conformance threshold that takes effect on January 1 of the following year. 
NY = (NB x PY) - NC, Y-1    (Equation 6) 
“NY” = Annual conformance number for compliance year Y. If NY is not a whole number, round up to the next whole number if the fractional part is equal to or greater than 0.5, and round down if less than 0.5.
“NB” = The compliance plan base number, either NLB as calculated in section 95307(e)(1) for a large fleet or NSB as calculated in section 95307(e)(2) for a small fleet.
“PY” = Minimum fleet conformance threshold for compliance year Y, as defined in section 95307(b)(1) for large fleets and 95307(c)(1) for small fleets, expressed as a decimal (e.g. 5 percent is entered into equation as 0.05). 
“NC, Y-1” = Total number of trailers within the compliance base that would already be in compliance prior to January 1 of compliance year Y. This number must not include early compliance trailers.
(f) Reporting Requirements
(1) For each trailer listed in the compliance plan base list that is brought into compliance in order to meet the conformance threshold of a particular year, the owner must provide the trailer identification number (vehicle identification number (VIN)) and the applicable compliance method for the trailer as defined in (A), (B), or (C) below, to the Executive Officer by no later than December 31st of that year, or by June 1, 2012, whichever is later. 
(A) Install on the trailer aerodynamic devices that meet the requirements defined in section 95303(b)(3), or
(B) Remove the trailer from the owner's fleet, or
(C) Restrict the trailer from traveling on California highways.
(2) For each trailer listed in the compliance plan base list that is re-designated into local-haul or storage trailer service in a specific compliance year, the owner must provide the trailer identification number (vehicle identification number (VIN)) to the Executive Officer by no later than December 31st of that year, or by June 1, 2012, whichever is later, and meet all applicable requirements specified in sections 95305, Exemptions, and 95306, Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements. Trailers re-designated into local-haul or storage trailer service do not count toward meeting an annual conformance number. 
(g) General Requirements for All Compliance Schedules: To participate in a trailer fleet compliance schedule, a trailer owner must comply with the following requirements:
(1) The trailer owner must ensure that, by December 31st of each compliance year, or by June 1, 2012, whichever is later, the percentage of compliant trailers on the owner's compliance plan base list is equal to or greater than the applicable minimum fleet conformance threshold for that compliance year;
(2) The trailer owner must ensure that the actual number of trailers brought into compliance each compliance year is equal to or greater than the annual conformance number for that same year;
(3) The trailer owner must allow the Executive Officer, or any other authorized enforcement personnel, to conduct periodic audits of records and equipment to verify compliance with an applicable compliance schedule, the owner's compliance plan, and other applicable air quality regulations; 
(4) Should the Executive Officer terminate the trailer owner's participation in a trailer feet compliance schedule, such trailer owner must bring all trailers into compliance within 90 days of such termination or by December 31, 2012, whichever is later, but no later than December 31, 2015 if participating in the large fleet compliance schedule and December 31, 2016 if participating in the small fleet compliance schedule;
(5) Starting January 1, 2013, except for eligible refrigerated-van trailers that the trailer owner elects to bring into compliance in accordance with section 95303(b)(3)(F) and exempted trailers, a trailer owner may not allow the operation of a non-compliant trailer on a highway within California if such owner withdraws participation from an applicable trailer fleet compliance schedule;
(6) The trailer owner must provide to the Executive Officer any documentation and information required by an applicable trailer fleet compliance schedule by the compliance plan due date specified in such compliance schedule;
(7) The trailer owner must ensure that all information and documentation provided to the Executive Officer is accurate and true;
(8) The trailer owner must ensure that all required information and documentation is received by the Executive Officer by the applicable due dates; the Executive Officer will not be responsible for materials lost in transit;
(9) The trailer owner must maintain all documentation pertaining to an applicable compliance schedule at the location indicated on the trailer fleet list;
(10) Upon the request of the Executive Officer or other authorized enforcement personnel, the trailer owner must provide all information and documentation necessary to verify compliance with this subarticle, including applicable compliance schedules and the owner's compliance plan, and information and documentation necessary to verify compliance with any other air quality regulation;
(11) A trailer owner who is participating in the small fleet compliance schedule may not allow a 2010 or previous model year trailer subject to the requirements of this subarticle to operate on a highway within California after July 1, 2012, unless: 
(A) the trailer is listed on the owner's trailer fleet list; or
(B) the trailer was acquired after July 1, 2012 and both of the following criteria are met:
1. the owner provides documented proof to the Executive Officer of the trailer's acquisition (purchase or transfer of ownership) date; and
2. the trailer is a compliant trailer, a refrigerated-van trailer that is eligible to be brought into compliance in accordance with the compliance deadlines set forth in section 95303(b)(3)(F), or exempt under section 95305;
(12) A trailer owner may not allow the operation of a non-compliant trailer on a highway within California after December 31st of the compliance year in which the trailer was reportedly brought into compliance, or by June 1, 2012, whichever is later;
(13) A compliance plan revision may only be made with the approval of the Executive Officer if the Executive Officer determines that a company merger, acquisition, split, or other changed circumstances affecting operations of the owner, necessitate revisions to the compliance plan;
(14) Executive Officer approval will not be granted to allow a newly-formed business, or an existing business commencing operations in California, to participate in a compliance schedule after the submission due date for the applicable compliance plan has passed; 
(15) The Executive Officer may make non-confidential information provided pursuant to an optional trailer fleet compliance schedule available to the public for the purpose of helping determine the compliance status of a trailer or fleet;
(16) Although participation in an optional trailer fleet compliance schedule does not require the Executive Officer's specific approval, the Executive Officer may terminate a fleet's participation in a compliance schedule if the fleet or any tractor or trailer within the fleet is found in violation of this subarticle. Should the Executive Officer terminate a fleet's participation in a compliance schedule, the owner must bring all trailers into compliance within 90 days or by December 31, 2012, whichever is later, but in no case later than December 31, 2015, if participating in the large fleet compliance schedule, and December 31, 2016, if participating in the small fleet compliance schedule;
(17) A trailer owner who is participating in one of the large fleet compliance schedule options may not allow a trailer subject to the requirements of this subarticle to operate on a highway within California after July 1, 2010 if participating in Option 1, or June 1, 2012, if participating in Option 2, unless: 
(A) the trailer is a compliant trailer; or 
(B) the trailer is listed on the owner's compliance plan base list and is in compliance with all requirements of the large fleet compliance schedule; or
(C) the trailer is a refrigerated-van trailer that is eligible to be brought into compliance in accordance with a compliance deadline set forth in section 95303 (b)(3)(F) and such deadline has not yet passed; or
(D) the trailer is exempt under section 95305;
(18) Any violation of the requirements of this subsection constitutes a violation of this subarticle;
(19) A trailer owner who has elected to participate in Option 1 and submitted information in accordance with section 95307(b)(3) may withdraw such participation and elect to participate in Option 2 instead. The notice to withdraw must be received by the Executive Officer no later than May 1, 2012;
(20) A trailer owner that has identified an exempt storage trailer or an exempt local-haul trailer in his or her trailer fleet list in accordance with section 95307(d)(2)(N) must register that trailer in accordance with the requirements of section 95306, Short-Haul Tractor, Local-Haul Tractor, Local-Haul Trailer, and Storage Trailer Registration Requirements, by July 1, 2010, if participating in Option 1, by June 1, 2012, if participating in Option 2, and by July 1, 2012, if participating in the Small Fleet Compliance Schedule; 
(21) A trailer owner that elects to withdraw participation in a trailer feet compliance schedule must notify the executive officer and bring all trailers on the compliance plan base list into compliance by January 1, 2013.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Editorial correction of subsection (e)(2) (Register 2010, No. 2).
3. Amendment filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
4. Amendment of subsections (b)(2)(A)1., (b)(2)(A)5. (Table 2), (b)(3), (b)(4)(C), (f)(1), (f)(2), (g)(1), (g)(12), (g)(17) and (g)(19)-(20) filed 3-12-2012 as an emergency; operative 3-12-2012 (Register 2012, No. 11). A Certificate of Compliance must be transmitted to OAL by 9-10-2012 or emergency language will be repealed by operation of law on the following day.
§95308. Enforcement.
Note     •     History

Enforcement of this subarticle may be carried out by authorized enforcement personnel, which includes representatives of the Air Resources Board (ARB); peace officers as defined in California Penal Code, title 3, chapter 4.5, sections 830 et seq. and their respective law enforcement agencies; authorized representatives of air pollution control or air quality management districts; and any other designee of the Executive Officer.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95309. Right of Entry.
Note     •     History

For purposes of inspecting HD tractors and box-type trailers covered in the subarticle, and inspecting or auditing the records of drivers, owners of trailers and tractors, motor carriers, California-based brokers, California-based shippers, and California-licensed vehicle dealers to determine compliance with this subarticle, an agent or employee of ARB, upon presentation of proper credentials, has the right to enter any facility (with any necessary safety clearances) where HD tractors and box-type trailers are located or HD tractor and box-type trailer records, including dispatch records, are kept.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Amendment filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95310. Penalties.
Note     •     History

As provided in Health and Safety Code section 38580, any person who violates any requirement of this subarticle is subject to the penalties set forth in Article 3 (commencing with section 42400) of Chapter 4 of Part 4, Division 26 of the Health and Safety Code. Failure to comply with any requirement of this subarticle shall constitute a single, separate violation for each day during any portion of which the person is not in compliance.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
§95311. Record Keeping.
Note     •     History

(a) A California-licensed vehicle dealer of a HD tractor or 53-foot box-type trailer that is subject to the disclosure of regulation applicability requirements of section 95303(i) must maintain a record of the disclosure of regulation applicability for three years after the sale.
(b) A lessor of a HD tractor or a 53-foot or longer box-type trailer that has provided a lessee with a statement or written notice that informs the lessee about the lessee's obligation under terms of the lease to ensure compliance with sections 95300 through 95312, title 17, California Code of Regulations, must maintain a record of this statement or written notice for three years after it is provided to the lessee.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health and Safety Code.
HISTORY

1. New section filed 12-9-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 50).
2. Renumbering of former section 95311 to new section 95312 and new section 95311 filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
§95312. Severability.
Note     •     History

If any section, paragraph, subparagraph, sentence, clause, phrase, or portion of the subarticle is, for any reason, held invalid, unconstitutional, or unenforceable by any court of competent jurisdiction, such portion shall be deemed as a separate, distinct, and independent provision, and such holding shall not affect the validity of the remaining portions of this subarticle.
NOTE

Authority cited: Sections 39600, 39601, 38510, 38560 and 38560.5, Health and Safety Code. Reference: Sections 39600, 38560, 38560.5 and 38580, Health
HISTORY

1. Renumbering and amendment of former section 95311 to new section 95312 filed 12-12-2011; operative 1-11-2012 (Register 2011, No. 50).
Subarticle 2. Semiconductors and Related Devices
§95320. Purpose.
Note     •     History

The purpose of this regulation is to reduce fluorinated gas emissions from the semiconductor industry pursuant to the California Global Warming Solutions Act of 2006 (Health & Safety Code, sections 38500 et.seq.). 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39600 and 39601, Health and Safety Code.
HISTORY

1. New subarticle 2 (sections 95320-95326) and section filed 12-14-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§95321. Applicability.
Note     •     History

This regulation applies to an owner or operator of a semiconductor or related devices operation that uses fluorinated gases or heat transfer fluids. This includes, but is not limited to, the processing of diodes, zeners, stacks, rectifiers, integrated microcircuits, transistors, solar cells, light-sensing devices, and light-emitting devices.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-14-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§95322. Definitions.
Note     •     History

(a) For the purposes of this article, the following definitions apply:
(1) “Alternative Chemistries” means the substitution of a fluorinated gas in the chamber cleaning or etching process to increase utilization efficiency and reduce the carbon dioxide equivalent emissions.
(2) “Calendar Year” means the time period from January 1 through December 31.
(3) “Carbon Dioxide Equivalent” or “CO2e” means a measure for comparing carbon dioxide with other greenhouse gases, based on the quantity of those gases multiplied by the appropriate global warming potential (GWP) factor.
(4) “CO2e Emissions Limit” means the maximum allowable kilograms of CO2e emissions per square centimeter of wafers processed in a calendar year.
(5) “Chamber Cleaning” means the process of using fluorinated gases to remove excess materials from chemical vapor deposition chamber walls to prevent contamination of wafers to be processed.
(6) “Chemical Vapor Deposition (CVD)” means deposition of thin films on wafers by placing the wafers in a mixture of gases, including nitrogen or another gas used as a carrier, which react at the surface of the wafers.
(7) “Equipment” means any article, machine, or other contrivance, or combination thereof, which may cause the issuance or control the issuance of fluorinated gas emissions in etching or CVD chamber cleaning processes.
(8) “Etching” means a chemical reactive process for selectively removing material on a wafer using fluorinated, ionized gases.
(9) “Fluorinated Gases” means a compound that contains fluorine and exists in a gaseous state at 25 degrees Celsius and 1 atmosphere of pressure. Fluorinated gases include, but are not limited to:
(A) hexafluoroethane (C2F6),
(B) octafluoropropane (C3F8),
(C) octafluorocyclopentene (C5F8),
(D) tetrafluoromethane (CF4),
(E) trifluoromethane (CHF3),
(F) difluoromethane (CH2F2),
(G) octafluorocyclobutane (c-C4F8),
(H) octafluorotetrahydrofuran (C4F8O),
(I) hexafluoro-1,3-butadiene (C4F6),
(J) carbon fluoride oxide (COF2),
(K) nitrogen trifluoride (NF3), and
(L) sulfur hexafluoride (SF6).
(10) “Global Warming Potential (GWP)” means the radiative forcing impact of one mass-based unit of a given greenhouse gas relative to an equivalent unit of carbon dioxide over a given period of time.
(11) “Global Warming Potential Value” or “GWP Value” means the global warming potential value of a chemical or compound as specified in the IPCC: 1996 Second Assessment Report (SAR), Table 2.14, in Climate Change 2007: The Physical Sciences Basis, Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change, which is incorporated by reference herein.
If Table 2.14 does not contain a SAR 100-year GWP Value for a specific chemical or compound, then the 100-year GWP Value in Table 2.14 for that chemical or compound must be used.
(12) “Heat Transfer Fluid” means a fluorinated fluid which prevents a device, such as a semiconductor, from overheating by removing excess heat produced during a manufacturing process.
(13) “Permitting Agency” means any air pollution control district or air quality management district.
(14) “Process Optimization” means the practice of using end-point detectors and/or process parameter variation to achieve optimum gas usage to reduce excess fluorinated gas emissions.
(15) “Semiconductor Operation” means an operation performed to process semiconductor devices or related solid state devices. It may include, but is not limited to, the processing of diodes, zeners, stacks, rectifiers, integrated microcircuits, transistors, solar cells, light-sensing devices, and light-emitting devices.
(16) “Wafer” means a thin, usually round, slice of a material from which integrated circuits, or chips, are made.
(17) “Wafer Surface Area” means the entire surface area of one side of a wafer, or multiple wafers, and includes wafers that do not pass owner or operator inspection. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-14-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§95323. Standards.
Note     •     History

(a) Except as provided in section 95323(b), an owner or operator of a semiconductor operation must meet the emission standards in Table 1 by January 1, 2012. An operation that is replacing CVD or etching tools that process 150 millimeter diameter wafers with tools that process 200 millimeter diameter or larger wafers must comply with the Table 1 emission standards by January 1, 2014.
The Tier 1 emission standard shall apply to an owner or operator of a semiconductor operation that processes more than 37.7 million square centimeters of wafer surface area per calendar year. The Tier 1 emission standard shall also apply to the owner or operator of a semiconductor operation that begins operation after January 1, 2010.
(1) Emissions Calculation Method
An owner or operator must express fluorinated gas emissions in CO2e units. The kilograms of fluorinated gas emissions are determined using the Tier 2b calculation method in the 2006 Intergovernmental Panel on Climate Change (IPCC) Guidelines for National Greenhouse Gas Inventories, incorporated by reference herein. The IPCC 1996 Second Assessment Report (SAR) provides the GWP values used to calculate fluorinated gas emissions, with the exception of NF3 which is based on the GWP value from the IPCC Fourth Assessment Report.
An owner or operator of a semiconductor operation may request that the permitting agency approve the use of an alternative destruction removal efficiency (DRE) value that exceeds the default DRE value in the Tier 2b calculation method. An alternative DRE must be based on independent third party measured results for the emission control equipment used by the operation.
The kilograms of fluorinated gas emissions from CVD chamber cleaning and etching are converted to million metric tons of CO2 equivalent (MMT CO2e ) using the following formula:
Total Fluorinated Gas Emissions in MMT CO2e = S Ei(GWP100)i/109
Where:
E = the kilograms of fluorinated gas emitted using the Tier 2b method
i = the fluorinated gas
GWP100 = the GWP of the fluorinated gas
109 = the number of kilograms per million metric ton
For an operation emitting more than 0.0008 MMT CO2e per calendar year, total fluorinated gas emissions in MMT CO2e are converted to kilograms of CO2 equivalents per square centimeter (Kg CO2e/cm2) using the following formula:
Emissions in Kg CO2e/cm2 = (MMT CO2e)(109) / S[(prn2 Wfn)/100]
Where:
109 = the number of kilograms per million metric ton
p = 3.1416
rn = one half the diameter in millimeters of a given size wafer
n = diameter of a wafer in millimeters
Wfn = the number of wafers of a given size processed in the calendar year
100 = the number of square millimeters per square centimeter

Table 1
Emission Standards for Semiconductor Operations
Effective January 1, 2012

	CVD Chamber Cleaning and Etching Processes

	Wafer Surface Area	
	Processed	Maximum Emissions Limit Per Square
	(Million Square Centimeters 	Centimeter for a Calendar Year
	Per Calendar Year) 	(Kg CO2e/cm2)

Tier 1: >37.7		0.2
Tier 2: >3.7 and £37.7	0.3
Tier 3: £3.7		0.5
(b) The emission standards in Table 1 shall not apply to a semiconductor operation that emits 0.0008 million metric tons or less of CO2e per calendar year.
(c) The owner or operator of a semiconductor operation that is installing equipment to meet the emission standards in Table 1 must submit a permit application to the permitting agency no later than March 1, 2011.
(d) The owner or operator of a semiconductor operation that is installing equipment to meet the emission standards in Table 1 by January 1, 2014 pursuant to section 95323(a), must submit a permit application to the permitting agency no later than March 1, 2013.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-14-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§95324. Reporting Requirements.
Note     •     History

(a) Initial emissions reporting requirement 
The owner or operator of a semiconductor operation must submit an initial emissions report pursuant to the requirements in section 95324(b) to the permitting agency no later than March 1, 2011. This report must quantify the monthly and annual emissions from semiconductor operations conducted during the 2010 calendar year.
(b) Annual emissions reporting requirements
The owner or operator of a semiconductor operation must submit an annual report to the permitting agency by March 1st of each calendar year that quantifies CO2e emissions occurring in the previous calendar year.
The annual report must include, but may not be limited to, all of the following in subsections (b)(1) through (b)(11).
(1) the company name, address, telephone number, designated contact person and e-mail address for the contact person;
(2) the monthly and annual amounts, in kilograms, of each of the following fluorinated gases used for CVD chamber cleaning and etching:
(A) hexafluoroethane (C2F6),
(B) octafluoropropane (C3F8),
(C) octafluorocyclopentene (C5F8),
(D) tetrafluoromethane (CF4),
(E) trifluoromethane (CHF3),
(F) difluoromethane (CH2F2),
(G) octafluorocyclobutane (c-C4F8),
(H) octafluorotetrahydrofuran (C4F8O),
(I) hexafluoro-1,3-butadiene (C4F6),
(J) carbon fluoride oxide (COF2),
(K) nitrogen trifluoride (NF3), and
(L) sulfur hexafluoride (SF6).
(3) the monthly and annual square centimeters of wafers processed;
(4) the use of process optimization, alternative chemistries, or equipment to reduce fluorinated gas emissions and estimated emissions reductions in CO2e per square centimeter of wafer processed;
(5) monthly and annual CO2e emissions determined in accordance with section 95323(a)(1); 
(6) the volume of fluorinated heat transfer fluids used in the processing of semiconductors;
(7) the volume of fluorinated heat transfer fluids purchased;
(8) whether the heat transfer fluid was added to an existing cooling system, used to fill a new system, or both;
(9) the volume of heat transfer fluid added to an existing cooling system or used to fill a new system;
(10) the specific brand name of the heat transfer fluid used; and
(11) a certification statement from the owner or operator that the information provided is true, accurate and complete.
(c) The owner or operator of a semiconductor operation shall report emission control equipment breakdowns, malfunctions, and failures in accordance with the permitting agency's requirements. 
(d) The owner or operator of a semiconductor operation that emits 0.0008 MMT or less of CO2e per calendar year is not subject to the reporting requirements in section 95324(b)(3) and (b)(4) and may provide annual data in lieu of monthly data in the emission reports.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-14-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§95325. Recordkeeping Requirements.
Note     •     History

(a) Purchase or delivery records
The owner or operator of a semiconductor operation must maintain monthly records that clearly document all purchased quantities of the fluorinated gases and fluorinated heat transfer fluids as defined in section 95322. All records required by this subsection (a) must be readily accessible on site for inspection and review by the permitting agency or the Air Resources Board at the semiconductor operation for at least three calendar years. If so requested by the permitting agency or the Air Resources Board, the owner or operator must provide copies of the records to the permitting agency or the Air Resources Board. The owner or operator of a semiconductor operation that emits 0.0008 MMT or less of CO2e per calendar year may keep annual in lieu of monthly records.
(b) Emission control equipment malfunctions and failures
The owner or operator of a semiconductor operation must maintain monthly records of the occurrence, date of occurrence, duration, cause (if known), and action taken for each equipment malfunction and/or failure. All records must be maintained for at least three calendar years.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-14-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§95326. Severability.
Note     •     History

Each part of this section is deemed severable, and in the event that any part of this section is held to be invalid, the remainder of this section shall continue in full force and effect.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-14-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
Subarticle 3. Regulation for Reducing Sulfur Hexafluoride Emissions
§95340. Purpose.
Note     •     History

The purpose of this Subarticle is to reduce sulfur hexafluoride emissions pursuant to the California Global Warming Solutions Act of 2006 (Health and Safety Code, sections 38500 et.seq.).
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39600 and 39601, Health and Safety Code.
HISTORY

1. New subarticle 3 (sections 95340-95346) and section filed 12-28-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§95341. Applicability and Exemptions.
Note     •     History

(a) This Subarticle applies to any person that uses, possesses, purchases, distributes, manufactures, offers for sale, or sells sulfur hexafluoride or products containing sulfur hexafluoride in California, with the exception that section 95343 does not apply to the following uses:
(1) Use in chemical vapor deposition (CVD) chamber cleaning.
(2) Use in etching.
(3) Use as a dielectric medium including equipment containing sulfur hexafluoride for use as a dielectric medium.
(4) Use as an arc quenching medium including equipment containing sulfur hexafluoride for use as an arc quenching medium.
(5) Use in one-time testing per laboratory fume hood, provided that the use is in compliance with Cal/OSHA ventilation requirements for laboratory fume hood operations set forth in title 8, California Code of Regulations, section 5154.1(c)(2)(B), for the purpose of reducing laboratory fume hood face velocity when the hood is unattended and realizing the associated energy savings.
(6) Medical uses, which includes only the following applications:
(A) Injection or other entry of sulfur hexafluoride into a human or animal body for the purpose of improving health,
(B) Use of sulfur hexafluoride in a diagnostic tool in order to either identify a disease or condition by its outward signs and symptoms or analyze the underlying physiological/biochemical cause(s) of a disease or condition,
(C) Use of sulfur hexafluoride in a medical treatment process for a disease or other medical condition.
(7) Use in testing nuclear power plant control room emergency ventilation systems every six years in compliance with the Technical Specifications Task Force (TSTF) Specification 448, January 2007, which is incorporated by reference herein.
(8) Use in equipment calibration and in testing to find alternatives to sulfur hexafluoride use.
(9) Use in testing hyperspectral remote sensing systems to detect toxic gases in the infrared portion of the spectrum.
(10) Use for research in a research facility. Use for tracer gas testing applications and magnesium casting is not included and is still subject to the provisions in sections 95343 through 95346. Research facilities planning to use sulfur hexafluoride for on- or off-site research in a use not covered by 95341(a)(1-9) must:
(A) Register with ARB in the form of a letter to the Executive Officer and must include the business name, physical address, contact name, telephone number, fax number, e-mail address, and web site address, as applicable.
(B) Monitor and report usage annually as defined in section 95345(d).
(b) Any person may apply for an exemption from section 95343 as specified below: 
(1) A person may apply in writing to the Executive Officer for an exemption from the requirement of section 95343 for the uses or possession of sulfur hexafluoride identified below in subsections (A) or (B). The application must include documentation that supports the exemption claim, including the data and test methods used to generate the data, if applicable. Information submitted pursuant to this section may be claimed as confidential and such information shall be handled in accordance with the procedures specified in title 17, California Code of Regulations, sections 91000-91022.
(A) Uses of sulfur hexafluoride that result in reduced greenhouse gas emissions.
The Executive Officer may allow the use of sulfur hexafluoride if the applicant demonstrates to the satisfaction of the Executive Officer that the use of sulfur hexafluoride will result in less greenhouse gas emissions over the lifetime of the equipment, facility, or process than the use of all other alternatives.
(B) Uses or possession of sulfur hexafluoride with no alternatives. 
The Executive Officer may allow the use and/or possession of sulfur hexafluoride if the applicant demonstrates to the satisfaction of the Executive Officer that there is no viable alternative to sulfur hexafluoride in the specified use or that there is no viable alternative for possessing sulfur hexafluoride for an out-of-state or other use. No exemption shall be granted unless the applicant provides and agrees to comply with a mitigation plan identifying a list of actions to be undertaken by the applicant to minimize greenhouse gas and sulfur hexafluoride emissions.
(2) Procedure for responding to an exemption from section 95343.
(A) Within 60 days of receipt of an exemption application the Executive Officer shall determine whether the application is complete, or that specified additional documentation is required to make it complete. Within 60 days of receipt of the specified additional information, the Executive Officer shall advise the applicant in writing either that the application is complete, or that specified additional information is still required before it can be deemed complete.
(B) Within 90 days after an application has been deemed complete, the Executive Officer shall determine whether, and under what conditions, an exemption from the requirements of section 95343 will be permitted. The Executive Officer shall notify the applicant of the decision in writing and shall specify such terms and conditions as are necessary to insure that the requirements of section 95341(b)(1)(A) or 95341(b)(1)(B) are met and will continue to be met.
(C) The Executive Officer and the applicant may mutually agree to an extension of any of the time periods specified in this section, and additional supporting documentation may be submitted by the applicant before a decision has been reached.
(3) Revocation or Modification of Exemption: If the Executive Officer determines that the use for which an exemption has been granted no longer meets the criteria specified in section 95341(b)(1)(A) or (b)(1)(B), or that the applicant is not following the mitigation plan submitted pursuant section 95341(b)(1)(B), the Executive Officer may modify or revoke the exemption. The Executive Officer shall not modify or revoke the exemption without first affording the applicant an opportunity for a hearing in accordance with the procedures specified in title 17, California Code of Regulations, Division 3, Chapter 1, Subchapter 1.25, Article 2 (commencing with section 60055.1).
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-28-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§95342. Definitions.
Note     •     History

(a) For the purposes of this Subarticle, the following definitions apply:
(1) “ARB” means the California Air Resources Board.
(2) “Arc Quenching Medium” means the use of a material to interrupt an electrical arc.
(3) “Cal/OSHA” means the California Department of Industrial Relations, Division of Occupational Safety and Health.
(4) “Chamber Cleaning” means the process of using fluorinated gases to remove excess materials from chemical vapor deposition chamber walls to prevent contamination of wafers to be processed.
(5) “Chemical Vapor Deposition (CVD)” means deposition of thin films on wafers by placing the wafers in a mixture of gases, including nitrogen or other gas used as a carrier, which react at the surface of the wafers.
(6) “Dielectric Medium” means the use of a material that does not conduct electricity but can sustain an electric field, with electrical conductivity of less than a millionth (10-6) of a siemens.
(7) “Distributor” means any person who sells or supplies sulfur hexafluoride in California, except that “distributor” does not include users who sell to a recycler or persons who return products to the seller.
(8) “Etching” means a chemical reactive process for selectively removing material on a wafer using fluorinated, ionized gases
(9) “Equipment Calibration” means the process of establishing the relationship between a measuring device and the units of measure. This is done by comparing a device or the output of an instrument to a standard having known measurement characteristics.
(10) “Executive Officer” means the Executive Officer of the California Air Resources Board, or his or her delegate.
(11) “Greenhouse gas” includes carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), sulfur hexafluoride (SF6), nitrogen trifluoride (NF3), hydrofluorocarbons (HFCs), and perfluorocarbons (PFCs).
(12) “Investment Casting” (also called “precision casting” or the “lost wax process”) means the process of casting magnesium into a mold produced by surrounding, or investing, an expendable pattern with a refractory material.
(13) “Laboratory fume hood” means a boxlike structure enclosing a source of potential air contamination, with one open or partially open side, into which air is moved for the purpose of containing and exhausting air contaminants, generally used for bench-scale laboratory operations but not necessarily involving the use of a bench or table.
(14) “Military Applications” means the acquisition, research, development, testing, evaluation and training related to tactical vehicles, vessels, aircraft, equipment and weaponry owned or operated by the armed forces of the United States.
(15) “Military Tracer Gas Array” means the simultaneous use of multiple Tracer ES&T Model 2600 Tracer Gas Analyzers (TGA), to measure sulfur hexafluoride and other gases in support of military training and operations as well as United States military applications.
(16) “Person” shall have the same meaning as defined in Health and Safety Code section 39047.
(17) “Research” means an objective and systematic investigation aimed at the discovery and interpretation of scientific facts or revision of accepted scientific theories or laws in the light of new facts that cannot be answered a priori or by other methods.
(18) “Research Facility” means a physical location consisting of one or more buildings, such as a campus, which are all part of a single entity and whose primary purpose is to conduct research and/or provide education. The facility is under close supervision of technically trained personnel and is not engaged in the manufacture of products for sale in commerce or other off-site distribution. A research facility must be a U.S. government owned national laboratory or an accredited post-secondary institution that grants advanced academic degrees. Accreditation must be from a U.S. Department of Education approved accrediting agency.
(19) “Sand Casting” means the process of producing a part by forming a mold from a sand mixture and pouring molten magnesium into the cavity in the mold.
(20) “Tracer ES&T Model 2600 Tracer Gas Analyzers” means portable equipment designed, manufactured, and sold by Tracer Environmental Sciences & Technologies, Inc. (Tracer ES&T), a California Corporation, and designed specifically to analyze continuous samples of sulfur hexafluoride in the concentration range of 5 parts per trillion to 50 parts per billion.
(21) “Tracer Gas Testing” means the process of marking air or other media with a gas or other substance , which is released into an enclosure, laboratory fume hood, room, building, or environment to detect, measure, monitor, or evaluate flow rate, leakage, or dispersion or dilution characteristics.
(22) “User” means any person who uses sulfur hexafluoride.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-28-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§95343. Restrictions on Use, Sale, Possession and Release of Sulfur Hexafluoride.
Note     •     History

(a) Except as provided in section 95341(Applicability), the following sulfur hexafluoride restrictions apply beginning on the dates specified below in Section 95343(b):
(1) No person shall purchase or use sulfur hexafluoride in California. This restriction does not apply to distributors.
(2) No person shall own or otherwise possess sulfur hexafluoride in California after one year from the applicable effective date specified in section 95343(b).
(3) No person shall sell, supply, distribute, or offer for sale sulfur hexafluoride in California.
(4) No person shall sell, supply, distribute, offer for sale, or manufacture for sale any product that contains sulfur hexafluoride in California.
(5) No person shall intentionally emit sulfur hexafluoride in California. This restriction does not apply to accidental releases that occur when recycling or recovering sulfur hexafluoride or when filling or refilling sulfur hexafluoride canisters.
(b) Section 95343(a) shall apply after the effective dates specified in the following Table:

Applications	Effective Dates

All applications except those listed below	January 1, 2011
Tracer Gas Testing	January 1, 2013
Magnesium Sand Casting	January 1, 2013
Magnesium Investment Casting	January 1, 2013
Military Applications	January 1, 2013
Military Tracer Gas Array	January 1, 2020
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-28-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§95344. Enforcement.
Note     •     History

(a) Penalties. Penalties may be assessed for any violation of this subarticle pursuant to Health and Safety Code section 38580. Each day during any portion of which a violation occurs is a separate offense.
(b) Injunctions. Any violation of this subarticle may enjoin pursuant to Health and Safety Code section 41513.
(c) Revocation. The Executive Officer may revoke any Exemption issued pursuant to this sub article for a violation of this sub article.
(d) Each day or portion thereof that any report required by this sub article remains uncommitted, is submitted late, or contains incomplete or inaccurate information, shall constitute a single, separate violation of this sub article.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600, 39601, 41510 and 41513, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38551, 38560, 38560.5, 38580, 39003, 39600, 39601, 41510 and 41513, Health and Safety Code.
HISTORY

1. New section filed 12-28-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§95345. Registration, Recordkeeping, and Reporting Requirements.
Note     •     History

(a) Registration for Distributors of Sulfur Hexafluoride. Distributors of sulfur hexafluoride must register with ARB on or before March 30, 2010. Distributors who begin conducting business in California after March 30, 2010, must register with ARB no later than 30 days after the start of their business operations. Registration shall be in the form of a letter to the Executive Officer and must include the business names, physical address, contact name, telephone number, fax number, e-mail address, and web site address of the distributor, as applicable. Distributors will receive a copy of the regulation within 60 days of registering with the Executive Officer.
(b) Recordkeeping for Distributors of Sulfur Hexafluoride. For each sale or supply of sulfur hexafluoride, distributors of sulfur hexafluoride must retain invoices showing the purchaser's name, business name, intended use, physical address, contact name, telephone number, fax number, e-mail address, web site address, as applicable sale date, and quantity of sulfur hexafluoride purchased. These invoices must be retained by the distributor for at least three years.
On or before March 30, 2010 distributors must also provide all of their known purchasers of sulfur hexafluoride within the last five years, except for those purchasers exempted under section 95341(a)(1-4), a copy of this regulation (title 17, California Code of Regulations, sections 95340-95346), as approved by ARB and the California Office of Administrative Law. Distributors must also retain documentation showing that they have met this requirement for a period of three years. This documentation requirement will be satisfied if the distributor retains a copy of the materials mailed or emailed and the contact information for where the materials were sent. Contact information includes the retailer name, business name, physical address, contact name, telephone number, fax number, e-mail address, and web site address, as applicable.
Distributors of sulfur hexafluoride must also provide records and other sources to ARB upon request by the Executive Officer or his or her designee. Records include copies of all invoices, books, correspondence, electronic data, or other pertinent documents in its possession or under its control that the manufacturer, distributor or retailer retains that are necessary to prove compliance with the requirements of this sub article.
(c) Recordkeeping for Purchasers and Users of Sulfur Hexafluoride. After March 30, 2010 or upon the operative date of this sub article, whichever is later, all persons who purchase or use sulfur hexafluoride, except for those users exempted under section 95341(a)(1-4), must keep records showing the annual quantity of sulfur hexafluoride purchased and used. These records must be retained for at least three years. Users of sulfur hexafluoride must also provide ARB with copies of records and other sources upon request by the Executive Office or his or her designee.
(d) Annual Reporting for Research Uses of Sulfur Hexafluoride
Beginning in calendar year 2011, all persons who purchase or use sulfur hexafluoride for research purposes, except for those users exempted under section 95341(a)(1-9), must submit an annual report to the Executive officer by March 30th for the previous calendar year. The report must include the following:
(1) The total quantity of sulfur hexafluoride purchased and used in the previous year;
(2) Quantity of sulfur hexafluoride used for each research activity undertaken in the previous year;
(3) Explanation of each research activity; and
(4) Description of efforts undertaken to minimize sulfur hexafluoride emissions.
(e) Annual Reporting for Distributors of Sulfur Hexafluoride.
Beginning in calendar year 2011, each distributor of sulfur hexafluoride must submit an annual report to the Executive Officer by March 30th for the previous calendar year. The report must include:
(1) Total quantity in mass of sulfur hexafluoride sold; and
(2) A record of transactions of sales to each purchaser of sulfur hexafluoride, including the complete contact information listed in section 95345(b). Records must include the date and quantity of each sale.
(f) Treatment of Confidential Information
Information submitted pursuant to this section may be claimed as confidential, and such information shall be handled in accordance with the procedures specified in title 17 California Code of Regulations, sections 91000-91022.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 12-28-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
§95346. Severability.
Note     •     History

Each part of this subarticle is deemed severable, and in the event that any part of this subarticle is held to be invalid, the remainder of this subarticle shall continue in full force and effect.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 12-28-2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1). 
Subarticle 3.1. Regulation for Reducing Sulfur Hexafluoride Emissions from Gas Insulated Switchgear
§95350. Purpose, Scope, and Applicability.
Note     •     History

(a) Purpose. The purpose of this regulation is to achieve greenhouse gas emission reductions by reducing sulfur hexafluoride (SF6) emissions from gas insulated switchgear.
(b) Applicability. The provisions of this subarticle apply to owners of gas insulated switchgear. Any person who is subject to this subarticle must meet the requirements of this subarticle, notwithstanding any contractual arrangement that person may have with any third parties.
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code.
HISTORY

1. New subarticle 3.1 (sections 95350-95359) and section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95351. Definitions.
Note     •     History

(a) For the purposes of this subarticle, the following definitions apply:
(1) “Active GIS Equipment” means non-hermetically sealed SF6 gas insulated switchgear that is: 
(A) Connected through busbars or cables to the GIS owner's electrical power system; or 
(B) Fully-charged, ready for service, located at the site in which it will be activated, and employs a mechanism to monitor SF6 emissions.
“Active GIS equipment” does not include equipment in storage.
(2) “Electrical Power System” means the combination of electrical generators (i.e., power plants), transmission and distribution lines, equipment, circuits, and transformers used to generate and transport electricity from the generator to consumption areas or to adjacent electrical power systems.
(3) “Emergency Event” means a situation arising from a sudden and unforeseen event including, but not limited to, an earthquake, flood, or fire.
(4) “Emission rate” means, subject to the provisions of section 95356(e), a GIS owner's total annual SF6 emissions from all active GIS equipment divided by the average annual SF6 nameplate capacity of all active GIS equipment.
(5) “Executive Officer” means the Executive Officer of the Air Resources Board (ARB) or his or her designee.
(6) “Gas container” means a vessel containing or designed to contain SF6. “Gas container” includes pressurized cylinders, gas carts, or other containers.
(7) “Gas-insulated switchgear or GIS” means all electrical power equipment insulated with SF6 gas regardless of location. Gas insulated switchgear or GIS includes switches, stand-alone gas-insulated equipment, and any combination of electrical disconnects, fuses, electrical transmission lines, transformers and/or circuit breakers used to isolate gas insulated electrical equipment. 
(8) “GIS Owner” means the person who owns gas insulated switchgear. “GIS owner” excludes temporary ownership by the original equipment manufacturer during GIS equipment transport and installation at a customer's site.
(9) “Hermetically Sealed Gas Insulated Switchgear” means switchgear that is designed to be gas-tight and sealed for life. This type of switchgear is pre-charged with SF6, sealed at the factory, and is not refillable by its user.
(10) “Nameplate Capacity” means the design capacity of SF6 specified by the manufacturer for optimal performance of a GIS device. Nameplate capacity may be found on the nameplate attached to the GIS device, or may be stated within the manufacturer's official product specifications. 
(11) “NIST-Traceable Standards” means national, traceable measurement standards developed by the National Institute of Standards and Technology (NIST). 
(12) “Person” shall have the same meaning as defined in Health and Safety Code section 39047.
(13) “Responsible Official” means one of the following:
(A) For a corporation, a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or any other person who performs similar policy or decision-making functions for the corporation, or a duly authorized representative of such person; or
(B) For a partnership or sole proprietorship, a general partner or the proprietor, respectively; or
(C) For a municipal, state, federal, or other public agency, either a principal executive officer or a ranking elected official.
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95352. Maximum Annual SF6 Emission Rate.
Note     •     History

For each calendar year specified below, the maximum annual SF6 emission rate for each GIS owner's active GIS equipment shall not exceed the following:

Maximum Annual SF6 Emission Rate

	Calendar Year	Maximum Allowable SF6 Emission Rate 
			
	2011	10.0%
	2012	9.0%
	2013	8.0%
	2014	7.0%
	2015	6.0%
	2016	5.0%
	2017	4.0%
	2018	3.0%
	2019	2.0%
2020, and each calendar 
year thereafter 	1.0%
			
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95353. Emergency Event Exemption.
Note     •     History

(a) A GIS owner may request emissions from an emergency event to be exempted from the calculation of the maximum allowable emission rate if it is demonstrated to the Executive Officer's satisfaction that the release of SF6:
(1) Could not have been prevented by the exercise of prudence, diligence, and care; and
(2) Was beyond the control of the GIS owner.
(b) A request for an exemption pursuant to this section must be submitted in writing to the Executive Officer within 30 calendar days after the occurrence of the emergency event, and must contain the following information:
(1) The GIS owner's name, physical address, mailing address, e-mail address and telephone number; 
(2) A detailed description of the emergency event, including but not limited to the following:
(A) The nature of the event (e.g., fire, flood, earthquake);
(B) The date and time the event occurred;
(C) The location of the event;
(D) The GIS equipment that was affected by the event;
(E) The amount of SF6 released (in pounds);
(3) A statement and supporting documentation that the release occurred as a result of an emergency event; and
(4) A signed and dated statement, under penalty of perjury, provided by the appropriate responsible official that the statements and information contained in the submitted request are true, accurate, and complete. 
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95354. SF6 Inventory Measurement Procedures.
Note     •     History

(a) GIS owners must do all of the following:

(1) 	Establish and adhere to written procedures to track all gas containers as they are leaving and entering storage;

(2) 	Weigh all gas containers on a scale that is certified by the manufacturer to be accurate to within one percent of the true weight;
(3) Calibrate all scales used to measure quantities that are to be reported under this subarticle by:
(A) Using calibration procedures specified by the scale manufacturer; or
(B) If a scale manufacturer has not specified calibration procedures, using:
1. A NIST traceable standard; and
2. A published calibration method identified as appropriate for that scale by either the International Society of Weighing and Measurement or the National Conference on Weights and Measures.
(4) Calibrate scales used to measure quantities reported under this subarticle prior to the first reporting year.
(5) Recalibrate scales used to measure quantities reported under this subarticle at least annually, or at the minimum frequency specified by the manufacturer, whichever is more frequent. 
(b) GIS owners must:
(1) Establish and maintain a log of all measurements required by this section;
(2) Record the scale calibration methods used pursuant to this section; and 
(3) Retain all documents and records required by this section for a minimum of three years. 
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95355. Recordkeeping.
Note     •     History

GIS owners must:

(a) 	Establish and maintain a current and complete GIS equipment inventory, which includes the following information for each piece of equipment:
(1) Manufacturer serial number;
(2) Equipment type (e.g., circuit breaker, transformer, etc);
(3) Seal type (hermetic or non-hermetic);
(4) Equipment manufacturer name;
(5) Date equipment was manufactured;
(6) Equipment voltage capacity (in kilovolts);
(7) Equipment SF6 nameplate capacity (charge in pounds);
(8) A chronological record of the dates on which SF6 was transferred into or out of active GIS equipment; 
(9) The amount, in pounds, of SF6 transferred into or out of the active GIS equipment;
(10) Equipment status (active or inactive); and
(11) Equipment location:

(A) 	The physical address for each piece of equipment must be listed; and 
(B) Complete records must be kept of changes to the equipment inventory and the dates the changes occurred (such as installation of new equipment, removal of equipment, and disposition of the equipment (e.g., sold, returned to manufacturer, etc.)).
(b) Establish and maintain a current and complete inventory of gas containers, which includes the following information for each container:
(1) A unique identification number;
(2) Size;
(3) Location; 
(4) The weight, in pounds, of SF6 in each container at the end of each calendar year, and when gas containers are added or removed from inventory. 
(c) Retain SF6 gas and equipment purchase documentation (such as contracts, material invoices, receipts, etc.); 
(d) Retain all records required by this subarticle for a minimum of three calendar years;
(1) GIS owners headquartered in California must retain all records at a location within California;

(2) GIS owners headquartered in other states may retain all records at 	location in California or at their business offices nearest to California;
(e) Have all records available for ARB inspection at time of inspection; and
(f) Upon request by ARB, provide these records to the Executive Officer. 
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95356. Annual Reporting Requirements.
Note     •     History

(a) By June 1, 2012, and June 1st of each year thereafter, each GIS owner must submit an annual report to the Executive Officer for emissions that occurred during the previous calendar year.
(b) The annual report must contain all of the following information:
(1) Reporting entity name, physical address, and mailing address;
(2) Location of records and documents maintained in California if different from the reporting entity's physical address.
(3) Name and contact information including e-mail address and telephone number of the person submitting the report, and the person primarily responsible for preparing the report;
(4) The year for which the information is submitted;
(5) A signed and dated statement provided by the appropriate responsible official that the information has been prepared in accordance with this subarticle, and that the statements and information contained in the submitted emission data are true, accurate, and complete.
(6) Annual SF6 emissions as calculated using the equation specified in subsection (d), below;
(7) Annual SF6 emission rate as calculated using the equation specified in subsection (e), below;
(8) A gas insulated switchgear inventory report containing the information required by section 95355, subsections (a)(1) through (a)(10); and
(9) A gas container inventory report containing the information required by section 95355, subsections (b)(1) through (b)(4).
(c) The annual report shall be submitted to the Executive Officer as follows:
(1) GIS owners subject to the requirements of title 17, California Code of Regulations, section 95100 et seq., shall use the ARB Greenhouse Gas Reporting Tool or other mechanism, as specified in title 17, California Code of Regulations, section 95104.
(2) GIS owners not subject to the requirements of title 17, California Code of Regulations, section 95100 et seq., may either:
(A) Use the ARB's Greenhouse Gas Reporting tool, or other mechanism, as specified in title 17, California Code of Regulations, section 95104; or
(B) Submit reports in writing to ARB through the US Postal Service, electronic mail or by personal delivery.
(d) Annual SF6 Emissions. GIS owners must use the following equation to determine their SF6 emissions:
Equation for determining annual SF6 emissions:
User Emissions = (Decrease in SF6 inventory) + (Acquisitions of SF6) - (Disbursements of SF6) - (Net increase in total nameplate capacity of active GIS equipment owned).
Where:
Decrease in SF6 inventory = (SF6 stored in containers, but not in equipment, at the beginning of the year) - (SF6 stored in containers, but not in equipment, at the end of the year).
Acquisitions of SF6 = (SF6 purchased in bulk from chemical producers, distributors, or other entities) + (SF6 purchased from equipment manufacturers, distributors, or other entities with or inside active GIS equipment) + (SF6 returned to site after off-site recycling).
Disbursements of SF6 = (SF6 in bulk and contained in active GIS equipment that is sold to other entities) + (SF6 returned to suppliers) + (SF6 sent off site for recycling) + (SF6 sent to destruction facilities).
Net increase in total nameplate capacity of active GIS equipment owned = (The nameplate capacity of new active GIS equipment) - (Nameplate capacity of retiring active GIS equipment).
(e) Annual SF6 Emission Rate. GIS owners shall use the following equations to determine their SF6 emission rate.
Equation for determining emissions rate:

View Graphic
NOTE

Authority cited: Sections 38510, 38560, 38580, 39600, and 39601, Health and Safety Code. Reference: Sections 38560, 39600, and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2011; operative 6-17-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 24). 
§95357. Treatment of Confidential Information.
Note     •     History

Information submitted pursuant to this subarticle may be claimed as confidential. Such information shall be handled in accordance with the procedures specified in title 17, California Code of Regulations, sections 91000 through 91022.
NOTE

Authority cited: Sections 38510, 38560, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95358. Enforcement.
Note     •     History

(a) Penalties. Penalties may be assessed for any violation of this subarticle pursuant to Health and Safety Code section 38580. Each day during any portion of which a violation occurs is a separate offense.
(b) Each day or portion thereof that any report required by this subarticle remains unsubmitted, is submitted late, or contains incomplete or inaccurate information, shall constitute a single, separate violation of this subarticle.
(c) Any exceedance of the maximum allowable SF6 emission rate for a calendar year shall constitute a single, separate violation of this subarticle for each day of the calendar year. 
(d) Injunctions. Any violation of this subarticle may be enjoined pursuant to Health and Safety Code section 41513.
NOTE

Authority cited: Sections 38510, 38560, 39600, 39601 and 41510, Health and Safety Code. Reference: Sections 38580, 39600, 39601, 41510 and 41513, Health and Safety Code.
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
§95359. Severability.
Note     •     History

Each part of this subarticle is deemed severable, and in the event that any part of this subarticle is held to be invalid, the remainder of this subarticle shall continue in full force and effect.
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38562, 38580, 39600 and 39601, Health and Safety Code. 
HISTORY

1. New section filed 2-2-2011; operative 2-2-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 5). 
Subarticle 4. [Reserved]
Subarticle 5. Small Containers of Automotive Refrigerant
§95360. Applicability.
Note     •     History

Except as otherwise provided in sections 95363 or 95364, this subarticle applies to any person who uses, sells, supplies, offers for sale, advertises, manufactures for sale, recycles, reclaims, recovers, imports, exports, or introduces into commerce in the State of California any automotive refrigerant in a small container that is used or intended for use to charge motor vehicle air conditioning systems.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New article 4 (subarticles 1-5, sections 95360-95370), subarticle 5 (sections 95360-95370) and section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
§95361. Definitions.
Note     •     History

(a) The definitions in section 1900(b), Title 13 of the California Code of Regulations apply with the following additions:
(1) “Automotive Refrigerant” means any substance used, sold for use,or designed or intended for use as a heat transfer fluid and provides a cooling effect in a Motor Vehicle Air Conditioner (MVAC) that is not either a Class I or a Class II refrigerant as defined in 42 U.S.C. sections 7671(a) or (b), or that is listed in Title 40, Code of Federal Regulations part 82, subpart A, appendix A, as it existed as of July 1, 2006.
(2) “Automotive Refrigerant in a Small Container” means automotive refrigerant packaged in a container holding more than 2 ounces and less than 2 pounds of automotive refrigerant by weight.
(3) “Breached Container” means any small container that has been structurally compromised so that the container's contents have been released to the environment through an opening other than the self-sealing valve.
(4) “Can Heel” means the quantity of automotive refrigerant remaining in a small container of automotive refrigerant after that small container of automotive refrigerant has been used to charge an MVAC system or systems with refrigerant.
(5) “Consumer” means the first person who in good faith purchases automotive refrigerant in a small container for purposes other than resale, including, but not limited to, MVAC maintenance and repair activities or other applications involving this product. A person who purchases automotive refrigerant in a small container for purposes of servicing or repairing another person's MVAC for consideration (e.g., a MVAC technician) is considered a `consumer' for purposes of this subarticle. Manufacturers, distributors, and retailers are not consumers.
(6) “Dispose” means to discard a small container of automotive refrigerant in any manner, except as permitted in section 95365 of this subarticle.
(7) “Distributor” means any person to whom an automotive refrigerant small container is sold or supplied for the purposes of resale or distribution in commerce, including imports to and exports from the United States. Manufacturers, retailers, and consumers are not distributors.
(8) “Executive Officer” means the Executive Officer of the California Air Resources Board (ARB).
(9) “Global Warming Potential” (GWP) means the radiative forcing impact of one mass-based unit of a given greenhouse gas relative to an equivalent unit of carbon dioxide over a given period of time.
(10) “Global Warming Potential Value” or “GWP Value” means, for the purposes of this subarticle, the 100-yr GWP value first published by the IPCC in its Second Assessment Report (SAR) (IPCC, 1995); or if a 100-yr GWP value was not specified in the IPCC SAR, it means the GWP value published by the IPCC in its Fourth Assessment Report (AR4) (IPCC, 2007); or if a 100-yr GWP value was not specified in the IPCC AR4, then the GWP value will be determined by the Executive Officer based on data, studies and/or good engineering or scientific judgment. Both the 1995 IPCC SAR values and the 2007 IPCC AR4 values are published in table 2.14 of the 2007 IPCC AR4. The SAR GWP values are found in column “SAR (100-yr)” of Table 2.14.; the AR4 GWP values are found in column “100 yr” of Table 2.14.”
(11) “Label” means any written, printed, or graphic matter affixed to, applied to, attached to, embossed on, or appearing upon any small container for purposes of branding, identifying, or giving information with respect to the product or to the contents of the package.
(12) “Manufacturer” means any person who imports, manufactures, assembles, packages, repackages, recovers, recycles, or reclaims automotive refrigerant in a small container, or who re-labels such a container of refrigerant.
(13) “Motor Vehicle Air Conditioner” (MVAC) is a system installed in a motor vehicle that uses a refrigerant to cool the driver's or passenger's compartment.
(14) “Person” has the same meaning as defined in Health and Safety Code section 39047.
(15) “Reclaim” means to process refrigerant to a level equivalent to new product specifications in accordance with the AHRI 700-2006 Standard (“Specifications for Fluorocarbon Refrigerants”, Air-Conditioning, Heating, and Refrigeration Institute, Arlington, VA, 2006).
(16) “Recover” means to remove automotive refrigerant, in any condition, from a MVAC system without necessarily testing or processing it in any way.
(17) “Recycle” means to clean automotive refrigerant for reuse by oil separation and by single or multiple passes through moisture-absorption devices, such as replaceable core filter-driers that reduce moisture, acidity, and particulate matter.
(18) “Recovery facility” means a facility that recovers automotive refrigerant that is subject to the provisions of this subarticle.
(19) “Retailer” means any person who owns, leases, operates or controls, or supervises a retail outlet in California. Manufacturers, distributors, and consumers are not retailers.
(20) “Retail Outlet” means any establishment at which automotive refrigerant in a small container is sold, supplied, or offered for sale in California.
(21) “Self-Sealing Valve” means a valve affixed to an automotive refrigerant small container that automatically seals to prevent or minimized inadvertent release of refrigerant when not actively engaged for the purpose of dispensing refrigerant, and meets or exceeds established performance criteria as identified in section 95362(b).
(22) “SKU” (Stock Keeping Unit) means a unique code identifier for each distinct product or service that can be ordered from a supplier. The SKU system enables the merchant to systematically track their inventory, such as in warehouses and retail outlets.
(23) “Small Container” or “Small Container of Automotive Refrigerant” has the same meaning as “Automotive Refrigerant in a Small Container” as specified in section 95361 (a)(2).
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
§95362. Certification Procedures for Small Containers of Automotive Refrigerant.
Note     •     History

(a) Except as provided in sections 95363 or 95364, on or after January 1, 2010, no person may sell, supply, offer for sale, or manufacture for sale in California automotive refrigerant in a small container unless that automotive refrigerant in a small container has been certified for use and sale by the Air Resources Board and is covered by an Executive Order issued pursuant to this subarticle.
(b) The criteria for obtaining certification, including all procedures for determining compliance with applicable test procedures, are set forth in “Certification Procedures for Small Containers of Automotive Refrigerant”, adopted on July 20, 2009, and last amended on January 5, 2010, which is incorporated by reference herein.
(c) Any modification to the design or specifications of a small container of automotive refrigerant that has been issued an Executive Order pursuant to these procedures must be disclosed to ARB before any modified small container of automotive refrigerant may be sold, supplied, offered for sale, or manufactured for sale in California. The Executive Officer will exercise good engineering judgment to determine if said change(s) constitute a significant difference to the design or specification of a previously certified small container of automotive refrigerant. If the Executive Officer determines that said change(s) constitute a significant difference to the design or specification of a previously certified small container of automotive refrigerant, the manufacturer must then request that the modified small container of automotive refrigerant be issued a new Executive Order pursuant to the provisions of this subarticle.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
2. Amendment of subsection (b) filed 2-8-2010; operative 3-10-2010 (Register 2010, No. 7).
§95363. Exemption for Low GWP Value Refrigerants.
Note     •     History

This subarticle does not apply to automotive refrigerants with a GWP value equal to or less than 150, where GWP value is defined as described in section 95361(a)(10).
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
§95364. Sell-Through of Products.
Note     •     History

(a) Notwithstanding the provisions of section 95362(a), automotive refrigerant in a small container that was packaged or manufactured before January 1, 2010 may be sold, supplied, or offered for sale in California until December 31, 2010.
(b) Notification necessary for products sold during the sell-through period. A person who sells or supplies automotive refrigerant in a small container that does not fully comply with the provisions of section 95362 must notify the purchaser in writing of the date on which the sell-through period will end. This notification must be supplied only if all of the following conditions are met:
(1) The product is being sold or supplied to a distributor or retailer; and
(2) The sell-through period for the product will expire 6 months or less from the date the product is sold or supplied.
(c) Any small container of automotive refrigerant that is not sold by December 31, 2010 must be recalled by the manufacturer. A manufacturer must report the total number of small containers of automotive refrigerant that are recalled in the reports required by section 95367.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
§95365. Container Disposal or Destruction.
Note     •     History

(a) On or after January 1, 2010, no person shall dispose of or destroy any small container of automotive refrigerant that is subject to the requirements of this subarticle unless the disposal or destruction is performed in accordance with the procedures specified in this section.
(b) A manufacturer or its designated recovery facility must evacuate small containers of automotive refrigerant to less than atmospheric pressure, unless the containers are breached or damaged to an extent that precludes recovery of the refrigerant. All other persons must return small containers of refrigerant that contain any quantity of refrigerant to the retailer, the manufacturer, or the manufacturer's designated recovery facility.
(c) Refrigerant recovery facilities must be registered with the ARB as described in “Certification Procedures for Small Containers of Automotive Refrigerant” adopted on July 20, 2009, and last amended on January 5, 2010, which is incorporated by reference herein.
(d) Small containers of automotive refrigerant that are breached do not count as recycled small containers of automotive refrigerant for the purpose of calculating the recycle rate.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
2. Amendment of subsection (c) filed 2-8-2010; operative 3-10-2010 (Register 2010, No. 7).
§95366. Container Deposit and Return Program Requirement.
Note     •     History

(a) Except for small containers of automotive refrigerant exempted under section 95363 or section 95364 of this subarticle, on or after January 1, 2010, and subject to the provisions of section 95367, a retailer of automotive refrigerant in a small container that is subject to the requirements of this subarticle must:
(1) Collect a deposit from the consumer or charge the consumer's account for each small container of automotive refrigerant at the time of sale.
(2) The amount of deposit on each small container is initially set at $10, and can be increased in $5 increments as described in section 95367(d)(1) or decreased in $5 decrements as described in section 95367(d)(2), but in no event shall the deposit amount of section 95366(a) be reduced below $5.
(3) Return the deposit to the consumer, or credit the consumer's account when the consumer returns a used small container of automotive refrigerant to the retailer, provided that the consumer returns the used container of refrigerant to the retailer where purchased within 90 days of purchase, submits proof of purchase (e.g., cash register receipt), and provided that the container has not been breached. A retailer may return the deposit at his discretion if more than 90 days have elapsed, the consumer does not have a receipt, if the consumer returns the container to a location other than the place of purchase, or if the container has been breached.
(4) Accumulate and store any used small container of automotive refrigerant for transfer to the manufacturer or its designee, and may segregate breached returned small containers from non-breached returned small containers. The manufacturer will, along with each participating retailer/distributor, identify or provide collection bins, totes or boxes that work in a complementary fashion within each retailer/distributors' current established distribution best practice for like merchandise, facilitating their ability to segregate breached small containers. Likewise, it will be the manufacturer's responsibility to identify each retailer/ distributor's most complimentary manner of transport and return of returned small containers of automotive refrigerant to the recovery/recycle facilities.
(b) Except for small containers of automotive refrigerant exempted under section 95363 or section 95364 of this subarticle, on or after January 1, 2010, and subject to the provisions of section 95367, a manufacturer or its designated return agency must:
(1) Collect a deposit on each small container of automotive refrigerant at the time of sale to a distributor or retailer.
(2) Accept from a retailer or distributor used small containers of refrigerant certified under section 95362.
(3) Maintain a log of returned used containers by SKU, retailer, and return date.
(4) Refund to the retailer or distributor the full amount of the deposits collected under section 95366(b)(1) for all used small containers of automotive refrigerant certified under section 95362 that were returned. A manufacturer or designated return agency must count and record the number of small containers of automotive refrigerant that have been breached.
(5) All deposits not returned by manufacturers to retailers in exchange for used small containers of automotive refrigerant will accrue to an account managed by the manufacturer to be used solely as described in section 95366(b)(6) for the purpose of enhancing the consumer education program. The manufacturer must report and account for how these account funds are spent in accordance with section 95367(a)(5) of this subarticle.
(6) Separately account for any funds attributable to unclaimed deposits, expend those funds only on enhanced educational programs approved by the Executive Officer, that are designed to inform consumers of measures to reduce GHG emissions associated with do-it-yourself recharging of MVAC systems, and provide to ARB an accounting of the collection and expenditures of these funds as described in section 95367(a)(5). Examples of enhanced education programs include, but are not limited to: improved Internet website support, development of additional educational materials, training and outreach to the consumer via retailers, and development and usage of videos and other means of demonstrations at retail sites. A manufacturer must provide a description of any proposed enhanced educational programs in its application for certification of small containers of automotive refrigerant, and must obtain the Executive Officer's approval before it can expend funds attributable to unclaimed deposits on that enhanced educational program.
(c) A manufacturer may designate an additional facility to receive and store returned used small containers of automotive refrigerant and to pay consumer refunds specified in section 95366(a) and (b) at the time a container is returned. Such a facility may be either a retail store or an entity that is not affiliated with a retail store.
(d) A manufacturer or its designee must coordinate the collection of used small containers of automotive refrigerant from retailers and any designated return agencies. To reduce the burden on the retailer, the manufacturer shall, along with each participating retailer/distributor, identify or provide collection bins, totes or boxes that work in a complementary fashion within each retailer/distributors' current established distribution best practice for like merchandise. Likewise, it shall be the manufacturer's responsibility to identify each retailer/distributor's most complementary manner of transporting returned small containers of automotive refrigerant to the recovery/recycle facilities.
(e) A manufacturer or its designee must recover any refrigerant remaining in the returned small containers at a facility registered with the ARB as described in “Certification Procedures for Small Containers of Automotive Refrigerant” adopted on July 20, 2009, and last amended on January 5, 2010, which is incorporated by reference herein. The facility must employ good engineering practices to avoid loss of refrigerant to the atmosphere. The refrigerant must be recovered, recycled, reclaimed, or removed to a licensed waste disposal facility.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
2. Amendment of subsections (a)(2) and (e) filed 2-8-2010; operative 3-10-2010 (Register 2010, No. 7).
§95367. Recycling Reporting Requirements.
Note     •     History

(a) Reports to the Executive Officer are due March 1 every year starting March 1, 2011. Each annual report documents monthly data for small containers of automotive refrigerant sold and returned during the prior calendar year, January 1 though December 31. Reports must be submitted as follows:
(1) Upon request from ARB, each retailer must report sales data of the number of small containers of automotive refrigerant sold and the number of used small containers of automotive refrigerant returned by consumers. The sales data and returned can data must be reported for each SKU, for each manufacturer, distributor, for each month, and as totals for each reporting period. The data must be reported separately for the following categories: returned unused, returned for recycle, returned breached, to the extent that the retailer has segregated breached cans pursuant to section 95366(a)(4).
(2) Each distributor must report sales data of small containers of automotive refrigerant. The sales data must be reported for each SKU for each retailer, manufacturer, and for each month.
(3) Each manufacturer must report sales data of the number of small containers of automotive refrigerant sold to each retailer or distributor within the State and the number of small containers of automotive refrigerant returned for recycling by each retailer or distributor within the State. The sales data must be reported for each SKU, for each distributor, retailer, or other outlet, for each month and as totals for each reporting period.
(4) Each manufacturer or recycler of small containers of automotive refrigerant must report the number of small containers received for recycling. The returned container data must be reported for each SKU, for each retailer or other source of return, for each month, and as totals for each reporting period. The data must be segregated according to reason for the can return: returned unused, returned for recycle, returned breached. The refrigerant amount recovered must be reported for each manufacturer, and for each month.
(5) Each manufacturer of small containers of automotive refrigerant must report the amounts of unclaimed deposits retained, and an accounting and description of how those funds were spent to enhance consumer education. The report must highlight each component of an educational program and funds spent for that component.
(6) Each recycler of refrigerant from small containers of automotive refrigerant must report the amount of refrigerant recovered, along with the amount of that refrigerant recycled, reclaimed, or disposed of. The refrigerant amounts must be reported for each manufacturer, and for each month.
(b) Starting 2011, the ARB will calculate and publish the annual return rate for containers of refrigerant subject to the requirements of this subarticle based on reports submitted to ARB by the manufacturers, distributors, and the retailers. The return rate of containers will be published by May 31 each year and calculated as the number of containers of refrigerant returned, divided by the number of containers sold to consumers during the period under consideration. The return rate will exclude returned small containers of automotive refrigerant that are breached (i.e., the number of returned small containers that are breached will be excluded from the numerator, but will be included in the denominator).
(c) Between January 1, 2010 and December 31, 2011, the target return rate for small containers is 90%. For periods beginning January 1, 2012 and thereafter, the target return rate for containers is 95%.
(d) Every two years beginning 2012, ARB will evaluate the return rates, as described in section 95367(b), based on data from the prior two calendar years compared to the target rates, as described in section 95367(c).
(1) If the two calendar year average return rate does not meet or exceed the applicable target return rate specified in section 95367(c), the Executive Officer or his or her designee shall increase the deposit amount of section 95366(a) by an additional $5 unless manufacturers and retailers submit information that demonstrates either that the applicable annual return rate, as described in section 95367(b) was not calculated correctly, or that the underlying sales or returned can data, as described in sections 95367(a)(1) through (a)(4), did not accurately reflect the true return rate of used containers. Manufacturers or retailers must submit such information by March 1 of the calendar year in which the two calendar year average return rate does not meet or exceed the applicable target return rate specified in section 95367(c), and the Executive Officer or his or her designee shall decide by May 31 of that calendar year either to increase the deposit amount of section 95366(a) by an additional $5 or leave the deposit amount of section 95366(a) unchanged.
(2) If the two calendar year average return rate exceeds the applicable target return rate specified in section 96367(c) by at least 2.5 percent for two consecutive reporting periods within a four year period of time, a manufacturer or retailer may request that the Executive Officer or his or her designee reduce the deposit amount of section 95366(a) by $5, but in no event shall the deposit amount of section 95366(a) be less than $5. A manufacturer or retailer must make this request by March 31 of a calendar year, and the Executive Officer or his or her designee shall reduce the deposit amount of section 95366(a) by $5 by May 31 of that calendar year, unless the Executive Officer or his or her designee has information that demonstrates either that the applicable annual return rates, as described in section 95367(b) were not calculated correctly, or that the underlying sales or returned can data, as described in sections 95367(a)(1) though (a)(4), did not accurately reflect the true return rate of used containers.
(e) If the Executive Officer or his or her designee increases the deposit amount of section 95366(a) as described in section 95367(d)(1), or decreases the deposit amount of section 95366(a) as described in section 95367(d)(2), all small containers of automotive refrigerant manufactured after January 1 of the year following that decision must have new labels and SKUs, which reflect the new deposit rate.
(f) If the Executive Officer increases the deposit amount specified in section 95366(a) pursuant to section 95367(d)(1), any small container of automotive refrigerant that was manufactured or packaged before January 1 of the year following that change to the deposit rate may be sold, supplied, or offered for sale in California.
(g) If the Executive Officer decreases the deposit amount of section 95366(a) pursuant to section 95367(d)(2), any small container of automotive refrigerant that was manufactured or packaged before January 1 of the year following that decision may be sold, supplied, or offered for sale in California until December 31 of the year following that decision. Any small container manufactured or packaged before January 1 of the year following the decision as described in section 95367(d)(2) to change the deposit rate that is not sold by the December 31 of the year following that decision must be recalled by the manufacturer no later than 90 calendar days after the December 31 of the year following that decision, and the manufacturer must report the total number of small containers recalled in the reports required by section 95367.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
2. New subsections (d)-(g) filed 2-8-2010; operative 3-10-2010 (Register 2010, No. 7).
§95368. Enforcement.
Note     •     History

(a) Penalties. Penalties may be assessed for any violation of this subarticle pursuant to Health and Safety Code section 38580. Each day during any portion of which a violation occurs is a separate offense.
(b) Injunctions. Any violation of this subarticle may be enjoined pursuant to Health and Safety Code section 41513.
(c) Revocation. The Executive Officer may revoke any Executive Order issued pursuant to this subarticle for a violation of this subarticle.
(d) Testing to determine that small containers of automotive refrigerant are in compliance with the leakage rate requirement specified in “Certification Procedures for Small Containers of Automotive Refrigerant” adopted on July 20, 2009, and last amended on January 5, 2010, which is incorporated by reference herein, shall be performed using Test Procedure (TP-503), Test Procedure for Leaks from Small Containers of Automotive Refrigerant, adopted July 20, 2009, and last amended on January 5, 2010, which is incorporated herein by reference.
(e) Before seeking remedial action against any manufacturer, distributor, or retailer, the Executive Officer will consider any information provided by the manufacturer, distributor, or retailer.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
2. Amendment of subsection (d) filed 2-8-2010; operative 3-10-2010 (Register 2010, No. 7).
§95369. Recordkeeping Requirements.
Note     •     History

(a) Each manufacturer, distributor, and retailer of small containers of automotive refrigerant must retain invoices for a period not less than 5 years that show the manufacturer, distributor, or retailer name, business name, physical address, contact name, telephone number, fax number, e-mail address, web site address, sale date, and the quantity of small containers of automotive refrigerant purchased or sold.
(b) Each recovery facility must maintain records for a period not less than 5 years that show the number of small containers received, and from whom they were received.
(c) Each recovery facility must maintain records for a period not less than 5 years that show the quantity of automotive refrigerant recovered, along with the quantity of that recovered refrigerant that was recycled, reclaimed, or disposed of.
(d) Each manufacturer must maintain records for a period not less than 5 years that show expenditures for educational programs that it funded from unclaimed deposits.
(e) Records include copies of all invoices, books, correspondence, electronic data, or other pertinent documents in the possession or under the control of a manufacturer, distributor or retailer that is necessary to prove compliance with the requirements of this subarticle.
(f) The records specified in this section may be stored in paper, electronic, or other usable formats.
(g) The records specified in this section must be provided to ARB upon request by the Executive Officer or his or her designee.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
§95370. Severability.
Note     •     History

Each part of this subarticle is severable, and in the event that any provision of this subarticle is held to be invalid, the remainder of this subarticle shall continue in full force and effect.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 9-1-2009; operative 10-1-2009 (Register 2009, No. 36).
Subarticle 5.1. Management of High Global Warming Potential Refrigerants for Stationary Sources
§95380. Purpose.
Note     •     History

The purpose of this subarticle is to reduce emissions of high global warming potential refrigerants from stationary, non-residential refrigeration equipment and from the installation and servicing of stationary refrigeration and air-conditioning appliances using high-GWP refrigerants. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New subarticle 5.1 (sections 95380-95398) and section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95381. Applicability.
Note     •     History

(a) This subarticle applies to any person who owns or operates a stationary refrigeration system, as defined in this subarticle. This subarticle also applies to any person who installs, repairs, maintains, services, replaces, recycles, or disposes of a stationary refrigeration or air-conditioning appliance, and to any person who distributes or reclaims refrigerants with high global warming potential. 
(b) The provisions of this subarticle do not apply to tactical support equipment. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95382. Definitions.
Note     •     History

(a) For the purposes of this subarticle, the following definitions shall apply:
(1) “Additional refrigerant charge” means the quantity, in pounds, of refrigerant added to a refrigeration system or appliance in order to bring the system to a full charge. “Additional refrigerant charge” does not include an initial refrigerant charge.
(2) “Air-conditioning” means any stationary, non-residential appliance, including a computer-room air conditioner, that provides cooling to a space to an intended temperature of not less than 68oF for the purpose of cooling objects or occupants. 
(3) “Air district” means an air quality management district or air pollution control district created or continued in existence under Health and Safety Code sections 40000-41357.
(4) “Air Pollution Control Officer” or “APCO” means the appointed head of a local air quality management district or air pollution control district whose appointment and duties are set forth in Health and Safety Code sections 40750-40753.
(5) “Appliance” means any device which contains and uses a high-GWP refrigerant, including any air conditioner, refrigerator, chiller, freezer, or refrigeration system. 
(6) “Automatic leak detection system” means a calibrated device using continuous monitoring for detecting leakage of refrigerants that on detection, alerts the operator, and may be either:
(A) A direct system that automatically detects the presence in air of refrigerant leaked from a refrigeration system; or
(B) An indirect system that automatically interprets measurements (e.g. temperature or pressure) within a refrigeration system that indicate a refrigerant leak (e.g., in refrigerated cases and other locations in the system) and alerts the operator to the presence of a refrigerant leak.
(7) “Certified reclaimer” means a person who is a certified reclaimer in accordance with Title 40 of the Code of Federal Regulations, Part 82, §82.164.
(8) “Certified refrigerant recovery or recycling equipment” means any refrigerant recovery or recycling equipment that meets the standards specified in Title 40 of the Code of Federal Regulations, Part 82, §82.152 (as amended April 13, 2005). 
(9) “Certified technician” means a person who holds a current, valid, and applicable certificate pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.40 or §82.161. 
(10) “Change of ownership” means a transfer of the title of a facility subject to this subarticle. 
(11) “Chlorofluorocarbon” or “CFC” means a class of compounds primarily used as refrigerants, consisting of only chlorine, fluorine, and carbon.
(12) “Commercial refrigeration” means a refrigeration appliance utilized in the retail food and cold storage warehouse sectors. “Retail food” includes the refrigeration equipment found in supermarkets, convenience stores, restaurants and other food service establishments. “Cold storage” includes the equipment used to store meat, produce, dairy products, and other perishable goods. 
(13) “Component” means a part of a refrigeration system or appliance (including condensing units, compressors, condensers, evaporators, receivers) and all of its connections and subassemblies, without which the refrigeration system or appliance will not properly function or will be subject to failures. 
(14) “Computer-room air conditioner” means a central air conditioner specifically designed for use in data processing areas, maintaining an ambient temperature of approximately 72oF and a relative humidity of approximately 52 percent. 
(15) “Continuous monitoring” means measuring the ambient concentration of refrigerant using electronic or mechanical sensors or interpreting measurements (e.g. temperature or pressure) within a refrigeration system that indicate a refrigerant leak in real time.
(16) “Detected refrigerant leak” means a refrigerant leak that is known to the owner or operator, or should reasonably have been known to the owner or operator.
(17) “Direct emissions” means high-GWP refrigerant emissions from a facility that are emitted by refrigeration systems under the operational control of a facility owner or operator. Direct emissions are calculated as the total weight in pounds of each type of high-GWP refrigerant that was charged into a refrigeration system minus the total weight in pounds of each type of high-GWP refrigerant that was recovered from a refrigeration system, as reported in the annual Facility Stationary Refrigeration report pursuant to section 95388.
(18) “Enclosed building or structure” means a building or structure with a roof and walls that prevent wind from entering the facility. 
(19) “Equipment type” means commercial refrigeration, industrial process refrigeration, or other refrigeration.
(20) “Executive Officer” means the Executive Officer of the California Air Resources Board, or his or her delegate.
(21) “Facility” means any property, plant, building, structure, stationary source, stationary equipment or grouping of stationary equipment or stationary sources located on one or more contiguous or adjacent properties, in actual physical contact or separated solely by a public roadway or other public right-of way, and under common operational control, that includes one or more refrigeration systems or appliance subject to this subarticle. Operators of military installations may classify such installations as more than a single facility based on distinct and independent functional groupings within contiguous military properties.
(22) “Facility identification number” means a unique identification number provided by the Executive Officer for each facility with one or more refrigeration systems in operation, pursuant to section 95383. 
(23) “Follow-up verification test” means those tests that involve checking the repairs within 30 days of the refrigeration system's returning to normal operating characteristics and conditions. “Follow-up verification tests” for a refrigeration system from which the refrigerant charge has been evacuated means a test conducted after the refrigeration system or portion of the refrigeration system has resumed operation at normal operating characteristics and conditions of temperature and pressure, except in cases where sound professional judgment dictates that these tests will be more meaningful if performed prior to the return to normal operating characteristics and conditions. “Follow-up verification test” for a refrigeration system from which the refrigerant charge has not been evacuated means a reverification test conducted after the initial verification test and usually within 30 days of returning to normal operating characteristics and conditions. Where a refrigeration system is not evacuated, it is only necessary to complete any required changes to return the refrigeration system to normal operating characteristics and conditions.
(24) “Full charge”, “optimal charge”, or “critical charge” means the amount of refrigerant required in the refrigerant circuit for normal operating characteristics and conditions of a refrigeration system or appliance, as determined by using one of the following three methods:
(A) Use of the equipment manufacturer's specifications of the full charge;
(B) Use of calculations based on component sizes, density of refrigerant, volume of piping, seasonal variances, and other relevant considerations; or
(C) The midpoint of an established range for full charge based on the best available data regarding the normal operating characteristics and conditions for the system. 
(25) “Global warming potential” or “GWP” means the radiative forcing impact of one mass-based unit of a given greenhouse gas relative to an equivalent unit of carbon dioxide over a given period of time.
(26) “Global warming potential value” or “GWP value” means the 100-yr GWP value first published by the Intergovernmental Panel on Climate Change (IPCC) in its Second Assessment Report (SAR) (IPCC, 1995); or if a 100-yr GWP value was not specified in the IPCC SAR, it means the GWP value published by the IPCC in its Fourth Assessment A-3 Report (AR4) (IPCC, 2007); or if a 100-yr GWP value was not specified in the IPCC AR4, then the GWP value will be determined by the Executive Officer based on data, studies and/or good engineering or scientific judgment. Both the 1995 IPCC SAR values and the 2007 IPCC AR4 values are published in table 2.14 of the 2007 IPCC AR4, which table is incorporated by reference herein. The SAR GWP values are found in column “SAR (100-yr)” of Table 2.14.; the AR4 GWP values are found in column “100 yr” of Table 2.14.”
(27) “High-GWP refrigerant” means a compound used as a heat transfer fluid or gas that is: (A) a chlorofluorocarbon, a hydrochlorofluorocarbon, a hydrofluorocarbon, a perfluorocarbon, or any compound or blend of compounds, with a GWP value equal to or greater than 150, or (B) any ozone depleting substance as defined in Title 40 of the Code of Federal Regulations, Part 82, §82.3 (as amended March 10, 2009).
(28) “Hydrochlorofluorocarbon” or “HCFC” means a class of compounds primarily used as refrigerants, consisting of only hydrogen, chlorine, fluorine, and carbon.
(29) “Hydrofluorocarbon” or “HFC” means a class of compounds primarily used as refrigerants, consisting of only hydrogen, fluorine, and carbon.
(30) “Indirect emissions” means any emissions that are a consequence of the activities of a facility but occur at sources owned or controlled by another person related to energy consumed for electricity, heat, steam, and cooling.
(31) “Industrial process refrigeration” means complex customized appliances used in the chemical, pharmaceutical, petrochemical and manufacturing industries that are directly linked to the industrial process. “Industrial process refrigeration” includes industrial ice machines, appliances used directly in the generation of electricity, and ice rinks. Where one appliance is used for both industrial process refrigeration and other applications, it will be considered industrial process refrigeration equipment if 50 percent or more of its operating capacity is used for industrial process refrigeration.
(32) “Industrial process shutdown” means that an industrial process or facility temporarily ceases to operate or manufacture whatever is being produced at that facility.
(33) “Initial refrigerant charge” means the quantity, in pounds, of high-GWP refrigerant added to a refrigeration system or appliance in order to bring the system to a full charge upon initial installation of a refrigeration system or appliance.
(34) “Initial verification test” means a leak test that is conducted as soon as practicable after the repair is completed. “Initial verification test” with regard to leak repairs that require the evacuation of the refrigeration system or portion of the refrigeration system, means a test conducted prior to the replacement of the full charge and before the refrigeration system or portion of the refrigeration system has reached operation at normal operating characteristics and conditions of temperature and pressure. “Initial verification test” with regard to repairs conducted without the evacuation of the full charge means a test conducted as soon as practicable after the conclusion of the repair work.
(35) “Intended to be operated year round” means a refrigeration system at a facility that is not a seasonal facility.
(36) “Leak inspection” means an inspection of a refrigeration system to detect a leak of a high-GWP refrigerant.
(37) “Low temperature refrigeration system” means a commercial or industrial process refrigeration system used for frozen products. 
(38) “Medium temperature refrigeration system” means a commercial or industrial process refrigeration system used for chilled products. 
(39) “Newly constructed” means a facility that is not yet operational, or that has been operational for less than 6 months.
(40) “Non-certified technician” means a person who installs, maintains, services, repairs, modifies, or disposes of refrigeration or air-conditioning appliances that does not hold a current, valid, and applicable certificate pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.161.
(41) “Non-refillable cylinder” means a cylinder with a refrigerant capacity of two pounds or greater that is designed not to be refilled and is used in the servicing, maintenance or filling of a refrigeration system, appliance, motor vehicle air-conditioning system, or heat pump equipment. 
(42) “Normal operating characteristics and conditions” means a refrigeration system operating temperatures, pressures, fluid flows, speeds, and other characteristics, including full charge of the refrigeration system that would be expected for a given process load and ambient condition during operation. Normal operating characteristics and conditions are marked by the absence of atypical conditions affecting the operation of the refrigeration system. 
(43) “Operating” means the use of a refrigeration system for cooling or freezing. A refrigeration system is considered to be operating or in operation for the entirety of any calendar month where it is used for cooling or freezing in any manner for more than a total of 24 hours. 
(44) “Operator” means the entity having operational control of a facility.
(45) “Other refrigeration” means any stationary, non-residential appliance that is used for an application other than industrial process refrigeration, commercial refrigeration, or air-conditioning, or is used for two or more applications including industrial process refrigeration, commercial refrigeration, or air-conditioning. 
(46) “Owner” means the entity having title of the facility which is subject to this subarticle.
(47) “Perfluorocarbon” or “PFC” means a class of compounds consisting only of carbon and fluorine.
(48) “Person” means any person, firm, association, organization, partnership, business trust, corporation, limited liability company, company, federal, state, or local governmental agency or public district.
(49) “Reclaim” means to reprocess refrigerant to all of the specifications specified in Title 40, Code of Federal Regulations, Part 82, §82.152 (as amended April 13, 2005).
(50) “Recover” means to remove refrigerant in any condition from an appliance and to store it in an external container without necessarily testing or processing it in any way.
(51) “Recycle” means to extract refrigerant from an appliance and clean refrigerant for reuse without meeting all of the requirements for reclamation. In general, recycled refrigerant is refrigerant that is cleaned using oil separation and single or multiple passes through devices, such as replaceable core filter-driers, which reduce moisture, acidity, and particulate matter.
(52) “Refillable cylinder” means a cylinder with a refrigerant capacity of two pounds or greater that is designed to be refilled and is used in the servicing, maintenance or filling of a refrigeration system, appliance, motor vehicle air-conditioning system, or heat pump equipment.
(53) “Refrigerant circuit” means the parts of a refrigeration system that are normally connected to each other (or are separated by isolation valves) and are designed to contain a high-GWP refrigerant. A single refrigerant circuit is defined by all piping and components that use refrigerant from a common reservoir of a high-GWP refrigerant. 
(54) “Refrigerant distributor or wholesaler” means a person to whom a product is delivered or sold for purposes of export, subsequent resale, or delivery to a certified technician, employer of a certified technician, appliance manufacturer, or another refrigerant distributor or wholesaler. “Refrigerant distributor or wholesaler” includes any person who imports refrigerant from outside of this state to distribute or sell refrigerant to a certified technician, employer of a certified technician, appliance manufacturer, or another refrigerant distributor or wholesaler, or who acts as an agent or broker in buying refrigerant. 
(55) “Refrigerant leak” means any discharge of refrigerant into the atmosphere from an appliance, certified refrigerant recovery or recycling equipment, refrigerant cylinder, or other container.
(56) “Refrigerant leak detection device” means a device that can be calibrated to accurately detect and measure the ambient concentration of refrigerant at a minimum concentration level of 10 parts per million of vapor of a specific refrigerant or selection of refrigerants.
(57) “Refrigeration system” means stationary, non-residential equipment that is an industrial process refrigeration, commercial refrigeration, or other refrigeration appliance with a single refrigerant circuit that requires more than 50 pounds of any combination of high-GWP refrigerant to maintain normal operating characteristics and conditions. “Refrigeration system” does not include an air-conditioning appliance. A single refrigeration system is defined by a single refrigerant circuit. 
(58) “Residential” means a residential dwelling containing four or fewer dwelling units on one lot or parcel. 
(59) “Retire” means the permanent removal from service of a refrigeration system, or component, rendering it unfit for use by the current or any future owner or operator.
(60) “Retrofit” means the replacement of the refrigerant used in a refrigeration system with a refrigerant approved under the Significant New Alternatives Policy (SNAP) program pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.170, or a refrigerant approved by the Executive Officer, and related refrigeration system changes required to maintain the refrigeration system operation and reliability following refrigerant replacement.
(61) “Seasonal adjustment” means the need to add refrigerant to a refrigeration system due to a change in ambient conditions caused by a change in season, followed by the subsequent removal of refrigerant in the corresponding change in season, where both the addition and removal of refrigerant occurs within one consecutive 12-month period after the initial installation of a refrigeration system or a repair of a refrigeration system requiring evacuation or partial evacuation of the refrigerant circuit. 
(62) “Seasonal facility” means a facility where the purpose of the refrigeration system(s) at a facility ceases to be required during certain seasons of the year.
(63) “Stationary” means meeting at least one of the following conditions:
(A) Is installed in a building, structure, or facility. 
(B) Is attached to a foundation, or if not so attached, will reside at the same location for more than 12 consecutive months. 
(C) Is located at the same single location on a permanent basis (at least two consecutive years) and that operates at that single location at least three months each year.
(64) “System identification number” means a unique identification number for each refrigeration system at a facility. The system identification number is comprised of the facility identification number followed by a hyphen, followed by a three digit number starting at 001 sequentially assigned to each unique refrigeration system at a facility. For example, if a facility has a facility identification number of ARB000001, then the system identification number for the first refrigeration system would be ARB000001-001.
(65) “System mothballing” means the intentional shutting down of a refrigeration system for a period of time greater than 60 days by the owners or operators of that facility, where the refrigerant has been evacuated from the refrigeration system or the affected component of the refrigeration system, at least to atmospheric pressure.
(66) “Tactical support equipment” means equipment that meets military specifications, owned by the U.S. Department of Defense, the U.S. military services, or its allies, and used in combat, combat support, combat service support, tactical or relief operations, or training for such operations.
(67) “Temperature classification” means low temperature refrigeration system, medium temperature refrigeration system, or other. 
(68) “Topping off” means adding refrigerant to a refrigeration system or appliance in order to bring the system to a full charge.
(69) Total Evaporator Cooling Load” means the total cooling in British thermal units (Btus) per hour required to maintain a facility's refrigeration systems at the temperature for which they are designed. The total cooling for the evaporator cooling load does not include the cooling load of a facility's heating, ventilation, and air-conditioning systems, sub-cooling, heat of rejection, or pump heat.
(70) “U.S. EPA” means the United States Environmental Protection Agency.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95383. Registration Requirements for Facilities with Stationary Refrigeration Systems.
Note     •     History

(a) Refrigeration Systems with a Full Charge Greater Than or Equal to 2,000 Pounds. On or before March 1, 2012, the owner or operator of a facility with a refrigeration system that begins operation before January 1, 2012, with a full charge greater than or equal to 2,000 pounds of a high-GWP refrigerant, must register with the Executive Officer by providing the information specified in subsection (e). The owner or operator of a facility with a refrigeration system that begins operation on or after January 1, 2012, with a full charge greater than or equal to 2,000 pounds of a high-GWP refrigerant, must register with the Executive Officer by March 1 of the calendar year after the calendar year in which the refrigeration system begins operating at the facility.
(b) Refrigeration Systems with a Full Charge Greater Than or Equal to 200 Pounds, but Less Than 2,000 Pounds. On or before March 1, 2014, the owner or operator of a facility with a refrigeration system that begins operation before January 1, 2014, with a full charge greater than or equal to 200 pounds, but less than 2,000 pounds, of a high-GWP refrigerant must register with the Executive Officer by providing the information specified in subsection (e). The owner or operator of a facility with a refrigeration system that begins operation on or after January 1, 2014, with a full charge greater than or equal to 200 pounds, but less than 2,000 pounds, of a high-GWP refrigerant must register with the Executive Officer by March 1 of the calendar year after the calendar year in which the refrigeration system begins operating at the facility.
(c) Refrigeration Systems with a Full Charge Greater Than 50 Pounds, but Less Than 200 Pounds. On or before March 1, 2016, the owner or operator of a facility with a refrigeration system that begins operation before January 1, 2016, with a full charge greater than 50 pounds, but less than 200 pounds, of a high-GWP refrigerant, must register with the Executive Officer by providing the information specified in subsection (e). The owner or operator of a facility with a refrigeration system that begins operation on or after January 1, 2016, with a full charge greater than 50 pounds, but less than 200 pounds, of a high-GWP refrigerant must register with the Executive Officer by March 1 of the calendar year after the calendar year in which the refrigeration system begins operating at the facility.
(d) New Owners of Facilities. If there is a change of ownership of a facility that has been registered pursuant to this section, the new owner or operator, by March 1 of the calendar year after the change of ownership has occurred, must register with the Executive Officer by providing the information specified in subsection (e). 
(e) Registration Information Requirements. To register, the owner or operator must provide the following information to the Executive Officer: 
(1) Facility information: 
(A) Name of operator.
(B) Operator Federal Tax Identification Number.
(C) Facility North American Industry Classification System (NAICS) Business Type Code based on the 2007 NAICS United States structure.
(D) Facility Standard Industrial Classification (SIC) code.
(E) Name of facility, including a facility identifier such as store number. 
(F) Facility mailing address including a street address, city, state, and zip code.
(G) Facility physical location address including a street address, city, state, and zip code.
(H) Facility contact person.
(I) Facility contact person phone number.
(J) Facility contact person e-mail address.
(2) Refrigeration system information -- provided for each refrigeration system:
(A) System identification number (assigned by the facility owner or operator). 
(B) Equipment type.
(C) Equipment manufacturer.
(D) Equipment model or description.
(E) Equipment model year.
(F) Equipment serial number. The serial number(s) of the affected equipment or component must be recorded when present and accessible. When the affected equipment or component is part of an assembly without a serial number or does not have an individual serial number or is not accessible after assembly, the physical location of the affected equipment must be recorded in enough detail to permit positive identification.
(G) Physical location of a refrigeration system through schematic or floor plan with equipment locations clearly noted. 
(H) Temperature classification -- The refrigeration system must be identified as a low temperature system, a medium temperature system, or other.
(I) Full charge of the refrigeration system. 
(J) Type of high-GWP refrigerant(s) used.
(f) Change of Ownership Requirements. Before any change of ownership, a person selling a refrigeration system must insure that it is free of refrigerant leaks through a leak inspection performed by a certified technician. In addition, a person selling a refrigeration system that has been registered pursuant to this section must inform the buyer of the registration requirements specified in this section and must submit a change of ownership notification to the Executive Officer. The change of ownership notification must include the following information:
(1) Seller information: 
(A) Facility identification number. 
(B) Name of owner or operator.
(C) Name of facility, including a facility identifier such as store number. 
(2) Buyer information: 
(A) Name of owner or operator.
(B) Name of facility, including a facility identifier such as store number. 
(C) Facility mailing address including a street address, city, state, and zip code.
(D) Facility contact person.
(E) Facility contact person phone number.
(F) Facility contact person e-mail address.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95384. Implementation Fees for Facilities with Stationary Refrigeration Systems.
Note     •     History

(a) Initial Implementation Fee Upon Registration. An implementation fee must be paid by each owner or operator of a facility with a refrigeration system with a full charge greater than or equal to 200 pounds of a high-GWP refrigerant. The fee is due and payable to the Executive Officer on the same date that the owner or operator is required to register pursuant to section 95383. The amount of the fee is specified in subsection (c). 
(b) Annual Implementation Fee. An annual implementation fee must be paid by each owner or operator of a facility with a refrigerator system with a full charge greater than or equal to 200 pounds of a high-GWP refrigerant. The annual fee is due and payable to the Executive Officer no later than March 1 of each calendar year after the calendar year in which registration is required under section 95383. The amount of the implementation fee is specified in subsection (c).
(c) Amount of Implementation Fee. The amount of the initial and annual implementation fee is based on the refrigeration system with the largest full charge that is operating at the facility, and is as follows: 
(1) The initial and annual implementation fee for a facility with a refrigeration system with a full charge of 2,000 pounds or greater is $370.
(2) The initial and annual implementation fee for a facility with a refrigeration system with a full charge of 200 pounds or greater, but less than 2,000 pounds is, $170.
(d) Facilities Exempt from Paying Fees. Notwithstanding subsections (a), (b), (c), and (f) of this section, the owner or operator is not required to pay the initial or annual implementation fee for any calendar year if during the previous calendar year all of the refrigeration systems at the facility have been maintained using the following advanced strategies and practices to reduce refrigerant charges and emissions of ozone-depleting substances and greenhouse gases. 
(1) If the facility is not a newly constructed facility, all of the following criteria must be met: 
(A) The facility must use only refrigerants with zero ozone-depleting potential; and
(B) The facility must use only refrigerants found acceptable by the U.S. EPA Significant New Alternatives Policy (SNAP) program pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.170 for the specific end use; and
(C) The facility must achieve an average HFC full charge equal to or less than 1.25 lbs. of refrigerant per 1000 Btu per hour total evaporator cooling load; and
(D) The facility must achieve a facility-wide annual refrigerant leak rate, as defined in Title 40 of the Code of Federal Regulations, Part 82, §82.152 (as amended April 13, 2005), of 10% or less; and
(E) The owner or operator must swear under penalty of perjury that the criteria specified in subsection (d)(1) have been met. 
(2) If the facility is a newly constructed facility, all of the following criteria must be met: 
(A) The facility must use only refrigerants with zero ozone-depleting potential; and
(B) The facility must use only refrigerants found acceptable by the U.S. EPA Significant New Alternatives Policy (SNAP) program pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.170 for the specific end use; and
(C) The facility must achieve an average HFC full charge equal to or less than 1.25 lbs. of refrigerant per 1000 Btu per hour total evaporator cooling load; and
(D) The owner or operator must swear under penalty of perjury that the criteria specified in subsection (d)(2) have been met. 
(e) Upon request by an authorized representative of the Executive Officer including a local Air Pollution Control Officer, the owner or operator claiming that the facility meets the criteria of subsection (d) must provide documentation to demonstrate that the criteria are met, and must provide a written statement as provided in subsection (d)(1)(E) or (d)(2)(D). 
(f) Summary of Requirements to Pay Implementation Fees. The following table summarizes the requirements of section 95384 to pay implementation fees. 

	Initial Implementation	Annual 
	Fee Upon Registration 	Implementation Fee

Facilities with a 	Amount: $370	Amount: $370
refrigeration system that	Due Date: The owner 	Due Date: Fee is due 
begin operation before 	or  operator must 	by March 1, 2013, and 
January 1, 2012 with a 	register and pay the fee 	each year thereafter.
full charge of 2,000 	by March 1, 2012.
pounds or greater.

Facilities with a 	Amount: $370 	Amount: $370
refrigeration system that 	Due Date: The owner or 	Due Date: By March 1
begin operation on or  	operator must register  	of the calendar year after after January 1, 2012  	and pay the fee by March	the refrigeration system
with a full charge of 	1 of the calendar year	is required to be 
2,000 pounds or greater.	after the refrigeration	registered, and each 
 	system begins operating.	year thereafter.

Facilities with a 	Amount: $170	Amount: $170
refrigeration system that 	Due Date: The owner or 	Due Date: Fee is due  
begin operation before 	operator must register and	by March 1, 2015, and 
January 1, 2014 with a 	pay the fee by March 	each year thereafter.
full charge of 200 	1, 2014.	
pounds or greater, but 
less than 2,000 pounds.

Facilities with a 	Amount: $170 	Amount: $170
refrigeration system that 	Due Date: The owner or 	Due Date: By March 1
begin operation on or 	operator must register and 	of the calendar year
after January 1, 2014 	pay the fee by March 1	after the refrigeration 
with a full charge of 	of the calendar year after 	system is required to
200 pounds or greater, 	the refrigeration system	 be registered, and
but less than 2,000 	begins operating.	each  year thereafter.
pounds.
(g) Fees collected pursuant to this section shall be deposited into the California Air Pollution Control Fund.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95385. Leak Detection and Monitoring Requirements for Facilities with Stationary Refrigeration Systems.
Note     •     History

(a) Refrigeration Systems with a Full Charge Greater Than or Equal to 2,000 Pounds. The owner or operator of a refrigeration system with a full charge greater than or equal to 2,000 pounds of a high-GWP refrigerant must do the following:
(1)(A) Except as provided in subsection (a)(1)(B), after January 1, 2011, the owner or operator of a refrigeration system that operates year round, or is intended to be operated year round, must conduct a leak inspection of the refrigeration system monthly using a refrigerant leak detection device, a bubble test, or observation of oil residue if:
1. The refrigerant circuit is located entirely within an enclosed building or structure, or 
2. The compressor, evaporator, condenser, or any other component of the refrigeration system(s) with a high potential for a refrigerant leak is located inside an enclosed building or structure. 
(B) A monthly leak inspection of the refrigeration system is not required pursuant to subsection (a)(1)(A) if an automatic leak detection system meeting the specifications provided in subsections 95385(a)(5) or 95385(a)(6) is used to monitor the refrigeration system. 
(2) By January 1, 2012, the owner or operator of a refrigeration system, that operates year round, or is intended to be operated year-round, must install an automatic leak detection system if:
(A) The refrigerant circuit is located entirely within an enclosed building or structure, or 
(B) The compressor, evaporator, condenser, or any other component of the refrigeration system(s) with a high potential for a refrigerant leak is located inside an enclosed building or structure. 
(3) After January 1, 2011, the owner or operator of a refrigeration system that does not operate with the refrigerant circuit located entirely within an enclosed building or structure must conduct a leak inspection once every three months using a calibrated refrigerant leak detection device, a bubble test, or observation of oil residue of all refrigerant circuit components that are not located within an enclosed building or structure or that are not monitored using an automatic leak detection system meeting the specifications provided in subsections 95385(a)(5) or 95385(a)(6). 
(4) If a facility has installed an automatic leak detection system which directly detects the presence in air of a high-GWP refrigerant, sensors or intakes must be placed so that they will continuously monitor the refrigerant concentrations in air in proximity of the compressor, evaporator, condenser, and other areas with a high potential for a refrigerant leak. 
(5) If a facility has installed an automatic leak detection system which detects the presence in air of a high-GWP refrigerant, the owner or operator must annually audit and calibrate the system using manufacturer recommended procedures, so that it: 
(A) Accurately detects a concentration level of 10 parts per million of vapor of the specific refrigerant or refrigerants used in the refrigeration system(s), and 
(B) Alerts the operator when a refrigerant concentration of 100 parts per million of vapor of the specific refrigerant or refrigerants used in the refrigeration system(s) is reached. 
(6) If a facility has installed an automatic leak detection system that automatically interprets measurements to indicate a refrigerant leak, the owner or operator must annually audit and calibrate the system, so that it will automatically alert the operator when measurements indicate a loss of refrigerant of 50 pounds or 10 percent of the refrigeration system full charge, whichever is less.
(7) If an automatic leak detection system alerts the owner or operator pursuant to subsections 95385(a)(5) or 95385(a)(6), the owner or operator must ensure that a leak inspection is conducted within 24 hours after the system alert. The leak inspections must be conducted using a calibrated refrigerant leak detection device or a bubble test to confirm a refrigerant leak and determine the refrigerant leak location(s).
(b) Refrigeration Systems with a Full Charge Greater Than or Equal to 200 Pounds, but Less Than 2,000 Pounds. After January 1, 2011, the owner or operator of a refrigeration system with a full charge greater than or equal to 200 pounds, but less than 2,000 pounds, of a high-GWP refrigerant, and that is intended to be operated year round, must conduct a leak inspection of the refrigeration system once every three months. The leak inspection must be conducted using a calibrated refrigerant leak detection device, a bubble test, or observation of oil residue. A leak inspection of the refrigeration system is not required pursuant to this subsection (b) if an automatic leak detection system meeting the specifications provided in subsections 95385(a)(5) or 95385(a)(6) is used to monitor the refrigeration system. 
(c) Refrigeration Systems with a Full Charge Greater Than 50 Pounds, but Less Than 200 Pounds. After January 1, 2011, the owner or operator of a refrigeration system with a full charge greater than 50, but less than 200 pounds, of a high-GWP refrigerant, and that is intended to be operated year round, must annually conduct a leak inspection of the refrigeration system. The leak inspection must be conducted using a calibrated refrigerant leak detection device, a bubble test, or observation of oil residue. A leak inspection of the refrigeration system is not required pursuant to this subsection (c) if an automatic leak detection system meeting the specifications provided in subsections 95385(a)(5) or 95385(a)(6) is used to monitor the refrigeration system. 
(d) Requirements That Apply When Additional Refrigerant is Added to All Refrigeration Systems Regulated by this Subarticle. After January 1, 2011, the owner or operator of any refrigeration system with a full charge greater than 50 pounds of a high-GWP refrigerant must conduct a leak inspection each time an additional refrigerant charge equal to or greater than 5 pounds, or one percent of the refrigeration system full charge, whichever amount is greater, is added to a refrigeration system. The leak inspection must be conducted using a calibrated refrigerant leak detection device, a bubble test, or observation of oil residue.
(e) Refrigeration Systems Not Operated Year-Round. The owner or operator of a refrigeration system that does not operate, or is not intended to operate, year-round must conduct a leak inspection within 30 days after starting each operation of the refrigeration system, and once every three months thereafter until the refrigeration system is shut down. The leak inspection must be conducted using a calibrated refrigerant leak detection device, a bubble test, or observation of oil residue. A leak inspection is not required after starting operation if there has been a leak inspection of the refrigeration system conducted within the preceding 90 days. 
(f) Alternative Test Methods. The leak inspections required by this section may be conducted using alternative test methods that are demonstrated to the written satisfaction of the Executive Officer to be equally or more accurate than using a calibrated refrigerant leak detection device or bubble test.
(g) Leak Inspection Requirements if Oil Residue is Observed. If during a required leak inspection or at any time oil residue is observed indicating a refrigerant leak, a leak inspection must be conducted using a calibrated refrigerant leak detection device or bubble test to confirm a refrigerant leak. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95386. Leak Repair Requirements for Facilities with Stationary Refrigeration Systems.
Note     •     History

(a) Leak Repair Requirements. After January 1, 2011, the owner or operator of a refrigeration system must ensure that all detected refrigerant leaks are repaired as provided in this section, and must maintain records pursuant to section 95389 of all refrigerant leak repairs. 
(b) Refrigerant Leak Repair 14-Day Requirement. A refrigerant leak must be repaired by a certified technician within 14 days of its detection, except in situations when a longer time period is allowed under subsections (c), (d), or (i) of this section. 
(c) Refrigerant Leak Repair 45-Day Allowance. The owner or operator of a refrigeration system has 45 days to repair a refrigerant leak or replace a leaking component(s) if one or more of the following conditions apply:
(1) A certified technician is not available to complete the repair or replace the component(s). A written record(s) must be kept pursuant to section 95389 to document that no certified technician was available within 14 days of the initial leak detection.
(2) The parts necessary to repair a refrigerant leak are unavailable, and the owner or operator obtains a written statement from the refrigeration system or component manufacturer or distributor stating that the parts are unavailable. A written record(s) must be kept pursuant to section 95389 to document that the necessary parts were not available within 14 days of the initial leak detection.
(3) The refrigerant leak repair requires an industrial process shutdown that results in a process temporarily ceasing to manufacture the intermediate or final product that is produced when the industrial process refrigeration appliance is in operation. 
(d) Refrigerant Leak Repair 120-Day Allowance. The owner or operator of a refrigeration system has 120 days to repair a refrigerant leak or replace a leaking component(s) if all of the following conditions apply:
(1) The facility owner or operator is an entity subject to Mandatory Greenhouse Gas Emissions Reporting requirements pursuant to section 95101 of Title 17, California Code of Regulations; and
(2) The refrigeration system is an industrial process refrigeration appliance; and
(3) The refrigerant leak repair requires an industrial process shutdown that results in a process temporarily ceasing to manufacture the intermediate or final product that is produced when the industrial process refrigeration appliance is in operation; and
(4) Written records are maintained as provided in section 95389 to document that all the conditions required under this subsection are met. 
(e) Initial Verification Test. An initial verification test must be conducted upon completion of refrigerant leak repairs.
(f) Follow-up Verification Test. After the initial verification test has been conducted, a follow-up verification test must be conducted on the complete refrigeration system. If the refrigeration system was evacuated during the refrigerant leak repair, the follow-up verification test must be conducted when the system is operating at normal operating characteristics and conditions. If the refrigeration system was not evacuated during the refrigerant leak repair, the follow-up verification test requirement of this subsection is satisfied once required changes are made to return the refrigeration system to normal operating characteristics and conditions.
(g) Refrigerant Leak Repair Requirements After An Unsuccessful Verification Test. 
(1) If either an initial verification test or follow-up verification test indicate that a refrigerant leak is still occurring within the refrigeration system, the owner or operator must ensure repair of the refrigerant leak through a subsequent repair attempt(s) of the refrigerant leak within the time required for refrigerant leak repair by subsections (b), (c), or (d), or prepare a retrofit or retirement plan pursuant to section 95387. 
(2) If a follow-up verification test pursuant to subsection 95386(f) indicates that a refrigerant leak has not been successfully repaired within the 14 days allowed for a refrigerant leak repair under subsection (b), and the owner or operator does not have an approved exemption pursuant to section 95397, then the owner or operator must either successfully repair the refrigerant leak within 45 days of the initial refrigerant leak detection or must prepare a retrofit or retirement plan pursuant to section 95387 within 60 days of the initial refrigerant leak detection. 
(3) If a follow-up verification test pursuant to subsection 95386(f) indicates that a refrigerant leak has not been successfully repaired within the 45 days allowed for a refrigerant leak repair under subsection (c), and the owner or operator does not have an approved exemption pursuant to section 95397, the owner or operator must prepare a retrofit or retirement plan pursuant to section 95387 within 60 days of the initial refrigerant leak detection. 
(4) If a follow-up verification test pursuant to subsection 95386(f) indicates that a refrigerant leak has not been successfully repaired within the 120 days allowed for a refrigerant leak repair under subsections (d), and the owner or operator does not have an approved exemption pursuant to section 95397, the owner or operator must prepare a retrofit or retirement plan pursuant to section 95387 within 135 days of the initial refrigerant leak detection. 
(h) Refrigerant Leak Repair Contractors License Requirement. 
(1) Except as provided below in subsection(h)(2), all refrigerant leaks must be repaired by a certified technician holding a current and active California contractors license in the C38 -- Refrigeration Contractor licensing classification, or by an employee of a contractor with these qualifications. If the refrigeration system requiring service is also used in an air-conditioning application, it is acceptable for the refrigerant leak to be repaired by a certified technician holding a current and active California contractors license in the C20 -- Warm-Air Heating, Ventilating and Air-Conditioning Contractor licensing classification, or by an employee of a contractor with these qualifications. 
(2) A current and active California contractors license is not required if: 
(A) the refrigeration system service or refrigerant leak repair is performed by the facility owner or operator or its employees with wages as sole compensation, or
(B) the refrigeration system service or refrigerant leak repair is performed by the facility owner or operator through one undertaking or by one or more contracts, and the aggregate contract price for labor, materials, and all other items is less than five hundred dollars ($500), or
(C) the refrigeration system service or refrigerant leak repair is performed pursuant to a contract entered into before January 1, 2011, by any political subdivision of the United States government or the State of California, or by any incorporated town, city, county, irrigation district, reclamation district, or other municipal or political corporation.
(i) Refrigerant Leak Repair Requirements During System Mothballing. The leak repair requirements of this section shall not apply during the time that a refrigeration system is undergoing or is in system mothballing. The leak repair requirements of this section shall resume on the day that the refrigeration system resumes operation at a facility.
(j) Refrigerant Leak Repair Requirements Exemption. If the owner or operator of a refrigeration system has received an exemption from the Executive Officer pursuant to section 95397, a refrigerant leak repair is not required during the time period the exemption is in effect. If the owner or operator of a refrigeration system has submitted a request for an exemption pursuant to section 95397, a refrigerant leak repair is not required until a final exemption determination is made by the Executive Officer. A written record(s) must be kept pursuant to section 95389 to document that the owner or the operator has requested or received an exemption. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95387. Requirements to Prepare Retrofit or Retirement Plans for Facilities with Leaking Stationary Refrigeration Systems.
Note     •     History

(a) Retrofit or Retirement Plan Requirements. 
(1) After January 1, 2011, the owner or operator of a refrigeration system with a refrigerant leak that has not been successfully repaired within the time required for refrigerant leak repair under subsection (b), (c), or (d) of section 95386 must prepare and implement a dated retrofit or retirement plan as provided in section 95386(g). The plan must establish a schedule to retrofit or retire a leaking refrigeration system no later than six months after the initial detection of the refrigerant leak, and all work must be completed during this six-month period. 
(2) The retrofit or retirement plan must be kept at the site of the refrigeration system with a refrigerant leak. If a refrigeration system is to be retired and replaced, the plan must include information required under this subsection specific to the new refrigeration system to be constructed or installed. If a refrigeration system is to be retrofitted, the plan must include information required under this subsection specific to the refrigeration system after the retrofit has been completed. A retrofit or retirement plan must include the following information: 
(A) The system identification number of the refrigeration system being retired or retrofitted. 
(B) Equipment type. 
(C) Equipment manufacturer.
(D) Equipment model or description.
(E) Intended physical location of the refrigeration system through schematic or floor plan with locations clearly noted.
(F) Temperature classification -- The refrigeration system must be identified as a low temperature system, a medium temperature system, or other.
(G) Full charge of the refrigeration system. 
(H) Type of high-GWP refrigerant(s) used.
(I) If a refrigeration system is to be retired and replaced, a plan to dispose of the retired refrigeration system.
(J) A timetable which includes, at a minimum:
1. the date installation, construction, or retrofit of the refrigeration system is expected to begin, and
2. the expected completion date of the installation, construction, or retrofit of the refrigeration system.
(K) A signature by a representative of the facility, including the date signed. 
(b) Retrofit or Retirement Plan Requirements During System Mothballing. The retrofit or retirement requirements of this section shall not apply during the time that a refrigeration system is undergoing or is in system mothballing. The retrofit or retirement requirements of this section shall apply on the day that the refrigeration system resumes operation at a facility. 
(c) Retrofit or Retirement Plan Requirements Exemption. If the owner or operator of a refrigeration system has received an exemption from the Executive Officer pursuant to section 95397, the preparation and implementation of a retrofit or retirement plan is not required during the time period the exemption is in effect. If the owner or operator of a refrigeration system has submitted a request for an exemption pursuant to section 95397, the preparation and implementation of a retrofit or retirement plan is not required until a final exemption determination is made by the Executive Officer. A written record(s) must be kept pursuant to section 95389 to document that the owner or the operator has requested or received an exemption. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95388. Reporting Requirements for Facilities with Stationary Refrigeration Systems.
Note     •     History

(a) Reporting Requirements for Refrigeration Systems with a Full Charge Greater Than or Equal to 200 Pounds. After January 1, 2011, the owner or operator of a facility with a refrigeration system in operation with a full charge greater than or equal to 200 pounds of a high-GWP refrigerant must annually submit to the Executive Officer a Facility Stationary Refrigeration Report (Annual Report) that contains the information specified below in subsections 95388(b)(1) and 95388(b)(2). Each Annual Report must provide this information for the previous calendar year and must be submitted by the following dates: 
(1) By March 1, 2012, the owner or operator of a facility with a refrigeration system that begins operation before January 1, 2012, with a full charge greater than or equal to 2,000 pounds of a high-GWP refrigerant must submit an Annual Report for the 2011 calendar year. By March 1, 2013, and each calendar year thereafter, the owner or operator must submit an Annual Report providing information for the previous calendar year. 
(2) The owner or operator of a facility with a refrigeration system that begins operation on or after January 1, 2012, with a full charge greater than or equal to 2,000 pounds of a high-GWP refrigerant must submit the first Annual Report for the previous calendar year by March 1 of the calendar year after the refrigeration system begins operating at a facility. Subsequent Annual Reports for the previous calendar year must be submitted by March 1 of each year thereafter. 
(3) By March 1, 2014, the owner or operator of a facility with a refrigeration system that begins operation before January 1, 2014, with a full charge greater than or equal to 200 pounds, but less than 2,000 pounds, of a high-GWP refrigerant must submit an Annual Report for the 2013 calendar year. By March 1, 2015, and each calendar year thereafter, the owner or operator must submit an Annual Report providing information for the previous calendar year. 
(4) The owner or operator of a facility with a refrigeration system that begins operation on or after January 1, 2014, with a full charge greater than or equal to 200 pounds, but less than 2,000 pounds, of a high-GWP refrigerant must submit the first Annual Report for the previous calendar year by March 1 of the calendar year after the refrigeration system begins operating at a facility. Subsequent Annual Reports for the previous calendar year must be submitted by March 1 of each year thereafter. 
(b) The Annual Report must include the following information. 
(1) Refrigeration system information. The following information must be provided for each refrigeration system:
(A) System identification number.
(B) Equipment type.
(C) Equipment manufacturer.
(D) Equipment model or description.
(E) Equipment model year.
(F) Equipment serial number. The serial number(s) of the affected equipment or component must be recorded when present and accessible. When the affected equipment or component is part of an assembly without a serial number or does not have an individual serial number or is not accessible after assembly, the physical location of the affected equipment must be recorded in enough detail to permit positive identification.
(G) Physical location of a refrigeration system through schematic or floor plan with equipment locations clearly noted. 
(H) Temperature classification -- The refrigeration system must be identified as a low temperature system, a medium temperature system, or other.
(I) Full charge of the refrigeration system. 
(J) Type of high-GWP refrigerant(s) used.
(K) Date of initial installation.
(2) Refrigeration system service and leak repair information. The following information must be provided for each automatic leak detection system audit, leak inspection, and refrigeration system service or refrigerant leak repair that required an additional refrigerant charge of five pounds or more, or an additional refrigerant charge equal to or greater than one percent of the full charge, whichever amount is greater:
(A) Date leak detected, if applicable.
(B) Date of service provided or leak repair completed.
(C) Cause of refrigerant leak, if applicable.
(D) Description of service provided or leak repair completed 
(E) Date(s) of initial verification test(s), if applicable.
(F) Date(s) of follow-up verification test(s), if applicable.
(G) Total additional refrigerant charge of each type of high-GWP refrigerant, if applicable.
(H) Purpose for additional refrigerant charge (leak repair, topping off, initial refrigerant charge, or seasonal adjustment), if applicable.
(I) Name of certified technician completing leak repair, if applicable.
(J) The certified technician's identification number issued by an approved technician certification program pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.161, if applicable.
(K) The certified technician's certification type(s) issued by an approved technician certification program pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.161, if applicable.
(3) Refrigerant Purchases and Use Information. The following information must be provided on refrigerant purchase and use:
(A) The total weight in pounds of each type of high-GWP refrigerant that was purchased during the calendar year.
(B) The total weight in pounds of each type of high-GWP refrigerant that was charged into a refrigeration system during the calendar year.
(C) The total weight in pounds of each type of high-GWP refrigerant that was recovered from a refrigeration system during the calendar year.
(D) The total weight in pounds of each type of high-GWP refrigerant that was stored in inventory at the facility, or stored at a different location for use by the facility, on the last day of the calendar year. 
(E) The total weight in pounds of high-GWP refrigerant that was shipped by the owner or operator for reclamation and destruction during the calendar year. 
(c) Reporting Requirements for Refrigeration Systems with a Full Charge Greater Than 50 Pounds, but Less Than 200 Pounds. The owner or operator of a facility with a refrigeration system in operation with a full charge greater than 50 pounds, but less than 200 pounds, of a high-GWP refrigerant is not required to submit annual reports. However, owners and operators of these facilities must report to the Executive Officer the information specified in this section within 60 days of receipt of a request from the Executive Officer.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95389. Recordkeeping Requirements for Facilities with Stationary Refrigeration Systems.
Note     •     History

(a) After January 1, 2011, the owner or operator of a facility with a refrigeration system in operation with a full charge greater than 50 pounds of a high-GWP refrigerant must maintain the following records for a minimum of 5 years. The records must be kept at the facility where the refrigeration system(s) is in operation and must be made available to an authorized representative of the Executive Officer, including a local Air Pollution Control Officer, upon request: 
(1) All registration information required by section 95383.
(2) Documentation of all leak detection systems, leak inspections, and automatic leak detection system annual audit and calibrations required by section 95385.
(3) Records of all refrigeration system service and refrigerant leak repairs, and documentation of any conditions allowing repair of a refrigerant leak to be conducted more than 14 days after leak detection, as required pursuant to section 95386. Refrigeration system and refrigeration system service and refrigerant leak repair records must include documentation of all items reported pursuant to section 95388.
(4) Any retrofit or retirement plans required by section 95387.
(5) All reports required by section 95388.
(6) Any application for exemption submitted pursuant to subsection 95397 and any notification of an exemption approved, denied, revoked, or modified pursuant to subsection 95397.
(7) Invoices of all refrigerant purchases.
(8) Records of all shipments of refrigerants for reclamation or destruction, which must include the following information:
(A) Name and address of the person the high-GWP refrigerant was shipped to.
(B) Weight in pounds of high-GWP refrigerant shipped.
(C) Type of high-GWP refrigerant shipped.
(D) Date of shipment.
(E) Purpose of shipment (e.g. reclamation, destruction, etc.).
(9) Records of all refrigeration systems component data, measurements, calculations and assumptions used to determine the full charge.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95390. Required Service Practices for Stationary High-GWP Appliances.
Note     •     History

(a) Required Service Practices. A person performing any installation, maintenance, service, repair, or disposal of a stationary appliance that could reasonably be expected to release refrigerant from the appliance into the environment must satisfy all of the following requirements: 
(1) In preparing an appliance for recycling or disposal, the person must not intentionally disrupt the refrigerant circuit of the appliance resulting in a discharge of refrigerant into the atmosphere, unless an attempt to recover the refrigerant is made using certified refrigerant recovery or recycling equipment; and
(2) The person must make a recovery attempt using certified refrigerant recovery or recycling equipment for that type of appliance before opening the appliance to atmospheric conditions. Attempts to recover refrigerant must be made even if the person believes that all refrigerant has been removed or has previously leaked from the appliance. Refrigerant may be returned to the appliance from which it is recovered or to another appliance owned by the same person without being recycled or reclaimed; and
(3) The person must not add any additional refrigerant to a refrigeration or air-conditioning appliance during manufacture or service, unless such refrigerant: (A) consists wholly of a class I or class II substance, as identified by section 602 of the federal Clean Air Act; or (B) is an alternative that has been found acceptable, under the Significant New Alternatives Policy (SNAP) program pursuant to section 612 of the federal Clean Air Act, for the specific refrigeration or air-conditioning end-use in which it is being employed; or (C) has been approved by the Executive Officer for the specific refrigeration or air-conditioning end-use in which it is being employed; and
(4) The person must not add an additional refrigerant charge to any appliance known to have a refrigerant leak, except that it is permissible to add an additional refrigerant charge for seasonal adjustment or an additional refrigerant charge required to maintain operations while preparing or conducting a leak repair pursuant to and in compliance with section 95386; and
(5) The person must hold a current, valid, and applicable certificate issued in accordance with Title 40 of the Code of Federal Regulations, Part 82, §82.161; and
(6) The person must employ procedures for which the certified refrigerant recovery or recycling equipment was approved by the U.S. EPA or Executive Officer; and
(7) The person must use certified refrigerant recovery or recycling equipment as specified by the certified refrigerant recovery or recycling equipment manufacturer, unless the manufacturer's specifications conflict with the procedures approved by the U.S. EPA or the Executive Officer for the certified refrigerant recovery or recycling equipment; and
(8) The person must evacuate refrigerant from a non-refillable cylinder to a vacuum of 15 inches of mercury, relative to standard atmospheric pressure of 29.9 inches of mercury, before recycling or disposal; and
(9) The person must satisfy job site evacuation of refrigerants during recycling, recovering, reclaiming, or disposing in accordance with Title 40 of the Code of Federal Regulations, Part 82, §82.156 (as amended January 11, 2005). 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95391. Prohibitions.
Note     •     History

(a) Prohibitions. On or after January 1, 2011, no person shall sell, supply, offer for sale, or distribute any high-GWP refrigerant for use as a refrigerant, unless for reclamation or destruction, in a container with a refrigerant capacity of two pounds or greater unless:
(1) The buyer is a certified technician pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.40 or §82.161; or
(2) The buyer is an authorized representative of a person employing at least one certified technician who is certified pursuant to Title 40 of the Code of Federal Regulations, Part 82, §82.40 or §82.161 and is in full compliance with Title 40 of the Code of Federal Regulations, Part 82, §82.166 (as amended January 11, 2005), and the buyer has provided evidence that at least one technician is properly certified; or
(3) The refrigerant is sold only for eventual resale to a certified technician, an employer of a certified technician, or a refrigeration or air-conditioning appliance manufacturer, or the refrigerant is being sent for reclamation; or
(4) The refrigerant is contained in a refrigeration or air-conditioning appliance. 
(b) No person shall sell, supply, offer for sale, or distribute used high-GWP refrigerant to any person for use as a refrigerant unless the used refrigerant has first been reclaimed by a certified reclaimer. 
(c) No person shall sell, supply, offer for sale, or distribute any high-GWP refrigerant unless such refrigerant: (1) consists wholly of a class I or class II substance, as identified by Section 602 of the U.S. Clean Air Act; or (2) is an alternative that has been found acceptable, under the Significant New Alternatives Policy (SNAP) program pursuant to Section 612 of the U.S. Clean Air Act, for the specific refrigeration or air-conditioning end-use in which it is being employed; or (3) has been approved by the Executive Officer for the specific refrigeration or air-conditioning end-use in which it is being employed.
(d) No person shall recycle or dispose of a non-refillable cylinder before the non-refillable cylinder has been evacuated to a vacuum of 15 inches of mercury, relative to standard atmospheric pressure of 29.9 inches of mercury. 
(e) No person shall distribute or sell certified refrigerant recovery or recycling equipment unless such equipment meets the levels of evacuation to be achieved by recovery or recycling equipment as specified in Title 40 of the Code of Federal Regulations, Part 82, §82.158 (as amended June 18, 2008).
(f) No person shall refill a non-refillable cylinder or use it as a temporary receiver during service. 
(g) No person shall repair or modify a non-refillable cylinder in any way that allows the non-refillable cylinder to be refilled. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95392. Reporting Requirements for Refrigerant Distributors, Wholesalers, and Reclaimers.
Note     •     History

(a) Reporting Requirements for Refrigerant Distributors and Wholesalers. A refrigerant distributor or wholesaler that sells, supplies, or distributes any amount of a high-GWP refrigerant for any purpose other than sales to a refrigerant distributor or wholesaler for eventual resale, or to any person for reclamation or destruction must submit an annual report to the Executive Officer by March 1, 2012, for the 2011 calendar year. By March 1, 2013, and each calendar year thereafter, the refrigerant distributor or wholesaler must submit an annual report providing information for the previous calendar year. The annual report must cover all California facilities under the operational control of the refrigerant distributor or wholesaler, must provide statewide annual aggregated data for the previous calendar year, and must include the following information:
(1) Name of refrigerant distributor or wholesaler.
(2) Refrigerant distributor or wholesaler mailing address including an address, city, state, and zip code.
(3) Refrigerant distributor or wholesaler contact person.
(4) The phone number of the refrigerant distributor or wholesaler contact person.
(5) The e-mail address of the refrigerant distributor or wholesaler contact person.
(6) The total statewide annual aggregated weight in pounds of each type of high-GWP refrigerant that was purchased or received for the purpose of subsequent resale or delivery for any purpose other than reclamation or destruction. 
(7) The total statewide annual aggregated weight in pounds of each type of high-GWP refrigerant that was sold or distributed, excluding all sales to a facility outside of California or to a refrigerant distributor or wholesaler for eventual resale.
(8) The total statewide annual aggregated weight in pounds of high-GWP refrigerant that was shipped to a certified reclaimer. 
(9) Name of all refrigerant distributor or wholesaler facilities under the operational control of the refrigerant distributor or wholesaler. 
(10) Address of each refrigerant distributor or wholesaler facility under the operational control of the refrigerant distributor or wholesaler. 
(11) Contact person name, phone number, and e-mail address for each refrigerant distributor or wholesaler facility under the operational control of the refrigerant distributor or wholesaler. 
(b) Reporting Requirements for Certified Reclaimers. A certified reclaimer reclaiming any high-GWP refrigerant in California must submit an annual report to the Executive Officer by March 1, 2012, for the 2011 calendar year. By March 1, 2013, and each calendar year thereafter, the certified reclaimer must submit an annual report providing information for the previous calendar year. The annual report must cover all California facilities under the operational control of the certified reclaimer, must provide statewide annual aggregated data for the previous calendar year, and must include the following information:
(1) Name of the certified reclaimer.
(2) Mailing address of the certified reclaimer including a street address, city, state, and zip code.
(3) Certified reclaimer contact person.
(4) The phone number of the certified reclaimer contact person.
(5) The e-mail address of the certified reclaimer contact person.
(6) The total statewide annual aggregated weight in pounds of high-GWP refrigerant that was received by the certified reclaimer for reclamation or destruction. 
(7) The total statewide annual aggregated weight in pounds of each type of high-GWP refrigerant that was reclaimed in California. 
(8) The total statewide annual aggregated weight in pounds of high-GWP refrigerant that was shipped out of California for reclamation. 
(9) The total statewide annual aggregated weight in pounds of high-GWP refrigerant that was destroyed or shipped out of California for destruction.
(10) Name of all certified reclaimer facilities under the operational control of the certified reclaimer. 
(11) Address of each certified reclaimer facility under the operational control of the certified reclaimer. 
(12) Contact person name, phone number, and e-mail address for each certified reclaimer facility under the operational control of the certified reclaimer. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95393. Recordkeeping Requirements for Refrigerant Distributors, Wholesalers, and Reclaimers.
Note     •     History

(a) The following records must be kept by each refrigerant distributor or wholesaler and certified reclaimer for a minimum of five years. These records must be kept at the facility of each distributor or wholesaler, or certified reclaimer and must be made available to an authorized representative of the Executive Officer upon request:
(1) Annual reports submitted pursuant to section 95392.
(2) Invoices of all high-GWP refrigerant received through sale or transfer and all high-GWP refrigerant distributed through sale or transfer. These invoices must indicate the name of the purchaser, the date of sale, and the quantity and the type of High-GWP refrigerant purchased, sold, or transferred.
(b) A refrigerant distributor or wholesaler selling a high-GWP refrigerant to a purchaser that is an employer of a certified technician must obtain written documentation from the purchaser showing that the purchaser currently employs at least one certified technician. This documentation must be kept at the facility of the refrigerant distributor or wholesaler for a minimum of five years, and must be made available to an authorized representative of the Executive Officer upon request. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95394. Confidentiality.
Note     •     History

(a) All of the information identified in section 95388(b)(3) is a public record and may not be claimed as confidential. 
(b) Except for the information identified in subsection (a) above, any person submitting information to the Executive Officer pursuant to this subarticle may claim such information as “confidential” by clearly identifying such information as “confidential”. Any claim of confidentiality by a person submitting information must be based on the person's belief that the information marked as confidential is either trade secret or otherwise exempt from public disclosure under the California Public Records Act (Government Code, section 6250 et seq.). All such requests for confidentiality shall be handled in accordance with the procedures specified in California Code of Regulations, title 17, sections 91000 to 91022.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95395. Enforcement.
Note     •     History

(a) Injunctions. Any violation of this subarticle may be enjoined pursuant to the Health and Safety Code section 41513. 
(b) Each day or portion thereof that any leak inspection or leak repair is not completed after the date the leak inspection or leak repair is required to be completed, or each day or portion thereof that any registration, report, or plan required by this subarticle remains unsubmitted, is submitted late, or contains incomplete or inaccurate information, shall constitute a single, separate violation of this subarticle. 
(c) Failure to pay the full amount of any fee required by this subarticle shall constitute a single, separate violation of this subarticle for each day or portion thereof that the fee has not been paid after the date the fee is due.
(d) Enforcement of this subarticle may be carried out by authorized representatives of the Executive Officer including a local Air Pollution Control Officer. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95396. Equivalent Local Rules.
Note     •     History

(a) The requirements specified in sections 95383, 95384, 95385, 95386, 95387, 95388, and 95389 of this subarticle shall not be enforced within the geographical boundaries of any air district that adopts and enforces requirements that will achieve emission reductions from stationary refrigeration systems that are equivalent to or greater than those achieved pursuant to sections 95383, 95384, 95385, 95386, 95387, 95388, and 95389. 
(b) Subsection (a) shall not become effective unless the Executive officer issues an Executive Order containing written findings that the criteria of subsection (a) have been met. The Executive Order shall include such terms and conditions as are necessary to insure that these criteria continue to be met. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95397. Approval of Exemptions.
Note     •     History

(a) Exemption Criteria. The owner or operator of facility with a refrigeration system may request the Executive Officer for an exemption from the requirements of section 95386 and section 95387. To request an exemption, the applicant must follow the application procedure specified in subsection 95397(b), and must demonstrate that the criteria for one or more of the three exemptions allowed by this section have been satisfied. Information submitted pursuant to this section shall be handled in accordance with the provision of section 95394. The Executive Officer may approve the following exemptions:
(1) Emissions Lifecycle Exemption. The Executive Officer may allow the continuation of a refrigerant leak for a specified time period of no longer than three years if the Executive Officer determines that the applicant has provided clear and convincing documentation that the refrigerant leak cannot be repaired and that allowing the refrigerant leak to continue will result in less combined direct and indirect emissions than replacing the leaking refrigeration system. The documentation must include information quantifying the lifecycle direct emissions and indirect emissions, including energy use, and must include a calculation of these emissions based on the average lifetime of the refrigeration system or facility. The applicant must also provide a mitigation plan that includes a list of proposed actions to minimize emissions. The plan must include an analysis of options to minimize usage, reduce leaks or venting, and recycle or destroy high-GWP refrigerant.
(2) Economic Hardship Exemption. The Executive Officer may allow the continuation of a refrigerant leak for a specified time period of no longer than three years if the Executive Officer determines that the applicant has provided clear and convincing documentation that all of the following criteria are met: 
(A) Compliance would result in extraordinary economic hardship, such as closure of the entire facility or a large portion of the facility, or loss of a large portion of the revenue from the facility; and 
(B) The applicant has prepared a compliance report that can be implemented and will achieve compliance as expeditiously as possible. The compliance report must reasonably detail when compliance will be achieved and the method by which compliance will be achieved.
(3) Natural Disaster Exemption. The Executive Officer may allow the continuation of a refrigerant leak for a specified time period of no longer than three years if the Executive Officer determines that the applicant has provided clear and convincing documentation that failure to satisfy the conditions set forth in this subarticle was due to a natural disaster such as an earthquake or flood, an act of war or an act by a public enemy, or a civil disorder or riot. 
(4) Any exemption granted pursuant to subsection 95397(a)(1), (a)(2), or (a)(3) may be extended for one or more additional periods of up to three years if the Executive Officer determines that the demonstration made pursuant to 95397(a)(1), (a)(2), or (a)(3) remains valid.
(b) Application for Exemptions. 
(1) To apply for an exemption the applicant must submit a written application demonstrating that the criteria have been met for one or more of the three exemptions specified in subsection (a).
(2) Within 30 days of receipt of the exemption application the Executive Officer shall determine whether the application is complete, and shall notify the applicant of this determination. 
(3) If the exemption application is determined to be incomplete, the Executive Officer shall notify the applicant and specify the specific information needed to make the application complete.
(4) Within 90 days after an application is determined to be complete, the Executive Officer shall determine whether and under what conditions an exemption will be permitted. The applicant and the Executive Officer may mutually agree to a longer time period for reaching a decision. During the review period, the Executive Officer may request, and the applicant shall provide, such additional information that is reasonably necessary to the decision. The applicant may also on his or her own initiative submit additional supporting documentation before a decision has been reached. The Executive Officer shall notify the applicant of the decision in writing and shall specify such terms and conditions as are necessary to insure that emissions will be minimized, and that the criteria specified in subsection (a) will continue to be met. Such conditions may include, but are not limited to, a requirement that best management practices be followed or that the applicant must implement the mitigation plan submitted by the applicant or mitigation measures identified by the Executive Officer. 
(c) The exemption shall cease to be effective upon the failure of the person to whom the exemption was granted to comply with any term or condition of the exemption.
(d) Revocation or Modification of An Exemption. If the Executive Officer determines that an exemption no longer meets the criteria specified in subsection (a) of this section, the Executive Officer may revoke or modify the exemption as necessary to insure that the exemption continues to meet the criteria. 
(e) Effect of Denial or Revocation of an Exemption. Except as provided below in subsections (e)(1) and (e)(2), if an applicant for an exemption is denied, or an existing exemption is revoked, within 14 days of a notice of such denial or revocation the refrigerant leak must be repaired, or within 30 days of a notice of such denial or revocation the owner or operator of the facility must prepare a retrofit or retirement plan in accordance with subsection 95387(a)(2). The plan must establish a schedule to retrofit or retire a leaking refrigeration system no later than six months after a notice of denial or revocation, and all work must be completed during this six-month period.
(1) The time requirements for refrigerant leak repair under subsection (b), (c), or (d) of section 95386 remain applicable and are not reduced if an exemption is denied, or an existing exemption is revoked. 
(2) The time requirements for the preparation and implementation of a retrofit or retirement plan under subsection (a) of section 95387 remain applicable and are not reduced if an exemption is denied, or an existing exemption is revoked.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
§95398. Severability.
Note     •     History

(a) Each part of this subarticle is deemed severable, and in the event that any part of this subarticle is held to be invalid, the remainder of this subarticle shall continue in full force and effect.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38560, 38562, 38563, 38580, 38597, 39600, 39601 and 41511, Health and Safety Code.
HISTORY

1. New section filed 10-20-2010; operative 11-19-2010 (Register 2010, No. 43).
Subarticle 6. Methane Emissions from Municipal Solid Waste Landfills
§95460. Purpose.
Note     •     History

The purpose of this subarticle is to reduce methane emissions from municipal solid waste (MSW) landfills pursuant to the California Global Warming Solutions Act of 2006 (Health & Safety Code, Sections 38500 et. seq.).
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New subarticle 6 (sections 95460-95476 and Appendix I), and section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95461. Applicability.
Note     •     History

This subarticle applies to all MSW landfills that received solid waste after January 1, 1977.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95462. Exemptions.
Note     •     History

(a) This subarticle does not apply to landfills that receive only hazardous waste, or are currently regulated under the Comprehensive Environmental Response, Compensation and Liability Act 42 U.S.C, Chapter 103 (Promulgated 12/11/80; Amended 10/17/86).
(b) This subarticle does not apply to landfills that receive only construction and demolition wastes, inert waste, or non-decomposable wastes.
(c) This subarticle does not apply to closed or inactive MSW landfills with less than 450,000 tons of waste-in-place.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95463. Determination for Installing a Gas Collection and Control System.
Note     •     History

(a) Active MSW Landfills Less Than 450,000 Tons of Waste-in-Place: Each owner or operator of an active MSW landfill having less than 450,000 tons of waste-in-place must submit a Waste-in-Place Report to the Executive Officer pursuant to section 95470(b)(4), within 90 days of the effective date of this subarticle. 
(1) The Waste-in-Place report must be prepared for the period of January 1 through December 31 of each year. The report must be submitted to the Executive Officer by March 15 of the following year.
(2) The Waste-in-Place report must be submitted annually until either:
(A) The MSW landfill reaches a size greater than or equal to 450,000 tons of waste-in-place; or
(B) The owner or operator submits a Closure Notification pursuant to section 95470(b)(1).
(b) MSW Landfills Greater Than or Equal to 450,000 Tons of Waste-in-Place: Within 90 days of the effective date of this subarticle or upon reaching 450,000 tons of waste-in-place, each owner or operator of an MSW landfill having greater than or equal to 450,000 tons of waste-in-place must calculate the landfill gas heat input capacity pursuant to section 95471(b) and must submit a Landfill Gas Heat Input Capacity Report to the Executive Officer. 
(1) If the calculated landfill gas heat input capacity is less than 3.0 million British thermal units per hour (MMBtu/hr) recovered, the owner or operator must:
(A) Recalculate the landfill gas heat input capacity annually using the procedures specified in section 95471(b).
(B) Submit an annual Landfill Gas Heat Input Capacity Report to the Executive Officer until either of the following conditions is met:
1. The calculated landfill gas heat input capacity is greater than or equal to 3.0 MMBtu/hr recovered, or
2. If the MSW landfill is active, the owner or operator submits a Closure Notification pursuant to section 95470(b)(1). Submitting the Closure Notification fulfills the requirements of this subarticle. If the MSW landfill is closed or inactive, submittal of the Closure Notification is not required to fulfill the requirements of the subarticle.
(2) If the landfill gas heat input capacity is greater than or equal to 3.0 MMBtu/hr recovered the owner or operator must either:
(A) Comply with the requirements of sections 95464 through 95476, or
(B) Demonstrate to the satisfaction of the Executive Officer that after four consecutive quarterly monitoring periods there is no measured concentration of methane of 200 parts per million by volume (ppmv) or greater using the instantaneous surface monitoring procedures specified in sections 95471(c)(1) and 95471(c)(2). Based on the monitoring results, the owner or operator must do one of the following:
1. If there is any measured concentration of methane of 200 ppmv or greater from the surface of an active, inactive, or closed MSW landfill, comply with sections 95464 through 95476;
2. If there is no measured concentration of methane of 200 ppmv or greater from the surface of an active MSW landfill, comply with section 95463(b) and recalculate the landfill gas heat input capacity annually as required in section 95463(b) until such time the owner or operator submits a Closure Notification pursuant to section 95470(b)(1); or
3. If there is no measured concentration of methane of 200 ppmv or greater from the surface of a closed or inactive MSW landfill, the requirements of sections 95464 through 95470 no longer apply provided that the following information is submitted to and approved by the Executive Officer within 90 days:
a. A Waste-in-Place Report pursuant to section 95470(b)(4); and 
b. All instantaneous surface monitoring records. 
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95464. Gas Collection and Control System Requirements.
Note     •     History

(a) Design Plan and Installation.
(1) Design Plan: If a gas collection and control system which meets the requirements of either sections 95464(b)(1), 95464(b)(2) or 95464(b)(3) has not been installed, the owner or operator of a MSW landfill must submit a Design Plan to the Executive Officer within one year after the effective date of this subarticle, or within one year of detecting any leak on the landfill surface exceeding a methane concentration of 200 ppmv pursuant to section 95463(b)(2)(B). The Executive Officer must review and either approve or disapprove the Design Plan within 120 days. The Executive Officer may request that additional information be submitted as part of the review of the Design Plan. At a minimum, the Design Plan must meet the following requirements:
(A) The Design Plan must be prepared and certified by a professional engineer.
(B) The Design Plan must provide for the control of the collected gas through the use of a gas collection and control system meeting the requirements of either sections 95464(b)(1), 95464(b(2) or 95464(b)(3).
(C) The Design Plan must include any proposed alternatives to the requirements, test methods, procedures, compliance measures, monitoring, and recordkeeping or reporting requirements pursuant to section 95468.
(D) A description of potential mitigation measures to be used to prevent the release of methane or other pollutants into the atmosphere during the installation or preparation of wells, piping, or other equipment; during repairs or the temporary shutdown of gas collection system components; or, when solid waste is to be excavated and moved.
(E) For active MSW landfills, the design plan must identify areas of the landfill that are closed or inactive.
(F) Design the gas collection and control system to handle the expected gas generation flow rate from the entire area of the MSW landfill and to collect gas at an extraction rate to comply with the surface methane emission limits in section 95465 and component leak standard in section 95464(b)(1)(B). The expected gas generation flow rate from the MSW landfill must be calculated pursuant to section 95471(e).
1. Any areas of the landfill that contain only asbestos-containing waste, inert waste, or non-decomposable solid waste may be excluded from collection provided that the owner or operator submits documentation to the Executive Officer containing the nature, date of deposition, location and amount of asbestos or non-decomposable solid waste deposited in the area. This documentation may be included as part of the Design Plan. 
(2) Any owner or operator of an active MSW landfill must install and operate a gas collection and control system within 18 months after approval of the Design Plan.
(3) Any owner or operator of a closed or inactive MSW landfill must install and operate a gas collection and control system within 30 months after approval of the Design Plan.
(4) If an owner or operator is modifying an existing gas collection and control system to meet the requirements of this subarticle, the existing Design Plan must be amended to include any necessary updates or addenda, and must be certified by a professional engineer.
(5) An amended Design Plan must be submitted to the Executive Officer within 90 days of any event that requires a change to the Design Plan.
(6) The gas collection system must be operated, maintained, and expanded in accordance with the procedures and schedules in the approved Design Plan. 
(b) Gas Collection and Control System Requirements. 
(1) General Requirements. The owner or operator must satisfy the following requirements when operating a gas collection and control system:
(A) Route the collected gas to a gas control device or devices, and operate the gas collection and control system continuously except as provided in sections 95464(d) and 95464(e).
(B) Operate the gas collection and control system so that there is no landfill gas leak that exceeds 500 ppmv, measured as methane, at any component under positive pressure.
(C) The gas collection system must be designed and operated to draw all the gas toward the gas control device or devices.
(2) Requirements for Flares. An MSW landfill owner or operator who operates a flare must satisfy the following requirements:
(A) Route the collected gas to an enclosed flare that meets the following requirements:
1. Achieves a methane destruction efficiency of at least 99 percent by weight.
2. Is equipped with automatic dampers, an automatic shutdown device, a flame arrester, and continuous recording temperature sensors.
3. During restart or startup there must be a sufficient flow of propane or commercial natural gas to the burners to prevent unburned collected methane from being emitted to the atmosphere.
4. The gas control device must be operated within the parameter ranges established during the initial or most recent source test.
(B) Route the collected gas to an open flare that meets the requirements of 40 CFR §60.18 (as last amended 73 Fed.Reg. 78209 (December 22, 2008), which is incorporated by reference herein. The operation of an open flare is not allowed except under the following conditions: 
1. An open flare installed and operating prior to August 1, 2008, may operate until January 1, 2018.
2. Operation of an open flare on or after January 1, 2018, may be allowed if the owner or operator can demonstrate to the satisfaction of the Executive Officer that the landfill gas heat input capacity is less than 3.0 MMBtu/hr pursuant to section 95471(b) and is insufficient to support the continuous operation of an enclosed flare or other gas control device.
3. The owner or operator is seeking to temporarily operate an open flare during the repair or maintenance of the gas control system, or while awaiting the installation of an enclosed flare, or to address offsite gas migration issues.
a. Any owner seeking to temporarily operate an open flare must submit a written request to the Executive Officer pursuant to section 95468.
(3) Requirements for Gas Control Devices other than Flares. An MSW landfill owner or operator who operates a gas control device other than a flare must satisfy one of the following requirements:
(A) Route the collected gas to an energy recovery device, or series of devices that meets the following requirements:
1. Achieves a methane destruction efficiency of at least 99 percent by weight. Lean burn internal combustion engines must reduce the outlet methane concentration to less than 3,000 ppmv, dry basis, corrected to 15 percent oxygen. 
2. If a boiler or a process heater is used as the gas control device, the landfill gas stream must be introduced into the flame zone. Where the landfill gas is not the primary fuel for the boiler or process heater, introduction of the landfill gas stream into the flame zone is not required.
3. The gas control device must be operated within the parameter ranges established during the initial or most recent source test.
(B) Route the collected gas to a treatment system that processes the collected gas for subsequent sale or use. All emissions vented to the atmosphere from the gas treatment system are subject to the requirements of sections 95464(b)(2).
(4) Source Test Requirements: The owner or operator must conduct an annual source test for any gas control device(s) subject to the requirements of sections 95464(b)(2)(A) or 95464(b)(3)(A) using the test methods identified in 95471(f). An initial source test must be conducted within 180 days of initial start up of the gas collection and control system. Each succeeding complete annual source test must be conducted no later than 45 days after the anniversary date of the initial source test.
(A) If a gas control device remains in compliance after three consecutive source tests the owner or operator may conduct the source test every three years. If a subsequent source test shows the gas collection and control system is out of compliance the source testing frequency will return to annual. 
(c) Wellhead Gauge Pressure Requirement: Each wellhead must be operated under a vacuum (negative pressure), except as provided in sections 95464(d) and 95464(e), or under any of the following conditions:
(1) Use of a geomembrane or synthetic cover. The owner or operator must develop acceptable pressure limits for the wellheads and include them in the Design Plan; or
(2) A decommissioned well.
(d) Well Raising: The requirements of sections 95464(b)(1)(A), 95464(b)(1)(B), and 95464(c), do not apply to individual wells involved in well raising provided the following conditions are met:
(1) New fill is being added or compacted in the immediate vicinity around the well.
(2) Once installed, a gas collection well extension is sealed or capped until the raised well is reconnected to a vacuum source.
(e) Repairs and Temporary Shutdown of Gas Collection System Components: The requirements of sections 95464(b)(1)(A), 95464(b)(1)(B), and 95464(c), do not apply to individual landfill gas collection system components that must be temporarily shut down in order to repair the components, due to catastrophic events such as earthquakes, to connect new landfill gas collection system components to the existing system, to extinguish landfill fires, or to perform construction activities pursuant to section 95466, provided the following requirements are met:
(1) Any new gas collection system components required to maintain compliance with this subarticle must be included in the most recent Design Plan pursuant to section 95464(a)(4).
(2) Methane emissions are minimized during shutdown pursuant to section 95464(a)(1)(D).
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95465. Surface Methane Emission Standards.
Note     •     History

(a) Except as provided in sections 95464(d), 95464(e), and 95466, beginning January 1, 2011, or upon commencing operation of a newly installed gas collection and control system or modification of an existing gas collection and control system pursuant to 95464(a)(1), whichever is later, no location on the MSW landfill surface may exceed either of the following methane concentration limits:
(1) 500 ppmv, other than non-repeatable, momentary readings, as determined by instantaneous surface emissions monitoring.
(2) An average methane concentration limit of 25 ppmv as determined by integrated surface emissions monitoring.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95466. Construction Activities.
Note     •     History

(a) The requirements of section 95465 do not apply to the working face of the landfill or to areas of the landfill surface where the landfill cover material has been removed and refuse has been exposed for the purpose of installing, expanding, replacing, or repairing components of the landfill gas, leachate, or gas condensate collection and removal system, or for law enforcement activities requiring excavation.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95467. Permanent Shutdown and Removal of the Gas Collection and Control System.
Note     •     History

(a) The gas collection and control system at a closed MSW landfill can be capped or removed provided the following requirements are met:
(1) The gas collection and control system was in operation for at least 15 years, unless the owner or operator can demonstrate to the satisfaction of the Executive Officer that due to declining methane rates the MSW landfill will be unable to operate the gas collection and control system for a 15-year period.
(2) Surface methane concentration measurements do not exceed the limits specified in section 95465. 
(3) The owner or operator submits an Equipment Removal Report to the Executive Officer pursuant to section 95470(b)(2).
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95468. Alternative Compliance Options.
Note     •     History

(a) The owner or operator may request alternatives to the compliance measures, monitoring requirements, test methods and procedures of sections 95464, 95469, and 95471. Any alternatives requested by the owner or operator must be submitted in writing to the Executive Officer. Alternative compliance option requests may include, but are not limited to, the following:
(1) Semi-continuous operation of the gas collection and control system due to insufficient landfill gas flow rates.
(2) Additional time allowance for leak repairs for landfills having consistent issues related to the procurement and delivery of necessary parts to complete the repair, or adverse weather conditions that impede repair work.
(3) Alternative wind speed requirements for landfills consistently having winds in excess of the limits specified in this subarticle.
(4) Alternative walking patterns to address potential safety and other issues, such as: steep or slippery slopes, monitoring instrument obstructions, and physical obstructions. 
(5) Exclusion of construction areas and other dangerous areas from landfill surface inspection. 
(6) Exclusion of paved roads that do not have any cracks, pot holes, or other penetrations from landfill surface inspection. 
(b) Criteria that the Executive Officer may use to evaluate alternative compliance option requests include, but are not limited to: compliance history; documentation containing the landfill gas flow rate and measured methane concentrations for individual gas collection wells or components; permits; component testing and surface monitoring results; gas collection and control system operation, maintenance, and inspection records; and historical meteorological data.
(c) The Executive Officer will review the requested alternatives and either approve or disapprove the alternatives within 120 days. The Executive Officer may request that additional information be submitted as part of the review of the requested alternatives.
(1) If a request for an alternative compliance option is denied, the Executive Officer will provide written reasons for the denial.
(2) The Executive Officer must deny the approval of any alternatives not providing equivalent levels of enforceability or methane emission control.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95469. Monitoring Requirements.
Note     •     History

(a) Surface Emissions Monitoring Requirements: Any owner or operator of a MSW landfill with a gas collection and control system must conduct instantaneous and integrated surface monitoring of the landfill surface quarterly using the procedures specified in section 95471(c). 
(1) Instantaneous Surface Monitoring: Any reading exceeding the limit specified in section 95465(a)(1) must be recorded as an exceedance and the following actions must be taken:
(A) The owner or operator must record the date, location, and value of each exceedance, along with re-test dates and results. The location of each exceedance must be clearly marked and identified on a topographic map of the MSW landfill, drawn to scale with the location of both the grids and the gas collection system clearly identified.
(B) Corrective action must be taken by the owner or operator such as, but not limited to, cover maintenance or repair, or well vacuum adjustments and the location must be remonitored within ten calendar days of a measured exceedance.
1. If the re-monitoring of the location shows a second exceedance, additional corrective action must be taken and the location must be re-monitored again no later than 10 calendar days after the second exceedance.
2. If the re-monitoring shows a third exceedance, the owner or owner or operator must install a new or replacement well as determined to achieve compliance no later than 120 calendar days after detecting the third exceedance, or it is a violation of this subarticle.
(C) Any closed or inactive MSW landfill, or any closed or inactive areas on an active MSW landfill that has no monitored exceedances of the limit specified in section 95465(a)(1) after four consecutive quarterly monitoring periods may monitor annually. Any exceedances of the limit specified in section 95465(a)(1) detected during the annual monitoring that can not be remediated within 10 calendar days will result in a return to quarterly monitoring of the landfill.
(D) Any exceedances of the limit specified in section 95465(a)(1) detected during any compliance inspections will result in a return to quarterly monitoring of the landfill.
(2) Integrated Surface Monitoring: Any reading exceeding the limit specified in section 95465(a)(2) must be recorded as an exceedance and the following actions must be taken:
(A) The owner or operator must record the average surface concentration measured as methane for each grid along with re-test dates and results. The location of the grids and the gas collection system must be clearly marked and identified on a topographic map of the MSW landfill drawn to scale.
(B) Within 10 calendar days of a measured exceedance, corrective action must be taken by the owner or operator such as, but not limited to, cover maintenance or repair, or well vacuum adjustments and the grid must be re-monitored.
1. If the re-monitoring of the grid shows a second exceedance, additional corrective action must be taken and the location must be re-monitored again no later than 10 calendar days after the second exceedance.
2. If the re-monitoring in section 95469(a)(2)(B)1. shows a third exceedance, the owner or operator must install a new or replacement well as determined to achieve compliance no later than 120 calendar days after detecting the third exceedance, or it is a violation of this subarticle.
(C) Any closed or inactive MSW landfill, or any closed or inactive areas on an active MSW landfill that has no monitored exceedances of the limit specified in section 95465(a)(2) after 4 consecutive quarterly monitoring periods may monitor annually. Any exceedances of the limits specified in section 95465(a)(2) detected during the annual monitoring that can not be remediated within 10 calendar days will result in a return to quarterly monitoring of the landfill.
(D) Any exceedances of the limits specified in section 95465(a)(2) detected during any compliance inspections will result in a return to quarterly monitoring of the landfill.
(3) An owner or operator of a closed or inactive MSW landfill, or any closed or inactive areas on an active MSW landfill that can demonstrate that in the three years before the effective date of this subarticle that there were no measured exceedances of the limits specified in section 95465 by annual or quarterly monitoring may monitor annually. Any exceedances of the limits specified in section 95465 detected during the annual monitoring that can not be remediated within 10 calendar days will result in a return to quarterly monitoring of the landfill.
(b) Gas Control System Equipment Monitoring: The owner or operator must monitor the gas control system using the following procedures: 
(1) For enclosed flares the following equipment must be installed, calibrated, maintained, and operated according to the manufacturer's specifications:
(A) A temperature monitoring device equipped with a continuous recorder which has an accuracy of plus or minus (+) 1 percent of the temperature being measured expressed in degrees Celsius or Fahrenheit. 
(B) At least one gas flow rate measuring device which must record the flow to the control device(s) at least every 15 minutes. 
(2) For a gas control device other than an enclosed flare, demonstrate compliance by providing information describing the operation of the gas control device, the operating parameters that would indicate proper performance, and appropriate monitoring procedures. Alternatives to this section must be submitted as specified in section 95468. The Executive Officer may specify additional monitoring procedures.
(3) Components containing landfill gas and under positive pressure must be monitored quarterly for leaks. Any component leak must be tagged and repaired within 10 calendar days, or it is a violation of this subarticle.
(A) Component leak testing at MSW landfills having landfill gas-to-energy facilities may be conducted prior to scheduled maintenance or planned outage periods.
(c) Wellhead Monitoring: The owner or operator must monitor each individual wellhead monthly to determine the gauge pressure. If there is any positive pressure reading other than as provided in sections 95464(d) and 95464(e), the owner or operator must take the following actions:
(1) Initiate corrective action within five calendar days of the positive pressure measurement.
(2) If the problem cannot be corrected within 15 days of the date the positive pressure was first measured, the owner or operator must initiate further action, including, but not limited to, any necessary expansion of the gas collection system, to mitigate any positive pressure readings.
(3) Corrective actions, including any expansion of the gas collection and control system, must be completed and any new wells must be operating within 120 days of the date the positive pressure was first measured, or it is a violation of this subarticle.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95470. Recordkeeping and Reporting Requirements.
Note     •     History

(a) Recordkeeping Requirements.
(1) An owner or operator must maintain the following records, whether in paper, electronic, or other format, for at least five years:
(A) All gas collection system downtime exceeding five calendar days, including individual well shutdown and disconnection times, and the reason for the downtime.
(B) All gas control system downtime in excess of one hour, the reason for the downtime, and the length of time the gas control system was shutdown.
(C) Expected gas generation flow rate calculated pursuant to section 95471(e).
(D) Records of all instantaneous surface readings of 200 ppmv or greater; all exceedances of the limits in sections 95464(b)(1)(B) or 95465, including the location of the leak (or affected grid), leak concentration in ppmv, date and time of measurement, the action taken to repair the leak, date of repair, any required re-monitoring and the re-monitored concentration in ppmv, and wind speed during surface sampling; and the installation date and location of each well installed as part of a gas collection system expansion. 
(E) Records of any positive wellhead gauge pressure measurements, the date of the measurements, the well identification number, and the corrective action taken.
(F) Annual solid waste acceptance rate and the current amount of waste-in-place.
(G) Records of the nature, location, amount, and date of deposition of non-degradable waste for any landfill areas excluded from the collection system.
(H) Results of any source tests conducted pursuant to section 95464(b)(4).
(I) Records describing the mitigation measures taken to prevent the release of methane or other emissions into the atmosphere:
1. When solid waste was brought to the surface during the installation or preparation of wells, piping, or other equipment;
2. During repairs or the temporary shutdown of gas collection system components; or, 
3. When solid waste was excavated and moved.
(J) Records of any construction activities pursuant to section 95466. The records must contain the following information:
1. A description of the actions being taken, the areas of the MSW landfill that will be affected by these actions, the reason the actions are required, and any landfill gas collection system components that will be affected by these actions.
2. Construction start and finish dates, projected equipment installation dates, and projected shut down times for individual gas collection system components.
3. A description of the mitigation measures taken to minimize methane emissions and other potential air quality impacts.
(K) Records of the equipment operating parameters specified to be monitored under sections 95469(b)(1) and 95469(b)(2) as well as records for periods of operation during which the parameter boundaries established during the most recent source test are exceeded. The records must include the following information:
1. For enclosed flares, all 3-hour periods of operation during which the average temperature difference was more than 28 degrees Celsius (or 50 degrees Fahrenheit) below the average combustion temperature during the most recent source test at which compliance with sections 95464(b)(2) and 95464(b)(3)(A) was determined.
2. For boilers or process heaters, whenever there is a change in the location at which the vent stream is introduced into the flame zone pursuant to section 95464(b)(3)(A)2.
3. For any owner or operator who uses a boiler or process heater with a design heat input capacity of 44 megawatts (150 MMBtu/hr) or greater to comply with section 95464(b)(3), all periods of operation of the boiler or process heater (e.g., steam use, fuel use, or monitoring data collected pursuant to other federal, State, local, or tribal regulatory requirements).
(2) The owner or operator must maintain the following records, whether in paper, electronic, or other format, for the life of each gas control device, as measured during the initial source test or compliance determination:
(A) The control device vendor specifications.
(B) The expected gas generation flow rate as calculated pursuant to section 95471(e).
(C) The percent reduction of methane achieved by the control device determined pursuant to section 95471(f).
(D) For a boiler or process heater, the description of the location at which the collected gas vent stream is introduced into the boiler or process heater over the same time period of the performance test.
(E) For an open flare: the flare type (i.e., steam-assisted, air-assisted, or non-assisted); all visible emission readings, heat content determination, flow rate or bypass flow rate measurements, and exit velocity determinations made during the performance test as specified in 40 CFR §60.18 (as last amended 73 Fed.Reg. 78209 (December 22, 2008), which is incorporated by reference herein; and records of the flare pilot flame or flare flame monitoring and records of all periods of operations during which the pilot flame or the flare flame is absent.
(3) Record Storage: The owner or operator must maintain copies of the records and reports required by this subarticle and provide them to the Executive Officer within five business days upon request. Records and reports must be kept at a location within the State of California.
(b) Reporting Requirements.
(1) Closure Notification: Any owner or operator of a MSW landfill which has ceased accepting waste must submit a Closure Notification to the Executive Officer within 30 days of waste acceptance cessation. 
(A) The Closure Notification must include the last day solid waste was accepted, the anticipated closure date of the MSW landfill, and the estimated waste-in-place.
(B) The Executive Officer may request additional information as necessary to verify that permanent closure has taken place in accordance with the requirements of any applicable federal, State, local, or tribal statues, regulations, and ordinances in effect at the time of closure. 
(2) Equipment Removal Report: A gas collection and control system Equipment Removal Report must be submitted to the Executive Officer 30 days prior to well capping, removal or cessation of operation of the gas collection, treatment, or control system equipment. The report must contain all of the following information:
(A) A copy of the Closure Notification submitted pursuant to section 95470(b)(1).
(B) A copy of the initial source test report or other documentation demonstrating that the gas collection and control system has been installed and operated for a minimum of 15 years, unless the owner or operator can demonstrate to the satisfaction of the Executive Officer that due to declining methane rates the landfill is unable to operate the gas collection and control system for a 15-year period.
(C) Surface emissions monitoring results needed to verify that landfill surface methane concentration measurements do not exceed the limits specified in section 95465.
(3) Annual Report: Any owner or operator subject to the requirements of this subarticle, except section 95463, must prepare an annual report for the period of January 1 through December 31 of each year. Each annual report must be submitted to the Executive Officer by March 15 of the following year. The annual report must contain the following information:
(A) MSW landfill name, owner and operator, address, and solid waste information system (SWIS) identification number.
(B) Total volume of landfill gas collected (reported in standard cubic feet).
(C) Average composition of the landfill gas collected over the reporting period (reported in percent methane and percent carbon dioxide by volume).
(D) Gas control device type, year of installation, rating, fuel type, and total amount of landfill gas combusted in each control device.
(E) The date that the gas collection and control system was installed and in full operation.
(F) The percent methane destruction efficiency of each gas control device(s).
(G) Type and amount of supplemental fuels burned with the landfill gas in each device.
(H) Total volume of landfill gas shipped off-site, the composition of the landfill gas collected (reported in percent methane and percent carbon dioxide by volume), and the recipient of the gas.
(I) Most recent topographic map of the site showing the areas with final cover and a geomembrane and the areas with final cover without a geomembrane with corresponding percentages over the landfill surface.
(J) The information required by sections 95470(a)(1)(A), 95470(a)(1)(B), 95470(a)(1)(C), 95470(a)(1)(D), 95470(a)(1)(E), and 95470(a)(1)(F), 95470(a)(1)(H), and 95470(a)(1)(K).
(4) Waste-in-Place Report: Any owner or operator subject to the requirements of sections 95463(a), or 95643(b)(2)(B)3. must report the following information to the Executive Officer:
(A) MSW landfill name, owner and operator, address, and solid waste information system (SWIS) identification number.
(B) The landfill's status (active, closed, or inactive) and the estimated waste-in-place, in tons.
(C) Most recent topographic map of the site showing the areas with final cover and a geomembrane and the areas with final cover without a geomembrane with corresponding percentages over the landfill surface.
(5) Landfill Gas Heat Input Capacity Report: Any owner or operator subject to the requirements of section 95463(b) must calculate the landfill gas heat input capacity using the calculation procedures specified in section (b) and report the results to the Executive Officer within 90 days of the effective date of this subarticle or upon reaching 450,000 tons of waste-in-place. The calculation, along with relevant parameters, must be provided as part of the report.
(6) Any report, or information submitted pursuant to this subarticle must contain certification by a responsible official of truth, accuracy, and completeness. This certification, and any other certification required under this subarticle, must state that, based on information and belief formed after reasonable inquiry, the statements and information in the document are true, accurate, and complete.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95471. Test Methods and Procedures.
Note     •     History

(a) Hydrocarbon Detector Specifications: Any instrument used for the measurement of methane must be a gas detector or other equivalent instrument approved by the Executive Officer that meets the calibration, specifications, and performance criteria of EPA Reference Method 21, Determination of Volatile Organic Compound Leaks, 40 CFR Part 60, Appendix A (as last amended 65 Fed.Reg. 61744 (October 17, 2000)), which is incorporated by reference herein, except for the following:
(1) “Methane” replaces all references to volatile organic compounds (VOC).
(2) The calibration gas shall be methane.
(b) Determination of Landfill Gas Heat Input Capacity: The landfill gas heat input capacity must be determined pursuant to sections 95471(b)(1), 95471(b)(2), or 95471(b)(3), as applicable:
(1) MSW Landfills without Carbon Adsorption or Passive Venting Systems: The heat input capacity must be calculated using the procedure as specified in Appendix I. The Executive Officer may request additional information as may be necessary to verify the heat input capacity from the MSW landfill. Site-specific data may be substituted when available.
(2) MSW Landfills with Carbon Adsorption Systems: The landfill gas heat capacity must be determined by measuring the actual total landfill gas flow rate, in standard cubic feet per minute (scfm), using a flow meter or other flow measuring device such as a standard pitot tube and methane concentration (percent by volume) using a hydrocarbon detector meeting the requirements of 95471(a). The total landfill gas flow rate must be multiplied by the methane concentration and then multiplied by the gross heating value (GHV) of methane of 1,012 Btu/scf to determine the landfill gas heat input capacity.
(3) MSW Landfills with Passive Venting Systems: The landfill gas heat input capacity must be determined pursuant to both of the following and is the higher of those determined values:
(A) Section 95471(b)(1); and
(B) The owner or operator must measure actual landfill gas flow rates (in units of scfm) by using a flow measuring device such as a standard pitot tube and methane concentration (percent by volume) using a hydrocarbon detector meeting the requirements of 95471(a) from each venting pipe that is within the waste mass. Each gas flow rate must then be multiplied by its corresponding methane concentration to obtain the individual methane flow rate. The individual methane flow rates must be added together and then multiplied by the GHV of methane of 1,012 Btu/scf to determine the landfill gas heat input capacity.
(c) Surface Emissions Monitoring Procedures: The owner or operator must measure the landfill surface concentration of methane using a hydrocarbon detector meeting the requirements of section 95471(a). The landfill surface must be inspected using the following procedures:
(1) Monitoring Area: The entire landfill surface must be divided into individually identified 50,000 square foot grids. The grids must be used for both instantaneous and integrated surface emissions monitoring.
(A) Testing must be performed by holding the hydrocarbon detector's probe within 3 inches of the landfill surface while traversing the grid.
(B) The walking pattern must be no more than a 25-foot spacing interval and must traverse each monitoring grid.
1. If the owner or operator has no exceedances of the limits specified in section 95465 after any four consecutive quarterly monitoring periods, the walking pattern spacing may be increased to 100-foot intervals. The owner or operator must return to a 25-foot spacing interval upon any exceedances of the limits specified in section 95465 that cannot be remediated within 10 calendar days or upon any exceedances detected during a compliance inspection.
2. If an owner or operator of a MSW landfill can demonstrate that in the past three years before the effective date of this subarticle that there were no measured exceedances of the limit specified in section 95465(a)(1) by annual or quarterly monitoring, the owner or operator may increase the walking pattern spacing to 100-foot intervals. The owner or operator must return to a 25-foot spacing interval upon any exceedances of the limits specified in section 95465 that cannot be remediated within 10 calendar days or upon any exceedances detected during a compliance inspection.
(C) Surface testing must be terminated when the average wind speed exceeds five miles per hour or the instantaneous wind speed exceeds 10 miles per hour. The Executive Officer may approve alternatives to this wind speed surface testing termination for MSW landfills consistently having measured winds in excess of these specified limits. Average wind speed must be determined on a 15-minute average using an on-site anemometer with a continuous recorder for the entire duration of the monitoring event.
(D) Surface emissions testing must be conducted only when there has been no measurable precipitation in the preceding 72 hours.
(2) Instantaneous Surface Emissions Monitoring Procedures.
(A) The owner or operator must record any instantaneous surface readings of methane 200 ppmv or greater, other than non-repeatable, momentary readings.
(B) Surface areas of the MSW landfill that exceed a methane concentration limit of 500 ppmv must be marked and remediated pursuant to section 95469(a)(1).
(C) The wind speed must be recorded during the sampling period.
(D) The landfill surface areas with cover penetrations, distressed vegetation, cracks or seeps must also be inspected visually and with a hydrocarbon detector.
(3) Integrated Surface Emissions Monitoring Procedures. 
(A) Integrated surface readings must be recorded and then averaged for each grid.
(B) Individual monitoring grids that exceed an average methane concentration of 25 ppmv must be identified and remediated pursuant to section 95469(a)(2).
(C) The wind speed must be recorded during the sampling period.
(d) Gas Collection and Control System Leak Inspection Procedures. Leaks must be measured using a hydrocarbon detector meeting the requirements of 95471(a).
(e) Determination of Expected Gas Generation Flow Rate. The expected gas generation flow rate must be determined as prescribed in the 2006 Intergovernmental Panel on Climate Change (IPCC) Guidelines for National Greenhouse Gas Inventories, Chapter 3, which is incorporated by reference herein, using a recovery rate of 75 percent.
(f) Control Device Destruction Efficiency Determination. The following methods of analysis must be used to determine the efficiency of the control device in reducing methane:
(1) Enclosed Combustors: One of the following test methods, all of which are incorporated by reference herein (and all as promulgated in 40 CFR, Part 60, Appendix A, as last amended 65 Fed.Reg. 61744 (October 17, 2000) at the pages cited below must be used to determine the efficiency of the control device in reducing methane by at least 99 percent, or in reducing the outlet methane concentration for lean burn engines to less than 3,000 ppmv, dry basis, corrected to 15 percent oxygen: 
U.S. EPA Reference Method 18, Measurement of Gaseous Organic Compound Emissions By Gas Chromatography (65 Fed.Reg. at 62007); 
U.S. EPA Reference Method 25, Determination of Total Gaseous Nonmethane Organic Emissions as Carbon (65 Fed.Reg. at 62044); 
U.S. EPA Reference Method 25A, Determination of Total Gaseous Organic Concentration Using a Flame Ionization Analyzer (65 Fed.Reg. at 62062); or
U.S. EPA Reference Method 25C, Determination of Nonmethane Organic Compounds in Landfill Gases (65 Fed.Reg. at 62066).
The following equation must be used to calculate destruction efficiency:

View Graphic
(2) Open Flares: Open flares must meet the requirements of 40 CFR §60.18 (as last amended 73 Fed.Reg. 78209 (December 22, 2008).
(g) Determination of Gauge Pressure. Gauge pressure must be determined using a hand-held manometer, magnahelic gauge, or other pressure measuring device approved by the Executive Officer. The device must be calibrated and operated in accordance with the manufacture's specifications.
(h) Alternative Test Methods. Alternative test methods may be used provided that they are approved in writing by the Executive Officer.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95472. Penalties.
Note     •     History

(a) Penalties may be assessed for any violation of this subarticle pursuant to Health and Safety Code section 38580. Each day during any portion of which a violation occurs is a separate offense.
(b) Any violation of this subarticle may be enjoined pursuant to Health and Safety Code section 41513.
(c) Each day or portion thereof that any report, plan, or document required by this subarticle remains unsubmitted, is submitted late, or contains incomplete or inaccurate information, shall constitute a single, separate violation of this subarticle.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95473. Implementation, Enforcement, and Related Fees.
Note     •     History

(a) The Executive Officer, at his or her discretion, may enter into an agreement with a District to implement and enforce this subarticle. Pursuant to this agreement, an owner or operator of a MSW landfill must pay any fees assessed by a District for the purpose of recovering the District's cost of implementing and enforcing the requirements of this subarticle. Implementation and enforcement of other law as described in Section 95474 cannot result in a standard, requirement, or prohibition less stringent than provided in this subarticle, as determined by the Executive Officer.
(b) The Executive Officer may request any owner or operator to demonstrate that a landfill does not meet the applicability criteria specified in this subarticle. Such demonstration must be submitted to the Executive Officer within 90 days of a written request received from the Executive Officer.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600, 39601 and 40001(a), Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95474. Applicability of Other Rules and Regulations.
Note     •     History

Compliance with this regulation does not exempt a person from complying with other federal, State, or local law, including but not limited to, California Health and Safety Code Section 41700; rules pertaining to visible emissions, nuisance, or fugitive dust, or from permitting requirements of a District, the Regional Water Quality Control Board, local enforcement agencies, the Integrated Waste Management Board, and other local, State, and federal agencies.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600, 39601,] and 40001(a), Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95475. Definitions.
Note     •     History

(a) For purposes of this subarticle, the following definitions apply:
(1) “Active MSW Landfill” means a MSW landfill that is accepting solid waste for disposal.
(2) “Component Leak” means the concentration of methane measured one half of an inch or less from a component source that exceeds 500 parts per million by volume (ppmv), other than non-repeatable, momentary readings. Measurements from any vault must be taken within 3 inches above the surface of the vault exposed to the atmosphere.
(3) “Component” means any equipment that is part of the gas collection and control system and that contains landfill gas including, but not limited to, wells, pipes, flanges, fittings, valves, flame arrestors, knock-out drums, sampling ports, blowers, compressors, or connectors. 
(4) “Construction and Demolition Wastes” means waste building materials, packaging and rubble resulting from construction, remodeling, repair and demolition operations on pavements, houses, commercial buildings and other structures.
(5) “Continuous Operation” means that the gas collection and control system is operated continuously, the existing gas collection wells are operating under vacuum while maintaining landfill gas flow, and the collected landfill gas is processed by a gas control system 24 hours per day.
(6) “Closed MSW Landfill” means that a MSW landfill is no longer accepting solid waste for disposal and has documentation that the closure was conducted in accordance with the applicable statutes, regulations, and local ordinances in effect at the time of closure. 
(7) “District” means any air quality management district or air pollution control district in the State of California.
(8) “Destruction Efficiency” means a measure of the ability of a gas control device to combust, transform, or otherwise prevent emissions of methane from entering the atmosphere.
(9) “Enclosed Combustor” means an enclosed flare, steam generating boiler, internal combustion engine, or gas turbine. 
(10) “Energy Recovery Device” means any combustion device that uses landfill gas to recover energy in the form of steam or electricity, including, but not limited to, gas turbines, internal combustion engines, boilers, and boiler-to-steam turbine systems.
(11) “Exceedance” means the concentration of methane measured within 3 inches above the landfill surface that exceeds 500 ppmv, other than non-repeatable, momentary readings, as determined by instantaneous surface emissions monitoring; or the average methane concentration measurements that exceed 25 ppmv, as determined by integrated surface emissions monitoring. 
(12) “Executive Officer” means the Executive Officer of the Air Resources Board, or his or her delegate.
(13) “Facility Boundary” means the boundary surrounding the entire area on which MSW landfill activities occur and are permitted.
(14) “Gas Control Device” means any device used to dispose of or treat collected landfill gas, including, but not limited to, enclosed flares, internal combustion engines, boilers and boiler-to-steam turbine systems, fuel cells, and gas turbines.
(15) “Gas Collection System” means any system that employs various gas collection wells and connected piping, and mechanical blowers, fans, pumps, or compressors to create a pressure gradient and actively extract landfill gas.
(16) “Gas Control System” means any system that disposes of or treats collected landfill gas by one or more of the following means: combustion, gas treatment for subsequent sale, or sale for processing offsite, including for transportation fuel and injection into the natural gas pipeline.
(17) “Inactive MSW Landfill” means a MSW landfill that is no longer accepting solid waste for disposal, or can document that the landfill is no longer receiving solid waste.
(18) “Inert Waste” means any material meeting the definition of “Inert Waste” as defined in Title 27, California Code of Regulations, Division 2, Subdivision 1, Chapter 3, Subchapter 2, Article 2, Section 20230(a) (effective July 18, 1997). 
(19) “Landfill Gas” means any untreated, raw gas derived through a natural process from the decomposition of organic waste deposited in a MSW landfill, from the evolution of volatile species in the waste, or from chemical reactions of substances in the waste.
(20) “Landfill Surface” means the area of the landfill under which decomposable solid waste has been placed, excluding the working face. 
(21) “Municipal Solid Waste Landfill” or “MSW Landfill” means an entire disposal facility in a contiguous geographical space where solid waste is placed in or on land.
(22) “Non-decomposable Solid Waste” means materials that do not degrade biologically to form landfill gas. Examples include, but are not limited to, earth, rock, concrete asphalt paving fragments, uncontaminated concrete (including fiberglass or steel reinforcing rods embedded in the concrete), brick, glass, ceramics, clay products, inert slag, asbestos-containing waste, and demolition materials containing minor amounts (less than 10 percent by volume) of wood and metals. Materials that do not meet this definition are considered decomposable solid waste.
(23) “Non-repeatable, Momentary Readings” means indications of the presence of methane, which persist for less than five seconds and do not recur when the sampling probe of a portable gas detector is placed in the same location.
(24) “Operator” means any person or entity, including but not limited to any government entity, corporation, partnership, trustee, other legal entity, or individual that:
(A) Operates the MSW landfill;
(B) Is responsible for complying with any federal, state, or local requirements relating to methane emissions from real property used for MSW landfill purposes and subject to this subarticle;
(C) Operates any stationary equipment for the collection of landfill gas;
(D) Purchases landfill gas from an owner or operator of a MSW landfill and operates any stationary equipment for the treatment of landfill gas; or
(E) Purchases untreated landfill gas from an owner or operator of a MSW landfill and operates any stationary equipment for the combustion of landfill gas. 
(25) “Owner” means any person or entity, including but not limited to any government entity, corporation, partnership, trustee, other legal entity, or individual that: 
(A) Holds title to the real property on which the MSW landfill is located, including but not limited to title held by joint tenancy, tenancy in common, community property, life estate, estate for years, lease, sublease, or assignment, except title held solely as security for a debt such as mortgage;
(B) Is responsible for complying with any federal, state, or local requirements relating to methane emissions from real property used for MSW landfill purposes and subject to this subarticle.
(C) Owns any stationary equipment for the collection of landfill gas; 
(D) Purchases the landfill gas from an owner or operator of a MSW landfill and owns any stationary equipment for the treatment of landfill gas; or 
(E) Purchases untreated landfill gas from an owner or operator of a MSW landfill and owns any stationary equipment for the combustion of landfill gas. 
(26) “Perimeter” means along the MSW landfill's permitted facility boundary.
(27) “Professional Engineer” means an engineer holding a valid certificate issued by the State of California Board of Registration for Professional Engineers and Land Surveyors or an engineer holding a valid certificate issued by a state offering reciprocity with California.
(28) “Solid Waste” means all decomposable and non-decomposable solid, semisolid, and liquid wastes, including garbage, trash, refuse, paper, rubbish, ashes, industrial waste, manure, vegetable or animal solid and semisolid wastes, sludge, and other discarded solid and semisolid wastes. Solid waste also includes any material meeting the definition of Solid Waste in 40 CFR §60.751 (as last amended 64 Fed.Reg 9262, Feb 24, 1999) as incorporated by reference herein.
(29) “Subsurface Gas Migration” means underground landfill gases that are detected at any point on the perimeter pursuant to California Code of Regulations title 27, section 20921. 
(30) “Waste-in-Place” means the total amount of solid waste placed in the MSW landfill estimated in tons. The refuse density is assumed to be 1,300 pounds per cubic yard and the decomposable fraction is assumed to be 70 percent by weight.
(31) “Well Raising” means a MSW landfill activity where an existing gas collection well is temporarily disconnected from a vacuum source, and the non-perforated pipe attached to the well is extended vertically to allow the addition of a new layer of solid waste or the final cover; or is extended horizontally to allow the horizontal extension of an existing layer of solid waste or cover material. The extended pipe (well extension) is then re-connected in order to continue collecting gas from that well.
(32) “Working Face” means the open area where solid waste is deposited daily and compacted with landfill equipment.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
§95476. Severability.
Note     •     History

Each part of this subarticle is deemed severable, and in the event that any part of this subarticle is held to be invalid, the remainder of this subarticle continues in full force and effect.
NOTE

Authority cited: Sections 38501, 38510, 38560, 38560.5, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38550, 38551, 38560, 38560.5, 39003, 39500, 39600 and 39601, Health and Safety Code.
HISTORY

1. New section filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).

Appendix I

1.0 Calculate Heat Input Capacity

Heat Input Capacity (MMBtu/hr) = Methane Gas Generation (scfm) x 60 minutes/1 hour x Collection Efficiency x GHV x 1 MMBtu/1,000,000 Btu

Where:

Collection Efficiency = the landfill gas collection efficiency in percent (%), which is 75 percent.

GHV (Gross Heating Value) = Gross heating value of methane, which is 1,012 in units of British thermal units per standard cubic feet, or Btu/scf; source: http://epa.gov/lmop/res/converter.htm). 

2.0 Methane Gas Generation: CH4 Generation is calculated using the following equation:

CH4 Generation (Mg of CH4) = {ANDOCyear-start x [1-e-[k]] - 
ANDOCdeposited-last year x [1/k x (e-[kx(1-M/12)] - e-[k]) - (M/12) x e-[k]]
+ ANDOCdeposited-same year x [1-((1/k) x (1-e-[k x (1-M/12)] + (M/12))]}
x FCH4

Where:

CH4 Generation = CH4 generated in the inventory year in question (Mg of CH4) using the Mathematically Exact First-Order Decay Model provided in the 2006 Intergovernmental Panel on Climate Change (IPCC) Guidelines for National Greenhouse Gas Inventories, Chapter 3 (Source: http://www.ipcc-nggip.iges.or.jp/public/2006gl/pdf/
5_Volume5/V5_3_Ch3_SWDS.pdf). 

FCH4 = Fraction of decomposing carbon converted into CH4 (Default = 0.5)
ANDOCyear-start = ANDOC in place at the beginning of the inventory year in question
ANDOCdeposited-last year = ANDOC deposited during the previous inventory year
ANDOCdeposited-same year = ANDOC deposited during the inventory year in question

3.0 To Convert Methane Generated from Mg of CH4 to SCFM 

CH4 Gas Generated (scfm) = CH4 Generation (Mg/year) x 
1 year/ 525,600 minutes x 1,000,000 g/Mg x 1 mole CH4/16.04246 g CH4 x 0.83662 SCF/mole landfill gas

4.0 Define ANDOC%

ANDOC% = S WIPFRACi x TDOCi x DANFi

Where:

WIPFRACi = Fraction of the ith component in the waste-in-place

TDOCi =	Total Degradable Organic Carbon fraction of the ith waste component (Mg of that component/Mg of Total waste-in-place

DANFi =	Decomposable Anaerobic Fraction of the ith waste component, that fraction capable of decomposition in anaerobic conditions (Mg of decomposable carbon for that component/Mg TDOCi for that component)

5.0 Define ANDOC

ANDOC = WIP (Tons) x 0.9072 (Mg/Ton) x ANDOC%

Where:

ANDOC =	Anaerobically Degradable Organic Carbon, carbon that is capable of decomposition in an anaerobic environment (Mg of carbon)

WIP =	Waste-in-Place estimate of all the landfilled waste (wet weight) as reported to the CIWMB (tons)

6.0 Calculate ANDOCyear-end

ANDOCyear-end = ANDOCyear-start x e-[k] + 
ANDOCdeposited-last year x [1/k x (e-[k x (1-Ms12)] - e-[k]) - (M/12) x e-[k]] + ANDOCdeposited-same year x [(1/k) x (1-e-[k x (1-Ms12)] + (M/12)]

Where:
ANDOCyear-end = ANDOC remaining undecomposed at the end of the inventory year in question
ANDOCyear-start = ANDOC in place at the beginning of the inventory year in question
ANDOCdeposited-last year = ANDOC deposited during the previous inventory year
ANDOCdeposited-same year = ANDOC deposited during the inventory year in question

M =	Assumed delay before newly deposited waste begins to undergo anaerobic decomposition (Months, Default = 6)

k =	Assumed rate constant for anaerobic decomposition; 
k = ln2/half-life (years); half-life is the number of years required for half of the original mass of carbon to degrade
The following values for the assumed rate constant for anaerobic decomposition (or “k”) must be used:

Table 1. Average Rainfall and k Values

	Average Rainfall (Inches/Year)	k Value
	<20	0.020
	20-40	0.038
	>40	0.057

Source: U.S. EPA 
http//www.ncgc.nrcs.usda.gov/products/datasets/climate/data/precipitation-state/. 
The following waste characterization default values shown in Tables 1A, 1B, 2, and 3 in addition to the model equations must be used in estimating the methane generation potential for a MSW landfill: 

Table 1A

			Waste Type (%) by Year 
Waste Type 	Up to 1964	1965-1974	1975-1984	1985-1992	1993-1995

Newspaper 	6.4%	6.4%	5.9%	4.8%	3.9%
Office Paper 	10.7%	11.3%	12.0%	13.1%	15.0%
Corrugated Boxes 	10.8%	13.5%	11.5%	10.5%	10.3%
Coated Paper 	2.2%	2.0%	2.4%	2.1%	1.8%
Food 	14.8%	11.3%	9.5%	12.1%	13.4%
Grass 	12.1%	10.3%	10.1%	9.0%	6.6%
Leaves 	6.1%	5.1%	5.0%	4.5%	3.3%
Branches 	6.1%	5.1%	5.0%	4.5%	3.3%
Lumber 	3.7%	3.3%	5.1%	7.0%	7.3%
Textiles 	2.1%	1.8%	1.7%	3.3%	4.5%
Diapers 	0.1%	0.3%	1.4%	1.6%	1.9%
Construction/Demolition 	2.6%	2.5%	3.5%	3.9%	4.5%
Medical Waste 	0.0%	0.0%	0.0%	0.0%	0.0%
Sludge/Manure 	0.0%	0.0%	0.0%	0.0%	0.0%
Source: US EPA Municipal Solid Waste publication: http://www.epa.gov/msw/pubs/03data.pdf.

Table 1B

	Waste Type (%) by Year 
Waste Type 	1996-20021	2003-present2
Newspaper 	4.3%	2.2%
Office Paper 	4.4%	2.0%
Corrugated Boxes 	4.6%	5.7%
Coated Paper 	16.9%	11.1%
Food 	15.7%	14.6%
Grass 	5.3%	2.8%
Leaves	2.6%	1.4%
Branches	2.4%	2.6%
Lumber 	4.9%	9.6%
Textiles 	2.1%	4.4% 
Diapers 	6.9%	4.4%
Construction/Demolition 	6.7%	12.1%
Medical Waste 	0.0%	0.0%
Sludge/Manure 	0.1%	0.1%
Source:

1CIWMB Statewide Waste Characterization Study (1999).

2CIWMB Statewide Waste Characterization Study (2004).

Table 2

Waste Type 	TDOC	Source
Newspaper 	46.5%	EPA
Office Paper 	39.8%	EPA
Corrugated Boxes 	40.5%	EPA
Coated Paper 	40.5%	EPA
Food 	11.7%	EPA
Grass 	19.2%	EPA
Leaves	47.8%	EPA
Branches	27.9%	EPA
Lumber 	43.0%	IPCC
Textiles 	24.0%	IPCC
Diapers 	24.0%	IPCC
Construction/Demolition 	4.0%	IPCC
Medical Waste 	15.0%	IPCC
Sludge/Manure 	5.0%	IPCC

Sources

EPA Solid Waste Management and Greenhouse Gasses: A Life-Cycle Assessment of Emissions and Sinks, Exhibits 7-2, 7-3 (May 2002).

IPCC Guidelines for National Greenhouse Gas Inventories, Chapter 2, Table 2.4, 2.5 and 2.6 (2006). 

Table 3

Waste Type 	DANF 	Source 
Newspaper 	16.1% 	EPA 
Office Paper 	87.4% 	EPA 
Corrugated Boxes 	38.3% 	EPA
Coated Paper	21.0% 	EPA 
Food 	82.8% 	EPA 
Grass	32.2% 	EPA 
Leaves 	10.0% 	EPA 
Branches	17.6% 	EPA 
Lumber 	23.3% 	CEC 
Textiles 	50.0% 	IPCC 
Diapers 	50.0% 	IPCC 
Construction/Demolition 	50.0% 	IPCC 
Medical Waste 	50.0% 	IPCC 
Sludge/Manure 	50.0% 	IPCC 
Sources:

EPA Solid Waste Management and Greenhouse Gasses: A Life-Cycle Assessment of Emissions and Sinks Exhibits 7-2, 7-3 (May 2002).

CEC Inventory of California Greenhouse Gas Emissions and Sinks: 1990-2004 (December 2006).

IPCC Guidelines for National Greenhouse Gas Inventories, Chapter 3, 3.13 (2006). 
HISTORY

1. New Appendix I filed 6-17-2010; operative 6-17-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 25).
Subarticle 7. Low Carbon Fuel Standard
§95480. Purpose.
Note     •     History

The purpose of this regulation is to implement a low carbon fuel standard, which will reduce greenhouse gas emissions by reducing the full fuel-cycle, carbon intensity of the transportation fuel pool used in California, pursuant to the California Global Warming Solutions Act of 2006 (Health & Safety Code (H&S), section 38500 et.seq.). 
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New subarticle 7 (sections 95480-95490) and section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
§95480.1. Applicability.
Note     •     History

(a) Applicability of the Low Carbon Fuel Standard. 
Except as provided in this section, the California Low Carbon Fuel Standard regulation, title 17, California Code of Regulations (CCR), sections 95480 through 95490 (collectively referred to as the “LCFS”) applies to any transportation fuel, as defined in section 95481, that is sold, supplied, or offered for sale in California, and to any person who, as a regulated party defined in section 95481 and specified in section 95484(a), is responsible for a transportation fuel in a calendar year. The types of transportation fuels to which the LCFS applies include:
(1) California reformulated gasoline (“gasoline” or “CaRFG”);
(2) California diesel fuel (“diesel fuel” or “ULSD”);
(3) Fossil compressed natural gas (“Fossil CNG”) or fossil liquefied natural gas (“Fossil LNG”);
(4) Biogas CNG or biogas LNG;
(5) Electricity;
(6) Compressed or liquefied hydrogen (“hydrogen”);
(7) A fuel blend containing hydrogen (“hydrogen blend”);
(8) A fuel blend containing greater than 10 percent ethanol by volume;
(9) A fuel blend containing biomass-based diesel;
(10) Denatured fuel ethanol (“E100”);
(11) Neat biomass-based diesel (“B100”); and
(12) Any other liquid or non-liquid fuel. 
The provisions and requirements in section 95484(c), (d) and (e) apply starting January 1, 2010. All other provisions and requirements of the LCFS regulation apply starting January 1, 2011.
(b) Credit Generation Opt-In Provision for Specific Alternative Fuels. Each of the following alternative fuels is presumed to have a full fuel-cycle, carbon intensity that meets the compliance schedules set forth in section 95482(b) and (c) through December 31, 2020. With regard to an alternative fuel listed below, the regulated party for the fuel must meet the requirements of the LCFS regulation only if the regulated party elects to generate LCFS credits:
(1) Electricity;
(2) Hydrogen;
(3) A hydrogen blend;
(4) Fossil CNG derived from North American sources;
(5) Biogas CNG; and
(6) Biogas LNG.
(c) Exemption for Specific Alternative Fuels. The LCFS regulation does not apply to an alternative fuel that meets the criteria in either (c)(1) or (2) below:
(1) An alternative fuel that:
(A) is not a biomass-based fuel; and
(B) is supplied in California by all providers of that particular fuel for transportation use at an aggregated volume of less than 420 million MJ (3.6 million gasoline gallon equivalent) per year;
A regulated party that believes it is subject to this exemption has the sole burden of proving to the Executive Officer's satisfaction that the exemption applies to the regulated party. 
(2) Liquefied petroleum gas (LPG or “propane”).
(d) Exemption for Specific Applications. The LCFS regulation does not apply to any transportation fuel used in the following applications:
(1) Aircraft;
(2) Racing vehicles, as defined in H&S section 39048;
(3) Military tactical vehicles and tactical support equipment, as defined in title 13, CCR, section 1905(a) and title 17, CCR, section 93116.2(a)(36), respectively;
(4) Locomotives not subject to the requirements specified in title 17, CCR, section 93117; and
(5) Ocean-going vessels, as defined in title 17, CCR, section 93118.5(d). This exemption does not apply to recreational and commercial harbor craft, as defined in title 17, CCR, section 93118.5(d). 
(e) Nothing in this LCFS regulation (title 17, CCR, §95480 et seq.) may be construed to amend, repeal, modify, or change in any way the California reformulated gasoline regulations (CaRFG, title 13, CCR, §2260 et seq.), the California diesel fuel regulations (title 13, CCR, §§2281-2285 and title 17, CCR, §93114), or any other applicable State or federal requirements. A person, including but not limited to the regulated party as that term is defined in the LCFS regulation, who is subject to the LCFS regulation or other State and federal regulations shall be solely responsible for ensuring compliance with all applicable LCFS requirements and other State and federal requirements, including but not limited to the CaRFG requirements and obtaining any necessary approvals, exemptions, or orders from either the State or federal government.
(f) Severability. Each part of this subarticle shall be deemed severable, and in the event that any part of this subarticle is held to be invalid, the remainder of this subarticle shall continue in full force and effect.
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
2. New subsection (f) filed 4-15-2010; operative 4-15-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 16). 
§95481. Definitions and Acronyms.
Note     •     History

(a) Definitions. For the purposes of sections 95480 through 95489, the definitions in Health and Safety Code sections 39010 through 39060 shall apply, except as otherwise specified in this section, section 95480.1, or sections 95482 through 95489:
(1) “Alternative fuel” means any transportation fuel that is not CaRFG or a diesel fuel, including but not limited to, those fuels specified in section 95480.1(a)(3) through (a)(12).
(2) “B100” means biodiesel meeting ASTM D6751-08 (October 1, 2008) (Standard Specification for Biodiesel Fuel Blend Stock (B100) for Middle Distillate Fuels), which is incorporated herein by reference. 
(3) “Biodiesel” means a diesel fuel substitute produced from nonpetroleum renewable resources that meet the registration requirements for fuels and fuel additives established by the Environmental Protection Agency under section 211 of the Clean Air Act. It includes biodiesel meeting all the following:
(A) Registered as a motor vehicle fuel or fuel additive under 40 CFR part 79;
(B) A mono-alkyl ester;
(C) Meets ASTM D 6751-08 (October 1, 2008), Standard Specification for Biodiesel Fuel Blendstock (B100) for Middle Distillate Fuels, which is incorporated herein by reference;
(D) Intended for use in engines that are designed to run on conventional diesel fuel; and
(E) Derived from nonpetroleum renewable resources.
(4) “Biodiesel Blend” means a blend of biodiesel and diesel fuel containing 6% (B6) to 20% (B20) biodiesel and meeting ASTM D7467-08 (October 1, 2008), Specification for Diesel Fuel Oil, Biodiesel Blend (B6 to 20), which is incorporated herein by reference.
(5) “Biogas (also called biomethane) means natural gas that meets the requirements of 13 CCR §2292.5 and is produced from the breakdown of organic material in the absence of oxygen. Biogas is produced in processes including, but not limited to, anaerobic digestion, anaerobic decomposition, and thermo-chemical decomposition. These processes are applied to biodegradable biomass materials, such as manure, sewage, municipal solid waste, green waste, and waste from energy crops, to produce landfill gas, digester gas, and other forms of biogas. 
(6) “Biogas CNG” means CNG consisting solely of compressed biogas.
(7) “Biogas LNG” means LNG consisting solely of liquefied biogas.
(8) “Biomass” has the same meaning as defined in “Renewable Energy Program: Overall Program Guidebook,” 2nd Ed., California Energy Commission, Report No. CEC-300-2007-003-ED2-CMF, January 2008, which is incorporated herein by reference. 
(9) “Biomass-based diesel” means a biodiesel (mono-alkyl ester) or a renewable diesel that complies with ASTM D975-08ae1, (edited December 2008), Specification for Diesel Fuel Oils, which is incorporated herein by reference. This includes a renewable fuel derived from co-processing biomass with a petroleum feedstock. 
(10) “Blendstock” means a component that is either used alone or is blended with another component(s) to produce a finished fuel used in a motor vehicle. Each blendstock corresponds to a fuel pathway in the California-modified GREET. A blendstock that is used directly as a transportation fuel in a vehicle is considered a finished fuel. 
(11) “Carbon intensity” means the amount of lifecycle greenhouse gas emissions, per unit of energy of fuel delivered, expressed in grams of carbon dioxide equivalent per megajoule (gCO2E/MJ).
(12) “Compressed Natural Gas (CNG)” means natural gas that has been compressed to a pressure greater than ambient pressure and meets the requirements of title 13, CCR, section 2292.5.
(13) “Credits” and “deficits” means the measures used for determining a regulated party's compliance with the average carbon intensity requirements in sections 95482 and 95483. Credits and deficits are denominated in units of metric tons of carbon dioxide equivalent (CO2E), and are calculated pursuant to section 95485(a).
(14) “Diesel Fuel” (also called conventional diesel fuel) has the same meaning as specified in title 13, CCR, section 2281(b). 
(15) “Diesel Fuel Blend” means a blend of diesel fuel and biodiesel containing no more than 5% (B5) biodiesel by weight and meeting ASTM D975-08ae1, (edited December 2008), Specification for Diesel Fuel Oils, which is incorporated herein by reference.
(16) “E100,” also known as “Denatured Fuel Ethanol,” means nominally anhydrous ethyl alcohol meeting ASTM D4806-08 (July 1, 2008), Standard Specification for Denatured Fuel Ethanol for Blending with Gasolines for Use as Automotive Spark-Ignition Engine Fuel, which is incorporated herein by reference.
(17) “Executive Officer” means the Executive Officer of the Air Resources Board, or his or her designee.
(18) “Final Distribution Facility” means the stationary finished fuel transfer point from which the finished fuel is transferred into the cargo tank truck, pipeline, or other delivery vessel for delivery to the facility at which the finished fuel will be dispensed into motor vehicles. 
(19) “Finished fuel” means a fuel that is used directly in a vehicle for transportation purposes without requiring additional chemical or physical processing. 
(20) “Fossil CNG” means CNG that is derived solely from petroleum or fossil sources, such as oil fields and coal beds.
(20.5) “GTAP” or “GTAP Model” means the Global Trade Analysis Project Model (January 2010), which is hereby incorporated by reference, and is a software package comprised of:
(A) RunGTAP (February 2009), a visual interface for use with the GTAP databases (posted at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm in February 2009 and available for download at https://www.gtap.agecon. purdue.edu/products/rungtap/default.asp), which is hereby incorporated by reference;
(B) GTAP-BIO (February 2009), the GTAP model customized for corn ethanol (posted at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm in February 2009 and available with its components as a .zip file for download at http://www.arb.ca.gov/fuels/lcfs/gtapbio.zip); which is hereby incorporated by reference;
(C) GTP-SGR (February 2009), the GTAP model customized for sugarcane ethanol (posted at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm in February 2009 and available with its components as a .zip file for download at http://www.arb.ca.gov/fuels/lcfs/gtpsgr.zip), which is hereby incorporated by reference; and
(D) GTAP SOY (January 2010), the compressed file containing the GTAP model customized for Midwest soybeans (posted at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm in January 2010 and available with its components as a .zip file for download at http://www.arb.ca.gov/fuels/lcfs/gtap-soy.zip), which is hereby incorporated by reference. 
(21) “HDV” means a heavy-duty vehicle that is rated at 14,001 or more pounds gross vehicle weight rating (GVWR). 
(22) “Home fueling” means the dispensing of fuel by use of a fueling appliance that is located on or within a residential property with access limited to a single household.
(23) “Import” means to bring a product from outside California into California. 
(24) “Importer” means the person who owns an imported product when it is received at the import facility in California.
(25) “Import facility” means, with respect to any imported liquid product, the storage tank in which the product was first delivered from outside California into California, including, in the case of liquid product imported by cargo tank and delivered directly to a facility for dispensing the product into motor vehicles, the cargo tank in which the product was imported.
(26) “Intermediate calculated value” means a value that is used in the calculation of a reported value but does not by itself meet the reporting requirement under section 95484(c).
(27) “LDV & MDV” means a vehicle category that includes both light-duty (LDV) and medium-duty vehicles (MDV). 
(A) “LDV” means a vehicle that is rated at 8500 pounds or less GVWR. 
(B) “MDV” means a vehicle that is rated between 8501 and 14,000 pounds GVWR.
(28) “Lifecycle greenhouse gas emissions” means the aggregate quantity of greenhouse gas emissions (including direct emissions and significant indirect emissions such as significant emissions from land use changes), as determined by the Executive Officer, related to the full fuel lifecycle, including all stages of fuel and feedstock production and distribution, from feedstock generation or extraction through the distribution and delivery and use of the finished fuel to the ultimate consumer, where the mass values for all greenhouse gases are adjusted to account for their relative global warming potential. 
(29) “Liquefied Natural Gas (LNG)” means natural gas that has been liquefied and meets the requirements of title 13, CCR, section 2292.5.
(30) “Liquefied petroleum gas (LPG or propane)” has the same meaning as defined in Vehicle Code section 380.
(31) “Motor vehicle” has the same meaning as defined in section 415 of the Vehicle Code.
(32) “Multi-fuel vehicle” means a vehicle that uses two or more distinct fuels for its operation. A multi-fuel vehicle (also called a vehicle operating in blended-mode) includes a bi-fuel vehicle and can have two or more fueling ports onboard the vehicle. A fueling port can be an electrical plug or a receptacle for liquid or gaseous fuel. As an example, a plug-in hybrid hydrogen internal combustion engine vehicle (ICEV) uses both electricity and hydrogen as the fuel source and can be “refueled” using two separately distinct fueling ports.
(33) “Multimedia evaluation” has the same meaning as specified in H&S section 43830.8(b) and (c).
(34) “Natural gas” means a mixture of gaseous hydrocarbons and other compounds, with at least 80 percent methane (by volume), and typically sold or distributed by utilities, such as any utility company regulated by the California Public Utilities Commission.
(35) “Private access fueling facility” means a fueling facility with access restricted to privately-distributed electronic cards (“cardlock”) or is located in a secure area not accessible to the public.
(36) “Producer” means, with respect to any liquid fuel, the person who owns the liquid fuel when it is supplied from the production facility.
(37) “Production facility” means, with respect to any liquid fuel (other than LNG), a facility in California at which the fuel is produced. “Production facility” means, with respect to natural gas (CNG, LNG or biogas), a facility in California at which fuel is converted, compressed, liquefied, refined, treated, or otherwise processed into CNG, LNG, biogas, or biogas-natural gas blend that is ready for transportation use in a vehicle without further physical or chemical processing.
(38) “Public access fueling facility” means a fueling facility that is not a private access fueling dispenser.
(39) “Regulated party” means a person who, pursuant to section 95484(a), must meet the average carbon intensity requirements in section 95482 or 95483.
(40) “Renewable diesel” means a motor vehicle fuel or fuel additive that is all the following:
(A) Registered as a motor vehicle fuel or fuel additive under 40 CFR part 79;
(B) Not a mono-alkyl ester;
(C) Intended for use in engines that are designed to run on conventional diesel fuel; and
(D) Derived from nonpetroleum renewable resources.
(41) “Single fuel vehicle” means a vehicle that uses a single external source of fuel for its operation. The fuel can be a pure fuel, such as gasoline, or a blended fuel such as E85 or a diesel fuel containing biomass-based diesel. A dedicated fuel vehicle has one fueling port onboard the vehicle. Examples include BEV, E85 FFV, vehicles running on a biomass-based diesel blend, and grid-independent hybrids such as a Toyota Prius.Ò
(42) “Transportation fuel” means any fuel used or intended for use as a motor vehicle fuel or for transportation purposes in a nonvehicular source.
(b) Acronyms. For the purposes of sections 95480 through 95489, the following acronyms apply.
(1) “ASTM” means ASTM International (formerly American Society for Testing and Materials).
(2) “BEV” means battery electric vehicles.
(3) “CARBOB” means California reformulated gasoline blendstock for oxygenate blending
(4) “CaRFG” means California reformulated gasoline.
(5) “CEC” means California Energy Commission.
(6) “CFR” means code of federal regulations.
(7) “CI” means carbon intensity.
(8) “CNG” means compressed natural gas.
(9) “EER” means energy economy ratio.
(10) “FCV” means fuel cell vehicles.
(11) “FFV” means flex fuel vehicles.
(12) “gCO2E/MJ” means grams of carbon dioxide equivalent per mega joule.
(13) “GREET” means the Greenhouse gases, Regulated Emissions, and Energy use in Transportation model.
(14) “GVWR” means gross vehicle weight rating.
(15) “HDV” means heavy-duty vehicles. 
(16) “ICEV” means internal combustion engine vehicle.
(17) “LCFS” means Low Carbon Fuel Standard.
(18) “LDV” means light-duty vehicles.
(19) “LNG” means liquefied natural gas.
(20) “LPG” means liquefied petroleum gas.
(21) “MDV” means medium-duty vehicles.
(22) “MT” means metric tons of carbon dioxide equivalent.
(23) “PHEV” means plug-in hybrid vehicles.
(24) “ULSD” means California ultra low sulfur diesel.
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
2. Amendment of subsections (a)(20.5) and (a)(20.5)(B)-(C) and new subsection (a)(20.5)(D) filed 4-15-2010; operative 4-15-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 16). 
§95482. Average Carbon Intensity Requirements for Gasoline and Diesel.
Note     •     History

(a) Starting January 1, 2011 and for each year thereafter, a regulated party must meet the average carbon intensity requirements set forth in Table 1 and Table 2 of this section for its transportation gasoline and diesel fuel, respectively, in each calendar year. For 2010 only, a regulated party does not need to meet a carbon intensity requirement, but it must meet the reporting requirements set forth in section 95484(c).
(b) Requirements for gasoline and fuels used as a substitute for gasoline. 

Table 1. LCFS Compliance Schedule for 2011 to 2020 for Gasoline and Fuels Used as a Substitute for Gasoline.

View Graphic
(c) Requirements for diesel fuel and fuels used as a substitute for diesel fuel. 

Table 2. LCFS Compliance Schedule for 2011 to 2020 for Diesel Fuel and Fuels Used as a Substitute for Diesel Fuel.

View Graphic
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
§95483. Average Carbon Intensity Requirements for Alternative Fuels.
Note     •     History

(a) The requirements of this section apply to a regulated party that provides an alternative fuel as a transportation fuel in California.
(b) Carbon Intensity Requirements for an Alternative Fuel Other Than a Biomass-Based Diesel Fuel -Intended for Use in a Single Fuel Vehicle. 
(1) A regulated party must use the average carbon intensity value for gasoline set forth in section 95482(b) for its alternative fuel, other than biomass-based diesel fuel, if the alternative fuel is used or intended to be used in any single-fuel:
(A) light-duty vehicle, or
(B) medium-duty vehicle.
(2) A regulated party must use the average carbon intensity value for diesel fuel set forth in section 95482(c) for its alternative fuel, other than biomass-based diesel fuel, that is used or intended to be used in any single-fuel application not identified in section 95483(b)(1).
(c) Carbon Intensity Requirements for Biomass-Based Diesel Fuel Provided for Use in a Single Fuel Vehicle. A regulated party must use the average carbon intensity value for diesel fuel set forth in section 95482(c) if its biomass-based diesel fuel is used or intended to be used in any single-fuel:
(1) light-duty vehicle; 
(2) medium-duty vehicle; 
(3) heavy-duty vehicle;
(4) off-road transportation application; 
(5) off-road equipment application; 
(6) locomotive or commercial harbor craft application; or
(7) non-stationary source application not otherwise specified in 1-6 above.
(d) Carbon Intensity Requirements for Transportation Fuels Intended for Use in Multi-Fuel Vehicles. 
(1) For an alternative fuel provided for use in a multi-fueled vehicle, a regulated party must use:
(A) the average carbon intensity value for gasoline set forth in section 95482(b) if one of the fuels used in the multi-fuel vehicle is gasoline; or 
(B) the average carbon intensity value for diesel fuel set forth in section 95482(c) if one of the fuels used in the multi-fuel vehicle is diesel fuel.
(2) For an alternative fuel provided for use in a multi-fueled vehicle (including a bi-fuel vehicle) that does not use gasoline or diesel fuel, a regulated party must use:
(A) the average carbon intensity value for gasoline set forth in section 95482(b) if that alternative fuel is used or intended to be used in: 
1. light-duty vehicle, or
2. medium-duty vehicle.
(B) the average carbon intensity value for diesel set forth in section 95482(c) if that alternative fuel is used or intended to be used in an application not identified in section 95483(d)(2)(A).
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
§95484. Requirements for Regulated Parties.
Note     •     History

(a) Identification of Regulated Parties. The purpose of this part is to establish the criteria by which a regulated party is determined. The regulated party is initially established for each type of transportation fuel, but this part provides for the transfer of regulated party status and the associated compliance obligations by agreement, notification, or other means, as specified below.
(1) Regulated Parties for Gasoline. 
(A) Designation of Producers and Importers as Regulated Parties.
1. Where Oxygenate Is Added to Downstream CARBOB.
For gasoline consisting of CARBOB and an oxygenate added downstream from the California facility at which the CARBOB was produced or imported, the regulated party is initially the following:
a. With respect to the CARBOB, the regulated party is the producer or importer of the CARBOB; and
b. With respect to the oxygenate, the regulated party is the producer or importer of the oxygenate.
2. Where No Separate CARBOB. For gasoline that does not include CARBOB that had previously been supplied from the facility at which was produced or imported, the regulated party for the gasoline is the producer or importer of the gasoline.
(B) Effect of Transfer of CARBOB by Regulated Party. 
1. Threshold Determination Whether Recipient of CARBOB is a Producer or Importer. Whenever a person who is the regulated party for CARBOB transfers ownership of the CARBOB, the recipient must notify the transferor whether the recipient is a producer or importer for purposes of this section 95484(a)(1)(B). 
2. Producer or Importer Acquiring CARBOB Becomes the Regulated Party Unless Specified Conditions Are Met. Except as provided for in section 95484(a)(1)(B)3., when a person who is the regulated party transfers ownership of the CARBOB to a producer or importer, the recipient of ownership of the CARBOB (i.e., the transferee) becomes the regulated party for it. The transferor must provide the recipient a product transfer document that prominently states the information specified in paragraphs a. and b. below, and the transferor and recipient must meet the requirements specified in paragraph c., as set forth below:
a. the volume and average carbon intensity of the transferred CARBOB. For a transferor that is a regulated party subject to section 95486(b)(2)(A)2., the transferor of CARBOB may report as the “average carbon intensity” on the product transfer document the total carbon intensity value for CARBOB as shown in the Carbon Intensity Lookup Table; and
b. the recipient is now the regulated party for the acquired CARBOB and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to the CARBOB. 
c. For purposes of section 95485(a), except as provided in paragraph c.iii. of this provision:
i. the transferor under a. above must include the Deficits XDIncremental, as defined and set forth in section 95486(b)(2)(A)2.a., in the transferor's annual credits and deficits balance calculation set forth in section 95485(a)(2); and
ii. the recipient under b. above must include Deficits XDBase, as defined and set forth in section 95486(b)(2)(A)2.a., in the recipient's annual credits and deficits balance calculation set forth in section 95485(a)(2).
iii. Paragraphs c.i and c.ii. above notwithstanding, the transferor and recipient of CARBOB may, by the time the ownership is transferred, specify by written contract which party is responsible for accounting for the base deficit and incremental deficit In the annual credits and deficits balance calculation set forth in section 95485(a)(2).
3. Transfer of CARBOB or Gasoline to a Producer or Importer and Retaining Compliance Obligation. Section 95484(a)(1)(B)2. notwithstanding, a regulated party transferring ownership of CARBOB to a producer or importer may elect to remain the regulated party and retain the LCFS compliance obligation for the transferred CARBOB by providing the recipient at the time of transfer with a product transfer document that prominently states that the transferor has elected to remain the regulated party with respect to the CARBOB. 
4. If Recipient Is Not a Producer or Importer, Regulated Party Transferring CARBOB Remains Regulated Party Unless Specified Conditions Are Met. When a person who is the regulated party for CARBOB transfers ownership of the CARBOB to a person who is not a producer or importer, the transferor remains the regulated party unless the conditions of section 95484(a)(1)(B)5. are met.
5. Conditions Under Which a Non-Producer and Non-Importer Acquiring Ownership of CARBOB Becomes the Regulated Party. A person, who is neither a producer nor an importer and who acquires ownership of CARBOB from the regulated party, becomes the regulated party for the CARBOB if, by the time ownership is transferred, the two parties agree by written contract that the person acquiring ownership accepts the LCFS compliance obligation as the regulated party. For the transfer of regulated party obligations to be effective, the transferor must also provide the recipient a product transfer document that prominently states the information specified in paragraphs a. and b. below, and the transferor and recipient must meet the requirements specified in paragraph c., as set forth below::
a. the volume and average carbon intensity of the transferred CARBOB. For a transferor that is a regulated party subject to section 95486(b)(2)(A)2., the transferor of CARBOB may report as the “average carbon intensity” on the product transfer document the total carbon intensity value for CARBOB as shown in the Carbon Intensity Lookup Table; and
b. the recipient is now the regulated party for the acquired CARBOB and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to the CARBOB.
c. For purposes of section 95485(a), except as provided in paragraph c.iii. of this provision:
i. the transferor under a. above must include the Deficits XDIncremental, as defined and set forth in section 95486(b)(2)(A)2.a., in the transferor's annual credits and deficits balance calculation set forth in section 95485(a)(2); and
ii. the recipient under b. above must include Deficits XDBase, as defined and set forth in section 95486(b)(2)(A)2.a., in the recipient's annual credits and deficits balance calculation set forth in section 95485(a)(2).
iii. Paragraphs c.i and c.ii. above notwithstanding, the transferor and recipient of CARBOB may, by the time the ownership is transferred, specify by written contract which party is responsible for accounting for the base deficit and incremental deficit In the annual credits and deficits balance calculation set forth in section 95485(a)(2).
(C) Effect of Transfer By Regulated Party of Oxygenate to Be Blended With CARBOB.
1. Person Acquiring the Oxygenate Becomes the Regulated Party Unless Specified Conditions Are Met. Except as provided in section 95484(a)(1)(C)2., when a person who is the regulated party for oxygenate to be blended with CARBOB transfers ownership of the oxygenate before it has been blended with CARBOB, the recipient of ownership of the oxygenate (i.e., the transferee) becomes the regulated party for it. The transferor must provide the recipient a product transfer document that prominently states:
a. the volume and carbon intensity of the transferred oxygenate; and 
b. the recipient is now the regulated party for the acquired oxygenate and accordingly is responsible for meeting the requirements of the LCFS with respect to the oxygenate.
2. Transfer of Oxygenate and Retaining Compliance Obligation. Section 95484(a)(1)(C)1. notwithstanding, a regulated party transferring ownership of oxygenate may elect to remain the regulated party and retain the LCFS compliance obligation for the transferred oxygenate by providing the recipient at the time of transfer with a product transfer document that prominently states that the transferor has elected to remain the regulated party with respect to the oxygenate.
(D) Effect of Transfer by a Regulated Party of Gasoline to be Blended With Additional Oxygenate. A person who is the sole regulated party for a batch of gasoline and is transferring ownership of the gasoline to another party that will be combining it with additional oxygenate may transfer his or her obligations as a regulated party if all of the conditions set forth below are met.
1. Blending the additional oxygenate into the gasoline is not prohibited by title 13, California Code of Regulations, section 2262.5(d).
2. By the time ownership is transferred the two parties agree by written contract that the person acquiring ownership accepts the LCFS compliance obligations as a regulated party with respect to the gasoline.
3. The transferor provides the recipient a product transfer document that prominently states the information specified in paragraphs a. and b. below, and the transferor and recipient must meet the requirements specified in paragraph c., as set forth below:
a. the volume and average carbon intensity of the transferred gasoline. For a transferor that is a regulated party subject to section 95486(b)(2)(A)2., the transferor may use the total carbon intensity value for CARBOB along with the carbon intensity for the oxygenate, as shown in the Carbon Intensity Lookup Table, for calculating the “average carbon intensity” on the product transfer document; and
b. the recipient is now the regulated party for the acquired gasoline and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to the gasoline.
c. For purposes of section 95485(a), except as provided in paragraph c.iii. of this provision:
i. the transferor under a. above must include the Deficits XDIncremental, as defined and set forth in section 95486(b)(2)(A)2.a., in the transferor's annual credits and deficits balance calculation set forth in section 95485(a)(2); and
ii. the recipient under b. above must include Deficits XDBase, as defined and set forth in section 95486(b)(2)(A)2.a., in the recipient's annual credits and deficits balance calculation set forth in section 95485(a)(2).
iii. Paragraphs c.i and c.ii. above notwithstanding, the transferor and recipient of CARBOB may, by the time the ownership is transferred, specify by written contract which party is responsible for accounting for the base deficit and incremental deficit In the annual credits and deficits balance calculation set forth in section 95485(a)(2).
4. The written contract between the parties includes an agreement that the recipient of the gasoline will be blending additional oxygenate into the gasoline. 
(E) Effect of Transfer by a Regulated Party of Oxygenate to be Blended With Gasoline. Where oxygenate is added to gasoline, the regulated party with respect to the oxygenate is initially the producer or importer of the oxygenate. Transfers of the oxygenate are subject to section 95484(a)(1)(C). 
(2) Regulated Party for Diesel Fuel and Diesel Fuel Blends.
(A) Designation of Producers and Importers as Regulated Parties.
1. Where Biomass-Based Diesel Is Added to Downstream Diesel Fuel.
For a diesel fuel blend consisting of diesel fuel and biomass-based diesel added downstream from the California facility at which the diesel fuel was produced or imported, the regulated party is initially the following:
a. With respect to the diesel fuel, the regulated party is the producer or importer of the diesel fuel; and
b. With respect to the biomass-based diesel, the regulated party is the producer or importer of the biomass-based diesel.
2. All Other Diesel Fuels. For any other diesel fuel that does not fall within section 95484(a)(2)(A)1., the regulated party is the producer or importer of the diesel fuel.
(B) Effect of Transfer of Diesel Fuel and Diesel Fuel Blends by Regulated Party. 
1. Threshold Determination Whether Recipient of Diesel Fuel or Diesel Fuel Blend is a Producer or Importer. 
Whenever a person who is the regulated party for diesel fuel or a diesel fuel blend transfers ownership before it has been transferred from its final distribution facility, the recipient must notify the transferor whether the recipient is a producer or importer for purposes of this section 95484(a)(2)(B). 
2. Producer or Importer Acquiring Diesel Fuel or Diesel Fuel Blend Becomes the Regulated Party Unless Specified Conditions Are Met. Except as provided for in section 95484(a)(2)(B)3., when a person who is the regulated party for diesel fuel or a diesel fuel blend transfers ownership to a producer or importer before it has been transferred from its final distribution facility, the recipient of ownership of the diesel fuel or diesel fuel blend (i.e., the transferee) becomes the regulated party for it. The transferor must provide the recipient a product transfer document that prominently states the information specified in paragraphs a. and b. below, and the transferor and recipient must meet the requirements specified in paragraph c., as set forth below:
a. the volume and average carbon intensity of the transferred diesel fuel or diesel fuel blend. For a transferor that is a regulated party subject to section 95486(b)(2)(A)2., the transferor of diesel fuel or diesel fuel blend may report as the “average carbon intensity” on the product transfer document the total carbon intensity value for “diesel” (ULSD) as shown in the Carbon Intensity Lookup Table; and
b. the recipient is now the regulated party for the acquired diesel fuel or diesel fuel blend and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to it.
c. For purposes of section 95485(a), except as provided in paragraph c.iii. of this provision:
i. the transferor under a. above must include the Deficits XDIncremental, as defined and set forth in section 95486(b)(2)(A)2.a., in the transferor's annual credits and deficits balance calculation set forth in section 95485(a)(2); and
ii. the recipient under b. above must include Deficits XDBase, as defined and set forth in section 95486(b)(2)(A)2.a., in the recipient's annual credits and deficits balance calculation set forth in section 95485(a)(2).
iii. Paragraphs c.i and c.ii. above notwithstanding, the transferor and recipient of diesel fuel or diesel fuel blend may, by the time the ownership is transferred, specify by written contract which party is responsible for accounting for the base deficit and incremental deficit In the annual credits and deficits balance calculation set forth in section 95485(a)(2).
3. Transfer of Diesel Fuel or Diesel Fuel Blend to a Producer or Importer and Retaining Compliance Obligation. Section 95484(a)(2)(B)2. notwithstanding, a regulated party transferring ownership of diesel fuel or diesel fuel blend to a producer or importer may elect to remain the regulated party and retain the LCFS compliance obligation for the transferred diesel fuel or diesel fuel blend by providing the recipient at the time of transfer with a product transfer document that prominently states that the transferor has elected to remain the regulated party with respect to the diesel fuel or diesel fuel blend. 
4. If Recipient Is Not a Producer or Importer, Regulated Party Transferring Diesel Fuel or Diesel Fuel Blend Remains Regulated Party Unless Specified Conditions Are Met. 
When a person who is the regulated party for diesel fuel or a diesel fuel blend transfers ownership of the diesel fuel or diesel fuel blend to a person who is not a producer or importer, the transferor remains the regulated party unless the conditions of section 95484(a)(2)(B)5. are met.
5. Conditions Under Which a Non-Producer and Non-Importer Acquiring Ownership of Diesel Fuel or Diesel Fuel Blend Becomes the Regulated Party. A person, who is neither a producer nor an importer and who acquires ownership of diesel fuel or a diesel fuel blend from the regulated party, becomes the regulated party for the diesel fuel or diesel fuel blend if, by the time ownership is transferred, the two parties agree by written contract that the person acquiring ownership accepts the LCFS compliance obligation as the regulated party. For the transfer of regulated party obligations to be effective, the transferor must also provide the recipient a product transfer document that prominently states the information specified in paragraphs a. and b. below, and the transferor and recipient must meet the requirements specified in paragraph c., as set forth below:
a. the volume and average carbon intensity of the transferred diesel fuel or diesel fuel blend. For a transferor that is a regulated party subject to section 95486(b)(2)(A)2., the transferor of diesel fuel or diesel fuel blend may report as the “average carbon intensity” on the product transfer document the total carbon intensity value for “diesel” (ULSD) as shown in the Carbon Intensity Lookup Table; and
b. the recipient is now the regulated party for the acquired diesel fuel or diesel fuel blend and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to the diesel fuel or diesel fuel blend.
c. For purposes of section 95485(a), except as provided in paragraph c.iii. of this provision:
i. the transferor under a. above must include the Deficits XDIncremental, as defined and set forth in section 95486(b)(2)(A)2.a., in the transferor's annual credits and deficits balance calculation set forth in section 95485(a)(2); and
ii. the recipient under b. above must include Deficits XDBase, as defined and set forth in section 95486(b)(2)(A)2.a., in the recipient's annual credits and deficits balance calculation set forth in section 95485(a)(2).
iii. Paragraphs c.i and c.ii. above notwithstanding, the transferor and recipient of diesel fuel or diesel fuel blend may, by the time the ownership is transferred, specify by written contract which party is responsible for accounting for the base deficit and incremental deficit In the annual credits and deficits balance calculation set forth in section 95485(a)(2).
(C) Effect of Transfer By Regulated Party of Biomass-Based Diesel to Be Blended With Diesel Fuel.
1. Person Acquiring the Biomass-Based Diesel Becomes the Regulated Party Unless Specified Conditions Are Met.
Except as provided in section 95484(a)(2)(C)2., when a person who is the regulated party for biomass-based diesel to be blended with diesel fuel transfers ownership of the biomass-based diesel before it has been blended with diesel fuel, the recipient of ownership of the biomass-based diesel (i.e., the transferee) becomes the regulated party for it. The transferor must provide the recipient a product transfer document that prominently states:
a. the volume and carbon intensity of the transferred biomass-based diesel; and 
b. the recipient is now the regulated party for the acquired biomass-based diesel and accordingly is responsible for meeting the requirements of the LCFS with respect to the biomass-based diesel.
2. Transfer of Biomass-Based Diesel and Retaining Compliance Obligation.
Section 95484(a)(2)(C)1. notwithstanding, the transferor may elect to remain the regulated party and retain the LCFS compliance obligation for the transferred biomass-based diesel by providing the recipient at the time of transfer with a product transfer document that prominently states that the transferor has elected to remain the regulated party with respect to the biomass-based diesel.
(3) Regulated Party For Liquid Alternative Fuels Not Blended With Gasoline Or Diesel Fuel. For a liquid alternative fuel, including but not limited to neat denatured ethanol and neat biomass-based diesel, that is not blended with gasoline or diesel fuel, or with any other petroleum-derived fuel, the regulated party is the producer or importer of the liquid alternative fuel.
(4) Regulated Party For Blends Of Liquid Alternative Fuels And Gasoline Or Diesel Fuel. 
(A) Designation of producers and Importers as regulated parties. For a transportation fuel that is a blend of liquid alternative fuel and gasoline or diesel fuel -- but that does not itself constitute gasoline or diesel fuel -- the regulated party is the following:
(1) With respect to the alternative fuel component, the regulated party is the person who produced the liquid alternative fuel in California or imported it into California; and
(2) With respect to the gasoline or diesel fuel component, the regulated party is the person who produced the gasoline or diesel fuel in California or imported it into California.
(B) Transfer Of A Blend Of Liquid Alternative Fuel And Gasoline Or Diesel Fuel And Compliance Obligation. Except as provided for in section 95484(a)(4)(C), on each occasion that a person transfers ownership of fuel that falls within section 95484(a)(4) (“alternative liquid fuel blend”) before it has been transferred from its final distribution facility, the recipient of ownership of such an alternative liquid fuel blend (i.e., the transferee) becomes the regulated party for that alternative liquid fuel blend. The transferor shall provide the recipient a product transfer document that prominently states:
1. the volume and average carbon intensity of the transferred alternative liquid fuel blend; and
2. the recipient is now the regulated party for the acquired alternative liquid fuel blend and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to the alternative liquid fuel blend.
(C) Transfer Of A Blend Of Liquid Alternative Fuel And Gasoline Or Diesel Fuel And Retaining Compliance Obligation. Section 95484(a)(4)(B) notwithstanding, the transferor may elect to remain the regulated party and retain the LCFS compliance obligation for the transferred alternative liquid fuel blend by written contract with the recipient. The transferor shall provide the recipient with a product transfer document that identifies the volume and average carbon intensity of the transferred alternative liquid fuel blend. 
(5) Regulated Parties for Natural Gas (Including CNG, LNG, and Biogas). 
(A) Designation of Regulated Parties for Fossil CNG and Biogas CNG.
1. Where Biogas CNG is Added to Fossil CNG.
For fuel consisting of a fossil CNG and biogas CNG blend, the regulated party is initially the following:
a. With respect to the fossil CNG, the regulated party is the person that owns the natural gas fueling equipment at the facility at which the fossil CNG and biogas CNG blend is dispensed to motor vehicles for their transportation use; and
b. With respect to the biogas CNG, the regulated party is the producer or importer of the biogas CNG. 
2. Where No Biogas CNG is Added to Fossil CNG. For fuel consisting solely of fossil CNG, the regulated party is the person that owns the natural gas fueling equipment at the facility at which the fossil CNG is dispensed to motor vehicles for their transportation use.
(B) Designation of Regulated Parties for Fossil LNG and Biogas LNG.
1. Where Biogas LNG is Added to Fossil LNG.
For a fuel consisting of a fossil LNG and biogas LNG blend, the regulated party is initially the following:
a. With respect to the fossil LNG, the regulated party is the person that owns the fossil LNG when it is transferred to the facility at which the liquefied blend is dispensed to motor vehicles for their transportation use; and
b. With respect to the biogas, the regulated party is the producer or importer of the biogas LNG. 
2. Where No Biogas LNG is Added to Fossil LNG. For fuel consisting solely of fossil LNG, the regulated party is initially the person that owns the fossil LNG when it is transferred to the facility at which the fossil LNG is dispensed to motor vehicles for their transportation use.
(C) Designation of Regulated Party for Biogas CNG or Biogas LNG Supplied Directly to Vehicles for Transportation Use. For fuel consisting solely of biogas CNG or biogas LNG that is produced in California and supplied directly to vehicles in California for their transportation use without first being blended into fossil CNG or fossil LNG, the regulated party is initially the producer of the biogas CNG or biogas LNG.
(D) Effect of Transfer of Fuel by Regulated Party.
1. Transferor Remains Regulated Party Unless Conditions Are Met. 
When a person who is the regulated party for a fuel specified in section 95484(a)(5)(A), (B), or (C) transfers ownership of the fuel, the transferor remains the regulated party unless the conditions of section 95484(a)(5)(D)2. are met.
2. Conditions Under Which a Person Acquiring Ownership of a Fuel Becomes the Regulated Party. Section 95484(a)(5)(D)1. notwithstanding, a person acquiring ownership of a fuel specified in section 95484(a)(5)(A), (B), or (C) from the regulated party becomes the regulated party for that fuel if, by the time ownership is transferred, the two parties agree by written contract that the person acquiring ownership accepts the LCFS compliance obligation as the regulated party. For the transfer of regulated party obligations to be effective, the transferor must also provide the recipient a product transfer document that prominently states:
a. the volume and average carbon intensity of the transferred fuel; and
b. the recipient is now the regulated party for the acquired fuel and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to the acquired fuel. 
(6) Regulated Parties for Electricity. For electricity used as a transportation fuel, the regulated party is determined in the order specified below:
(A) The load-serving entity or other provider of electricity services, unless section 95484(a)(6)(B), (C), or (D) below applies. “Load-serving entity” has the same meaning specified in Public Utilities Code (PUC) section 380. “Provider of electricity services” means a local publicly-owned utility, retail seller (as defined in PUC section 399.12(g)), or any other person that supplies electricity to the vehicle charging equipment;
(B) The electricity services supplier, where “electricity services supplier” means any person or entity that provides bundled charging infrastructure and other electric transportation services and provides access to vehicle charging under contract with the vehicle owner or operator;
(C) The owner and operator of the electric-charging equipment, provided there is a contract between the charging equipment owner-operator and the provider of electricity services specifying that the charging equipment owner-operator is the regulated party;
(D) The owner of a home with electric vehicle-charging equipment, provided there is a contract between the homeowner and provider of electricity services specifying that the homeowner may acquire credits. 
(7) Regulated Parties for Hydrogen Or A Hydrogen Blend. 
(A) Designation of Regulated Party at Time Finished Fuel is Created.
For a volume of finished fuel consisting of hydrogen or a blend of hydrogen and another fuel (“finished hydrogen fuel”), the regulated party is initially the person who owns the finished hydrogen fuel at the time the blendstocks are blended to make the finished hydrogen fuel.
(B) Transfer of Ownership and Retaining Compliance Obligation. Except as provided for in section 95484(a)(7)(C), when a person who is the regulated party transfers ownership of a finished hydrogen fuel to another person, the transferor remains the regulated party. 
(C) Conditions Under Which a Person Acquiring Ownership of Finished Hydrogen Fuel Becomes the Regulated Party. Section 95484(a)(7)(B) notwithstanding, a person who acquires ownership of finished hydrogen fuel becomes the regulated party for the fuel if, by the time ownership is transferred, the two parties (transferor and recipient) agree by written contract that the person acquiring ownership accepts the LCFS compliance obligation as the regulated party. For the transfer of regulated party obligations to be effective, the transferor must also provide the recipient a product transfer document that prominently states: 
1. the volume and average carbon intensity of the transferred finished hydrogen fuel; and
2. the recipient is now the regulated party for the acquired finished hydrogen fuel and accordingly is responsible for meeting the requirements of the LCFS regulation with respect to the acquired finished hydrogen fuel.
(b) Calculation of Credit Balance.
(1) Compliance Period. Beginning in 2011 and every year thereafter, the compliance period is January 1 through December 31 of each year. 
(2) Calculation of Credit Balance at the End of A Compliance Period. A regulated party must calculate the credit balance at the end of a compliance period as follows:

	CreditBalance = CreditsGen + CreditsCarriedOver + CreditsAcquired
	+ DeficitsGen - CreditsSold - CreditsExported - CreditsRetired
where:
CreditsGen is the total credits generated pursuant to section 95485(a) for the current compliance period; 
CreditsCarriedOver is the credits or deficits carried over from the previous compliance period;
CreditsAcquired is the credits purchased or otherwise acquired in the current compliance period;
DeficitsGen is the total deficits generated pursuant to section 95485(a) for the current compliance period; 
CreditsSold is the credits sold or otherwise transferred in the current compliance period;
CreditsExported is the credits exported to programs outside the LCFS for the current compliance period; and
CreditsRetired is the credits retired within the LCFS for the current compliance period.
(3) Deficit Carryover. A regulated party with a negative credit balance in a compliance period may carry over the deficit to the next compliance period, without penalty, if both the following conditions are met:
(A) the regulated party has a credit balance greater than or equal to zero in the previous compliance period; and 
(B) the sum of the magnitude of CreditsGen, CreditsCarriedOver, and CreditsAcquired, is greater than or equal to 90 percent of the sum of the magnitude of  DeficitsGen, CreditsSold, CreditsExported, CreditsRetired and for the current compliance period.
(4) Deficit Reconciliation. 
(A) A regulated party that meets the conditions of deficit carryover, as specified in section 95481(b)(3), must eliminate any deficit generated in a given compliance period by the end of the next compliance period. A deficit may be eliminated only by retirement of an equal amount of retained credits (CreditsCarriedOver), by purchase of an equal amount of credits from another regulated party, or by any combination of these two methods.
(B) If the conditions of deficit carryover as specified in section 95481(b)(3) are not met, a regulated party must eliminate any deficit generated in a given compliance period by the end of the next compliance period. A deficit may be eliminated only by retirement of an equal amount of retained credits (CreditsCarriedOver), by purchase of an equal amount of credits from another regulated party, or by any combination of these two methods. In addition, the regulated party is subject to penalties to the extent permitted under State law. 
(C) A regulated party that is reconciling in the current compliance period a deficit from the previous compliance period under (A) or (B) above remains responsible for meeting the LCFS regulation requirements during the current compliance period. 
(c) Reporting Requirements. 
(1) Reporting Frequency. A regulated party must submit to the Executive Officer quarterly progress reports and annual compliance reports, as specified in sections 95484(c)(3) and 95484(c)(4). The reporting frequencies for these reports are set forth below:
(A) Quarterly Progress Reports For All Regulated Parties. Beginning 2010 and each year thereafter, a regulated party must submit quarterly progress reports to the Executive Officer by:
1. May 31st -- for the first calendar quarter covering January through March;
2. August 31st -- for the second calendar quarter covering April through June;
3. November 30th -- for the third calendar quarter covering July through September; and
4. February 28th (29th in a leap year) -- for the fourth calendar quarter covering October through December.
(B) Annual Compliance Reports. By April 30th of 2011, a regulated party must submit an annual report for calendar year 2010. By April 30th of 2012 and each year thereafter, a regulated party must provide an annual compliance report for the prior calendar year.
(2) How To Report. A regulated party must submit an annual compliance and quarterly progress report by using an interactive, secured internet web-based form.
The regulated party is solely responsible for ensuring that the Executive Officer receives its progress and compliance reports by the dates specified in section 95484(c)(1). The Executive Officer shall not be responsible for failure of electronically submitted reports to be transmitted to the Executive Officer. The report must contain a statement attesting to the report's accuracy and validity. The Executive Officer shall not deem an electronically submitted report to be valid unless the report is accompanied by a digital signature that meets the requirements of title 2, California Code of Regulations, section 22000 et seq. 
(3) General and Specific Reporting Requirements for Quarterly Progress Reports. For each of its transportation fuels, a regulated party must submit a quarterly progress report that contains the information specified in Table 3 and meets the additional specific requirements set forth below:
(A) Specific Quarterly Reporting Requirements (Except As Otherwise Noted) for Gasoline and Diesel Fuel. 
1. For each transfer of gasoline or diesel fuel that results in a transfer of the compliance obligation or retention of the compliance obligation by written contract, the regulated party must provide to the Executive Officer, within 10 business days of a request, the product transfer document containing the information identified in section 95484(a)(1)(B), (a)(1)(C), (a)(1)(D), (a)(2)(B), (a)(2)(C), (a)(4)(B), (a)(4)(C), (a)(5)(D), or (a)(7)(C), whichever applies.
2. The carbon intensity value of each blendstock determined pursuant to section 95486. 
3. The volume of each blendstock (in gal) per compliance period. For purposes of this provision only, the regulated party may report the total volume of each blendstock aggregated for each distinct carbon intensity value (e.g., X gallons of blendstock with A gCO2e/MJ, Y gallons of blendstock with B gCO2e/MJ, etc.). Further, if the regulated party is subject to section 95486(b)(2)(A)2. for fuel or blendstock derived from high carbon-intensity crude oil (HCICO), regulated party must report the EXDHCICO per compliance period, where EXDHCICO is defined in section 95486(b)(2)(A)2.a. 
4. All Renewable Identification Numbers (RINs) that are retired for facilities in California.
(B) Specific Quarterly Reporting Requirements for Natural Gas (including CNG, LNG, and Biogas). For each private access, public access, or home fueling facility to which the regulated party supplies CNG, LNG or biogas as a transportation fuel:
1. For CNG, the regulated party must report the amount of fuel dispensed (in scf) per compliance period for all light/medium-duty vehicles (LDV & MDV) and heavy-duty vehicles (HDV). For LNG, the regulated party must report the amount of fuel dispensed (in gal) per compliance period for all LDV & MDV and HDV;
2. Except as provided for in section 95484(c)(3)(B)3., the regulated party must report the amount of fuel dispensed based on the use of separate fuel dispenser meters at each fuel dispenser;
3. In lieu of using separate meters at each fuel dispenser, the regulated party may report the amount of fuel dispensed at each facility using any other method that the regulated party demonstrates to the Executive Officer's satisfaction as being equivalent to or better than the use of separate fuel meters at each fuel dispenser in each fueling facility; 
4. The carbon intensity value of the CNG, LNG, or biogas determined pursuant to section 95486. 
(C) Specific Quarterly Reporting Requirements for Electricity. For electricity used as a transportation fuel, a regulated party must also submit the following:
1. For residential charging stations, the total electricity dispensed (in kWh) to all vehicles at each residence based on direct metering, which distinguishes electricity delivered for transportation use. Before January 1, 2015, “based on direct metering” means either:
a. the use of direct metering (also called submetering) to measure the electricity directly dispensed to all vehicles at each residential charging station; or
b. for households and residences only where direct metering has not been installed, the regulated party may report the total electricity dispensed at each residential charging station using another method that the regulated party demonstrates to the Executive Officer's satisfaction is substantially similar to the use of direct metering under section (c)(3)(C)1.a..
Effective January 1, 2015, “based on direct metering” means only the use of direct metering as specified in section (c)(3)(C)1.a. above;
2. For each public access charging facility, the amount of electricity dispensed (in kW-hr);
3. For each fleet charging facility, the amount of fuel dispensed (in kW-hr).
4. The carbon intensity value of the electricity determined pursuant to section 95486. 
(D) Specific Quarterly Reporting Requirements for Hydrogen or a Hydrogen Blend. For hydrogen or a hydrogen blend used as a transportation fuel, a regulated party must also submit the following:
1. For each private access fueling facility, the amount of fuel dispensed (in kg) by vehicle weight category: LDV & MDV and HDV.
2. For each public access filling station, the amount of fuel dispensed (in kg) by vehicle weight category: LDV & MDV and HDV.
3. The carbon intensity value of the hydrogen or the blendstocks used to produce the hydrogen blend determined pursuant to section 95486. 
(4) General and Specific Reporting Requirements for Annual Compliance Reports. A regulated party must submit an annual compliance report that meets, at minimum, the general and specific requirements specified in section 95484(c)(3) above and the additional requirements set forth below: 
(A) A regulated party must report the following: 
1. The total credits and deficits generated by the regulated party in the current compliance period, calculated as per equations in section 95485(a);
2. Any credits carried over from the previous compliance period;
3. Any deficits carried over from the previous compliance period;
4. The total credits acquired from another party and identify the party from whom the credits were acquired;
5. The total credits sold or otherwise transferred and identify each party to whom those credits were transferred;
6. The total credits retired within the LCFS; and
7. The total credits exported to programs outside the LCFS.
(5) Significant Figures. The regulated party must report the following quantities as specified below:
(A) carbon intensity, expressed to the same number of significant figures as shown in the carbon intensity lookup table (Method 1);
(B) credits, expressed to the nearest whole metric ton CO2 equivalent;
(C) fuel volume, expressed as follows:
1. a fuel volume greater than 1 million gasoline gallon equivalent (gge) must be expressed to the nearest 10,000 gge;
2. a fuel volume between 100,000 gge and 1 million gge, inclusive, must be expressed to the nearest 1,000 gge;
3. a fuel volume between 10,000 gge and 99,999 gge, inclusive, must be expressed to the nearest 100 gge; and
4. a fuel volume less than 9,999 gge must be expressed to the nearest 10 gge.
(D) any other quantity not specified in section 95484(c)(5)(A) to 95484(c)(5)(C) must be expressed to the nearest whole unit applicable for that quantity.
(E) Rounding Intermediate Calculated Values. A regulated party must use one of the following procedures for rounding intermediate calculated values for fuel quantity dispensed, blended, or sold in California; calculated carbon intensity values; calculated LCFS credits and deficits; and any other calculated or measured quantity required to be used, recorded, maintained, provided, or reported for the purpose determining a reported value under the LCFS regulation (17 CCR section 95480 et seq.):
1. ASTM E 29-08 (October 1, 2008), Standard Practice for Using Significant Digits in Test Data to Determine Conformance with Specifications, which is incorporated herein by reference; or
2. Any other practice that the regulated party has demonstrated to the Executive Officer's written satisfaction provides equivalent or better results as compared with the method specified in subsection 95484(c)(5)(E)1. above.

Table 3. Summary Checklist of Quarterly and Annual Reporting Requirements for LCFS Transportation Fuels.

View Graphic
(d) Recordkeeping and Auditing. 
(1) A regulated party must retain all of the following records for at least 3 years and must provide such records within 20 days of a written request received from the Executive Officer or his/her designee before expiration of the period during which the records are required to be retained:
(A) product transfer documents;
(B) copies of all data and reports submitted to the Executive Officer;
(C) records related to each fuel transaction; and 
(D) records used for compliance or credit calculations. 
(2) Evidence of Physical Pathway. A regulated party may not generate credits pursuant to section 95485 unless it has demonstrated or provided a demonstration to the Executive Officer that a physical pathway exists, for each of the transportation fuels and blendstocks for which it is responsible under the LCFS regulation, and that each physical pathway has been approved by the Executive Officer pursuant to this section 95484(d)(2). For purposes of this provision, “demonstrated” and “demonstration” includes any combination of either (i) a showing by the regulated party using its own documentation; or (ii) a showing by the regulated party that incorporates by reference documentation voluntarily submitted by another regulated party or a non-regulated party fuel producer, provided the documentation applies to and accurately represents the regulated party's transportation fuel or blendstock;
“Physical pathway” means the applicable combination of actual fuel delivery methods, such as truck routes, rail lines, gas/liquid pipelines, electricity transmission lines, and any other fuel distribution methods, through which the regulated party reasonably expects the fuel to be transported under contract from the entity that generated or produced the fuel, to any intermediate entities, and ending at the fuel blender, producer, importer, or provider in California. 
The Executive Officer shall not approve a physical pathway demonstration unless the demonstration meets the following requirements: 
(A) Initial Demonstration of Delivery Methods. The regulated party must provide an initial demonstration of the delivery methods comprising the physical pathway for each of the regulated party's fuels. The initial demonstration must include documentation in sufficient detail for the Executive Officer to verify the existence of the physical pathway's delivery methods. 
The documentation must include a map(s) that shows the truck/rail lines or routes, pipelines, transmission lines, and other delivery methods (segments) that, together, comprise the physical pathway. If more than one company is involved in the delivery, each segment on the map must be linked to a specific company that is expected to transport the fuel through each segment of the physical pathway. The regulated party must provide the contact information for each such company, including the contact name, mailing address, phone number, and company name.
(B) Initial Demonstration of Fuel Introduced Into the Physical Pathway.
For each blendstock or alternative fuel for which LCFS credit is being claimed, the regulated party must provide evidence showing that a specific volume of that blendstock or fuel was introduced by its provider into the physical pathway identified in section 95484(d)(2)(A). The evidence may include, but is not limited to, a written purchase contract or transfer document for the volume of blendstock or alternative fuel that was introduced or otherwise delivered into the physical pathway.
(C) Initial Demonstration of Fuel Removed From the Physical Pathway. For each specific volume of blendstock or alternative fuel identified in section 95484(d)(2)(B), the regulated party must provide evidence showing that the same volume of blendstock or fuel was removed from the physical pathway in California by the regulated party and provided for transportation use in California. The evidence may include, but is not limited to, a written sales contract or transfer document for the volume of blendstock or alternative fuel that was removed from or otherwise extracted out of the physical pathway in California.
(D) Subsequent Demonstration of Physical Pathway. Once the Executive Officer has approved the initial demonstrations specified in section 95484(d)(2)(A) through (C), the regulated party does not need to resubmit the demonstrations for Executive Officer approval in any subsequent year, unless there is a material change to any of the information submitted under section 95484(d)(2)(A) through (C). 
”Material change” means any change to the initially submitted information involving a change in the basic mode of transport for the fuel. For example, if an approved pathway using rail transport is changed to add to or replace the rail with truck or ship transport, that change would be deemed a material change.
If there is a material change to an approved physical pathway, the regulated party must notify the Executive Officer in writing within 30 business days after the material change has occurred, and the approved physical pathway shall become invalid 30 business days after the material change has occurred. A regulated party that wishes to generate credits after an approved physical pathway has become invalid must submit for Executive Officer approval a new initial demonstration, pursuant to section 95484(d)(2)(A) through (C), which includes the material change(s) to the physical pathway. 
(E) Submittal and Review of and Final Action on Submitted Demonstrations
1. The regulated party may not receive credit for any fuel or blendstock until the Executive Officer has approved the regulated party's submitted physical-pathway demonstration pursuant to section 95484(d)(2)(A) through (C). Upon receiving Executive Officer approval of a physical pathway, the regulated party may claim LCFS credits based on that pathway that are calculated retroactive to the date when the regulated party's use of the pathway began but no earlier than January 1, 2011.
2. Within 15 business days of receipt of a physical pathway demonstration, the Executive Officer shall determine if the physical pathway demonstration is complete and notify the regulated party accordingly. If incomplete, the Executive Officer shall notify the regulated party and identify the information needed to complete the demonstrations identified in section 95484(d)(2)(A) through (C). Once the Executive Officer deems the demonstrations to be complete, the Executive Officer shall, within 15 business days, take final action to either approve or disapprove a physical pathway demonstration and notify the regulated party of the final action.
(3) Data Verification. All data and calculations submitted by a regulated party for demonstrating compliance or claiming credit are subject to verification by the Executive Officer or a third party approved by the Executive Officer.
(4) Access To Facility And Data. Pursuant to H&S section 41510, if necessary under the circumstances, after obtaining a warrant, the Executive Officer has the right of entry to any premises owned, operated, used, leased, or rented by an owner or operator of a facility in order to inspect and copy records relevant to the determination of compliance.
(5) The Executive Officer shall post on the ARB's website at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm the names and contact information for each regulated party and non-regulated party fuel producer that has obtained Executive Officer approval of its physical pathway demonstration; the transportation fuels and blendstocks covered by such Executive Officer approval; and details of the approved physical pathways disclosed in accordance with 17 CCR §§91000-91022 and the California Public Records Act (Government Code section 6250 et seq.).
(e) Violations and Penalties. 
(1) Pursuant to H&S section 38580 (part of the California Global Warming Solutions Act of 2006), any violation of the provisions of the LCFS regulation (title 17, CCR, §95480 et seq.) may be enjoined pursuant to H&S section 41513, and the violation is subject to those penalties set forth in Article 3 (commencing with §42400) of Chapter 4 of Part 4 of, and Chapter 1.5 (commencing with §43025) of Part 5 of, Division 26.
(2) Pursuant to H&S section 38580, any violation of the provisions of the LCFS regulation shall be deemed to result in an emission of an air contaminant for the purposes of the penalty provisions of Article 3 (commencing with §42400) of Chapter 4 of Part 4 of, and Chapter 1.5 (commencing with §43025) of Part 5 of, Division 26.
(3) Any violation of the provisions of the LCFS regulation shall be subject to all other penalties and remedies permitted under State law. 
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
§95485. LCFS Credits and Deficits.
Note     •     History

(a) Calculation of Credits and Deficits Generated. A regulated party must calculate the amount of credits and deficits generated in a compliance period for an LCFS fuel using the methods specified below in section 95485(a)(1) through (3). The total credits and deficits generated are used in determining the overall credit balance for a compliance period, pursuant to section 95484(b). All credits and deficits are denominated in units of metric tons (MT) of carbon dioxide equivalent.
(1) All LCFS fuel quantities used for credit calculation must be in energy units of megajoules (MJ). 
Fuel quantities denominated in other units, such as those shown in Table 4, must be converted to MJ by multiplying by the corresponding energy density1: 

Table 4. Energy Densities of LCFS Fuels and Blendstocks.

	Fuel (units)	Energy Density

CARBOB (gal)	119.53 (MJ/gal)
CaRFG (gal)	115.63 (MJ/gal)
Diesel fuel (gal)	134.47 (MJ/gal)
CNG (scf)	0.98 (MJ/scf)
LNG (gal)	78.83 (MJ/gal)
Electricity (KWh)	3.60 (MJ/KWh)
Hydrogen (kg)	120.00 (MJ/kg)
Anhydrous Ethanol (gal)	80.53 (MJ/gal)
Neat Biomass-based diesel (gal)	126.13 (MJ/gal)
(2) The total credits and deficits generated by a regulated party in a compliance period must be calculated as follows: 

View Graphic
where:
CreditsGen represents the total credits (a zero or positive value), in units of metric tons (“MT”), for all fuels and blendstocks determined from the credits generated under either or both of the gasoline and diesel fuel average carbon intensity requirements;
DeficitsGen represents the total deficits (a negative value), in units of metric tons (“MT”), for all fuels and blendstocks determined from the deficits generated under either or both of the gasoline and diesel fuel average carbon intensity requirements;
i is the finished fuel or blendstock index; and
n is the total number of finished fuels and blendstocks provided by a regulated party in a compliance period.
(3) LCFS credits or deficits for each fuel or blendstock supplied by a regulated party must be calculated according to the following equations: 
(A)  CreditsXDi / DeficitsXDi (MT) = (CIXDstandard -CIXDreported) x EXDdisplaced x C
where:
CreditsXDi / DeficitsXDi (MT) is either the amount of LCFS credits generated (a zero or positive value), or deficits incurred (a negative value), in metric tons, by a fuel or blendstock under the average carbon intensity requirement for gasoline (XD=“gasoline”) or diesel (XD=“diesel”);
CIXDstandard is the average carbon intensity requirement of either gasoline (XD= “gasoline”) or diesel fuel (XD= “diesel”) for a given year as provided in section 95482 (b) and (c), respectively; 
CIXDreported is the adjusted carbon intensity value of a fuel or blendstock, in gCO2E/MJ, calculated pursuant to section 95485(a)(3)(B);
EXDdisplaced is the total amount of gasoline (XD=“gasoline”) or diesel (XD=“diesel”) fuel energy displaced, in MJ, by the use of an alternative fuel, calculated pursuant to section 95485(a)(3)(C); and
C is a factor used to convert credits to units of metric tons from gCO2E and has the value of:

View Graphic
where:
CIi is the carbon intensity of the fuel or blendstock, measured in gCO2E/MJ, determined by a California-modified GREET pathway or a custom pathway and incorporates a land use modifier (if applicable); and
EERXD is the dimensionless Energy Economy Ratio (EER) relative to gasoline (XD=“gasoline”) or diesel fuel (XD= “diesel”) as listed in Table 5. For a vehicle-fuel combination not listed in Table 5, EERXD =1 must be used.
(C) EXDdisplaced = Ei x EERXD
where:
Ei is the energy of the fuel or blendstock, in MJ, determined from the energy density conversion factors in Table 4. 

Table 5. EER Values for Fuels Used in Light- and Medium-Duty, and Heavy-Duty Applications.

View Graphic
(b) Credit Generation Frequency. Beginning 2011 and every year afterwards, a regulated party may generate credits quarterly. 
(c) Credit Acquisition, Banking, Borrowing, and Trading. 
(1) A regulated party may:
(A) retain LCFS credits without expiration for use within the LCFS market;
(B) acquire or transfer LCFS credits. A third-party entity, which is not a regulated party or acting on behalf of a regulated party, may not purchase, sell, or trade LCFS credits, except as otherwise specified in (C) below; and
(C) export credits for compliance with other greenhouse gas reduction initiatives including, but not limited to, programs established pursuant to AB 32 (Nunez, Stats. 2006, ch. 488), subject to the authorities and requirements of those programs. 
(2) A regulated party may not:
(A) use credits in the LCFS program that are generated outside the LCFS program, including, but not limited to, credits generated in other AB 32 programs. 
(B) borrow or use credits from anticipated future carbon intensity reductions.
(C) generate LCFS credits from fuels exempted from the LCFS under section 95480.1(d) or are otherwise not one of the transportation fuels specified in section 95480.1(a). 
(d) Nature of Credits. LCFS credits shall not constitute instruments, securities, or any other form of property. 
_______
1 Energy density factors are based on the lower heating values of fuels in CA-GREET using BTU to MJ conversion of 1055 J/Btu. 
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
§95486. Determination of Carbon Intensity Values.
Note     •     History

(a) Selection of Method. 
(1) A regulated party for CARBOB, gasoline, or diesel fuel must use  Method 1, as set forth in section 95486(b)(2)(A), to determine the carbon intensity of each fuel or blendstock for which it is responsible (“regulated party's fuel”). 
(2) A regulated party for any other fuel or blendstock must use Method 1, as set forth in section 95486(b)(2)(B), to determine the carbon intensity of each fuel for the regulated party's fuels, unless the regulated party is approved for using either Method 2A or Method 2B, as provided in section 95486(c) or (d).
(3) A regulated party's choice of carbon intensity value under Method 1 in either (a)(1) or (a)(2) above is subject in all cases to Executive Officer approval, as specified in this provision. If the Executive Officer has reason to believe that the regulated party's choice is not the value that most closely corresponds to its fuel or blendstock, the Executive Officer shall choose a carbon intensity value, in the Carbon Intensity Lookup Tables for the fuel or blendstock, which the Executive Officer determines is the one that most closely corresponds to the pathway for that fuel or blendstock. The Executive Officer shall provide the rationale for his/her determination to the regulated party in writing within 10 business days of the determination. The regulated party shall be responsible for reconciling any deficits, in accordance with section 95485, that were incurred as a result of its initial choice of carbon intensity values. In determining whether a carbon intensity value that is different than the one chosen by the regulated party is more appropriate, the Executive Officer may consider any information submitted by the regulated party in support of its choice of carbon intensity value.
(b) Method 1 -- ARB Lookup Table.
(1) To generate carbon intensity values, ARB uses the California-modified GREET (CA-GREET) model (version 1.8b, February 2009, updated December 2009), which is incorporated herein by reference, and a land-use change (LUC) modifier (when applicable). The CA-GREET model is available for downloading on ARB's website at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm.
The Carbon-Intensity Lookup Tables, shown below, specify the carbon intensity values for the enumerated fuel pathways that are described in the following supporting documents, all of which are incorporated herein by reference:
(A) Stationary Source Division, Air Resources Board 
(February 27, 2009, v.2.1), “Detailed California-Modified GREET Pathway for California Reformulated Gasoline Blendstock for Oxygenate Blending (CARBOB) from Average Crude Refined in California,” Pathway CBOB001;
(B) Stationary Source Division, Air Resources Board
(February 27, 2009, v.2.1), “Detailed California-Modified GREET Pathway for California Reformulated Gasoline (CaRFG),” Pathways ETHC001, ETHC002, ETHC003, ETHC004, ETHC005, ETHC006, ETHC007, ETHC008, ETHC009, ETHC010, ETHC0011, ETHC0012, ETHC0013;
(C) Stationary Source Division, Air Resources Board 
(February 28, 2009, v.2.1), “Detailed California-Modified GREET Pathway for Ultra Low Sulfur Diesel (ULSD) from Average Crude Refined in California,” Pathway ULSD001;
(D) Stationary Source Division, Air Resources Board 
(February 27, 2009, v.2.1), “Detailed California-Modified GREET Pathway for Corn Ethanol,” Pathways ETHC001, ETHC002, ETHC003, ETHC004, ETHC005, ETHC006, ETHC007, ETHC008, ETHC009, ETHC010, ETHC0011, ETHC0012, ETHC0013; 
(E) Stationary Source Division, Air Resources Board
(February 27, 2009, v.2.1), “Detailed California-Modified GREET Pathway for Brazilian Sugarcane Ethanol,” Pathways ETHS001, ETHS002, ETHS003,
(F) Stationary Source Division, Air Resources Board
(February 28, 2009, v.2.1), “Detailed California-Modified GREET Pathway for Compressed Natural Gas (CNG) from North American Natural Gas,” Pathways CNG001, CNG002;
(G) Stationary Source Division, Air Resources Board
(February 28, 2009, v.2.1), “Detailed California-Modified GREET Pathway for Compressed Natural Gas (CNG) from Landfill Gas,” Pathway CNG003;
(H) Stationary Source Division, Air Resources Board
(February 27, 2009, v.2.1), “Detailed California-Modified GREET Pathway for California Average and Marginal Electricity,” Pathways ELC001, ELC002;
(I) Stationary Source Division, Air Resources Board
(February 27, 2009, v.2.1), “Detailed California-Modified GREET Pathway for Compressed Gaseous Hydrogen from North American Natural Gas,” Pathways HYG001, HYG002, HYG003, HYG004, HYG005;
(J) Stationary Source Division, Air Resources Board (September 23, 2009, v.2.0), “Detailed California-Modified GREET Pathways for Liquefied Natural Gas (LNG) from North American and Remote Natural Gas Sources,” Pathways LNG001, LNG002, LNG003, LNG004, LNG005;
(K) Stationary Source Division, Air Resources Board (September 23, 2009, v.2.0), “Detailed California-Modified GREET Pathway for Liquefied Natural Gas (LNG) from Landfill Gas (LFG),” Pathways LNG006, LNG007;
(l) Stationary Source Division, Air Resources Board (July 20, 2009, v.1.0), “Detailed California-Modified GREET Pathway for Compressed Natural Gas (CNG) from Dairy Digester Biogas,” Pathway CNG004;
(M) Stationary Source Division, Air Resources Board (September 23, 2009, v.2.0), “Detailed California-Modified GREET Pathway for Liquefied Natural Gas (LNG) from Dairy Digester Biogas,” Pathways LNG008, LNG009;
(N) Stationary Source Division, Air Resources Board (September 23, 2009, v.2.0), “Detailed California-Modified GREET Pathway for Biodiesel from Used Cooking Oil,” Pathways BIOD002, BIOD003;
(O) Stationary Source Division, Air Resources Board (September 23, 2009, v.2.0), “Detailed California-Modified GREET Pathway for Co-Processed Renewable Diesel from Tallow (U.S. Sourced),” Pathways RNWD002, RNWD003;
(P) Stationary Source Division, Air Resources Board (September 23, 2009, v.2.3), “Detailed California-Modified GREET Pathways for Brazilian Sugarcane Ethanol: Average Brazilian Ethanol, With Mechanized Harvesting and Electricity Co-product Credit, With Electricity Co-product Credit,” Pathways ETHS001, ETHS002, ETHS003;
(Q) Stationary Source Division, Air Resources Board (December 14, 2009, v.3.0), “Detailed California-Modified GREET Pathway for Biodiesel from Midwest Soybeans,” Pathway BIOD001; 
(R) Stationary Source Division, Air Resources Board (December 14, 2009, v.3.0), “Detailed California-Modified GREET Pathway for Renewable Diesel from Midwest Soybeans,” Pathway RNWD001;  
(S) Archer Daniels Midland Company Method B Application Package (May 18, 2011), http://www.arb.ca.gov/fuels/lcfs/2a2b/apps/adm-15day-070811.pdf, Pathways ETHC014, ETHC015, ETHC016, ETHC017, ETHC018, ETHC019, ETHC020, ETHC021;
(T) POET Method 2A Application Package (February 20, 2011), http://www.arb.ca.gov/fuels/lcfs/2a2b/apps/poet-15day-070811.pdf, Pathways ETCH025, ETCH026, ETCH027, ETCH028, ETCH029, ETCH030, ETCH031, ETCH032, ETCH033, ETCH034, ETCH035;
(U) Trinidad Bulk Traders LTD Method 2B Application Package (November 23, 2010), http://www.arb.ca.gov/fuels/lcfs/2a2b/apps/tbtl-rpt-ncbi-121410.pdf, Pathways ETHS004, ETHS005, ETHS006;
(V) Green Plains Holdings II LLC-Lakota Plant Division Method 2A Application Package, (November 3, 2010),  http://www.arb.ca.gov/ fuels/lcfs/2a2b/apps/gp-lak-sum-ncbi-121410.pdf, Pathway ETHC024;
(W) Green Plains Central City LLC, Method 2A Application Package (October 20, 2010), http://www.arb.ca.gov/fuels/lcfs/2a2b/apps/gp-cct-rpt-ncbi-121410.pdf, Pathway ETHC023;
(X) Louis Dreyfus Commodities, Elkhorn Valley Ethanol LLC Method 2A Application Package (December 1, 2010), http://www.arb.ca.gov/fuels/lcfs/2a2b/apps/ld-nor-rpt-ncbi- 121410.pdf, Pathway ETHC022; 
(Y) Stationary Source Division, Air Resources Board (June 30, 2011, v. 2.0), http://www.arb.ca.gov/fuels/lcfs/2a2b/internal/mw-uco-bd- 070811.pdf, “Detailed California-Modified GREET Pathway for Biodiesel Produced in the Midwest from Used Cooking Oil and Used in California,” Pathways BIOD004, BIOD005; and
(Z) Stationary Source Division, Air Resources Board (November 3, 2011, Version 2.0) “California-Modified GREET Pathway for the Production of Biodiesel from Corn Oil at Dry Mill Ethanol Plants,” Pathway BIOD007.

Table 6. Carbon Intensity Lookup Table for Gasoline and Fuels that Substitute for Gasoline.

View Graphic

View Graphic

View Graphic

Table 7. Carbon Intensity Lookup Table for Diesel and Fuels that Substitute for Diesel.

View Graphic
(2) Use of Lookup-Table Carbon-Intensity Values.
(A) For CARBOB, Gasoline and Diesel Fuel.
For purposes of this section 95486(b)(2)(A), “2006 California baseline crude mix” means the total pool of crude oil supplied to California refiners in 2006; “included in the 2006 California baseline crude mix” means the crude oil constituted at least 2.0% of the 2006 California baseline crude mix, by volume, as shown by California Energy Commission records for 2006; and “high carbon-intensity crude oil” means any crude oil that has a total production and transport carbon-intensity value greater than 15.00 grams CO2e/MJ. 
The carbon intensity for a regulated party's CARBOB, gasoline or a diesel fuel is determined as specified in section 95486(b)(2)(A)1. or 2. below, whichever applies:
1. For CARBOB, Gasoline or Diesel Fuel Derived from Crude Oil That Is Either Included in the 2006 California Baseline Crude Mix or Is Not a High Carbon Intensity Crude Oil.
If all of a regulated party's CARBOB, gasoline or diesel fuel is derived from crude oil that is either: 
a. included in the 2006 California baseline crude mix, or
b. not a high carbon-intensity crude oil,

the regulated party must use the average carbon intensity value shown in the Carbon Intensity Lookup Table for CARBOB, gasoline or diesel fuel.
2. For All Other CARBOB, Gasoline or Diesel Fuel, Including Those Derived from High Carbon-Intensity Crude Oil (HCICO). 
Except as set forth in this provision, if any portion of a regulated party's CARBOB, gasoline, or diesel fuel does not fall within section 95486(b)(2)(A)1. above (including those derived from high carbon-intensity crude oil), the regulated party must calculate the deficits for CARBOB, gasoline, or diesel fuel, derived wholly or in part from crude oil subject to this provision, using the deficit calculation methodology and the process for determining the carbon intensity value described in paragraphs a. and b., respectively, below:
a. Deficit Calculation When HCICO Is Used.
i. Calculation Methodology. For purposes of this section, a regulated party for CARBOB, gasoline or diesel fuel, derived wholly or in part from HCICO feedstock, must calculate separately the base deficit and incremental deficit for each fuel or blendstock, as specified in this provision. The base deficit must be calculated for the entire volume of fuel or blendstock derived from the mix of HCICO and all other crude, and the incremental deficit must be calculated only for the volume of fuel or blendstock derived from the HCICO, as follows:

View Graphic
where,
i is the finished fuel or blendstock index;
DeficitsXDBase (MT) means the amount of LCFS deficits incurred (a negative value), in metric tons, by the volume of gasoline, CARBOB, or diesel fuel that is derived from all petroleum feedstock, including HCICO, produced in or imported into California during a specific calendar year;
DeficitsXDIncremental (MT) means the amount of LCFS deficits incurred (a negative value), in metric tons, by the volume of a fuel or blendstock that is derived wholly from HCICO feedstock produced in or imported into California during a specific calendar year;
CIXDStandard has the same meaning as specified in section 95485(a)(3)(A); 
CIXDAvg is the adjusted average carbon-intensity value of a fuel or blendstock, in gCO2E/MJ, derived from all petroleum feedstock, including HCICO, produced in or imported into California during a specific calendar year, where the carbon intensity of the fuel or blendstock is adjusted by dividing it with the EER as described in section 95485(a)(3)(B). For purposes of this provision, CIXDAvg for CARBOB (XD = “gasoline”) and diesel fuel (XD = “diesel”) is the total carbon intensity value for CARBOB and diesel (ULSD) set forth in the Carbon Intensity Lookup Table, respectively;
CIXDHCICO is the adjusted actual carbon-intensity value of a fuel or blendstock, in gCO2E/MJ, derived from HCICO feedstock produced in or imported into California during a specific calendar year, where the carbon intensity of the fuel or blendstock, as determined pursuant to paragraph ii. below, is adjusted by dividing it with the EER as described in section 95485(a)(3)(B);
EXDTotal is the adjusted total amount of fuel energy, in MJ, from gasoline (XD=“gasoline”) or diesel (XD=“diesel”), derived from all petroleum feedstock produced in or imported into California during a specific calendar year, where the total amount of fuel energy of the fuel is adjusted by multiplying it with the EER as described in section 95485(a)(3)(C). Where the petroleum feedstock is comprised entirely of HCICO, EXDTotal equals EXDHCICO;
EXDHCICO is the adjusted total amount of fuel energy, in MJ, from gasoline (XD=“gasoline”) or diesel (XD=“diesel”), derived from HCICO feedstock produced in or imported into California during a specific calendar year, where the total amount of fuel energy of the fuel is adjusted by multiplying it with the EER as described in section 95485(a)(3)(C); and
C has the same meaning as specified in section 95485(a)(3)(A). 
ii. Determination of Carbon Intensity Value for HCICO-derived Products, CIXDHCICO.
A regulated party subject to section 95486(b)(2)(A) must determine the carbon intensity value for its CARBOB, gasoline or diesel fuel using any of the following that applies, subject to Executive Officer approval as specified in section 95485(a)(2) or as otherwise specified.
I. The carbon intensity value shown in the Carbon Intensity Lookup Table corresponding to the HCICO's pathway; or
II. Except as provided in paragraph III. below, if there is no carbon intensity value shown in the Carbon Intensity Lookup Table corresponding to the HCICO's pathway, the regulated party must propose a new pathway for its HCICO and obtain approval from the Executive Officer for the resulting pathway's carbon intensity pursuant to Method 2B as set forth in section 95486(d) and (f); or
III. The regulated party may, upon written Executive Officer approval pursuant to section 95486(f), use the average carbon intensity value in the Carbon Intensity Lookup Table for CARBOB, gasoline or diesel fuel, provided the GHG emissions from the fuel's crude production and transport steps are subject to control measures, such as carbon capture-and-sequestration (CCS) or other methods, which reduce the crude oil's production and transport carbon-intensity value to 15.00 grams CO2e/MJ or less, as determined by the Executive Officer.
(B) For All Other Fuels and Blendstocks.
Except as provided in section 95486(c) and (d), for each of a regulated party's fuels, the regulated party must use the carbon intensity value in Lookup Table that most closely corresponds to the production process used to produce the regulated party's fuel. The Lookup Table carbon intensity value selected by the regulated party is subject to approval by the Executive Officer.
[Note: For example, if one of the regulated party's fuels is compressed natural gas (CNG) used in a light-duty vehicle, and the CNG is derived from dairy digester biogas, the regulated party would use the total carbon intensity value in Carbon Intensity Lookup Table 6 (i.e., the last column in Lookup Table 6) corresponding to the applicable Fuel (compressed natural gas) and Pathway Description (Dairy Digester Biogas to CNG). The result in this example would be a total carbon intensity value of 13.45 gC02e/MJ.]
(c) Method 2A -- Customized Lookup Table Values (Modified Method 1).
Under Method 2A, the regulated party may propose, for the Executive Officer's written approval pursuant to section 95486(f), modifications to one or more inputs to the CA-GREET model used to generate the carbon intensity values in the Method 1 Lookup Table.
For any of its transportation fuels subject to the LCFS regulation, a regulated party may propose the use of Method 2A to determine the fuel's carbon intensity, as provided in this section 95486(c). For each fuel subject to a proposed Method 2A, the regulated party must obtain written approval from the Executive Officer for its proposed Method 2A before the regulated party may use Method 2A for determining the carbon intensity of the fuel. The Executive Officer's written approval may include more than one of a regulated party's fuels under Method 2A. 
The Executive Officer may not approve a proposed Method 2A unless the regulated party and its proposed Method 2A meet the scientific defensibility, “5-10” substantiality, and data submittal requirements specified in section 95486(e)(1) through (3) and the following requirements:
(1) The proposed modified CA-GREET inputs must accurately reflect the conditions specific to the regulated party's production and distribution process; 
(2) The proposed Method 2A uses only the inputs that are already incorporated in CA-GREET and does not add any new inputs (e.g., refinery efficiency); and
(3) The regulated party must request the Executive Officer to conduct an analysis or modeling to determine the new pathway's impact on total carbon intensity due to indirect effects, including land-use changes, as the Executive Officer deems appropriate. The Executive Officer will use the GTAP Model (February 2009), which is incorporated by reference, or other model determined by the Executive Officer to be at least equivalent to the GTAP Model (February 2009).
(d) Method 2B -- New Pathway Generated by California-Modified GREET (v.1.8b). Under Method 2B, the regulated party proposes for the Executive Officer's written approval the generation of a new pathway using the CA-GREET as provided for in this provision. The Executive Officer's approval is subject to the requirements as specified in section 95486(f) and the following requirements:
(1) For purposes of this provision, “new pathway” means the proposed full fuel-cycle (well-to-wheel) pathway is not already in the ARB Lookup Table specified in section 95486(b)(1), as determined by the Executive Officer; 
(2) The regulated party must demonstrate to the Executive Officer's satisfaction that the CA-GREET can be modified successfully to generate the proposed new pathway. If the Executive Officer determines that the CA-GREET model cannot successfully generate the proposed new pathway, the proponent-regulated party must use either Method 1 or Method 2A to determine its fuel's carbon intensity;
(3) The regulated party must identify all modified parameters for use in the CA-GREET for generating the new pathway;
(4) The CA-GREET inputs used to generate the new pathway must accurately reflect the conditions specific to the regulated party's production and marketing process; and
(5) The regulated party must request the Executive Officer to conduct an analysis or modeling to determine the new pathway's impact on total carbon intensity due to indirect effects, including land-use changes, as the Executive Officer deems appropriate. The Executive Officer will use the GTAP Model (February 2009), which is incorporated by reference, or other model determined by the Executive Officer to be at least equivalent to the GTAP Model (February 2009).
(e) Scientific Defensibility, Burden of Proof, Substantiality, and Data Submittal Requirements and Procedure for Approval of Method 2A or 2B. For a proposed Method 2A or 2B to be approved by the Executive Officer, the regulated party must demonstrate that the method is both scientifically defensible and, for Method 2A, meets the substantiality requirement, as specified below:
(1) Scientific Defensibility and Burden of Proof. This requirement applies to both Method 2A and 2B. A regulated party that proposes to use Method 2A or 2B bears the sole burden of demonstrating to the Executive Officer's satisfaction, that the proposed method is scientifically defensible. 
(A) For purposes of this regulation, “scientifically defensible” means the method has been demonstrated to the Executive Officer as being at least as valid and robust as Method 1 for calculating the fuel's carbon intensity.
(B) Proof that a proposed method is scientifically defensible may rely on, but is not limited to, publication of the proposed Method 2A or 2B in a major, well-established and peer-reviewed scientific journal (e.g., Science, Nature, Journal of the Air and Waste Management Association, Proceedings of the National Academies of Science).
(2) “5-10” Substantiality Requirement. This requirement applies only to a proposed use of Method 2A, as provided in section 95486(c). For each of its transportation fuels for which a regulated party is proposing to use Method 2A, the regulated party must demonstrate, to the Executive Officer's satisfaction, that the proposed Method 2A meets both of the following substantiality requirements: 
(A) The source-to-tank carbon intensity for the fuel under the proposed Method 2A is at least 5.00 grams CO2-eq/MJ less than the source-to-tank carbon intensity for the fuel as calculated under Method 1. “Source-to-tank” means all the steps involved in the growing/extraction, production and transport of the fuel to California, but it does not include the carbon intensity due to the vehicle's use of the fuel; “source-to-tank” may also be referred to as “well-to-tank” or “field-to-tank.”
(B) The regulated party can and expects to provide in California more than 10 million gasoline gallon equivalents per year (1,156 MJ) of the regulated fuel. This requirement applies to a transportation fuel only if the total amount of the fuel sold in California from all providers of that fuel exceeds 10 million gasoline gallon equivalents per year. 
(3) Data Submittal. This requirement applies to both Method 2A and 2B. A regulated party proposing Method 2A or 2B for a fuel's carbon intensity value must meet all the following requirements: 
(A) Submit to the Executive Officer all supporting data, calculations, and other documentation, including but not limited to, flow diagrams, flow rates, CA-GREET calculations, equipment description, maps, and other information that the Executive Officer determines is necessary to verify the proposed fuel pathway and how the carbon intensity value proposed for that pathway was derived;
(B) All relevant data, calculations, and other documentation in (A) above must be submitted electronically, such as via email or an online web-based interface, whenever possible; 
(C) The regulated party must specifically identify all information submitted pursuant to this provision that is a trade secret; “trade secret” has the same meaning as defined in Government Code section 6254.7; and
(D) The regulated party must not convert spreadsheets in CA-GREET containing formulas into other file formats. 
(f) Approval Process. To obtain Executive Officer approval of a proposed Method 2A or 2B, the regulated party must submit an application as follows: 
(1) General Information Requirements.
(A) For a proposed use of Method 2A, the regulated party's application must contain all the information specified in section 95486(c), (e), and (f)(2);
(B) For a proposed use of Method 2B, the regulated party's application must contain all the information specified in section 95486(d), (e)(1), (e)(3), and (f)(2). 
(2) Use of Method 2A or 2B Prohibited Without Executive Officer Approval. The regulated party must obtain the Executive Officer's written approval pursuant to section 95486(f)(5) of its application submitted pursuant to section 95486(f)(1) above before using a proposed Method 2A or 2B for any purpose under the LCFS regulation. Any use of a proposed Method 2A or 2B before Executive Officer approval is granted shall constitute a violation of this regulation for each day that the violation occurs. A regulated party that submits any information or documentation in support of a proposed Method 2A or 2B must include a written statement clearly showing that the regulated party understands and agrees to the following:
(A) All information not identified in 95486(e)(3)(C) as trade secrets are subject to public disclosure pursuant to 17 CCR §§91000-91022 and the California Public Records Act (Government Code section 6250 et seq.); and
(B) If the application is approved by the Executive Officer, the carbon intensity values, associated parameters, and other fuel pathway-related information obtained or derived from the application will be incorporated into the Method 1 Lookup Table for use on a free, unlimited license, and otherwise unrestricted basis by any person;
(3) Completeness/Incompleteness Determination. After receiving an application submitted under this section, the Executive Officer shall determine whether the application is complete within 15 work days. If the Executive Officer determines the application is incomplete, the Executive Officer shall notify the regulated party accordingly and identify the deficiencies in the application. The deadline set forth in this provision shall also apply to supplemental information submitted in response to an incompleteness determination by the Executive Officer. 
(4) Public Review. After determining an application is complete, the Executive Officer shall publish the application and its details on ARB's website at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm and make it available for public review. The Executive Officer shall treat all trade secrets specifically identified by the regulated party under section 95486(e)(3)(C) above in accordance with 17 CCR §§91000-91022 and the California Public Records Act (Government Code section 6250 et seq.). 
(5) Final Action. The Executive Officer shall take final action to approve an application for approval of a new carbon intensity value and associated fuel pathway submitted pursuant to this subsection (f) by amending the Lookup Table(s) in accordance with the rulemaking provisions of the Administrative Procedure Act (Government Code section 11340 et seq.). The Executive Officer shall notify the regulated party accordingly and publish the final action on ARB's website at http://www.arb.ca.gov/fuels/lcfs/lcfs.htm. If the Executive Officer disapproves an application, the disapproval shall identify the basis for the disapproval. 
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
2. Amendment of subsections (b)(1) and (b)(1)(O)-(P), new subsections (b)(1)(Q)-(R) and amendment of Table 7 filed 4-15-2010; operative 4-15-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 16). 
3. Amendment of subsections (b)(1)(A)-(R), new subsections (b)(1)(S)-(Z) and amendment of Table 6 and Table 7 filed 2-21-2012; operative 2-21-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 8).
§95487. Requirements for Multimedia Evaluation.
Note     •     History

(a) Pre-Sale Approval Requirement. Except as provided for in section 95487(c), a regulated party must not sell, supply, distribute, import, offer for sale, or offer for use in California a regulated fuel unless one of the following conditions has first been met:
(1) a multimedia evaluation for the regulated fuel has been conducted pursuant to the requirements specified in this regulation, and that evaluation has been approved by the Executive Officer; or
(2) a multimedia evaluation for the regulated fuel has been conducted, and that evaluation was approved by the Executive Officer prior to the date the Office of Administrative Law (OAL) approves the LCFS regulation. 
(b) Requirements.
(1) The Executive Officer, or his or her designee, shall not approve a multimedia evaluation subject to this section 95487(b) unless the evaluation has undergone the process for review and approval specified in H&S section 43830.8, including but not limited to, receiving peer review and approval by the California Environmental Policy Council pursuant to H&S section 43830.8(d)-(g). For purposes of H&S section 43830.8(a), each Executive Officer approval of a regulated fuel for compliance with the LCFS regulation under section 95487(a)(1) shall constitute compliance with the requirement in H&S section 43830.8(a) for conducting a multimedia evaluation prior to adoption of a “regulation that establishes a specification for motor vehicle fuel.” 
(2) All multimedia evaluations subject to this section 95487 shall be evaluated in accordance with the California Environmental Protection Agency (Cal/EPA) guidance document entitled, Guidance Document and Recommendations on the Types of Scientific Information Submitted by Applicants for California Fuels Environmental Multimedia Evaluations (June 2008), which can be downloaded at http://www.arb.ca.gov/fuels/multimedia/080608guidance.pdf, and which is incorporated herein by reference.
(c) Exemptions.
(1) Negative Declaration For ARB-Adopted New Or Amended Fuel Specifications. The requirements of this section 95487 do not apply to a regulated fuel if:
(A) the regulated fuel is subject to a proposed ARB regulation establishing a new or amending an existing fuel specification, which ARB adopts after the date OAL approves the LCFS regulation; and
(B) the California Environmental Policy Council, following an initial evaluation of the proposed regulation, conclusively determines that the regulation will not have any significant adverse impact on public health or the environment.
(2) CaRFG, Diesel Fuel, E100, E85, CNG, LNG, and Hydrogen. The requirements of this section 95487 do not apply to a regulated fuel if: 
(A) the fuel is subject to an ARB-adopted fuel specification; and
(B) the Executive Officer does not amend that fuel specification after OAL approves the LCFS regulation.
Fuels subject to this section 95487(c)(2) include CaRFG, diesel fuel, E100, E85, CNG, LNG, and hydrogen. The exemption applies only to the extent that the Executive Officer does not amend the fuel specification for any of the above fuels. When OAL approves an ARB amendment to a fuel specification identified above, the exemption shall no longer apply for that fuel.
(3) Biomass-Based Diesel and Electricity. The requirements of this section 95487 do not apply to a regulated fuel that:
(A) is subject to the Division of Measurement Standards' Engine Fuels Standards (4 CCR §4140 et seq.); but
(B) is not subject to an ARB-adopted fuel specification. 
Fuels subject to this section 95487(c)(3) include biomass-based diesel and electricity. The exemption applies only to the extent that the Executive Officer does not adopt a fuel specification for any of the above fuels. When OAL approves an ARB-adopted fuel specification for a fuel identified above, the exemption shall no longer apply for that fuel.
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510, 41511 and 43830.8, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
§95488. [Reserved].

§95489. Regulation Review.
Note     •     History

As provided in this section, the Executive Officer shall conduct two reviews of the implementation of the LCFS program. The first review shall be completed and presented to the Board by January 1, 2012; the second review shall be completed and presented to the Board by January 1, 2015.
(a) The scope of each review shall include, at a minimum, consideration of the following areas:
(1) The LCFS program's progress against LCFS targets;
(2) Adjustments to the compliance schedule, if needed;
(3) Advances in full, fuel-lifecycle assessments;
(4) Advances in fuels and production technologies, including the feasibility and cost-effectiveness of such advances;
(5) The availability and use of ultralow carbon fuels to achieve the LCFS standards and advisability of establishing additional mechanisms to incentivize higher volumes of these fuels to be used;
(6) An assessment of supply availabilities and the rates of commercialization of fuels and vehicles; 
(7) The LCFS program's impact on the State's fuel supplies;
(8) The LCFS program's impact on state revenues, consumers, and economic growth;
(9) An analysis of the public health impacts of the LCFS at the state and local level, including the impacts of local infrastructure or fuel production facilities in place or under development to deliver low carbon fuels, using an ARB approved method of analysis developed in consultation with public health experts from academia and other government agencies;
(10) An assessment of the air quality impacts on California associated with the implementation of the LCFS; whether the use of the fuel in the State will affect progress towards achieving State or federal air quality standards, or results in any significant changes in toxic air contaminant emissions; and recommendations for mitigation to address adverse air quality impacts identified; 
(11) Identification of hurdles or barriers (e.g., permitting issues, infrastructure adequacy, research funds) and recommendations for addressing such hurdles or barriers; 
(12) Significant economic issues; fuel adequacy, reliability, and supply issues; and environmental issues that have arisen; and 
(13) The advisability of harmonizing with international, federal, regional, and state LCFS and lifecycle assessments.
(b) The Executive Officer shall establish an LCFS advisory panel by July 1, 2010. Panel participants should include representatives of the California Energy Commission; the California Public Utilities Commission; fuel providers; storage and distribution infrastructure owner/operators; consumers; engine and vehicle manufacturers; environmental justice organizations; environmental groups; academia; public health; and other stakeholders and government agencies as deemed appropriate by the Executive Officer. The advisory panel shall participate in the reviews of the LCFS program required by this section, and the Executive Officer shall solicit comments and evaluations from the panel on the ARB staff's assessments of the areas and elements specified in section (a) above, as well as on other topics relevant to the periodic reviews. 
(c) The Executive Officer shall conduct the reviews specified above in a public process and shall conduct at least two public workshops for each review prior to presenting the reports to the Board. In presenting the results of each program review to the Board, the Executive Officer shall propose any amendments or such other action as the Executive Officer determines is warranted.
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
§95490. Enforcement Protocols.
Note     •     History

Notwithstanding section 95484(c) and (d), the Executive Officer may enter into an enforceable written protocol with any person to identify conditions under which the person may lawfully meet the recordkeeping, reporting, or demonstration of physical pathway requirements in section 95484(c) and (d). The Executive Officer may only enter into such a protocol if he or she reasonably determines that the provisions in the protocol are necessary under the circumstances and at least as effective as the applicable provisions specified in section 95484(c) and (d). Any such protocol shall include the person's agreement to be bound by the terms of the protocol.
NOTE

Authority cited: Sections 38510, 38560, 38560.5, 38571, 38580, 39600, 39601, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975). Reference: Sections 38501, 38510, 38560, 38560.5, 38571, 38580, 39000, 39001, 39002, 39003, 39515, 39516, 41510 and 41511, Health and Safety Code; and Western Oil and Gas Ass'n v. Orange County Air Pollution Control District, 14 Cal.3rd 411, 121 Cal.Rptr. 249 (1975).
HISTORY

1. New section filed 1-12-2010; operative 1-12-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 3). 
Subarticle 8. Regulation for Under Inflated Vehicle Tires
§95550. Regulation for Under Inflated Vehicle Tires.
Note     •     History

(a) Purpose. The purpose of this regulation is to reduce greenhouse gas emissions from vehicles operating with under inflated tires by inflating them to the recommended tire pressure rating. 
(b) Applicability.
(1) This regulation applies to all automotive service providers performing or offering to perform automotive maintenance or repair services in California.
(2) This regulation does not apply to:
(A) auto body and paint facilities;
(B) auto glass installers; 
(C) auto parts distributers or retailers; or
(D) auto wreckers or dismantlers.
(c) Definitions.
(1) “ARB” means the California Air Resources Board.
(2) “Auto Body and Paint Facility” means a business that reconstructs, or paints motor vehicles and does not perform or offer to perform automotive maintenance or repair services.
(3) “Auto Glass Installer” is a business that repairs or replaces damaged automotive windshields and windows and does not perform or offer to perform automotive maintenance or repair services.
(4) “Auto Parts Distributer or Retailer” is a business that sells replacement parts or performance accessories for cars, trucks, vans and sport utility vehicles and does not perform or offer to perform automotive maintenance or repair services.
(5) “Auto Wrecker or Dismantler” means an automobile dismantler, as defined in section 220 of the Vehicle Code and does not perform or offer to perform automotive maintenance or repair services.
(6) “Automotive Maintenance or Repair Services” includes, but is not limited to, the performance of any automotive diagnostics of or repairs made to a motor vehicle.
(7) “Automotive Service Provider (ASP)” is any business, or government or private vehicle fleet maintenance provider that performs or offers to perform automotive maintenance or repair services (including, but not limited to, automotive dealerships, maintenance or repair garages, government or publicly maintained or operated fleets, oil change facilities, tire centers, and smog check facilities).
(8) “Gross Vehicle Weight Rating (GVWR)” shall have the same meaning as defined in Vehicle Code Section 350.
(9) “Recommended Tire Pressure Rating” is the specification recommended by the vehicle manufacturer. The vehicle manufacturer's recommended tire pressure rating specifications can be found on the vehicle's door placard, glove box door, or owner's manual. If the vehicle manufacturer's recommended tire pressure rating is not available or the vehicle is equipped with a tire not meeting the vehicle manufacturer's tire specifications for that vehicle, then Recommended Tire Pressure Rating shall mean the Tire Inflation Reference. 
(10) “Tire Inflation Reference” is any industry recognized resource, book or electronic, that contains tire pressure inflation specifications for original equipment tires and wheels and non-original equipment sized tires and wheels. 
(11) “Tire Pressure Gauge” means a device that is capable of measuring the air pressure of passenger vehicle tires.
(12) “Total Permissible Error” means the allowable accuracy error indicated by the total difference in the true value and the indicated value during measurement.
(13) “Under Inflated Tire” means a tire that is one pound per square inch (psi) or more below the recommended tire pressure rating. 
(14) “Unsafe Tire” means any tire considered unsafe in accordance with standard industry practices, due to tire tread wear, age, tread irregularity, or damage. Examples include any tire with exposed ply or cord, sidewall crack, bulge, knot, or ply separation.
(15) “Vehicle Fleet” is one or more vehicles that is owned, leased, or managed as a unit within or by a business or government agency.
(16) “Vehicle Service Invoice” is a document issued by the ASP to the customer in the normal course of business that identifies all service repairs performed by the ASP, as well as the associated costs, and is maintained by the ASP as provided in subsection (d).
(17) “Vehicle Tires” means the operating tires on the vehicle.
(d) Requirements and Compliance Deadlines. Automotive service providers must meet the following requirements:
(1) By September 1, 2010, all automotive service providers are required to:
(A) check and inflate each vehicle's tires to the recommended tire pressure rating, with air or nitrogen, as appropriate, at the time of performing any automotive maintenance or repair service; and
(B) indicate on the vehicle service invoice that a tire inflation service was completed and the tire pressure measurements after the services were performed; and
(C) perform the tire pressure service using a tire pressure gauge with a total permissible error no greater than + two (2) pounds per square inch (psi); and
(D) have access to a Tire Inflation Reference that is current within three years of publication; and
(E) keep a copy of the vehicle service invoice for a minimum of three years, and make the vehicle service invoice available to ARB, or its authorized representative upon request. 
(2) Notwithstanding subsection (d)(1), an automotive service provider need not meet the requirements set out therein if the automotive service provider is performing only a free check and inflate service at the customer's request.
(3) Notwithstanding subsection (d)(1)(A), an automotive service provider need not perform the check and inflate service if:
(A) the tires are on a vehicle with a GVWR over 10,000 lbs.; or
(B) the tires are determined by the automotive service provider to be unsafe, as defined in subsection (c)(14); or
(C) the customer declines the check and inflate service pursuant to subsection (d)(5). 
(4) Customers with vehicle tires inflated with nitrogen gas are subject to the requirements in subsection (d)(1)(A-E), but may refuse the inflation portion of the service if a nitrogen inflation system is not available at the time of the service.
(5) A customer may decline the check and inflate service if the customer affirms one of the following:
(A) He or she has performed (or had performed) a tire pressure check and inflate service within the last 30 days, or
(B) He or she will perform (or will have performed) a tire pressure check and inflate service within the next 7 days.
(6) If a tire inflation service was not performed as provided in subsections (d)(3)-(5), the automotive service provider must indicate on the vehicle service invoice why the service was not completed.
(e) Penalties and Injunctions. 
(1) Penalties. Penalties may be assessed for any violation of this article pursuant to Health and Safety Code section 38580. Each day during any portion of which a violation occurs is a separate offense.
(2) Injunctions. Any violation of this article may be enjoined pursuant to Health and Safety Code section 41513. 
(f) Relationship To Other Law. Nothing in this section allows automotive service providers to operate in violation of other applicable laws, including but not limited to:
(1) California Vehicle Code.
(2) Health and Safety Code.
(3) Business and Professions Code.
(4) any other applicable law, ordinance, rule or requirement as stringent as, or more stringent than the requirements in section (d) of this regulation.
(g) Severability. If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion of this regulation is, for any reason, held invalid, unconstitutional, or unenforceable by any court of competent jurisdiction, such portion will be deemed as a separate, distinct, and independent provision, and such holding will not affect the validity of the remaining portions of the regulation.
NOTE

Authority cited: Sections 38510, 38560, 39600 and 39601, Health and Safety Code. Reference: Sections 38510, 38560 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 8 (section 95550) and section filed 8-30-2010; operative 9-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 36).
Subarticle 9. Energy Efficiency and Co-Benefits Assessment of Large Industrial Facilities
§95600. Purpose.
Note     •     History

The purpose of this article is to require an energy efficiency assessment of California's large industrial facilities to determine the potential for greenhouse gas emission reductions and other pollution reduction co-benefits.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New subarticle 9 (sections 95600-95612) and section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95601. Applicability.
Note     •     History

(a) Except as provided in subsection 95602, this article applies to the following entities:
(1) Operators of a California facility, where the facility has stationary sources that produce greenhouse gas emissions of 0.5 million metric tonnes of carbon dioxide (CO2) equivalent (MMTCO2e) or more annually. This total is to be determined by the reporting submitted by the facility operator to comply with the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, Subchapter 10, Article 2, sections 95100 to 95133, title 17, California Code of Regulations, for the calendar year 2009;
(2) Operators of any petroleum refinery in California that produces petroleum-based transportation fuels that are released into commerce and that produces greenhouse gas emissions of 0.25 MMTCO2e or more annually as determined by the reporting submitted by the facility operator to comply with the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, Subchapter 10, Article 2, sections 95100 to 95133, title 17, California Code of Regulations, for the calendar year 2009; and
(3) Operators of any cement plant in California that produces greenhouse gas emissions of 0.25 MMTCO2e or more annually as determined by the reporting submitted by the facility operator to comply with the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, Subchapter 10, Article 2, sections 95100 to 95133, title 17, California Code of Regulations, for the calendar year 2009.
(b) The Executive Officer may request a demonstration from any entity operating a facility to establish that a specified facility does not meet the applicability criteria specified in section 95601(a). Such demonstration must be provided to the Executive Officer within 30 days of a written request received from the Executive Officer.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95602. Exemptions.
Note     •     History

The requirements of this article do not apply to the following:
(a) Combined cycle electricity generating facilities built after 1995;
(b) Petroleum refineries that do not produce transportation fuels; and
(c) Mobile combustion sources as defined in section 95603(a)(40) or portable equipment as defined in section 95603(a)(53).
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95603. Definitions.
Note     •     History

(a) For the purposes of this article, the following definitions apply:
(1) “ARB” means the California Air Resources Board.
(2) “Assessment Report” or “report” means the report of the facility energy consumption and emissions analysis and energy efficiency improvement analysis prepared by an operator or third party entity and submitted to ARB pursuant to sections 95604 and 95605.
(3) “Average recurring annual budgetary cost” means the expected annual budgetary cost associated with implementing an energy efficiency improvement project, averaged over the project life. The annual cost must include, but is not limited to, operation and maintenance of the energy efficiency improvement project.
(4) “British Thermal Unit” or “Btu” means the quantity of heat required to raise the temperature of one pound of water by one degree Fahrenheit at about 39.2 degrees Fahrenheit.
(5) “Budgetary cost estimate” means a cost estimate that is used for project comparison purposes, but does not require detailed engineering and therefore has a correspondingly lower accuracy.
(6) “Calendar year” means the time period from January 1 through December 31.
(7) “California Environmental Quality Act” or “CEQA” means California Public Resources Code Sections 21000 et seq.
(8) “Carbon dioxide” or “CO2” means the most common of the six primary greenhouse gases, consisting on a molecular level of a single carbon atom and two oxygen atoms.
(9) “Carbon dioxide equivalent” or “CO2 equivalent” or “CO2e” means a measure for comparing carbon dioxide with other GHGs, based on the quantity of those gases multiplied by the appropriate global warming potential (GWP) factor and commonly expressed as metric tonnes of carbon dioxide equivalents (MTCO2e).
(10) “Cement plant” means an industrial structure, installation, plant, or building primarily engaged in manufacturing Portland, natural, masonry, pozzolanic, and other hydraulic cements, and typically identified by NAICS code 327310.
(11) “Clinker” means the mass of fused material produced in a cement kiln from which finished cement is manufactured by milling and grinding.
(12) “Combined cycle electricity generating facility” means an electricity generating facility that uses the waste heat from a gas turbine to provide heat energy for a steam turbine.
(13) “Criteria air pollutant” means substances identified in title 17, California Code of Regulations, Section 70200. Examples include carbon monoxide, nitrogen dioxide, sulfur dioxide, particulate matter with aerodynamic diameters of 10 microns or less (PM10) and PM 2.5.
(14) “Distillate fuel oil” means a general classification for a petroleum fraction produced in conventional distillation operations. It includes diesel fuels and fuel oils.
(15) “District” has the same meaning as defined in the California Health and Safety Code, Section 39025.
(16) “Electricity generating facility” means a facility that generates electricity and includes one or more generating units at the same location.
(17) “Emissions” means the release of greenhouse gases, criteria air pollutants, or toxic air contaminants into the atmosphere from sources and processes in a facility.
(18) “Emissions data report” or “greenhouse gas emissions data report” means the report prepared by an operator each year and submitted by electronic means to ARB that provides the information required by the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, Subchapter 10, Article 2, sections 95100 to 95133, title 17, California Code of Regulations.
(19) “Energy” means any source of usable heat or power, such as fuel or electricity.
(20) “Energy efficiency” means a measure of the relative quantity of energy required to accomplish a task with the minimum energy expenditure.
(21) “Energy efficiency assessment” means an assessment as specified in section 95604.
(22) “Energy efficiency improvement project” means an undertaking involving such activities including, but not limited to, improvement in maintenance or other practices, monitoring systems, specific processes, or new or improved technologies, in order to increase energy efficiency at a facility.
(23) “Entity” means a person, firm, association, organization, partnership, business trust, corporation, limited liability company, company, or government agency.
(24) “Equipment” means any stationary article, machine, or other contrivance, or combination thereof, used for specific purposes within a facility; equipment does not mean portable equipment, tactical support equipment, mobile vehicles, or generating units designated as backup or emergency generators in a permit issued by District.
(25) “Executive Officer” means the Executive Officer of the ARB or his or her delegate.
(26) “Facility” means any property, plant, building, structure, stationary source, stationary equipment or grouping of stationary equipment or stationary sources located on one or more contiguous or adjacent properties, in actual physical contact or separated solely by a public roadway or other public right-of-way, and under common operational control, that emits or may emit any greenhouse gases.
(27) “Fluorine” means the most reactive nonmetallic element, generally designated with the symbol “F” and with an atomic weight of 18.9984.
(28) “Fuel” means solid, liquid, or gaseous combustible material used to create heat or power.
(29) “Global warming potential” or “GWP factor” means the radiative forcing impact of one mass-based unit of a given greenhouse gas relative to an equivalent unit of carbon dioxide over a given period of time.
(30) “Greenhouse gas” or “greenhouse gases” or “GHG” means carbon dioxide (CO2), methane (CH4), nitrous oxide (N20), sulfur hexafluoride (SF6), hydrofluorocarbons (HFCs), and perfluorocarbons (PFCs).
(31) “Greenhouse gas source” means any physical unit, process, or other use or activity that emits a greenhouse gas.
(32) “Hydrocarbons” means chemical compounds containing predominantly carbon and hydrogen.
(33) “Hydrofluorocarbons” or “HFCs” means a class of GHGs primarily used as refrigerants, consisting of hydrogen, fluorine, and carbon.
(34) “Hydrogen” means the lightest of all elements, designated by the symbol “H” and with an atomic weight of 1.00797; commonly exists as a gas consisting on the molecular level of two hydrogen atoms.
(35) “Kerosene” means a light distillate fuel that includes No.1-K and No. 2-K as well as other grades of range or stove oil that have properties similar to those of No. 1 fuel oil.
(36) “Kiln” means a device, including any associated preheater or precalciner device that produce clinker by heating limestone and other materials for subsequent production of Portland or other cement.
(37) “Kilowatt hour” or “kWh” means the electrical energy unit of measure equal to one thousand watts of power supplied to, or taken from, an electric circuit steadily for one hour. (A watt is a unit of electrical power equal to one ampere under pressure of one volt, or 1/746 horsepower.)
(38) “Methane” or “CH4” means a colorless, odorless, flammable gas consisting on the molecular level of a single carbon atom and four hydrogen atoms.
(39) “Metric tonne” or “MT” or “tonne” means a common international measurement for the quantity of GHG emissions, equivalent to about 2204.6 pounds or 1.1 short tons.
(40) “Mobile combustion source” means a source of emissions resulting from combustion by a vehicle or other non-stationary, self-propelled combustion sources that produces greenhouse gas, criteria air pollutant, and toxic air contaminant emissions. Mobile combustion sources include, but are not limited to, passenger cars, large/heavy duty truck cabs and chassis, light and medium duty trucks and vans, motorcycles, public transit buses, military tanks or other tracked military vehicles, mobile cranes, bulldozers, concrete mixers, street cleaners, golf carts, all terrain vehicles, trains, airplanes, boats, ships, implements of husbandry, and hauling equipment used inside and around airports, docks, depots, and industrial and commercial plants.
(41) “MMBtu” means million British thermal units. MMBtu = MWhr x 3.412.
(42) “MWhr” means megawatt hours; equal to one million watt hours.
(43) “Nitrous oxide” or “N20” means a GHG consisting at the molecular level of two nitrogen atoms and a single oxygen atom.
(44) “No. 1 fuel oil” means a light petroleum distillate fuel oil that meets the specifications of ASTM Specification D396-07.
(45) “North American Industry Classification System” or “NAICS” means a standard for use by Federal statistical agencies in classifying business establishments for the collection, analysis, and publication of statistical data related to the business economy of the United States.
(46) “Operational control” means the authority to introduce and implement operating, environmental, health, and safety policies. In any circumstance where this authority is shared among multiple entities, the entity holding the permit to operate from the District is considered to have operational control for purposes of this regulation.
(47) “Operator” means the entity having operational control of a facility, or other entity, from which an Assessment Report is required under this regulation.
(48) “Outside source” means a source of electricity not contained within a facility.
(49) “Oxides of nitrogen or NOx” means compounds of nitric oxide (NO), nitrogen dioxide (NO2), and other oxides of nitrogen, which are typically created during combustion processes and are major contributors to smog formation and acid deposition.
(50) “Perfluorocarbons” or “PFCs” means a class of greenhouse gases consisting on the molecular level of carbon and fluorine.
(51) “Petroleum” means an oily, thick, flammable liquid that is a mixture of various hydrocarbons occurring naturally within the earth and includes oil derived from tar sands, shale, and coal.
(52) “Petroleum refinery” or “refinery” means any facility engaged in producing gasoline, aromatics, kerosene, distillate fuel oils, residual fuel oils, lubricants, or other products through distillation of petroleum or through redistillation, cracking, rearrangement, or reforming of unfinished petroleum derivatives.
(53) “Portable” is as defined in title 17, California Code of Regulations, section 93116.2(a)(28).
(54) “Portland cement” means hydraulic cement (cement that not only hardens by reacting with water but also forms a water-resistant product) produced by pulverizing clinkers consisting essentially of hydraulic calcium silicates, usually containing one or more of the forms of calcium sulfate as an inter-ground addition.
(55) “Process” means an action or series of actions performed in progressive and interdependent steps by equipment within a facility to produce or aid in producing a product such as cement, fuel, electricity, hydrogen, or other chemicals.
(56) “Process flow diagram” means a schematic representation of a facility which identifies the processes or systems within the facility and any interaction between the processes or systems such as transfer of material or energy from one process or system to another.
(57) “Project life” means the length of time an energy efficiency improvement project is expected to be employed.
(58) “Reactive Organic Gas” means a photochemically reactive chemical gas, composed of non-methane hydrocarbons, that may contribute to the formation of smog.
(59) “Residual fuel oil” means a general classification for the heavier oils, known as No. 5 and No. 6 fuel oils, that remain after the distillate fuel oils and lighter hydrocarbons are distilled away in refinery operations.
(60) “Source” means a piece of equipment, process or facility that emits greenhouse gases, criteria air pollutants or toxic air contaminants.
(61) “Sulfur hexafluoride” or “SF6” means a GHG consisting on the molecular level of a single sulfur atom and six fluorine atoms.
(62) “System” means a group of interacting, interrelated, or interdependent processes within a facility.
(63) “Tactical support equipment” means equipment using a portable engine, including turbines, that meets military specifications, owned by the U.S. Department of Defense and/or the U.S. military services or its allies, and used in combat, combat support, combat service support, tactical or relief operations, or training for such operations. Examples include, but are not limited to, engines associated with portable generators, aircraft start carts, heaters and lighting carts.
(64) “Third party” means an entity hired by, but not otherwise affiliated with, a facility to conduct the facility's “energy efficiency assessment” as defined and/or develop the facility Assessment Report.
(65) “Ton” means a short ton equal to 2,000 pounds.
(66) “Toxic air contaminant” means a substance identified by the Air Resources Board as a toxic air contaminant pursuant to H&SC Section 39657.
(67) “Transportation fuel” means a fuel produced in a petroleum refinery to be sold into commerce for transportation purposes.
(68) “Watt hour” means a unit of energy, especially electrical energy, equal to the work done by one watt acting for one hour.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95604. Energy Efficiency Assessment Requirements.
Note     •     History

(a) Facility Energy Consumption and Emissions Analysis. The operator of each applicable facility described in section 95601(a) must conduct an energy consumption and emissions analysis that identifies the facility's processes and equipment types used in the processes, and provides facility energy consumption and resulting greenhouse gas, criteria air pollutant, and toxic air contaminant emissions. The energy consumption and emissions analysis must be provided to the Executive Officer according to the reporting schedule identified in section 95605 and include the information below and any additional information specified in section 95605:
(1) Facility name, ARB identification number as assigned under the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, physical address, mailing address, geographic location (latitude and longitude at main gate or primary facility access point), NAICS code;
(2) Company name (if different than facility name);
(3) Name and contact information including email address and telephone number for the facility operator submitting the Assessment Report and for the person primarily responsible for preparing and submitting the Assessment Report, if different than the facility operator;
(4) If the assessment is conducted by a third party, the name and contact information including email address and telephone number of the company conducting and submitting the Assessment Report and the person primarily responsible for preparing the Assessment Report;
(5) Process flow diagram(s) of the facility, identifying each process or system and its geographic location;
(6) Name and description of each process or system and the equipment types used in each;
(7) Types of energy used in each process or system (i.e., natural gas, purchased electricity, etc.), and whether the energy is purchased or produced by the facility;
(8) Facility energy use and emissions as indicated below:
(A) amount of fuel consumed in 2009 for each fuel type (in MMBtu);
(B) amount of electricity consumed in 2009 (in MMBtu);
(C) total energy consumption (sum of (A) and (B) above);
(D) greenhouse gas emissions in 2009, reported as CO2e emissions reported by the facility to comply with the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, Subchapter 10, Article 2, sections 95100 to 95133, title 17, California Code of Regulations;
(E) criteria air pollutant emissions reported by the facility to the District in 2009 or the previous most recent 12-month period, except as provided in (10) below, as required by Health and Safety Code, section 40701(g), and District rules;
(F) toxic air contaminant emissions reported by the facility to the District in 2009 or the previous most recent 12-month period, except as provided in (10) below, as required by Health and Safety Code, sections 44340, 44341, and 44344 and the Emission Inventory Criteria and Guidelines Report for the Air Toxics “Hot Spots” Program, title 17, California Code of Regulations, section 93300.5.
(9) Facility energy use and emissions reported in (8)(A) through (8)(D) above must be consistent with the facility's verified or certified greenhouse gas emissions data report submitted in accordance with the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, Subchapter 10, Article 2, sections 95100 to 95133, title 17, California Code of Regulations for the 2009 calendar year;
(10) Upon approval from the Executive Officer, the operator may provide the criteria and or toxics emissions inventory data indicated in (8) from a different calendar year(s), 12-month period, or a three-year average. Any request for approval for submittal of emissions inventory data from alternative calendar years, 12-month period, or a three-year average must be made in writing by the operator and submitted to the Executive Officer no later than December 1, 2011. The Executive Officer has 30 days to approve or disapprove the request and will notify the operator in writing of the decision.
(11) Operators of facilities that were not required to report or are not reporting to the District facility criteria air pollutant and/or toxic air contaminant emissions shall include the most recent emissions calculated by the District for their facility, indicating the year to which the emissions are assigned.
(b) Energy Efficiency Improvement Analysis. The operator of each applicable facility described in section 95601(a) must conduct an analysis of the energy efficiency improvement opportunities that exist at the facility. The energy efficiency improvement analysis must:
(1) Identify potential improvement projects for equipment, processes, or systems that cumulatively account for at least 95 percent of the facility's total greenhouse gas emissions reported in section 95604(a);
(2) Include a comprehensive assessment of potential energy efficiency improvement opportunities;
(3) Where appropriate or applicable, a facility operator may use an energy assessment conducted for their facility by a state- or federally-sponsored energy assessment program in order to meet applicable portions of the requirements in this subsection; and
(4) Be provided to the Executive Officer according to the reporting schedule identified in section 95605 and include information below and any additional information specified in section 95605 for each potential improvement evaluated:
(A) Existing facility equipment, process, or system involved;
(B) Type of potential improvement, including, but not limited to, equipment upgrades or modifications, process changes, changes to operating procedures or maintenance practices, or investment in new technologies; potential improvement projects should encompass low-cost projects that could be implemented quickly to mid- and long-term projects requiring higher capital expenditures and that may have more extensive facility impacts; emerging technologies that are not yet commercially available may also be considered, and implemented projects may also be included;
(C) Summary description of each potential improvement, including but not limited to, a description of the equipment, process, or system(s) involved and the energy efficiency issues that have been identified, and a description of how the improvement would benefit energy efficiency; 
(D) Status of the improvement (i.e., under investigation, scheduled, ongoing, completed, or not implementing);
(E) For any improvement projects not being implemented, provide a description of the rationale for not implementing the project;
(F) Estimated time frame (e.g., 18 months) for the project implementation, the estimated completion year for projects that are scheduled or ongoing, and the actual completion year for projects that have been implemented;
(G) Estimated total one-time budgetary costs (in 2010 dollars), including, but not limited to, capital costs of equipment, installation, design, construction, and permits;
(H) Estimated total average recurring annual budgetary costs (in 2010 dollars), including, but not limited to, operation and maintenance;
(I) Estimated project life;
(J) Estimated average annual energy savings;
(K) Estimated associated average annual GHG emission reductions and criteria air pollutant and toxic air contaminant emission impacts;
(L) Estimated annual cost savings (in 2010 dollars), if applicable;
(M) Specification in detail of the estimation method, source test method, or other measurement method that was used to quantify the estimated GHG, criteria air pollutant, and toxic air contaminant emission impacts in (K) above. The estimation method must include, but is not limited to, emission factors, control efficiency assumptions, and any other key assumptions used. The Executive Officer may work with the facility operator to determine appropriate values and may provide guidance for specific methodologies to be used; and
(N) Identification of any District air quality permit requirements, California Environmental Quality Act requirements, and other implementation considerations (including, but not limited to building, zoning, operational, safety, noise, water, and other environmental impacts).
(c) Alternative Approach Using Energy Consumption. For the Energy Efficiency Improvement Analysis in (b) above, the operator may identify potential improvement projects for equipment, processes, or systems that cumulatively account for at least 95 percent of the facility's total energy consumption as reported in section 95604(a), provided that the Executive Officer finds that this approach is equivalent to the approach contained in section 95604(b). The operator must identify the equipment excluded from the analysis by equipment type and numbers of pieces of equipment per type.
(d) Fuel Use Measurement Accuracy. The operator must employ the procedures for fuel use data measurements as required by the Regulation for the Mandatory Reporting of Greenhouse Gas Emissions, Subchapter 10, Article 2, sections 95100 to 95133, title 17, California Code of Regulations.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95605. Reporting Requirements.
Note     •     History

The operator of each applicable facility described in section 95601(a) must submit the data specified in section 95604 and the following information, collectively referred to as the Assessment Report, to the Executive Officer according to the following:
(a) By December 15, 2011, the operator of each applicable facility described in section 95601(a) must submit the Assessment Report to the Executive Officer.
(b) The facility operator must sign a statement certifying that the information contained in the Assessment Report is true, accurate, and complete and that the operator is duly authorized to represent the facility on all matters related to the Assessment Report.
(c) If the Assessment Report is conducted by a third party, the third party assessor must sign a statement certifying that the information contained in the Assessment Report is true, accurate, and complete and that the third party assessor is duly authorized to represent the facility and operator on all matters related to the Assessment Report.
(d) The Assessment Report must be submitted to the Air Resources Board using the following address:

CALIFORNIA AIR RESOURCES BOARD
STATIONARY SOURCE DIVISION, ENERGY ASSESSMENTS
1001 I STREET
P.O. BOX 2815
SACRAMENTO, CALIFORNIA 95812-2815
(e) An alternative method of submittal, including electronic submittals, may be approved by the Executive Officer.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 38580, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 38580, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95606. Document Retention, Recordkeeping, and Additional Data Requirements.
Note     •     History

(a) General Requirements. The operator must establish and document a system that provides clarity, transparency, and completeness of data and processes sufficient to facilitate replication of the Assessment Report information as specified by this article. The operator must complete an Assessment Report that is in conformance with the data collection methodologies specified in their Assessment Report.
(b) Document Retention and Recordkeeping. The operator must retain documents regarding the procedures used to obtain the data supplied as specified by this article for a minimum of five years following submittal of the Assessment Report.
(c) Additional Data Requirements. Upon written request by ARB, the operator must within 30 days of receipt of the written request provide ARB access to all documents, including data and methodologies, used to develop the Assessment Report.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 38580, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 38580, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95607. Compliance Extension for Assessment Report Submittal.
Note     •     History

A facility operator may be granted a compliance extension to the Assessment Report submittal deadline specified in section 95605(a) as provided below.
(a) The Executive Officer may grant, in writing, up to a 90-day compliance extension upon determining the following conditions have been met:
(1) The facility operator has requested the compliance extension by November 15, 2011;
(2) The facility operator has described the reason(s) for the request for a compliance extension and has identified the additional time required for completion of the Assessment Report; and
(3) The requested compliance extension does not exceed 90 days.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 38580, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 38580, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95608. Assessment Report Review, Validation, and Public Disclosure.
Note     •     History

(a) Within 45 days of receipt of an Assessment Report, the Executive Officer will review the Assessment Report and determine whether it is complete as specified in section 95604, and whether the data submitted is valid and calculated using emissions calculation methodologies provided with the Assessment Report as required in section 95604(b) and using previously reported data, as required in section 95604(a). The Executive Officer will notify the facility operator of any deficiencies in the Assessment Report. The facility operator and the Executive Officer may mutually agree to a longer time period for reaching a decision on the completeness of the Assessment Report, and additional supporting documentation may be submitted by the facility operator before the Executive Officer deems the Assessment Report to be complete. If the Assessment Report is deemed incomplete, the Executive Officer will notify the facility operator in writing, via either an electronic submission or hard copy, of the determination of an incomplete Assessment Report and may require the operator to conduct a third-party assessment following the requirements in section 95609.
(b) The Executive Officer will establish an Internet site (“Assessment Report Internet site”) in which all Assessment Reports will be made available to the public. Completed Assessment Reports submitted to ARB will be posted on the Assessment Report Internet site by April 30, 2012.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 38580, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 38580, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95609. Third Party Assessment Report.
Note     •     History

(a) In the event that an operator is required per section 95608(a) to complete a new Assessment Report, conducted by a third party, all requirements of sections 95604 through 95606 will apply.
(1) Within 60 days of receiving notification from ARB of its determination of an incomplete Assessment Report, the operator must submit a written application to the Executive Officer for approval of the operator's chosen third party assessor. The facility operator and the Executive Officer may mutually agree to a longer time period for submitting the written application. The application must include the following:
(A) third party assessor company name;
(B) third party assessor contact name, title, address, phone number, and email address;
(C) demonstration of the third party assessor's qualifications to effectively conduct a facility-wide Assessment Report as required by this regulation;
(D) a cost estimate from the third party assessor for conducting the assessment;
(E) a signed statement from the third party assessor that they have no interest, material or otherwise, in the facility or relationship with facility personnel or owners that could be construed as adversely affecting their impartiality; and
(F) a signed statement from the facility operator that they have no interest, material or otherwise, in the third party assessor or relationship with the third party assessor's company or personnel that could be construed as adversely affecting their impartiality;
(2) The Executive Officer will approve the third party assessor selected by the facility upon determining that the requirements of (a)(1) above have been met.
(3) The operator must submit the completed third party Assessment Report within 90 days of receiving Executive Officer approval of the third party assessor. The facility operator and the Executive Officer may mutually agree to a longer time period for submitting the completed third party Assessment Report.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 38580, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 38580, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95610. Confidentiality.
Note     •     History

(a) Emissions data submitted to the ARB under this article is public information and would not be designated as confidential.
(b) Any entity submitting information to the ARB pursuant to this article may designate information that is not emissions data as confidential because they believe it to be a trade secret or otherwise exempt from public disclosure under the California Public Records Act (Government Code section 6250 et seq.). All such requests for confidentiality will be handled in accordance with the procedures specified in title 17, California Code of Regulations, sections 91000 to 91022.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95611. Enforcement.
Note     •     History

(a) Submission of inaccurate information to the Executive Officer or an agent or representative of the Air Resources Board, will constitute a separate violation of the requirements of this article for each day after the information has been received by the Executive Officer.
(b) Failure to submit any report or to include in a report all information required by this article, or late submittal of the report, will constitute a separate violation of this article for each day that the report has not been submitted beyond the required submittal date, as specified in section 95605. For the purposes of this section, “report” means any document required to be submitted by this article.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 38580, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 38580, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
§95612. Severability.
Note     •     History

Each part of this article will be deemed severable, and in the event that any provision of this article is held to be invalid, the remainder of this article will continue in full force and effect.
NOTE

Authority cited: Sections 38510, 38530, 38560, 38562, 39600, 39601, 39659 and 41511, Health and Safety Code. Reference: Sections 38501, 38505, 38510, 38530, 38550, 38551, 38560, 38561, 38562, 38563, 39003, 39500, 39600, 39601, 39659 and 41511, Health and Safety Code.
HISTORY

1. New section filed 6-16-2011; operative 7-16-2011 (Register 2011, No. 24).
Article 5. California Cap on Greenhouse Gas Emissions and Market-Based Compliance Mechanisms
Subarticle 2. Purpose and Definitions
§95801. Purpose.
Note     •     History

The purpose of this article is to reduce emissions of greenhouse gases associated with entities identified in this article through the establishment, administration, and enforcement of the California Greenhouse Gas Cap-and-Trade Program by applying an aggregate greenhouse gas allowance budget on covered entities and providing a trading mechanism for compliance instruments. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New article 5 (subarticles 2-16, sections 95801-96022), subarticle 2 (sections 95801-95802) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95802. Definitions.
Note     •     History

(a) Definitions. For the purposes of this article, the following definitions shall apply:
(1) “Accounts Administrator” means the entity acting in the capacity to administer the accounts identified in this regulation. This may be ARB, or could be an entity ARB enters into a contract with.
(2) “Activity-Shifting Leakage” means increased GHG emissions or decreased GHG removals that result from the displacement of activities or resources from inside the offset project's boundary to locations outside the offset project's boundary as a result of the offset project activity.
(3) “Additional” means, in the context of offset credits, greenhouse gas emission reductions or removals that exceed any greenhouse gas reduction or removals otherwise required by law, regulation or legally binding mandate, and that exceed any greenhouse gas reductions or removals that would otherwise occur in a conservative business-as-usual scenario.
(4) “Adjusted Clinker and Mineral Additives Produced” means annual amount of clinker and mineral additives (limestone and gypsum) derived by using the following metric: Adjusted clinker and mineral additives produced = clinker produced x (1 + (limestone and gypsum consumed)/clinker consumed)). 
(5) “Adverse Offset Verification Statement” means an Offset Verification Statement rendered by a verification body attesting that the verification body cannot say with reasonable assurance that the submitted Offset Project Data Report is free of an offset material misstatement, or that it cannot attest that the Offset Project Data Report conforms to the requirements of this article or applicable Compliance Offset Protocol.
(6) “Agent” in a beneficial holdings relationship pursuant to 95834 means the registered entity acquiring and holding compliance instruments to be transferred to another entity under an agreement disclosed to ARB.
(7) “Air Dried Ton of Paper” means paper with 6 percent moisture content.
(8) “Allowance” means a limited tradable authorization to emit up to one metric ton of carbon dioxide equivalent.
(9) “Alternate Authorized Account Representative” means the single entity identified during the account application process who may act on behalf of the authorized account representative.
(10) “Annual Allowance Budget” means the number of California Greenhouse Gas Allowances associated with one year of the Cap-and-Trade Program in subarticle 6. 
(11) “API Gravity” means a scale used to reflect the specific gravity (SG) of a fluid such as crude oil, water, or natural gas. The API gravity is calculated as [(141.5/SG) - 131.5], where SG is the specific gravity of the fluid at 60oF, where API refers to the American Petroleum Institute. 
(12) “ARB Offset Credit” means a tradable compliance instrument issued by ARB that represents a GHG reduction or GHG removal enhancement of one metric ton of CO2e. The GHG reduction or GHG removal enhancement must be real, additional, quantifiable, permanent, verifiable, and enforceable.
(13) “Asphalt” means a dark brown-to-black, cement-like material obtained by petroleum processing and containing bitumens as the predominant component. It includes crude asphalt as well as the following finished products: cements, fluxes, the asphalt content of emulsions (exclusive of water), and petroleum distillates blended with asphalt to make cutback asphalts.
(14) “Asset Controlling Supplier” means any entity that owns or operates electricity generating facilities or serves as an exclusive marketer for certain generating facilities even though it does not own them, and is assigned a supplier-specific identification number and specified source emission factor by ARB for the wholesale electricity procured from its system and imported into California. Bonneville Power Administration (BPA) is recognized by ARB as an asset controlling supplier.
(15) “Assigned Emissions” or “Assigned Emissions Level” means an amount of emissions, in CO2e, assigned to the reporting entity by the Executive Officer under the requirements of section 95103(g) of MRR.
(16) “Associated Gas” or “Produced Gas” means a natural gas that is produced from gas wells or gas produced in association with the production of crude oil.
(17) “Auction” means the process of selling California Greenhouse Gas Allowances by offering them up for bid, taking bids, and then distributing the allowances to winning bidders.
(18) “Auction Purchase Limit” means the limit on the number of allowances one entity or a group of affiliated entities may purchase from the share of allowances sold at a quarterly auction.
(19) “Auction Reserve Price” means a price for allowances below which bids at auction would not be accepted.
(20) “Auction Settlement Price” means the price announced by the auction administrator at the conclusion of each quarterly auction. It is the price which all successful bidders will pay for their allowances and also the price to be paid to those entities which consigned allowances to the auction.
(21) “Authorized Account Representative” means an entity approved through the application process outlined in 95832 and able to legally bind each entity that owns compliance instruments held in the account in all matters pertaining to this article.
(22) “Authorized Project Designee” means an entity authorized by an Offset Project Operator to act on behalf of the Offset Project Operator.
(23) “Aviation Gasoline” means a complex mixture of volatile hydrocarbons, with or without additives, suitably blended to be used in aviation reciprocating engines. Specifications are as stated in MRR, section 95102(a).
(24) “Balancing Authority” means the responsible entity that integrates resource plans ahead of time, maintains load-interchange-generation balance within a balancing authority area, and supports interconnection frequency in real time.
(25) “Balancing Authority Area” means the collection of generation, transmission, and loads within the metered boundaries of a balancing authority. A balancing authority maintains load-resource balance within this area.
(26) “Banking” means the holding of compliance instruments from one compliance period for the purpose of sale or surrender in a future compliance period.
(27) “Barrel of Oil Equivalent,” with respect to reporting of oil and gas production, means barrels of crude oil produced, plus associated gas produced converted to barrels at 5.8 MMbtu per barrel.
(28) “Beneficial Holding” means the acquisition and holding of compliance instruments by a registered entity to be transferred to another registered entity under an agreement disclosed to ARB. 
(29) “Biodiesel” means a diesel fuel substitute produced from nonpetroleum renewable resources that meet the registration requirements for fuels and fuel additives established by the U.S. Environmental Protection Agency under section 211 of the Clean Air Act. It includes biodiesel that is all of the following:
(A) Registered as a motor vehicle fuel or fuel additive under 40 CFR Part 79 (June 27, 1994);
(B) A mono-alkyl ester;
(C) Meets American Society for Testing and Material designation ASTM D 6751-08 (Standard Specification for Biodiesel Fuel Blendstock (B100) for Middle Distillate Fuels, 2008);
(D) Intended for use in engines that are designated to run on conventional diesel fuel; and
(E) Derived from nonpetroleum renewable resources.
(30) “Biogas” means gas that is produced from the breakdown of organic material in the absence of oxygen. Biogas is produced in processes including anaerobic digestion, anaerobic decomposition, and thermochemical decomposition. These processes are applied to biodegradable biomass materials, such as manure, sewage, municipal solid waste, green waste, and waste from energy crops, to produce landfill gas, digester gas, and other forms of biogas.
(31) “Biomass” means non-fossilized and biodegradable organic material originating from plants, animals, and microorganisms, including products, by-products, residues, and waste from agriculture, forestry, and related industries as well as the non-fossilized and biodegradable organic fractions of industrial and municipal wastes, including gases and liquids recovered from the decomposition of non-fossilized and biodegradable organic material. For the purpose of this article, biomass includes both California Renewable Portfolio Standard (RPS) eligible and non-eligible biomass as defined by the California Energy Commission.
(32) “Biomass-Derived Fuels” or “Biomass Fuels” or “Biofuels” means fuels derived from biomass.
(33) “Biomethane” means biogas that meets pipeline quality natural gas standards.
(34) “Blendstocks” are petroleum products used for blending or compounding into finished motor gasoline. These include RBOB (reformulated blendstock for oxygenate blending) and CBOB (conventional blendstock for oxygenate blending), but exclude oxygenates, butane, and pentanes plus.
(35) “Budget Year” means the annual allowance budget assigned pursuant to subarticle 6.
(36) “Business-as-Usual Scenario” means the set of conditions reasonably expected to occur within the offset project boundary in the absence of the financial incentives provided by offset credits, taking into account all current laws and regulations, as well as current economic and technological trends.
(37) “Calcium Ammonium Nitrate Solution” means calcium nitrate that contains ammonium nitrate and water. Calcium ammonium nitrate solution is generally used as agricultural fertilizer.
(38) “Calendar Year” means the time period from January 1 through December 31.
(39) “California Balancing Authority” shall have the same meaning ascribed in section 95102(a) of MRR.
(40) “California Electricity Transmission and Distribution System” means the combination of the entire infrastructure within California that delivers electric power from electric generating facilities to end users over single or multiple paths.
(41) “California Greenhouse Gas Emissions Allowance” or “CA GHG Allowance” means an allowance issued by ARB and equal to up to one metric ton of CO2 equivalent.
(42) “Cap” means the total number of California GHG Allowances that the Executive Officer issues over a given period of time.
(43) “Cap-and-Trade Program” means the requirements of this article.
(44) “Carbon Dioxide” or “CO2” means the most common of the six primary greenhouse gases, consisting on a molecular level of a single carbon atom and two oxygen atoms.
(45) “Carbon Dioxide Equivalent” or “CO2 equivalent” or “CO2e” means the number of metric tons of CO2 emissions with the same global warming potential as one metric ton of another greenhouse gas. Global warming potential values shall be determined consistent with the definition of Carbon Dioxide Equivalent in MRR section 95102(a).
(46) “Carbon Stock” means the quantity of carbon contained in an identified GHG reservoir.
(47) “Carbon Dioxide Supplier” or “CO2 Supplier” means (a) facilities with production process units located in the State of California that capture a CO2 stream for purposes of supplying CO2 for commercial applications or that capture the CO2 stream in order to utilize it for geologic sequestration where capture refers to the initial separation and removal of CO2 from a manufacturing process or any other process, (b) facilities with CO2 production wells located in the State of California that extract or produce a CO2 stream for purposes of supplying CO2 for commercial applications or that extract a CO2 stream in order to utilize it for geologic sequestration, (c) exporters (out of the State of California) of bulk CO2 that export CO2 for the purpose of geologic sequestration, (d) exporters (out of the State of California) of bulk CO2 that export for purposes other than geologic sequestration, and (e) importers (into the State of California) of bulk CO2. This source category is focused on upstream supply and is not intended to place duplicative compliance obligations on CO2 already covered upstream. The source category does not include transportation or distribution of CO2; purification, compression, or processing of CO2; or on-site use of CO2 captured on-site.
(48) “Carbon Dioxide Weighted Tonne” or “CO2 Weighted Tonne” or “CWT” means a metric created to evaluate the greenhouse gas efficiency of petroleum refineries and related processes stated in units of metric tons. The CWT value for an individual refinery is calculated using actual refinery throughput to specified process units and emission factors for these process units. The emission factor is denoted as the CWT factor and is representative of the greenhouse gas emission intensity at an average level of energy efficiency, for the same standard fuel type for each process unit for production, and for average process emissions of the process units across a sample of refineries. Each CWT factor is expressed as a value weighted relative to crude distillation.
(49) “Cement” means a building material that is produced by heating mixtures of limestone and other minerals or additives at high temperatures in a rotary kiln to form clinker, followed by cooling and grinding with blended additives. Finished cement is a powder used with water, sand, and gravel to make concrete and mortar.
(50) “Cogeneration” means an integrated system that produces electric energy and useful thermal energy for industrial, commercial, or heating and cooling purposes, through the sequential or simultaneous use of the original fuel energy. Cogeneration must involve onsite generation of electricity and useful thermal energy and some form of waste heat recovery. 
(51) “Cold Rolling of Steel” means the changes in the structure and shape of steel through rolling, hammering or stretching the steel at a low temperature.
(52) “Cold Rolled and Annealed Steel Sheet” means steel that is cold rolled and then annealed. Cold rolling means the changes in the structure and shape of steel through rolling, hammering or stretching the steel at a low temperature. Annealing is a heat or thermal treatment process by which a previously cold-rolled steel coil is made more suitable for forming and bending. The steel sheet is heated to a designated temperature for a sufficient amount of time and then cooled. 
(53) “Combustion Emissions” means greenhouse gas emissions occurring during the exothermic reaction of a fuel with oxygen.
(54) “Compliance Account” means an account created by the accounts administrator for a covered entity or opt-in covered entity with a compliance obligation, to which the entity transfers compliance instruments to meet its annual and triennial compliance obligations.
(55) “Compliance Instrument” means an allowance, ARB offset credit or sector-based offset credit. Each compliance instrument can be used to fulfill a compliance obligation equivalent to up to one metric ton of CO2e.
(56) “Compliance Obligation” means the quantity of verified reported emissions or assigned emissions for which an entity must submit compliance instruments to ARB.
(57) “Compliance Offset Protocol” means an offset protocol adopted by the Board.
(58) “Compliance Period” means the three-year period for which the compliance obligation is calculated for covered entities except for the first compliance period. The compliance obligation for the first compliance period only considers emissions from data years of 2013 and 2014.
(59) “Conflict of Interest” means, for purposes of this article, a situation in which, because of financial or other activities or relationships with other persons or organizations, a person or body is unable or potentially unable to render an impartial Offset Verification Statement of a potential client's Offset Project Data Report, or the person or body's objectivity in performing offset verification services is or might be otherwise compromised.
(60) “Conservative” means, in the context of offsets, utilizing project baseline assumptions, emission factors, and methodologies that are more likely than not to understate net GHG reductions or GHG removal enhancements for an offset project to address uncertainties affecting the calculation or measurement of GHG reductions or GHG removal enhancements.
(61) “Consumer Price Index for All Urban Consumers” means a measure that examines the changes in the price of a basket of goods and services purchased by urban consumers, and is published by the U.S. Bureau of Labor Statistics.
(62) “Container Glass Pulled” means the quantity of glass removed from the melting furnace in the container glass manufacturing process where “container glass” is defined as glass products used for packaging. 
(63) “Counterparty” means the opposite party in a bilateral agreement, contract, or transaction.
(64) “Covered Entity” means an entity within California that has one or more of the processes or operations and has a compliance obligation as specified in subarticle 7 of this regulation; and that has emitted, produced, imported, manufactured, or delivered in 2008 or any subsequent year more than the applicable threshold level specified in section 95812(a) of this rule. 
(65) “Crediting Baseline” refers to the reduction of absolute GHG emissions below the business-as-usual scenario or reference level across a jurisdiction's entire sector in a sector-based crediting program after the imposition of greenhouse gas emission reduction requirements or incentives.
(66) “Crediting Period” means the pre-determined period for which an offset project will remain eligible to be issued ARB offset credits or registry offset credits for verified GHG emission reductions or GHG removal enhancements.
(67) “Data Year” means the calendar year in which emissions occurred.
(68) “Deforestation” means direct human-induced conversion of forested land to non-forested land.
(69) “Delivered Electricity” means electricity that was distributed from a PSE and received by a PSE or electricity that was generated, transmitted, and consumed. 
(70) “Diesel Fuel” means Distillate Fuel No. 1 and Distillate Fuel No. 2, including dyed and non-taxed fuels.
(71) “Direct Delivery of Electricity” or “directly delivered” has the same meaning as ascribed to MRR section 95102(a). 
(72) “Direct GHG Emission Reduction” means a GHG emission reduction from applicable GHG emission sources, GHG sinks, or GHG reservoirs that are under control of the Offset Project Operator or Authorized Project Designee. 
(73) “Direct GHG Removal Enhancement” means a GHG removal enhancement from applicable GHG emission sources, GHG sinks, or GHG reservoirs under control of the Offset Project Operator or Authorized Project Designee.
(74) “Distillate Fuel No. 1” has a maximum distillation temperature of 550 F at the 90 percent recovery point and a minimum flash point of 100 F and includes fuels commonly known as Diesel Fuel No. 1 and Fuel Oil No. 1, but excludes kerosene. This fuel is further subdivided into categories of sulfur content: High Sulfur (greater than 500 ppm), Low Sulfur (less than or equal to 500 ppm and greater than 15 ppm), and Ultra Low Sulfur (less than or equal to 15 ppm).
(75) “Distillate Fuel No. 2” has a minimum and maximum distillation temperature of 540 F and 640 F at the 90 percent recovery point, respectively, and includes fuels commonly known as Diesel Fuel No. 2 and Fuel Oil No. 2. This fuel is further subdivided into categories of sulfur content: High Sulfur (greater than 500 ppm), Low Sulfur (less than or equal to 500 ppm and greater than 15 ppm), and Ultra Low Sulfur (less than or equal to 15 ppm).
(76) “Distillate Fuel No. 4” is a distillate fuel oil made by blending distillate fuel oil and residual fuel oil, with a minimum flash point of 131 F.
(77) “Distillate Fuel Oil” means a classification for one of the petroleum fractions produced in conventional distillation operations and from crackers and hydrotreating process units. The generic term “distillate fuel oil” includes kerosene, kerosene-type jet fuel, diesel fuels (Diesel Fuels No. 1, No. 2, and No. 4), and fuel oils (Fuel Oils No. 1, No. 2, and No. 4).
(78) “Dolime” is calcined dolomite.
(79) “Dry Gas” means a natural gas that is produced from gas wells not associated with the production of crude oil.
(80) “Early Action Offset Credit” means a tradable credit issued by an Early Action Offset Program that represents a GHG reduction or GHG removal enhancement equivalent to one metric ton of CO2e and meets the requirements of section 95990(c).
(81) “Early Action Offset Program” means a program that meets the requirements of section 95990(a) and is approved by ARB.
(82) “Early Action Offset Project” means an offset project that is registered with an Early Action Offset Program and has been issued early action offset credits.
(83) “Early Action Verification Report” means a verification report submitted to an Early Action Offset Program that covers GHG reductions or GHG removal enhancements achieved by an early action offset project over a specific time period.
(84) “Electric Arc Furnace” or “EAF” means a furnace that produces molten steel and heats the charge materials with electric arcs from carbon electrodes. Furnaces that continuously feed direct-reduced iron ore pellets as the primary source of iron are not affected facilities within the scope of this definition.
(85) “Electrical Distribution Utility(ies)” means an entity that owns and/or operates an electrical distribution system, including: 1) a public utility as defined in the Public Utilities Code section 216 (referred to as an Investor Owned Utility or IOU); or 2) a local publicly owned electric utility (POU) as defined in Public Utilities Code section 224.3 or 3) an Electrical Cooperative (COOP) as defined in Public Utilities Code section 2776, that provides electricity to retail end users in California.
(86) “Electricity Generating Facility” means a facility that generates electricity and includes one or more generating units at the same location. 
(87) “Electricity Importers” are marketers and retail providers that deliver imported electricity. For electricity delivered between balancing authority areas, the electricity importer is identified on the NERC E-tag as the purchasing-selling entity (PSE) on the last segment of the tag's physical path with the point of receipt located outside the state of California and the point of delivery located inside the state of California. For facilities physically located outside the state of California with the first point of interconnection to a California balancing authority's transmission and distribution system, the importer is the facility operator or scheduling coordinator. Federal and state agencies are subject to the regulatory authority of ARB under this article, and include Western Area Power Administration (WAPA), Bonneville Power Administration (BPA) and California Department of Water Resources (DWR). 
(88) “Eligible Renewable Energy Resource” has the same meaning as defined in Section 399.12 of the Public Utilities Code.
(89) “Emissions” means the release of greenhouse gases into the atmosphere from sources and processes in a facility, including from the combustion of transportation fuels such as natural gas, petroleum products, and natural gas liquids. In the context of offsets, “emissions” means the release of greenhouse gases into the atmosphere from sources and processes within an offset project boundary.
(90) “Emissions Data Report” or “greenhouse gas emissions data report” or “report” means the report prepared by an operator or supplier each year and submitted by electronic means to ARB that provides the information required by MRR.
(91) “Emissions Efficiency Benchmark” or “GHG emissions efficiency benchmark” means a performance standard used to evaluate GHG emissions efficiency between and amongst similar facilities or operations in the same industrial sector.
(92) “End User” means a final purchaser of an energy product, such as electricity, thermal energy, or natural gas not for the purposes of retransmission or resale. In the context of natural gas consumption, an “end user” is the point to which natural gas is delivered for consumption. 
(93) “Enforceable” means the authority for ARB to hold a particular party liable and to take appropriate action if any of the provisions of this article are violated. 
(94) “Enhanced Oil Recovery” or “EOR” means the use of certain methods such as steam (thermal EOR), water flooding or gas injection into existing wells to increase the recovery of crude oil from a reservoir. In the context of this rule, EOR also applies to injection of critical phase carbon dioxide into a crude oil reservoir to enhance the recovery of oil.
(95) “Enterer” means an entity that imports, into California, motor vehicle fuel, diesel fuel, fuel ethanol, biodiesel, or non exempt biomass-derived fuel or renewable fuel and who is the importer of record under federal customs law or the owner of fuel upon import into California, if the fuel is not subject to federal customs law.
(96) “Entity” means a person, firm, association, organization, partnership, business trust, corporation, limited liability company, company, or government agency.
(97) “Environmental Impact Assessment” means a detailed public disclosure statement of potential environmental and socioeconomic impacts associated with a proposed project. Such disclosure is a matter of public record and provides detailed information to public agencies and the general public about the effect that a proposed project is likely to have on the environment and ways in which the significant effects of such a project might be minimized, and to indicate alternatives to such a project.
(98) “Executive Officer” means the Executive Officer of the California Air Resources Board, or his or her delegate.
(99) “Exported Electricity” shall have the same meaning ascribed in section 95102(a) of MRR. 
(100) “External Greenhouse Gas Emissions Trading System” or “External GHG ETS” means an administrative system, other than the California Cap-and-Trade Program, that controls greenhouse gas emissions from sources in its program.
(101) “Facility” means any physical property, plant, building, structure, source, or stationary equipment located on one or more contiguous or adjacent properties in actual physical contact or separated solely by a public roadway or other public right-of-way and under common ownership or common control, that emits or may emit any greenhouse gas. Operators of military installations may classify such installations as more than a single facility based on distinct and independent functional groupings within contiguous military properties.
(102) “Fiberglass Glass Pulled” means the quantity of glass removed from the melting furnace in the fiberglass manufacturing process where “Fiberglass” is defined as insulation products for thermal, acoustic and fire applications manufactured using glass.
(103) “First Deliverer of Electricity” or “First Deliverer” means the operator of an electricity generating facility in California or an electricity importer. 
(104) “Flash Point” of a volatile liquid is the lowest temperature at which it can vaporize to form an ignitable mixture in air.
(105) “Flat Glass Pulled” means the quantity of glass removed from the melting furnace in the flat glass manufacturing process where “flat glass” is defined as glass initially manufactured in a sheet form. 
(106) “Fluorinated Greenhouse Gas” means sulfur hexafluoride (SF6), nitrogen trifluoride (NF3), and any fluorocarbon except for controlled substances as defined at 40 CFR Part 82 (May 10, 1995), subpart A and substances with vapor pressures of less than 1 mm of Hg absolute at 25 C. With these exceptions, “fluorinated GHG” includes any hydrofluorocarbon; any perfluorocarbon; any fully fluorinated linear, branched, or cyclic alkane, ether, tertiary amine, or aminoether; any perfluoropolyether; and any hydrofluoropolyether. 
(107) “Fluting” means the center segment of corrugated shipping containers, being faced with linerboard (testliner/kraftliner) on both sides. Fluting covers mainly papers made from recycled fiber but this group also holds paperboard that is made from chemical and semichemical pulp.
(108) “Forest Buffer Account” means a holding account for ARB offset credits issued to forest offset projects. It is used as a general insurance mechanism against unintentional reversals, for all forest offset projects listed under a Compliance Offset Protocol.
(109) “Forest Owner” means the owner of any interest in the real (as opposed to personal) property involved in a forest offset project, excluding government agency third party beneficiaries of conservation easements. Generally, a Forest Owner is the owner in fee of the real property involved in a forest offset project. In some cases, one entity may be the owner in fee while another entity may have an interest in the trees or the timber on the property, in which case all entities or individuals with interest in the real property are collectively considered the Forest Owners, however, a single Forest Owner must be identified as the Offset Project Operator. 
(110) “Fossil Fuel” means natural gas, petroleum, coal, or any form of solid, liquid, or gaseous fuel derived from such material for the purpose of creating useful heat.
(111) “Fractionates” means the process of separating natural gas liquids into their constituent liquid products.
(112) “Fuel” means solid, liquid, or gaseous combustible material. Volatile organic compounds burned in destruction devices are not fuels unless they can sustain combustion without use of a pilot fuel, and such destruction does not result in a commercially useful end product.
(113) “Fuel Analytical Data” means data collected about fuel usage (including mass, volume, and flow rate) and fuel characteristics (including heating value, carbon content, and molecular weight) to support emissions calculation.
(114) “Fuel supplier” means a supplier of petroleum products, a supplier of biomass-derived transportation fuels, a supplier of natural gas, or a supplier of liquid petroleum gas as specified in MRR.
(115) “Fugitive Emissions” means those emissions which are unintentional and could not reasonably pass through a stack, chimney, vent, or other functionally-equivalent opening.
(116) “Galvanized Steel Sheet” means steel coated with a thin layer of zinc to provide corrosion resistance for such products as garbage cans, storage tanks, or framing for buildings. Sheet steel normally must be cold-rolled prior to the galvanizing stage. 
(117) “Gas” means the state of matter distinguished from the solid and liquid states by: relatively low density and viscosity; relatively great expansion and contraction with changes in pressure and temperature; the ability to diffuse readily; and the spontaneous tendency to become distributed uniformly throughout any container.
(118) “Gaseous Hydrogen” means hydrogen in a gaseous state.
(119) “Geologic Sequestration” means the process of injecting CO2 captured from an emissions source into deep subsurface rock formations for long-term storage.
(120) “Global Warming Potential” or “GWP” means the ratio of the time-integrated radiative forcing from the instantaneous release of one kilogram of a trace substance relative to that of one kilogram of a reference gas, i.e., CO2.
(121) “Greenhouse Gas” or “GHG” means carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), sulfur hexafluoride (SF6), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), and other fluorinated greenhouse gases as defined in this section.
(122) “Greenhouse Gas Emission Reduction” or “GHG Emission Reduction” or “Greenhouse Gas Reduction” or “GHG Reduction” means a calculated decrease in GHG emissions relative to a project baseline over a specified period of time.
(123) “Greenhouse Gas Emissions Source” or “GHG Emissions Source” means, in the context of offset credits, any type of emitting activity that releases greenhouse gases into the atmosphere.
(124) “Greenhouse Gas Removal” or “GHG Removal” means the calculated total mass of a GHG removed from the atmosphere over a specified period of time.
(125) “Greenhouse Gas Removal Enhancement” or “GHG Removal Enhancement” means a calculated increase in GHG removals relative to a project baseline. 
(126) “Greenhouse Gas Reservoir” or “GHG Reservoir” means a physical unit or component of the biosphere, geosphere, or hydrosphere with the capability to store, accumulate, or release a GHG removed from the atmosphere by a GHG sink or a GHG captured from a GHG emission source.
(127) “Greenhouse Gas Sink” or “GHG Sink” means a physical unit or process that removes a GHG from the atmosphere.
(128) “HD-5” or “Special Duty Propane” has the same meaning as contained in MRR.
(129) “HD-10” has the same meaning as contained in MRR.
(130) “Heavy Crude Oil” means a category of crude oil characterized by relatively high viscosity, a higher carbon-to-hydrogen ratio, and a relatively higher density having an API gravity of less than 20.
(131) “Hold,” in the context of a compliance instrument, is to have the serial number assigned to that instrument registered into an account assigned to an entity registered into the California cap-and-trade program or an account under the control of the Executive Officer.
(132) “Horsepower Tested” means the total horsepower of all turbine and generator set units tested prior to sale. 
(133) “Hot Rolled Steel Sheet” means steel produced from the rolling mill that reduces a hot slab into a coil of specified thickness at a relatively high temperature.
(134) “Hydrocarbon” means a chemical compound containing predominantly carbon and hydrogen.
(135) “Hydrofluorocarbon” or “HFC” means a class of GHGs consisting of hydrogen, fluorine, and carbon.
(136) “Hydrogen” means the lightest of all gases, occurring chiefly in combination with oxygen in water; it exists also in acids, bases, alcohols, petroleum, and other hydrocarbons.
(137) “Imported Electricity” means electricity generated outside the state of California and delivered to serve load located inside the state of California. Imported electricity includes electricity delivered across balancing authority areas from a first point of receipt located outside the state of California, to the first point of delivery located inside the state of California, having a final point of delivery in California. Imported electricity includes electricity imported into California over a multi-jurisdictional retail provider's transmission and distribution system, or electricity imported into the state of California from a facility or unit physically located outside the state of California with the first point of interconnection into a California balancing authority's transmission and distribution system. Imported electricity includes electricity that is a result of cogeneration located outside the state of California. Imported electricity does not include electricity wheeled through California, defined pursuant to MRR section 95102(a). Imported electricity does not include electricity imported into the CAISO balancing authority area to serve retail customers that are located within the CAISO balancing authority area, but outside the state of California.
(138) “Initial Crediting Period” means the crediting period that begins with the date that the first GHG emission reductions or GHG removal enhancements took place according to the first Positive Offset or Qualified Positive Offset Verification Statement that is received by ARB.
(139) “Intentional Reversal” means any reversal caused by a forest owner's negligence, gross negligence, or willful intent, including harvesting, development, and harm to the area within the offset project boundary.
(140) “Intrastate Pipeline” means any pipeline wholly within the state of California that is not regulated as a public utility gas corporation by the California Public Utility Commission (CPUC), not a publicly owned natural gas utility and is not regulated as an interstate pipeline by the Federal Energy Regulatory Commission.
(141) “Interstate Pipeline” means any entity that owns or operates a natural gas pipeline delivering natural gas to consumers in the state and is subject to rate regulation by the Federal Energy Regulatory Commission.
(142) “Inventory Position” means a contractual agreement with the terminal operator for the use of the storage facilities and terminaling services for the fuel.
(143) “Issue” or “Issuance” means, in the context of offset credits, the creation of ARB offset credits or registry offset credits equivalent to the number of verified GHG reductions or GHG removal enhancements for an offset project over a specified period of time. In the context of allowances, issue means the placement of an allowance into an account under the control of the Executive Officer.
(144) “Joint Powers Agency(ies)” or “JPA” means an public agency that is formed and created pursuant to the provisions of Government Code sections 6500. et seq. 
(145) “Kerosene” is a light petroleum distillate with a maximum distillation temperature of 400 F at the 10-percent recovery point, a final maximum boiling point of 572 F, a minimum flash point of 100 F, and a maximum freezing point of -22 F. Included are No. 1-K and No. 2-K, distinguished by maximum sulfur content (0.04 and 0.30 percent of total mass, respectively), as well as all other grades of kerosene called range or stove oil. Kerosene does not include kerosene-type jet fuel.
(146) “Kerosene-Type Jet Fuel” means a kerosene-based product used in commercial and military turbojet and turboprop aircraft. The product has a maximum distillation temperature of 400 oF at the 10 percent recovery point and a final maximum boiling point of 572 oF. Included are Jet A, Jet A-1, JP-5, and JP-8.
(147) “Lead Verifier” means, for purposes of this article, a person that has met all of the requirements in section 95132(b)(2) of MRR and who may act as the lead verifier of an offset verification team providing offset verification services or as a lead verifier providing an independent review of offset verification services rendered.
(148) “Lead Verifier Independent Reviewer” or “Independent Reviewer” means, for purposes of this article, a lead verifier within a verification body who has not participated in conducting offset verification services for an Offset Project Developer or Authorized Project Designee for the current Offset Project Data Report and who provides an independent review of offset verification services rendered for an Offset Project Developer or Authorized Project Designee as required in section 95977.1(b)(3)(R).
(149) “Less Intensive Verification” means, for the purposes of this article, the offset verification services provided in interim years between full verifications of an Offset Project Data Report; less intensive verification of an Offset Project Data Report only requires data checks and document reviews of an Offset Project Data Report based on the analysis and risk assessment in the most current sampling plan developed as part of the most recent full offset verification services. This level of verification may only be used if the offset verifier can provide findings with a reasonable level of assurance.
(150) “Light Crude Oil” means a category of crude oil characterized by relatively low viscosity, a lower carbon-to-hydrogen ratio, and a relatively lower density having an API gravity of greater than or equal to 20. 
(151) “Limited Use Holding Account” means an account in which allowances are placed after an entity qualifies for a direct allocation under section 95890(b). Allowances placed in this account can only be removed for consignment to the auction pursuant to section 95831(a)(3).
(152) “Linkage” means the approval of compliance instruments from an external greenhouse gas emission trading system (GHG ETS) to meet compliance obligations under this article, and the reciprocal approval of compliance instruments issued by California to meet compliance obligation in an external GHG ETS.
(153) “Liquefied Hydrogen” means hydrogen in a liquid state.
(154) “Liquefied Petroleum Gas” or “LPG” means a flammable mixture of hydrocarbon gases used as a fuel. LPG is primarily mixtures of propane, butane, propene (propylene) and ethane. The most common specification categories are propane grades, HD-5, HD-10, and commercial grade propane. LPG also includes both odorized and non-odorized liquid petroleum gas, and is also referred to as propane.
(155) “Listed Industrial Sector” means covered industrial sectors that are eligible for industry assistance specified in Table 8-1 of subarticle 8.
(156) “Long-Term Contract” means a contract for the delivery of electricity entered into before January 1, 2006, for the term of five years or more.
(157) “Mandatory Reporting Regulation” or “MRR” means ARB's Regulation for the Mandatory Reporting of Greenhouse Gas Emissions as set forth in title 17, California Code of Regulations, chapter 1, subchapter 10, article 2 (commencing with section 95100).
(158) “Market Index” means any published index of quantities or prices based on results of market transactions.
(159) “Marketer” means a purchasing-selling entity that delivers electricity and is not a retail provider.
(160) “Market-Shifting Leakage,” in the context of an offset project, means increased GHG emissions or decreased GHG removals outside an offset project's boundary due to the effects of an offset project on an established market for goods or services.
(161) “Methane” or “CH4” means a GHG consisting on the molecular level of a single carbon atom and four hydrogen atoms.
(162) “Metric Ton” or “MT” means a common international measurement for mass, equivalent to 2,204.6 pounds or 1.1 short tons.
(163) “Mixed Crude Oil” means a mix of both heavy and light crude oil.
(164) “Monitoring” means, in the context of offset projects, the ongoing collection and archiving of all relevant and required data for determining the project baseline, project emissions, and quantifying GHG reductions or GHG removal enhancements that are attributable to the offset project.
(165) “Motor Gasoline (finished)” has the same definition as MRR.
(166) “Multi-Jurisdictional Retail Provider” means a retail provider that provides electricity to consumers in California and in one or more other states in a contiguous service territory or from a common power system.
(167) “Municipal Solid Waste” or “MSW” means solid-phase household, commercial/retail, and/or institutional waste. Household waste includes material discarded by single and multiple residential dwellings, hotels, motels, and other similar permanent or temporary housing establishments or facilities. Commercial/retail waste includes material discarded by stores, offices, restaurants, warehouses, non-manufacturing activities at industrial facilities, and other similar establishments or facilities. Institutional waste includes material discarded by schools, nonmedical waste discarded by hospitals, material discarded by non-manufacturing activities at prisons and government facilities, and material discarded by other similar establishments or facilities. Household, commercial/retail, and institutional wastes include yard waste, refuse-derived fuel, and motor vehicle maintenance materials. Insofar as there is separate collection, processing, and disposal of industrial source waste streams consisting of used oil, wood pallets, construction, renovation, and demolition wastes (which includes, but is not limited to, railroad ties and telephone poles), paper, clean wood, plastics, industrial process or manufacturing wastes, medical waste, motor vehicle parts or vehicle fluff, or used tires that do not contain hazardous waste identified or listed under 42 U.S.C. §6921, such wastes are not municipal solid waste. However, such wastes qualify as municipal solid waste where they are collected with other municipal solid waste or are otherwise combined with other municipal solid waste for processing and/or disposal.
(168) “Natural Gas” means a naturally occurring mixture of hydrocarbon and non-hydrocarbon gases found in geologic formations beneath the earth's surface, of which its constituents include methane, heavier hydrocarbons, and carbon dioxide. Natural gas may be field quality (which varies widely) or pipeline quality. For the purposes of this rule, the definition of natural gas includes similarly constituted fuels such as field production gas, process gas, and fuel gas.
(169) “Natural Gas Liquids” or “NGLs”, means those hydrocarbons in natural gas that are separated from the gas as liquids through the process of absorption, condensation, adsorption, or other methods. Generally, such liquids consist of ethane, propane, butanes, and pentanes plus. Bulk NGLs refers to mixtures of NGLs that are sold or delivered as undifferentiated product from natural gas processing plants.
(170) “NERC E-tag” means North American Electric Reliability Corporation (NERC) energy tag representing transactions on the North American bulk electricity market scheduled to flow between or across balancing authority areas.
(171) “Nitric Acid” means HNO3 of 100% purity.
(172) “Non-exempt Biomass derived CO2” means CO2 emissions resulting from the combustion of fuel not listed under section 95852.2(a), or that is not verifiable under section 95131(i) of MRR.
(173) “Notice of Delegation” means a formal notice used to delegate authority to make an electronic submission to the accounts administrator. 
(174) “Offset Material Misstatement” means a discrepancy, omission, misreporting, or aggregation of the three, identified in the course of offset verification services that leads an offset verification team to believe that an Offset Project Data Report contains errors resulting in an overstatement of the reported total GHG emission reductions or GHG removal enhancements greater than 5 percent. Discrepancies, omissions, or misreporting, or an aggregation of the three, that result in an understatement of total reported GHG emission reductions or GHG removal enhancements in the Offset Project Data Report is not an offset material misstatement.
(175) “Offset Project” means all equipment, materials, items, or actions that are directly related to or have an impact upon GHG reductions, project emissions, or GHG removal enhancements within the offset project boundary.
(176) “Offset Project Boundary” is defined by and includes all GHG emission sources, GHG sinks or GHG reservoirs that are affected by an offset project and under control of the Offset Project Operator or Authorized Project Designee. GHG emissions sources, GHG sinks or GHG reservoirs not under control of the Offset Project Operator or Authorized Project Designee are not included in the offset project boundary.
(177) “Offset Project Commencement” means, unless otherwise specified in a Compliance Offset Protocol, the date of the beginning of construction, work, or installation for an offset project involving physical construction, other work at an offset project site, or installation of equipment or materials. For an offset project that involves the implementation of a management activity, “offset project commencement” means, unless otherwise specified in a Compliance Offset Protocol, the date on which such activity is first implemented. 
(178) “Offset Project Data Report” means the report prepared by an Offset Project Operator or Authorized Project Designee each year that provides the information and documentation required by this article or a Compliance Offset Protocol.
(179) “Offset Project Operator” means the entity(ies) with legal authority to implement the offset project.
(180) “Offset Project Registry” means an entity that meets the requirements of section 95986 and is approved by ARB that lists offset projects, collects Offset Project Data Reports, facilitates verification of Offset Project Data Reports, and issues registry offset credits for offset projects being implemented using a Compliance Offset Protocol.
(181) “Offset Protocol” means a documented set of procedures and requirements to quantify ongoing GHG reductions or GHG removal enhancements achieved by an offset project and calculate the project baseline. Offset protocols specify relevant data collection and monitoring procedures, emission factors, and conservatively account for uncertainty and activity-shifting and market-shifting leakage risks associated with an offset project.
(182) “Offset Verification” means a systematic, independent, and documented process for evaluation of an Offset Project Operator's or Authorized Project Designee's Offset Project Data Report against ARB's Compliance Offset Protocols and this article for calculating and reporting project baseline emissions, project emissions, GHG reductions, and GHG removal enhancements.
(183) “Offset Verification Services” means services provided during offset verification as specified in sections 95977.1 and 95977.2, including reviewing an Offset Project Operator's or Authorized Project Designee's Offset Project Data Report, verifying its accuracy according to the standards specified in this article and applicable Compliance Offset Protocol, assessing the Offset Project Operator's or Authorized Project Designee's compliance with this article and applicable Compliance Offset Protocol, and submitting an Offset Verification Statement to ARB or an Offset Project Registry.
(184) “Offset Verification Statement” means the final statement rendered by a verification body attesting whether an Offset Project Operator's or Authorized Project Designee's Offset Project Data Report is free of an offset material misstatement, and whether the Offset Project Data Report conforms to the requirements of this article and applicable Compliance Offset Protocol.
(185) “Offset Verification Team” means all of those working for a verification body, including all subcontractors, to provide offset verification services for an Offset Project Operator or Authorized Project Designee.
(186) “Operational Control” for a facility subject to this article means the authority to introduce and implement operating, environmental, health, and safety policies. In any circumstance where this authority is shared among multiple entities, the entity holding the permit to operate from the local air pollution control district or air quality management district is considered to have operational control for purposes of this article.
(187) “Operator” means the entity, including an owner, having operational control of a facility, or other entity from which an emissions data report is required under article 2, section 95104, title 17, Greenhouse Gas Emissions Data Report. For onshore petroleum and natural gas production, the operator is the operating entity listed on the state well drilling permit, or a state operating permit for wells where no drilling permit is issued by the state.
(188) “Opt-in Covered Entity” means an entity that meets the requirements of 95811 that does not exceed the inclusion thresholds set forth in section 95812 and may elect to voluntarily opt-in to the Cap-and-Trade Program and be willing to be subject to the requirements set forth in this article.
(189) “Oxidation” means a reaction in which the atoms in an element lose electrons and the valence of the element is correspondingly increased. 
(190) “Ozone Depleting Substances” or “ODS” means a compound that contributes to stratospheric ozone depletion.
(191) “Perfluorocarbons” or “PFCs” means a class of greenhouse gases consisting on the molecular level of carbon and fluorine.
(192) “Permanent” means, in the context of offset credits, either that GHG reductions and GHG removal enhancements are not reversible, or when GHG reductions and GHG removal enhancements may be reversible, that mechanisms are in place to replace any reversed GHG emission reductions and GHG removal enhancements to ensure that all credited reductions endure for at least 100 years.
(193) “Permanent Retirement Registry” means the publicly available registry in which the Executive Officer will record the serial numbers of the retired compliance instruments.
(194) “Petroleum” means oil removed from the earth and the oil derived from tar sands, and/or shale. 
(195) “Petroleum Refinery” or “Refinery” means any facility engaged in producing gasoline, gasoline blending stocks, naphtha, kerosene, distillate fuel oils, residual fuel oils, lubricants, or asphalt (bitumen) through distillation of petroleum or through re-distillation, cracking, or reforming of unfinished petroleum derivatives. Facilities that distill only pipeline transmix (off-spec material created when different specification products mix during pipeline transportation) are not petroleum refineries, regardless of the products produced.
(196) “Pickled Steel Sheet” means hot rolled steel sheet that is sent through a series of hydrochloric acid baths that remove the oxides. 
(197) “Pipeline Quality Natural Gas” means, for the purpose of calculating emissions under MRR, natural gas having a high heat value greater than 970 Btu/scf and equal to or less than 1,100 Btu/scf, and which is at least ninety percent (90%) methane by volume, and which is less than five percent (5%) carbon dioxide by volume.
(198) “Plaster” is calcined gypsum that is produced and sold as a finished product and is not used in the production of plasterboard at the same facility.
(199) “Plasterboard” is a panel made of gypsum plaster pressed between two thick sheets of paper.
(200) “Point of Delivery” means the point on an electricity transmission or distribution system where a deliverer makes electricity available to a receiver or available to serve load. This point can be an interconnection with another system or a substation where the transmission provider's transmission and distribution systems are connected to another system, or a distribution substation where electricity is imported into California over a multi-jurisdictional retail provider's distribution system. 
(201) “Point of Receipt” means the point on an electricity transmission or distribution system where an electricity receiver receives electricity from a deliverer. This point can be an interconnection with another system or a substation where the transmission provider's transmission and distribution systems are connected to another system.
(202) “Portable” means designed and capable of being carried or moved from one location to another. Indications of portability include wheels, skids, carrying handles, dolly, trailer, or platform. Equipment is not portable if any one of the following conditions exists:
(A) The equipment is attached to a foundation;
(B) The equipment or a replacement resides at the same location for more than 12 consecutive months;
(C) The equipment is located at a seasonal facility and operates during the full annual operating period of the seasonal facility, remains at the facility for at least two years, and operates at that facility for at least three months each year; or
(D) The equipment is moved from one location to another in an attempt to circumvent the portable residence time requirements of this definition.
(203) “Position Holder” means an entity that holds an inventory position in motor vehicle fuel, ethanol, distillate fuel, biodiesel, or renewable diesel as reflected in the records of the terminal operator or a terminal operator that owns motor vehicle fuel or diesel fuel in its terminal.
(204) “Positive Emissions Data Verification Statement” means a verification statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the emissions data in the submitted emissions data report is free of material misstatement and that the emissions data conforms to the requirements of MRR. For purposes of this definition, `material misstatement' shall have the same meaning as ascribed to it in section 95102(a) of MRR.
(205) “Positive Product Data Verification Statement” means a verification statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the product data in the submitted emissions data report is free of material misstatement and that the product data conforms to the requirements of MRR. For purposes of this definition, `material misstatement' shall have the same meaning as ascribed to it in section 95102(a) of MRR.
(206) “Positive Offset Verification Statement” means an Offset Verification Statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the submitted Offset Project Data Report is free of an offset material misstatement and that the Offset Project Data Report conforms to the requirements of this article and applicable Compliance Offset Protocol.
(207) “Power” means electricity, except where the context makes clear that another meaning is intended.
(208) “Primary Refinery Products” means aviation gasoline, motor gasoline, kerosene-type jet fuel, distillate fuel oil, renewable liquid fuels, and asphalt. For the purpose of calculating this value for each refinery ARB will convert blendstocks into their finished fuel volumes by multiplying blendstocks by an assumed blending ratio.
(209) “Principal” means the registered entity in a beneficial holding relationship to which compliance instruments will be transferred by an agent under an agreement with the principal that is disclosed to ARB.
(210) “Proceeds” means monies generated as a result of an auction or from sales from the Allowance Price Containment Reserve. 
(211) “Process” means the intentional or unintentional reactions between substances or their transformation, including the chemical or electrolytic reduction of metal ores, the thermal decomposition of substances, and the formation of substances for use as product or feedstock.
(212) “Process Emissions” means the emissions from industrial processes (e.g., cement production, ammonia production) involving chemical or physical transformations other than fuel combustion. For example, the calcination of carbonates in a kiln during cement production or the oxidation of methane in an ammonia process results in the release of process CO2 emissions to the atmosphere. Emissions from fuel combustion to provide process heat are not part of process emissions, whether the combustion is internal or external to the process equipment.
(213) “Process Unit” means the equipment assembled and connected by pipes and ducts to process raw materials and to manufacture either a final or intermediate product used in the onsite production of other products. The process unit also includes the purification of recovered byproducts.
(214) “Producer” means a person who owns leases, operates, controls, or supervises a California production facility.
(215) “Product Data Verification Statement” means the final statement rendered by a verification body attesting whether a reporting entity's product data in their emissions data report is free of material misstatement, and whether the product data conforms to the requirements of the MRR. For purposes of this definition, `material misstatement' shall have the same meaning as ascribed to it in section 95102(a) of MRR.
(216) “Professional Judgment” means the ability to render sound decisions based on professional qualifications and relevant greenhouse gas accounting and auditing experience.
(217) “Project Baseline” means, in the context of a specific offset project, a conservative estimate of business-as-usual GHG emission reductions or GHG removal enhancements for the offset project's GHG emission sources, GHG sinks, or GHG reservoirs within the offset project boundary.
(218) “Project Emissions” means any GHG emissions associated with the implementation of an offset project that must be accounted for in the Offset Project Data Report.
(219) “Propane” is a paraffinic hydrocarbon with molecular formula C3H8.
(220) “Property Right” means any type of right to specific property whether it is personal or real property, tangible or intangible.
(221) “Public Utility Gas Corporation” is a gas corporation defined in California Public Utilities Code section 222 that is also a public utility as defined in California Public Utilities Code section 216.
(222) “Publicly Owned Natural Gas Utility” means a municipality or municipal corporation, a municipal utility district, a public utility district, or a joint powers authority that includes one or more of these agencies that furnishes natural gas services to end users.
(223) “Purchase Limit” means the maximum percentage of allowances that may be purchased by an entity of a group of affiliated entities at an allowance auction.
(224) “Purchasing-Selling Entity” or “PSE” means the same meaning as ascribed in MRR. 
(225) “Qualified Export” means electricity that is exported in the same hour as imported electricity and documented by NERC E-tags. When imports are not documented on NERC E-tags, because a facility or unit located outside the state of California has a first point of interconnection with a California balancing authority area, the reporting entity may demonstrate hourly electriticy delivery consistent with the record keeping requirements of the California balancing authority area, including records of revenue quality meter data, invoices, or settlements data. Only electricity exported within the same hour and by the same importer as the imported electricity is a qualified export. It is not necessary for the imported and exported electricity (as defined in the MRR) to enter or leave California at the same intertie. Qualified exports shall not result in a negative compliance obligation for any hour.
(226) “Qualified Positive Offset Verification Statement” means an Offset Verification Statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the submitted Offset Project Data Report is free of an offset material misstatement, but the Offset Project Data Report may include one or more nonconformance(s) with the quantification, monitoring, or metering requirements of this article and applicable Compliance Offset Protocol which do not result in an offset material misstatement.
(227) “Qualified Positive Emissions Data Verification Statement” means a statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the emissions data in the submitted emissions data report is free of material misstatement, but the emissions data may include one or more nonconformance(s) with requirements of MRR which do not result in a material misstatement. For purposes of this definition, `material misstatement' shall have the same meaning as ascribed to it in section 95102(a) of MRR.
(228) “Qualified Positive Product Data Verification Statement” means a statement rendered by a verification body attesting that the verification body can say with reasonable assurance that the product data in the submitted emissions data report is free of material misstatement, but the product data may include one or more nonconformance(s) with the requirements of MRR which do not result in a material misstatement. For purposes of this definition, `material misstatement' shall have the same meaning as ascribed to it in section 95102(a) of MRR.
(229) “Quantifiable” means, in the context of offset projects, the ability to accurately measure and calculate GHG reductions or GHG removal enhancements relative to a project baseline in a reliable and replicable manner for all GHG emission sources, GHG sinks, or GHG reservoirs included within the offset project boundary, while accounting for uncertainty and activity-shifting leakage and market-shifting leakage. 
(230) “Quantitative Usage Limit” means a limit on the percentage of an entity's compliance obligation that may be met by surrendering offset credits, sector-based credits, or other compliance instruments designated to be subject to the limit under this article.
(231) “Rack” means a mechanism for delivering motor vehicle fuel or diesel from a refinery or terminal into a truck, trailer, railroad car, or other means of non-bulk transfer.
(232) “Radiative Forcing” means the change in the net vertical irradiance at the atmospheric boundary between the troposphere and the stratosphere due to an internal change or a change in the external forcing of the climate system such as a change in the concentration of carbon dioxide or the output of the Sun.
(233) “Real” means, in the context of offset projects, that GHG reductions or GHG enhancements result from a demonstrable action or set of actions, and are quantified using appropriate, accurate, and conservative methodologies that account for all GHG emissions sources, GHG sinks, and GHG reservoirs within the offset project boundary and account for uncertainty and the potential for activity-shifting leakage and market-shifting leakage.
(234) “Reasonable Assurance” means a high degree of confidence that submitted data and statements are valid. 
(235) “Recycled Boxboard” means containers of solid fiber made from recycled fibers, including cereal boxes, shoe boxes and protective paper packaging for dry foods. It also includes folding paper cartons, set-up boxes, and similar boxboard products. Recycled boxboard is made from recycled fibers.
(236) “Recycled Linerboard” means types of paperboard made from recycled fibers that meet specific tests adopted by the packaging industry to qualify for use as the outer facing layer for corrugated board, from which shipping containers are made.
(237) “Recycled Medium” means the center segment of corrugated shipping containers, being faced with linerboard on both sides. Recycled medium is made from recycled fibers.
(238) “Reference Level” means the quantity of GHG emission equivalents that have occurred during the normal course of business or activities during a designated period of time within the boundaries of a defined sector and a defined jurisdiction.
(239) “Reformulated Gasoline Blendstock for Oxygenate Blending” or “RBOB” has the same meaning as defined in title 13 of the California Code of Regulations, section 2260(a).
(240) “Register,” in the context of a compliance instrument, means the act of entering the serial number of a compliance instrument into an account.
(241) “Registrant” or “Registered Entity” means an entity that has completed the process for registration.
(242) “Registry Offset Credit” means a credit issued by an Offset Project Registry for a GHG reduction or GHG removal enhancement of one metric ton of CO2e. The GHG reduction or GHG removal enhancement must be real, additional, quantifiable, permanent, verifiable, and enforceable and may only be issued for offset projects using Compliance Offset Protocols. Pursuant to section 95981.1, ARB may determine that a registry offset credit may be removed and issued as an ARB offset credit.
(243) “Registry Services” means all services provided by an ARB approved Offset Project Registry in section 95987.
(244) “Renewable Energy” means energy from sources that constantly renew themselves or that are regarded as practically inexhaustible. Renewable energy includes energy derived from solar, wind, geothermal, hydroelectric, wood, biomass, tidal power, sea currents, and ocean thermal gradients.
(245) “Renewable Energy Credit” or “REC” means a certificate of proof, issued through the accounting system established by the California Energy Commission pursuant to Public Utilities Code Section 399.13, that one megawatt hour of electricity was generated and delivered by an eligible renewable energy resource. As specified in Public Utilities Code Section 399.12, Subdivision (g)(2), a REC includes all renewable and environmental attributes associated with the production of electricity from an eligible renewable energy resource, except for an emissions reduction credit issued pursuant to Section 40709 of the Health and Safety Code and any credits or payments associated with the reduction of solid waste and treatment benefits created by the utilization of biomass or biogas fuels.
(246) “Renewable Liquid Fuels” means fuel ethanol, biomass-based diesel fuel, other renewable diesel fuel and other renewable fuels.
(247) “Reporting Period” means, in the context of offsets, the period of time for which an Offset Project Operator or Authorized Project Designee quantifies and reports GHG reductions or GHG removal enhancements covered in an Offset Project Data Report. The first reporting period for an offset project in an initial crediting period may consist of 6 to 24 consecutive months; all subsequent reporting periods in an initial crediting and all reporting periods in any renewed crediting period must consist of 12 consecutive months.
(248) “Reporting Year” means data year.
(249) “Reserve Price” see “Auction Reserve Price.”
(250) “Reserve Sale Administrator” means the operator of sales from the Allowance Price Containment Reserve account, which may be the Executive Officer or an entity designated by the Executive Officer.
(251) “Resource Shuffling” means any plan, scheme, or artifice to receive credit based on emissions reductions that have not occurred, involving the delivery of electricity to the California grid.
(252) “Retail Provider” means an entity that provides electricity to retail end users in California and is an electrical corporation as defined in Public Utilities Code section 218, electric service provider as defined in Public Utilities Code section 218.3, local publicly owned electric utility as defined in Public Utilities Code section 224.3, a community choice aggregator as defined in Public Utilities Code section 331.1, or the Western Area Power Administration. For purposes of this article, electrical cooperatives, as defined by Public Utilities Code section 2776, are excluded.
(253) “Retire” or “Retired” or “Retirement” means that the serial number for a compliance instrument is registered into the Retirement Account under the control of the Executive Officer. Compliance instruments registered into this account cannot be removed. 
(254) “Reversal” means a GHG emission reduction or GHG removal enhancement for which an ARB offset credit or registry offset credit has been issued that is subsequently released or emitted back into the atmosphere due to any intentional or unintentional circumstance.
(255) “Sector” or “Sectoral,” when used in conjunction with sector-based crediting programs, means a group or subgroup of an economic activity, or a group or cross-section of a group of economic activities, within a jurisdiction.
(256) “Sector-Based Crediting Program” is a GHG emissions-reduction crediting mechanism established by a country, region, or subnational jurisdiction in a developing country and covering a particular economic sector within that jurisdiction. A program's performance is based on achievement toward an emissions reduction target for the particular sector within the boundary of the jurisdiction.
(257) “Sector-Based Offset Credit” means a credit issued from a sector-based crediting program once the crediting baseline for a sector has been reached.
(258) “Self-Generation of Electricity” means electricity dedicated to serving an electricity user on the same location as the generator. The system may be operated directly by the electricity user or by an entity with a contractual arrangement.
(259) “Serial Number” means a unique number assigned to each compliance instrument for identification.
(260) “Sequestration” means the removal and storage of carbon from the atmosphere in GHG sinks or GHG reservoirs through physical or biological processes.
(261) “Soda Ash Equivalent” means the total mass of all soda ash, biocarb, borax, V-Bor, DECA, PYROBOR, Boric Acid, and Sulfate produced.
(262) “Solomon Energy Intensity IndexÒ” or “Solomon EII” or “EII” means a petroleum refinery energy efficiency metric that compares actual energy consumption for a refinery with the “standard” energy consumption for a refinery of similar size and configuration. The “standard” energy is calculated based on an analysis of worldwide refining capacity as contained in the database maintained by Solomon Associates. The ratio of a facility's actual energy to the standard energy is multiplied by 100 to arrive at the Solomon EII for a refinery. “Solomon Energy Review” means a data submittal and review conducted by a petroleum refinery and Solomon Associates. This process uses the refinery energy utilization, throughput and output to determine the Solomon EII of the refinery. 
(263) “Source” means greenhouse gas source; or any physical unit, process, or other use or activity that releases a greenhouse gas into the atmosphere.
(264) “Specified Source of Electricity” or “Specified Source” means a facility or unit which is permitted to be claimed as the source of electricity delivered. The reporting entity must have either full or partial ownership in the facility/unit or a written power contract as defined in MRR section 95102(a) to procure electricity generated by that facility/unit. Specified facilities/units include cogeneration systems. Specified source also means electricity procured from an asset-controlling supplier recognized by ARB.
(265) “Standing Live Carbon Stocks” means the above ground carbon in live tree biomass. Live trees include the bole, stem, branches, roots, and leaves or needles.
(266) “Stationary” means neither portable nor self-propelled, and operated at a single facility.
(267) “Steel Produced Using an Electric Arc Furnace” means steel produced by electric arc furnace or “EAF”. EAF means a furnace that produces molten steel and heats the charge materials with electric arcs from carbon electrodes.
(268) “Supplier” means a producer, importer, exporter, position holder, or local distribution company of a fossil fuel or an industrial greenhouse gas.
(269) “Terminal” means a motor vehicle fuel or diesel fuel storage and distribution facility that is supplied by pipeline or vessel, and from which fuel may be removed at a rack. “Terminal” includes a fuel production facility where motor vehicle or diesel fuel is produced and stored and from which fuel may be removed at a rack.
(270) “Testliner” means types of paperboard that meet specific tests adopted by the packaging industry to qualify for use as the outer facing layer for corrugated board, from which shipping containers are made. Testliner is made primarily from fibers obtained from recycled fibers.
(271) “Tin Plate” means thin sheet steel with a very thin coating of metallic tin. Tin plate also includes Tin Free Steel or TFS which has an extremely thin coating of chromium, metallic, and oxide. Tin plate is used primarily in can making. 
(272) “Tissue” means a class of papers which are characteristically gauzy in texture and, in some cases, fairly transparent. They may be glazed, unglazed, or creped and are used for a variety of purposes. Examples of different types of tissue papers include sanitary grades such as toilet, facial, napkin, towels, wipes, and special sanitary papers.
(273) “Transaction,” when referring to an arrangement between registered entities regarding allowances, means an understanding among registered entities to transfer the control of an allowance from one entity to another, either immediately or at a later date.
(274) “Transfer” of a compliance instrument means the removal of the serial number of a compliance instrument from one account and placement into another account.
(275) “Transfer Request” means the communication by an authorized account representative or an alternate authorized account representative to the accounts administrator to register into the tracking system the transfer of allowances between accounts.
(276) “Tribe” means a federally-recognized Indian tribe and any entity created by a federally-recognized Indian Tribe.
(277) “Unintentional Reversal” means any reversal, including wildfires or disease that is not the result of the forest owner's negligence, gross negligence, or willful intent.
(278) “Unspecified Source of Electricity” or “Unspecified Source” means electricity generation that cannot be matched to a specific electricity generating facility or electricity generating unit or matched to an asset-controlling supplier recognized by ARB. Unspecified sources contribute to the bulk system power pool and typically are dispatchable, marginal resources that do not serve baseload.
(279) “Vented Emissions” means intentional or designed releases of CH4 or CO2 containing natural gas or hydrocarbon gas (not including stationary combustion flue gas), including process designed flow to the atmosphere through seals or vent pipes, equipment blowdown for maintenance, and direct venting of gas used to power equipment (such as pneumatic devices).
(280) “Verifiable” means that an Offset Project Data Report assertion is well documented and transparent such that it lends itself to an objective review by an accredited verification body.
(281) “Verification Body” means a firm accredited by ARB, which is able to render an offset verification statement and provide offset verification services for Offset Project Operators or Authorized Project Designees subject to providing an Offset Project Data Report under this article.
(282) “Verifier” means an individual accredited by ARB to carry out offset verification services as specified in sections 95977.1 and 95977.2.
(283) “Vintage Year” means the budget year to which an individual Californian GHG allowance is assigned pursuant to subarticle 6.
(284) “Voluntarily Associated Entity” means any entity which does not meet the requirements of section 95811 or 95813 in this article and that intends to purchase, hold, sell, or voluntarily retire compliance instruments or an entity operating an offset project or early action offset project that is registered with ARB pursuant to subarticle 13 or 14 in this article. 
(285) “Voluntary Renewable Electricity” or “VRE” means electricity produced or RECs associated with electricity, produced by a voluntary renewable electricity generator, and which has not and will not be sold or used to meet any other mandatory requirements in California or any other jurisdiction. 
(286) “Voluntary Renewable Electricity Aggregator” or “VRE Aggregator” means the entity that is aggregating systems for the purpose of allowance retirement pursuant to section 95841.1. 
(287) “Voluntary Renewable Electricity Generator” means any entity that produces renewable electricity and applies for allowance retirement pursuant to section 95841.1.
(288) “Voluntary Renewable Electricity Participant” or “VRE Participant” means a voluntary renewable electricity generator, a REC marketer, or entity that purchases voluntary renewable electricity or RECs as an end-user or on behalf of an end-user and is seeking allowance retirement pursuant to section 95841.1.
(b) For the purposes of sections 95801 through 96023, the following acronyms apply:
(1) “AB 32” means Assembly Bill 32, the California Global Warming Solutions Act of 2006.
(2) “ARB” means the California Air Resources Board.
(3) “BAU” means business as usual.
(4) “BPA” means Bonneville Power Administration.
(5) “CAISO” means the California Independent System Operator.
(6) “CAR” means Climate Action Reserve.
(7) “CEC” means California Energy Commission.
(8) “CFR” means Code of Federal Regulations.
(9) “CH4” means methane.
(10) “CO2” means carbon dioxide.
(11) “CO2e” means carbon dioxide equivalent.
(12) “CRT” means Climate Reserve Tonne.
(13) “DWR” means California Department of Water Resources.
(14) “EII” means the Solomon Energy Intensity IndexR
(15) “ETS” means Emission Trading System
(16) “F” means Fahrenheit.
(17) “GHG” means greenhouse gas.
(18) “GHG ETS” means greenhouse gas emissions trading system.
(19) “GWP” means global warming potential.
(20) “HFC” means hydrofluorocarbon.
(21) “LPG” means liquefied petroleum gas.
(22) “MMBtu” means one million British thermal units. 
(23) “MRR” means the Air Resources Board's Regulation for the Mandatory Reporting of Greenhouse Gas Emissions.
(24) “Mscf” means one thousand standard cubic feet. 
(25) “MWh” means megawatt-hour.
(26) “MT” means metric tons.
(27) “NAICS” means North American Industry Classification System. 
(28) “NGLs” means natural gas liquids.
(29) “NERC” means North American Electric Reliability Corporation.
(30) “N2O” means “nitrous oxide.”
(31) “PFC” means perfluorocarbon.
(32) “PSE” means purchasing-selling entity.
(33) “PUC” means the Public Utilities Commission.
(34) “QE” means Qualified Export as defined in section 95802(a)(225).
(35) “REC” means Renewable Energy Credit.
(36) “REDD” means reducing emissions from deforestation and degradation.
(37) “RPS” means the Renewable Portfolio Standard
(38) “SCF” means standard cubic foot.
(39) “SF6” means sulfur hexafluoride.
(40) “WAPA” means Western Area Power Administration.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (a)(21), (a)(29)(A) and (a)(106), new subsections (b)(14)-(15), (b)(34) and (b)(37) and subsection renumbering filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
Subarticle 3. Applicability

This Article 5 applies to all of the entities identified in this subarticle. 
§95810. Covered Gases.
Note     •     History

This article applies to the following greenhouse gases: carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), sulfur hexafluoride (SF6), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), nitrogen trifluoride (NF3), and other fluorinated greenhouse gases. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 3 (sections 95810-95814) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending text beneath subarticle heading filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95811. Covered Entities.
Note     •     History

This article applies to all of the following entities with associated GHG emissions pursuant to section 95812: 
(a) Operators of Facilities. The operator of a facility within California that has one or more of the following processes or operations:
(1) Cement production;
(2) Cogeneration;
(3) Glass production;
(4) Hydrogen production;
(5) Iron and steel production;
(6) Lime manufacturing;
(7) Nitric acid production;
(8) Petroleum and natural gas systems, as specified in section 95852(h); 
(9) Petroleum refining;
(10) Pulp and paper manufacturing;
(11) Self-generation of electricity; or
(12) Stationary combustion.
(b) First Deliverers of Electricity.
(1) Electricity generating facilities: the operator of an electricity generating facility located in California; or 
(2) Electricity importers.
(c) Suppliers of Natural Gas. An entity that distributes or uses natural gas in California as described below:
(1) A public utility gas corporation operating in California;
(2) A publicly owned natural gas utility operating in California; or
(3) The operator of an intrastate pipeline not included in section 95811(c)(1) or section 95811(c)(2) that distributes natural gas directly to end users.
(d) Suppliers of RBOB and Distillate Fuel Oil. A position holder of one or more of the following fuels, or an enterer that imports one or more of the following fuels into California:
(1) RBOB;
(2) Distillate Fuel Oil No. 1; or
(3) Distillate Fuel Oil No. 2.
(e) Suppliers of Liquefied Petroleum Gas.
(1) The operator of a refinery that produces liquid petroleum gas in California;
(2) The operator of a facility that fractionates natural gas liquids to produce liquid petroleum gas; or
(3) A consignee of liquefied petroleum gas into California as defined under MRR.
(f) Sections 95811(c), (d), and (e) apply to suppliers of blended fuels that contain the fuels listed above. 
(g) Carbon dioxide suppliers.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95812. Inclusion Thresholds for Covered Entities.
Note     •     History

(a) The inclusion threshold for each covered entity is based on the subset of greenhouse gas emissions that generate a compliance obligation for that entity as specified in section 95852. The entity must report and verify annual emissions pursuant to sections 95100 through 95157 of MRR.
(b) If an entity's reported or reported and verified annual emissions in any data year from 2008 to 2011 from the categories specified in section 95852(a) equal or exceed the thresholds identified below, that entity is classified as a covered entity as of January 1, 2013, and for all future years until any requirement set forth in section 95812(e) is met.
(c) The requirements apply as follows:
(1) Operators of Facilities. The applicability threshold for a facility is 25,000 metric tons or more of CO2e per data year. 
(2) First Deliverers of Electricity. 
(A) Electricity Generating Facilities. The applicability threshold for an electricity generating facility is based on the annual emissions from which the electricity originated. The applicability threshold for an electricity generating facility is 25,000 metric tons or more of CO2e per data year.
(B) Electricity importers. The applicability threshold for an electricity importer is based on the annual emissions from each of the electricity importer's sources of delivered electricity. 
1. All emissions reported for imported electricity from specified sources of electricity that emit 25,000 metric tons or more of CO2e per year are considered to be above the threshold.
2. All emissions reported for imported electricity from unspecified sources are considered to be above the threshold. 
(3) Carbon Dioxide Suppliers. The applicability threshold for a carbon dioxide supplier is 25,000 metric tons or more of CO2e per year. For purpose of comparison to this threshold, the supplier must include the sum of the CO2 that it captures from its production process units for purposes of supplying CO2 for commercial applications or that it captures from a CO2 stream to utilize for geologic sequestration, and the CO2 that it extracts or produces from a CO2 production well for purposes of supplying for commercial applications or that it extracts or produces to utilize for geologic sequestration. 
(4) Petroleum and Natural Gas Facilities. The applicability threshold for a petroleum and natural gas facility 25,000 metric tons or more of CO2e per data year. This threshold is applied for each facility type specified in section 95852(h). 
(d) If an entity's annual, assigned, or reported and verified emissions from any data year between 2011-2014 equal or exceed the thresholds identified below from the categories specified in sections 95851(a) and (b), then that entity is classified as a covered entity as of January 1, 2015, for the year in which the threshold is reached and for all future years until any requirement set forth in section 95812(e) is met.
(1) Fuel Suppliers. The threshold for a fuel supplier is 25,000 metric tons or more of CO2e annually from the emissions of GHG that would result from full combustion or oxidation of the quantities of the fuels, identified in section 95811(c) through (f), which are imported and/or delivered to California. 
(2) Electricity importers. The threshold for an electricity importer of specified source of electricity is zero metric tons of CO2e per year and for unspecified sources is zero MWhs per year as of January 1, 2015. 
(e) Effect of Reduced Emissions on an Entity's Compliance Obligation. A covered entity continues to have a compliance obligation for each data year of a compliance period, until the subsequent compliance period after one of the following conditions occurs:
(1) Annual reports demonstrate GHG emissions less than 25,000 metric tons of CO2e per year during one entire compliance period; or
(2) A covered entity has ceased reporting and shuts down all processes, units, and supply operations subject to reporting, and has followed the requirements of section 95101(h) of MRR.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95813. Opt-In Covered Entities.
Note     •     History

(a) An entity that meets the requirements of section 95811, but does not exceed the inclusion thresholds set forth in section 95812 may elect to voluntarily opt-in to the Cap-and-Trade Program. 
(b) An entity that voluntarily elects to participate in this program under this section must submit its request to the Executive Officer for approval pursuant to section 95830(c). The Executive Officer shall evaluate such applications and designate approved applicants as opt-in covered entities.
(c) An opt-in covered entity is subject to all reporting, verification, enforcement, and compliance obligations that apply to covered entities. 
(d) An opt-in covered entity may be eligible to receive freely allocated allowances subject to subarticles 8 and 9.
(e) Opt-in participation shall not affect the allowance budgets set forth in subarticle 6. 
(f) Opting out. After the end of any given compliance period an opt-in covered entity may choose to opt out of the program provided its annual emission levels for any data year remain below the inclusion thresholds set forth in section 95812. An entity choosing to opt out of the program must either fulfill its compliance obligations as required pursuant to subarticle 7 or surrender allowances equivalent to all the directly allocated allowances it has received from the budget years for the compliance period in question. An opt-in covered entity that wishes to opt-out of this program must apply to the Executive Officer. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95814. Voluntarily Associated Entities and Other Registered Participants.
Note     •     History

(a) Voluntarily Associated Entities (VAE). An entity not identified as a covered entity or opt-in covered entity that intends to hold California compliance instruments may apply to the Executive Officer pursuant to section 95830(c) for approval as a voluntarily associated entity. The following entities may qualify as voluntarily associated entities:
(1) An entity that does not meet the requirements of sections 95811 and 95813 that intends to purchase, hold, sell, or voluntarily retire compliance instruments;
(2) An entity operating an offset project or early action offset project that is registered with ARB pursuant to subarticles 13 or 14; or
(3) An entity providing clearing services in which it takes only temporary possession of compliance instruments for the purpose of clearing transactions between two entities registered with the Cap-and-Trade Program. A qualified entity must be a derivatives clearing organization as defined in the Commodities Exchange Act (7 U.S.C. §1a(9)) that is registered with the U.S. Commodity Futures Trading Commission pursuant to the Commodities Exchange Act (7 U.S.C. §7a-1(a)).
(b) Other Registered Participants. 
(1) The following entities do not qualify to hold compliance instruments but may qualify as a Registered Participant:
(A) An offset verifier accredited pursuant to section 95978;
(B) A verification body accredited pursuant to section 95978;
(C) Offset Project Registries; or
(D) Early Action Offset Programs approved pursuant to subarticle 14.
(2) To qualify as a Registered Participant the entity must obtain registration approval from the Executive Officer pursuant to section 95830(c).
(c) A registered entity that has had its holding account revoked pursuant to section 95921(f)(3) may not hold compliance instruments or register with the accounts administrator in the Cap-and-Trade Program in any capacity.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 4. Compliance Instruments
§95820. Compliance Instruments Issued by the Air Resources Board.
Note     •     History

(a) California Greenhouse Gas Emissions Allowances. 
(1) The Executive Officer shall create California GHG allowances pursuant to the schedule set forth in subarticle 6.
(2) The Executive Officer shall assign each California GHG allowance a unique serial number that indicates the annual allowance budget from which the allowance originates.
(3) The Executive Officer shall place these allowances into a holding account under the control of the Executive Officer pursuant to section 95831(b).
(b) Offset Credits Issued by ARB. 
(1) The Executive Officer shall issue and register ARB offset credits pursuant to the requirements of subarticles 13 and 14. 
(2) Surrender of ARB offset credits shall be subject to the quantitative usage limit set forth in section 95854.
(c) Each compliance instrument issued by the Executive Officer represents a limited authorization to emit up to one metric ton in CO2e of any greenhouse gas specified in section 95810, subject to all applicable limitations specified in this article. No provision of this article may be construed to limit the authority of the Executive Officer to terminate or limit such authorization to emit. A compliance instrument issued by the Executive Officer does not constitute property or a property right. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 4 (sections 95820-95821) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95821. Compliance Instruments Issued by Approved Programs.
Note     •     History

The following compliance instruments may be used to meet a compliance obligation under this article:
(a) Allowances specified in section 95942(b) and issued by a program approved by ARB pursuant to section 95941;
(b) Offset credits specified in section 95942(c) and issued by a program approved by ARB pursuant to section 95941;
(c) ARB offset credits issued for purposes of early action pursuant to section 95990; 
(d) Sector-based offset credits recognized pursuant to subarticle 14; and
(e) Compliance instruments specified in sections 95821(b) through (d) are subject to the quantitative usage limit set forth in section 95854.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 5. Registration and Accounts
§95830. Registration with ARB.
Note     •     History

(a) The Executive Officer shall serve as accounts administrator or may contract with an entity to serve as accounts administrator.
(b) Eligibility and Restrictions: 
(1) An entity must qualify for registration pursuant to section 95811, 95813, or 95814.
(2) An entity qualified to register cannot apply for more than one registration.
(3) An entity cannot hold a compliance instrument until the Executive Officer approves the entity's registration with ARB.
(c) Requirements for Registration. 
(1) An entity must complete an application that contains the following information: 
(A) Name and type of organization;
(B) Statement of basis for qualifying for registration pursuant to sections 95811, 95813, or 95814;
(C) Identification of all other entities registered pursuant to this article with whom the entity has a direct or indirect corporate association pursuant to section 95833, and a brief description of the association;
(D) Identification of all entities registered pursuant to this article for whose benefit the entity holds compliance instruments pursuant to section 95834; and 
(E) Applicants may be denied registration based on (i) information provided; or (ii) if the Executive Officer determines the applicant has provided false or misleading information, or has withheld information pertinent to its application.
(2) If an entity qualifies as a voluntarily associated entity pursuant to section 95814(a)(3), then it does not need to include in its registration application pursuant to section 95830(c)(1)(D) information on entities for which it only takes temporary possession of allowances for the purpose of providing a market clearing service for transactions between two entities registered into the Cap-and-Trade Program. It must provide information pursuant to section 95830(c)(1)(D) if it has a corporate association with another registered entity pursuant to section 95833.
(3) An entity must designate an authorized account representative pursuant to section 95832.
(d) Registration Deadlines.
(1) An entity that meets or exceeds the inclusion thresholds in section 95812 must register with the accounts administrator pursuant to this section: 
(A) Within 30 calendar days of the reporting deadline contained in MRR if the entity is not a covered entity as of January 1, 2013; or
(B) By January 31, 2012 or within 30 calendar days of the effective date of this regulation, whichever is later, for an entity that exceeds the inclusion thresholds in section 95812 for any data year 2008 through 2011. 
(2) An opt-in covered entity must register with the accounts administrator by November 30 of the calendar year prior to the first year in which it voluntarily elects to be subject to a compliance obligation pursuant to section 95813. 
(3) Any voluntarily associated entity that intends to hold an ARB-issued compliance instrument must register with the accounts administrator prior to acquiring such compliance instruments.
(e) Completion of Registration. Registration is completed when the Executive Officer approves the registration and informs the entity and the accounts administrator of the approval.
(f) Updating Registration Information.
(1) Registrants must update their registration information within 10 working days of changes to the information listed in section 95830(c).
(2) Information may be directly entered into the tracking system operated by the accounts administrator or, if that is not available, submitted to the accounts administrator by the entity.
(3) Registration may be revoked, suspended, or restricted if an entity does not update its registration within 10 days of a change pursuant to section 95921(f)(3).
(g) Information Confidentiality.
(1) Except when necessary in the course of enforcement investigation and prosecution, the following registration information will be treated by ARB and the accounts administrator as confidential:
(A) Beneficial holding as described in section 95830(c)(1)(D); and
(B) Information relating to the identity of real persons.
(2) All other registration information collected pursuant to section 95830(c) may be made publicly available by the accounts administrator.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 5 (sections 95830-95834) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95831. Account Types.
Note     •     History

(a) Accounts Created for Registered Entities.
(1) The Executive Officer shall not create more than one holding account, one limited use holding account, one compliance account, or one exchange clearing holding account for each entity registered pursuant to 95830.
(2) Holding Accounts. When the Executive Officer approves a registration for a covered entity, an opt-in covered entity, or a voluntarily associated entity, the accounts administrator will create a holding account for the registrant.
(3) Limited Use Holding Accounts. When an entity qualifies for a direct allocation under section 95890(b) the accounts administrator will create a limited use holding account for the entity that shall be subject to the following restrictions: 
(A) The entity may not transfer compliance instruments from other accounts into the limited use holding account; and
(B) The entity may not transfer compliance instruments from the limited use holding account to any account other than the Auction Holding Account. 
(4) Compliance Accounts. When the Executive Officer approves a registration for a covered entity or opt-in covered entity, the accounts administrator will create a compliance account for the entity.
(A) A covered entity or opt-in covered entity may transfer compliance instruments to its compliance account at any time.
(B) A compliance instrument transferred into a compliance account may not be removed by the entity.
(C) The Executive Officer may transfer compliance instruments into a compliance account. The Executive Officer may remove compliance instruments to satisfy a compliance obligation, or when closing an account.
(5) Exchange Clearing Holding Accounts. When the Executive Officer approves registration for an entity identified as a voluntarily associated entity pursuant to section 95814(a)(3), then the accounts administrator will create an exchange clearing holding account for the entity.
(A) Entities may transfer compliance instruments to exchange clearing accounts only for the purpose of transferring control of the instruments to the entity performing the clearing function.
(B) The clearing entity may only transfer the compliance instruments in its exchange clearing holding account to the account designated by the entity receiving the allowances under the transaction being cleared.
(b) Accounts under the Control of the Executive Officer. The accounts administrator will create and maintain the following accounts under the control of the Executive Officer:
(1) A holding account to be known as the Allocation Holding Account into which the serial numbers of compliance instruments will be registered when the compliance instruments are created. 
(2) A holding account to be known as the Auction Holding Account into which allowances are transferred to be sold at auction from:
(A) The Allocation Holding Account; 
(B) The holding accounts of those entities for which allowances are being auctioned on consignment pursuant to section 95921(f)(3); 
(C) The limited use holding accounts of those entities consigning allowances to auction pursuant to section 95910; and
(D) The compliance accounts of entities fulfilling an untimely surrender obligation pursuant to section 95857(d)(1)(A). 
(3) A holding account to be known as the Retirement Account to which the Executive Officer will transfer compliance instruments from compliance accounts or from holding accounts under the control of the Executive Officer for the purpose of permanently retiring them. Alternatively, entities may voluntarily retire compliance instruments by transferring the serial numbers of compliance instruments they are retiring to the Retirement Account.
(A) When compliance instruments are registered into the Retirement Account, these compliance instruments cannot be returned to any other holding or compliance account.
(B) When compliance instruments are registered into the Retirement Account, any external ETS to which California links pursuant to subarticle 12 will be informed of the retirements. 
(C) The Executive Officer will record the serial numbers of the retired instruments to a publicly available Permanent Retirement Registry.
(4) A holding account to be known as the Allowance Price Containment Reserve Account:
(A) Into which the serial numbers of allowances directly allocated to the Allowance Price Containment Reserve pursuant to section 95870(a) will be transferred; and

(B) 	From which the Executive Officer will authorize the withdrawal of allowances for sale to covered entities pursuant to section 95913. 
(5) A holding account to be known as the Forest Buffer Account:
(A) Into which ARB will place ARB offset credits pursuant to section 95983(a); and
(B) From which ARB may retire ARB offset credits pursuant to sections 95983(b)(2), (c)(3), and (c)(4) and place them into to the Retirement Holding Account.
(6) A holding account to be known as the Voluntary Renewable Electricity Reserve Account, which will be closed when it is depleted of the following originally allocated allowances:
(A) Into which the Executive Officer will transfer allowances allocated pursuant to section 95870(c); and
(B) From which the Executive Officer may retire allowances pursuant to section 95841.1.
(c) Account Closure.
(1) A registered entity's accounts will be closed after the Executive Officer receives a report that an entity has ceased operation pursuant to MRR section 95101(h).
(2) A voluntarily associated entity's accounts may be closed if no compliance instruments are transferred into or out of the accounts for a period of three years.
(3) Compliance instruments remaining in accounts closed by the Executive Officer and not needed to fulfill a compliance obligation will be consigned to auction pursuant to section 95910(d) on behalf of the registered entity.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95832. Designation of Authorized Account Representative.
Note     •     History

(a) An application for an account must designate a single authorized account representative and a single alternate authorized account representative who may act on behalf of the authorized account representative. The agreement by which the alternate authorized account representative is selected shall include a procedure for authorizing the alternate authorized account representative to act in lieu of the authorized account representative. A complete application for an account shall be submitted to the accounts administrator and shall include the following elements: 
(1) Name, address, E-mail address, telephone number, and facsimile transmission number of the authorized account representative and any alternate authorized account representative;
(2) Organization name;
(3) A list of all entities subject to a binding agreement for the authorized account representative or any alternate authorized account representative to represent their ownership interest with respect to the compliance instruments held in the account, including a statement of each beneficial owner's percentage ownership interest and a statement of affiliations between beneficial owners;
(4) The authorized account representative and any alternate authorized account representative must attest, in writing, to ARB as follows: “I certify under penalty of perjury under the laws of the State of California that I was selected as the authorized account representative or the alternate authorized account representative, as applicable, by an agreement that is binding on all persons who have an ownership interest with respect to compliance instruments held in the account. I certify that I have all the necessary authority to carry out the duties and responsibilities contained in title 17, article 5, sections 95800 et seq. on behalf of such persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any order or decision issued to me by the accounts administrator or a court regarding the account”;
(5) The signature of the authorized account representative and any alternate authorized account representative and the dates signed; and
(6) An attestation as follows: “I certify that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. I also certify under penalty of perjury of the laws of the State of California that all information required to be submitted to ARB is true, accurate, and complete.”
(b) Unless otherwise required by the Executive Officer, documents of agreement referred to in section 95832(a) in the application for an account shall not be submitted to the accounts administrator. The accounts administrator shall not be under any obligation to review or evaluate the sufficiency of such documents, if submitted.
(c) Authorization of authorized account representative. Upon receipt by the accounts administrator of a complete application for an account under section 95830(c): 
(1) The accounts administrator will establish an account or accounts for the person or persons for whom the application is submitted pursuant to section 95831.
(2) The authorized account representative and any alternate authorized account representative for the account shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each entity that owns compliance instruments held in the account in all matters pertaining to this article, notwithstanding any agreement between the authorized account representative or any alternate authorized account representative and such entity. 
(3) Any such entity shall be bound by any decision or order issued to the authorized account representative or any alternate authorized account representative by the Executive Officer or a court regarding the account. Any representation, action, inaction, or submission by any alternate authorized account representative shall be deemed to be a representation, action, inaction, or submission by the authorized account representative or any alternate authorized account representative.
(d) Each submission concerning the account shall be submitted, signed, and attested to by the authorized account representative or any alternate authorized account representative for the entities that own compliance instruments held in the account. Each such submission shall include the following attestation statement by the authorized account representative or any alternate authorized account representative: “I certify under penalty of perjury under the laws of the State of California that I am authorized to make this submission on behalf of the entities that own the compliance instruments held in the account. I certify under penalty of perjury under the laws of the State of California that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify under penalty of perjury under the laws of the State of California that the statements and information submitted to ARB are true, accurate, and complete.” I consent to the jurisdiction of California and its courts for purposes of enforcement of the laws, rules and regulations pertaining to title 17, article 5, sections 95800 et seq., and I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.”
(e) The accounts administrator will accept or act on a submission concerning the account only if the submission has been made, signed, and attested to in accordance with this section.
(f) Changing authorized account representative and alternate authorized account representative; changes in entities that own compliance instruments.
(1) The authorized account representative for an account may be changed at any time upon receipt by the accounts administrator of a superseding complete application for an account under section 95830(c). Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative, or the previous alternate authorized account representative prior to the time and date when the accounts administrator receives the superseding application for an account shall be binding on the new authorized account representative and the entities that own the compliance instruments in the account.
(2) The alternate authorized account representative for an account may be changed at any time upon receipt by the accounts administrator of a superseding complete application for an account under section 95830(c). Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous authorized account representative, or the previous alternate authorized account representative, prior to the time and date when the accounts administrator receives the superseding application for an account shall be binding on the new alternate authorized account representative and the entities that own the compliance instruments in the account.
(3) In the event that a new entity owning compliance instruments in the account is not included in the list of entities in the application for an account, the new entity shall be subject to and bound by the application for an account; the representations, actions, inactions, and submissions of the authorized account representative and any alternate authorized account representative; and the decisions, orders, actions, and inactions of the accounts administrator, as if the new entity were included in such list.
(4) Within one day following any change in the entities that own compliance instruments in the account, including the addition or deletion of entities, the authorized account representative or any alternate authorized account representative shall submit a revision to the application for an account amending the list of entities that own the compliance instruments in the account to include the change.
(g) Objections Concerning Authorized Account Representative.
(1) Once a complete application for an account under section 95830(c)has been submitted and received, the accounts administrator will rely on the application unless and until a superseding complete application for an account under section 95830(c) is received by the accounts administrator.
(2) Except as provided in section 95832(f)(1), no objection or other communication submitted to the accounts administrator concerning the authorization, or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative for an account shall affect any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative or the finality of any decision or order by the accounts administrator under this article. 
(3) The accounts administrator will not adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of the authorized account representative or any alternate authorized account representative for an account, including private legal disputes concerning the proceeds of compliance instrument transfers. 
(h) Delegation by authorized account representative and alternate authorized account representative.
(1) An authorized account representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the accounts administrator provided for under section 95832(c)(2).
(2) An alternate authorized account representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the accounts administrator provided for under section 95832(c)(2).
(3) In order to delegate authority to make an electronic submission to the accounts administrator in accordance with section 95832(h)(1) and (2) the authorized account representative or alternate authorized account representative, as appropriate, must submit to the accounts administrator a notice of delegation, that includes the following elements:
(A) The name, address, email address, telephone number, and facsimile transmission number of such authorized account representative or alternate authorized account representative;
(B) The name, address, email address, telephone number and facsimile transmission number of each such natural person, herein referred to as “electronic submission agent;”
(C) For each such natural person, a list of the type of electronic submissions for which authority is delegated to him or her; and
(D) The following attestations by such authorized account representative or alternate authorized account representative:
1. “I agree that any electronic submission to the accounts administrator that is by a natural person identified in this notice of delegation and of a type listed for such electronic submission agent in this notice of delegation and that is made when I am an authorized account representative or alternate authorized account representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under section 95832(h)(3) shall be deemed to be an electronic submission by me;” or
2. “Until this notice of delegation is superseded by another notice of delegation under section 95832(h)(3), I agree to maintain an email account and to notify the accounts administrator immediately of any change in my email address unless all delegation authority by me is terminated.”
(4) A notice of delegation submitted under section 95832(h)(3) shall be effective, with regard to the authorized account representative or alternate authorized account representative identified in such notice, upon receipt of such notice by the accounts administrator and until receipt by the accounts administrator of a superseding notice of delegation by such authorized account representative or alternate authorized account representative as appropriate. The superseding notice of delegation may replace any previously identified electronic submission agent, add a new electronic submission agent, or eliminate entirely any delegation of authority.
(5) Any electronic submission covered by the attestation in section 95832(h)(3)(D) and made in accordance with a notice of delegation effective under section 95832(h)(3) shall be deemed to be an electronic submission by the authorized account representative or alternate authorized account representative submitting such notice of delegation.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95833. Disclosure of Direct and Indirect Corporate Associations.
Note     •     History

(a) Entities registered pursuant to section 95830 must disclose direct and indirect corporate associations with other registered entities. 
(1) An entity has a “direct corporate association” with another entity if any one of these entities: 
(A) Holds more than 50 percent of any class of listed shares, the right to acquire such shares, or any option to purchase such shares of the other entity;
(B) Holds or can appoint more than 50 percent of common directors of the other entity; or
(C) Holds more than 50 percent of the voting power of the other entity. 
(2) An entity (A) has a “direct corporate association” with another entity (B) if the two entities share a common parent that is not registered into the California cap-and-trade program and that parent has a direct corporate association with each entity (A and B) pursuant to section 95833(a)(1).
(3) An entity has an “indirect corporate association” with another entity when:
(A) The two entities are connected through a line of more than one direct corporate association; and 
(B) The controlling entity's percentage of ownership or other indicia of control under section 95833(a)(1)(A), (B), or (C) of the indirectly controlled entity is more than 50 percent after multiplying the percentages at each link in the chain of direct corporate associations. 
(4) Any registered entity subject to affiliate compliance rules promulgated by state or federal agencies shall not be required to disclose information or take other action that violates other rules.
(b) If California links to one or more GHG ETS pursuant to subarticle 12, then entities shall disclose corporate associations with entities registered with those linked programs.
(c) An entity has a disclosable corporate association if any of the criteria in section 95833(a)(1), (2), or (3) yields a value above 25 percent. 
(d) Each registered entity with a disclosable, direct or indirect corporate association with another registered entity must disclose the following information:
(1) The name of the other entity;

(2) 	The type of corporate association and a brief description of the association, to include the following information:
(A) Corporate parent;
(B) Subsidiary;
(C) Sister company;
(D) Partnership; and
(E) Other information that describes the relationship.
(e) The entity must disclose the information pursuant to section 95833(c) to the Executive Officer:
(1) When registering pursuant to section 95830;
(2) At any time after registering when a disclosable, direct, or indirect association is created or exists;
(3) Within 30 days of a change to the information disclosed on disclosable, direct and indirect corporate associations; and
(4) No later than the auction registration deadline established in section 95912 when reporting a change to the information disclosed, otherwise the entity may not participate in that auction.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (d)(2) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95834. Disclosure of Beneficial Holding Relationships.
Note     •     History

(a) There are two types of participants in a beneficial holding relationship, an agent and a principal:
(1) The agent in the beneficial holding relationship is the registered entity acquiring and holding compliance instruments to be transferred to another entity under an agreement with that entity that is disclosed to ARB; and
(2) The principal in the beneficial holding relationship is the registered entity to whom the compliance instruments will be transferred by an agent under an agreement with that entity that is disclosed to ARB.
(3) An electrical distribution utility may serve as the agent in a beneficial holding relationship for a second registered entity with whom it has a contract for the delivery of electricity for the sole purpose of supplying the second entity with compliance instruments to cover emissions resulting from satisfying the electricity contract.
(A) This disclosure must be made to ARB prior to any such purchases, and must include the terms of the contract governing the eventual transfer. 
(B) This disclosure must include the principal's confirmation that the electrical distribution utility is authorized to serve as an agent on its behalf. 
(C) An entity serving as an agent in this type of a beneficial holding relationship may not also serve as the agent in a beneficial holding relationship with an entity with whom it does not have a contract for the delivery of electricity.
(4) An entity may acquire compliance instruments for the eventual transfer to registered entities that are part of a corporate association to be used for the affiliated entities' compliance obligations. An entity cannot have this type of beneficial holding relationship unless the corporate association is disclosed pursuant to section 95833.
(b) Disclosure of Beneficial Holding.
(1) An entity that establishes an agreement to participate in a beneficial holdings arrangement as either an agent or a principal must report the identity of the second entity in the arrangement, its account information, and the nature of the relationship to the Executive Officer within 10 days of establishing the agreement, notwithstanding the other disclosure requirements in section 95834(a). 
(2) The agent will disclose the identity and account number of the principal when acquiring compliance instruments on behalf of a principal when submitting a transfer request to the accounts administrator pursuant to section 95921. The accounts administrator will notify the principal of the transaction and the principal must confirm the transfer within the time limit specified pursuant to section 95921(a).
(3) After confirmation of the transfer by the principal, the compliance instruments acquired under the transfer and held by the agent will count against the holding limit of the principal and must be transferred to the principal within one year after the agent acquired them. 
(c) Multiple Beneficial Holding Relationships. If an entity with a beneficial holding relationship pursuant to section 95834(a)(1) serves as an agent for more than one principal then the entity must either:
(1) Submit a statement to the Executive Officer, under penalty of perjury under the laws of the State of California, that it:
(A) Does not share information on one principal's transaction strategies or holdings with any other principal with whom it has a beneficial holding relationship; and
(B) Conducts separate transactions for each principal with whom it has a beneficial holding relationship; or
(2) Submits a statement to the Executive Officer, that it has a direct or indirect corportate association with the principals with whom it has a beneficial holding relationship.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 6. California Greenhouse Gas Allowance Budgets
§95840. Compliance Periods.
Note     •     History

Duration of Compliance Periods is as follows:
(a) The first compliance period starts on January 1, 2013, and ends on December 31, 2014.
(b) The second compliance period starts on January 1, 2015, and ends on December 31, 2017.
(c) The third compliance period starts on January 1, 2018, and ends on December 31, 2020.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 6 (sections 95840-95841.1) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95841. Annual Allowance Budgets for Calendar Years 2013-2020.
Note     •     History

The California GHG Allowance Budgets are set as described in Table 6-1. 

Table 6-1: California GHG Allowances Budgets

View Graphic
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95841.1. 1 Voluntary Renewable Electricity.
Note     •     History

(a) Program Requirements: The end-user, or VRE participant acting on behalf of the end-user, must meet the requirements of this section. Generation must be new and not have served load prior to July 1, 2005. Allowance retirement for purposes of voluntary renewable electricity will begin in 2014 for 2013 generation. Voluntary renewable electricity must be directly delivered to California.
(b) Reporting Requirements. The end-user, or the VRE participant acting on behalf of the end-user, requesting allowance retirement for eligible generation must meet the following requirements for the period in which allowance retirement is being requested:

(1) 	By July 1 of each year, provide a written request for allowance retirement for the previous year's generation or REC purchases. Request must meet the requirements below and include the following information:
(A) Report to ARB the quantity of renewable electricity in MWhs, and/or the number of RECs generated during the previous year from an eligible renewable electricity generator that meets the requirements of 95841.1(b)(2) or (3), as applicable;

(B) 	Generator of the renewable electricity or RECs must be certified as RPS eligible by the California Energy Commission, or must meet design and installation standards pursuant to the California Energy Commission's Guidelines for California's Solar Electric Incentive Programs, third edition, June 2010;
(C) End-users, or the VRE participants acting on behalf of the end-user choosing to meet (B) above by meeting the California Energy Commission's design and installation standards pursuant to the California Energy Commission's Guidelines for California's Solar Electric Incentive Programs, third edition, June 2010, must submit an approval of incentive claim;
(D) Contract, tracking system data, or settlement data for the purchase of the electricity or RECs associated with the generation of the electricity;
(E) Contract, tracking system data, or settlement data for sale of the electricity or RECs associated with the generation of the electricity to the end-user or entity purchasing on behalf of the end-user; and
(F) Submit the following attestations:
1. Attest, in writing, to ARB as follows: “I certify under penalty of perjury of the laws of the State of California that I have not authorized use of, or sold, any renewable electricity credits or any claims to the emissions, or lack of emissions, for electricity for which I am seeking ARB allowance retirement, in any other voluntary or mandatory program.”
2. Attest, in writing, to ARB as follows: “I understand I am voluntarily participating in the California Greenhouse Gas Cap-and-Trade Program under title 17, Cal. Code of Regs. article 5, and by doing so, I am now subject to all regulatory requirements and enforcement mechanisms of this voluntary renewable electricity program and subject myself to the jurisdiction of California as the exclusive venue to resolve any and all disputes.” 
(2) VRE Participants seeking allowance retirement for renewable electricity generation from an eligible facility > 200 KW nameplate capacity must submit the following with the report required in this section, for which the VRE participant is seeking allowance retirement:

(A) 	Provide the generator's RPS certification identification number, as determined by the California Energy Commission, or proof that each facility or system has met design and installation standards pursuant to the California Energy Commission's Guidelines for California's Solar Electric Incentive Programs, third edition, June 2010;

(B) 	MWhs of renewable electricity generated designated for VRE retirement;
(C) Number of RECs designated for VRE retirement, as applicable; and
(D) REC retirement report or tracking system data.
(3) VRE participants seeking allowance retirement for renewable electricity generating from an eligible facility <UN-> 200 KW nameplate capacity must submit the following with the report required in this section. Applicants may aggregate eligible systems, but must submit one application under one entity:
(A) Provide the generator's RPS certification identification number, as determined by the California Energy Commission, or must meet design and installation standards pursuant to the California Energy Commission's Guidelines for California's Solar Electric Incentive Programs, third edition, June 2010;
(B) MWhs of renewable electricity generated;
(C) Number of RECs, as applicable; and
(D) REC retirement report or tracking system data, as applicable.
(c) The allowances requested to be retired, calculated as follows:

Number of MT CO2e = MWh x EF 
Where:
“Number of MT CO2e,” rounded down to the nearest whole ton, is the number of allowances to be retired from the Voluntary Renewable Electricity Reserve Account;
“MWh” is the MWh of voluntary renewable electricity claimed and generated from a generator that meets the requirements of this article; and
“EF” is the CO2e emissions factor equivalent to the default emission factor for unspecified power, pursuant to section 95111(b)(1) of MRR.
ARB shall determine the actual MWh of voluntary renewable electricity purchases that occurred during the period indicated in the documentation. ARB shall retire allowances from the Voluntary Renewable Electricity Reserve Account in an amount up to the number of MT CO2e represented by actual voluntary renewable electricity purchases, based on actual MWh purchases and the emissions factor determined pursuant to this section.
(d) Once a voluntary renewable electricity tracking system is approved by the Executive Officer and it is in place, a voluntary renewable electricity generator or REC marketer which meets requirements section 95841.1(b) will always be considered to have satisfied section 95841.1(b), if they participate in the tracking system.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (b)(1), (b)(1)(C)-(D) and (c) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
Subarticle 7. Compliance Requirements for Covered Entities
§95850. General Requirements.
Note     •     History

(a) Reporting Requirements. Each covered entity identified in section 95811 is subject to MRR.
(b) An entity's compliance obligation is based on the emissions number for the emissions subject to a compliance obligation for every metric ton of CO2e for which a positive or qualified positive emissions data verification statement is issued, rounded to the nearest whole ton, or for which there are assigned emissions pursuant to MRR.
(c) Record Retention Requirements. Each entity must retain all of the following records for at least 10 consecutive years and must provide such records within 20 calendar days of receiving a written request from ARB, including:
(1) Copies of all data and reports submitted under this article and section 95105 of MRR;
(2) Records used to calculate a compliance obligation as specified in section 95853;
(3) Emissions data and product data verification statements as required pursuant to section 95103(f) of MRR; and 
(4) Detailed verification reports as required pursuant to section 95131 of MRR.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 7 (sections 95850-95858) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95851. Phase-in of Compliance Obligation for Covered Entities.
Note     •     History

(a) Operators of facilities and first deliverers of electricity specified in sections 95811(a) and (b) and carbon dioxide suppliers specified in section 95811(g) that meet or exceed the annual emissions threshold in section 95812(c) have compliance obligations beginning with the first compliance period.
(b) Suppliers of natural gas, suppliers of RBOB and distillate fuel oils, and suppliers of liquefied petroleum gas specified in sections 95811(c), (d), (e), and (f) that meet or exceed the annual threshold in section 95812(d) will have a compliance obligation beginning with the second compliance period.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95852. Emission Categories Used to Calculate Compliance Obligations.
Note     •     History

(a) Operators of Facilities. 
(1) An operator of a facility covered under sections 95811(a) and 95812(c)(1) has a compliance obligation for every metric ton of CO2e for which a positive or qualified positive emissions data verification statement is issued per section 95131 of MRR, including process emissions, stationary combustion emissions and vented emissions. If ARB has assigned emissions for the sources subject to a compliance obligation pursuant to this section, the facility will have a compliance obligation equal to the value of every metric ton of CO2e assigned emissions. The entity's compliance obligation will be assessed at the facility level unless otherwise noted under section 95812(c). 
(2) Beginning in 2015, combustion emissions resulting from burning RBOB, distillate fuel oils, or natural gas liquids are not included when calculating an operator's compliance obligation.
(b) First Deliverers of Electricity. A first deliverer of electricity covered under sections 95811(b) and 95812(c)(2) has a compliance obligation for every metric ton of CO2e emissions calculated pursuant to section 95852(b)(1) for which a positive or qualified positive emissions data verification statement is issued pursuant to MRR, or for which there are assigned emissions, when such emissions are from a source in California or in a jurisdiction where a GHG emissions trading system has not been approved for linkage by the Board pursuant to subarticle 12. 
(1) Calculation of emissions for compliance obligation. 
(A) For first deliverers that are operators of an electricity generating facility in California, the calculation for compliance obligation includes all emissions reported and verified or assigned pursuant to MRR, except emissions without a compliance obligation pursuant to section 95852.2.
(B) For first deliverers that are electricity importers, emissions with a compliance obligation are calculated using the following equation:
CO2ecovered = CO2eunspecified + (CO2especified - CO2especified-notcovered) - CO2eRPS-adjustment - CO2eQE-adjustment - CO2elinked
Where:
CO2ecovered = Annual metric tons of CO2e with a compliance obligation.
CO2eunspecified = Annual metric tons of CO2e from unspecified imported electricity calculated pursuant to MRR 95111(b)(1).
CO2especified = Annual metric tons of CO2e from imported electricity from specified sources that meet the requirements of MRR section 95111(b)(1). 
CO2especified-not covered = Annual metric tons of CO2e without a compliance obligation pursuant to section 95852.2. from specified sources that meet the requirements in MRR section 95111(b)(1),
CO2eRPS-adjustment = Annual metric tons of CO2e calculated pursuant to MRR that meets the requirements of section 95852(b)(4).
CO2eQE-adjustment = Annual metric tons of CO2e from qualified exports pursuant to MRR section 95111(b)(1) that meet the requirements of section 95852(b)(5).
CO2elinked = Annual metric tons of CO2e from electricity with a first point of receipt located in a jurisdiction where a GHG emissions trading system has been approved for linkage by the Board pursuant to subarticle 12.
(C) All deliveries of electricity not meeting the requirements for specified sources pursuant to MRR will have emissions calculated using the default emission factor for unspecified electricity pursuant to MRR section 95111(b)(1). 
(2) Resource shuffling is prohibited and is a violation of this article. First Deliverers must submit the following attestations annually to ARB, by June 1, in writing, by certified mail only:
(A) “I certify under penalty of perjury of the laws of the State of California that [facility or company name] for which I am an agent has not engaged in the activity of resource shuffling to reduce compliance obligation for emissions, based on emission reductions that have not occurred as reported under MRR.”
(B) “I understand [facility or company name], for which I am an agent, is participating in the Cap-and-Trade Program under title 17, California Code of Regulations, article 5, and by doing so, it now subjects itself to all regulatory requirements and enforcement mechanisms of this program and subjects itself to the jurisdiction of California as the exclusive venue to resolve disputes.”
(3) The following criteria must be met for electricity importers to claim a compliance obligation for delivered electricity based on a specified source emission factor less than the default emission factor:
(A) Electricity deliveries must be reported to ARB and emissions must be calculated pursuant to MRR section 95111.
(B) The electricity importer must be the facility operator or have right of ownership or a written power contract, as defined in MRR section 95102(a), to the amount of electricity claimed and generated by the facility or unit claimed;
(C) The electricity must be directly delivered, as defined in MRR section 95102(a), to the California grid; and
(D) If RECs were created for the electricity generated and reported pursuant to MRR, then the RECs must be retired and verified pursuant to MRR. 
(4) RPS adjustment. Electricity imported or procured by an electricity importer from an eligible renewable energy resource reported pursuant to MRR must meet the following conditions to be included in the calculation of the RPS adjustment: 
(A) The electricity importer must have either:
1. Ownership or contract rights to procure the electricity generated by the eligible renewable energy resource; or
2. Have a contract to import electricity on behalf of a California entity that has ownership or contract rights to the electricity generated by the eligible renewable energy resource, as verified under MRR.
(B) The RECs associated with the electricity claimed for the RPS adjustment must be used to comply with California RPS requirements during the same year in which the RPS adjustment is claimed.
(C) The quantity of emissions included in the RPS adjustment is calculated as the product of the default emission factor for unspecified sources, pursuant to MRR, and the reported electricity generated (MWh) that meets the requirements of this section, 95852(b)(4).
(D) No RPS adjustment may be claimed for an eligible renewable energy resource when its electricity is directly delivered.
(E) No RPS adjustment may be claimed for electricity generated by an eligible renewable energy resource in a jurisdiction where a GHG emissions trading system has been approved for linkage by the Board pursuant to subarticle 12.
(5) QE adjustment. An adjustment to the compliance obligation pursuant to the calculation in 95852(b)(1) may be made for exported and imported electricity during the same hour by the same PSE. Emissions included in the QE adjustment for qualified exports claimed by a first deliverer must meet the following requirements: 
(A) During any hour in which an electricity importer claims qualified exports and corresponding imports, the maximum amount of QE adjustment for the hour shall not exceed the product of:
1. The lower of either the quantity of exports or imports (MWh) for the hour; multiplied by
2. The lowest emission factor of any portion of the qualified exports or corresponding imports for the hour.
(B) Emissions and MWhs included in the QE adjustment must be reported and verified or assigned pursuant to MRR, and must be documented by hourly import and export data pursuant to MRR.
(c) Suppliers of Natural Gas. A supplier of natural gas covered under sections 95811(c) and 95812(d) has a compliance obligation for every metric ton CO2e of GHG emissions that would result from full combustion or oxidation of all fuel delivered to end users in California contained in an emissions data report that has received a positive or qualified positive emissions data verification statement or for which emissions have been assigned, less the fuel that is delivered to covered entities, as follows:
(1) Suppliers of natural gas shall report the total metric tons CO2e of GHG emissions delivered to all end users in California pursuant to section 95122 of MRR;
(2) ARB shall calculate the metric tons CO2e of GHG emissions for natural gas delivered to covered entities which are customers of the supplier. The emissions will be calculated according to section 95122 of MRR using the reported deliveries (in mmBtu) in emissions data reports that received a positive or qualified positive emissions data verification statement, or the assigned emissions from natural gas delivered to the covered entity by the supplier of natural gas;
(3) ARB shall provide the supplier of natural gas a listing of all customers and aggregate natural gas (in mmBtu) and emissions calculated from the supplier's natural gas delivered to covered entities; and
(4) The Executive Officer shall calculate the metric tons CO2e for which the supplier will be required to hold a compliance obligation based on the supplier's reported emissions less ARB's calculated emissions from deliveries to covered entities which are customers of the supplier. The Executive Officer shall provide this value to the supplier of natural gas within 30 days of the verification deadline in section 95103 of MRR.
(d) Suppliers of RBOB and Distillate Fuel Oils. A supplier of petroleum products covered under sections 95811(d) or 95812(d) has a compliance obligation for every metric ton CO2e of GHG emissions included in an emissions data report that has received a positive or qualified positive emissions data verification statement or for which emissions have been assigned that would result from full combustion or oxidation of the quantities of the following fuels that are removed from the rack in California, sold to entities not licensed by the California Board of Equalization as a fuel supplier, or imported into California and not directly delivered to the bulk-transfer/terminal system as defined in section 95102 of MRR, except for products for which a final destination outside California can be demonstrated: 
(1) RBOB;
(2) Distillate Fuel Oil No. 1; and
(3) Distillate Fuel Oil No. 2.
(e) Suppliers of Natural Gas Liquids:
(1) A producer of liquefied petroleum gas covered under sections 95811(e) and 95812(d) has a compliance obligation for every metric ton CO2e of GHG emissions included in an emissions data report that has received a positive or qualified positive emissions data verification statement or for which emissions have been assigned that would result from full combustion or oxidation of all fuel sold, distributed, or otherwise transferred for consumption in California; and
(2) An importer consignee, as defined under MRR, of liquefied petroleum gas covered under section 95811(e) has a compliance obligation for every metric ton CO2e of GHG emissions included in an emissions data report that has received a positive or qualified positive emissions data verification statement or for which emissions have been assigned that would result from full combustion or oxidation of all fuel imported into California.
(f) Suppliers of Blended Fuels. An entity that supplies any of the fuels covered under sections 95811(f) and 95812(d) as blended fuels has an aggregated compliance obligation for every metric ton of CO2e of GHG emissions based on the separate constituents of the blend included in an emissions data report that has received a positive or qualified positive emissions data verification statement or for which emissions have been assigned that would result from full combustion or oxidation of the fuel.
(g) Carbon Dioxide Suppliers. An entity that supplies carbon dioxide (defined in section 95802(a)(47) covered under sections 95811(g) and 95812(c)(3) has an aggregated compliance obligation based on the sum of MT CO2 included in an emissions data report that has received a positive or qualified positive emissions data verification statement or for which emissions have been assigned and which are defined in sections 95802(a)(47)(a), 95802(a)(47)(b), and 95802(a)(47)(c), minus CO2 verified to be geologically sequestered through use of a Board-approved carbon capture and geologic sequestration quantification methodology that ensures that the emissions reductions are real, permanent, quantifiable, verifiable, and enforceable.
(h) Petroleum and Natural Gas Systems. Operators of the facilities specified in section 95101(e)(2)-(5) of MRR have a compliance obligation for every metric ton of CO2e from the source types specified in sections 95152(c)-(f) of MRR, except as specified in section 95852.2 of this article, that is contained in an emissions data report that has received a positive or qualified positive emissions data report, or for which emissions have been assigned. 
(i) The compliance obligation for sources specified in sections 95852(a) through (h) is calculated based on the sum of the following, as applicable:
(1) Emissions of CO2, CH4, and N2O which resulted from combustion of fossil fuel; 
(2) Emissions of CH4 and N2O which resulted from combustion of all biomass-derived fuel; 
(3) Emissions of CO2 which resulted from combustion of biomass-derived fuels that do not meet the requirements in section 95852.2(a); 
(4) Emissions of CO2 which resulted from combustion of biomass-derived fuels pursuant to section 95852.1; and 
(5) All process and vented emissions of CO2, CH4, and N2O as specified in the MRR except for those listed in section 95852.2(b). 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (b)(1)(B)-(C) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95852.1. Compliance Obligations for Biomass-Derived Fuels.
Note     •     History

An entity that has emissions from combustion of biomass-derived fuels is required to report and verify its emissions pursuant to MRR and has a compliance obligation for every metric ton of CO2e emissions: 
(a) From combustion of fuel types that are not listed under section 95852.2; or 
(b) From combustion of fuels that do not meet the requirements of section 95852.1.1; or
(c) That are reported as non-exempt biomass derived CO2 under MRR.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95852.1.1. Eligibility Requirements for Biomass-Derived Fuels.
Note     •     History

(a) Biomass-derived fuel procured under contracts for biogas and biomethane must meet one of the following criteria. Only the portion of the fuel that meets one of these criteria will be considered a biomass-derived fuel. Emissions from combustion of this fuel will not be subject to a compliance obligation when reported as Biomass CO2 in an emissions data report that has received a positive or qualified positive emissions data verification statement and determined as exempt pursuant to section 95852.2 and 95103(j) of MRR.
(1) The contract for purchasing any biomass-derived fuel must be executed prior to January 1, 2012 and remain in effect or have been renegotiated with the same California operator within one year of contract expiration. The delivery of the fuel under the contract must commence by one of the following dates to be eligible under this provision:
(A) 90 days after the execution date of the signed contract; or
(B) January 1, 2012; or
(C) 10 days after the date on which the CEC provides notice that the operator's electricity generating facility is certified as eligible for California's Renewables Portfolio Standard for the contracted biomass-derived fuel, or cannot be so certified, provided that the application for certification was submitted to the CEC before January 1, 2012. 
(2) The fuel being provided under a contract dated on or after January 1, 2012 must only be for an amount of fuel that is associated with:
(A) An increase in the biomass derived fuel production capacity, at a particular site, where an increase is considered any amount over the average production at that site over the last three years; or
(B) Recovery of the fuel at a site where the fuel was previously being vented or destroyed without producing useful energy transfer.
(3) The fuel being provided under a contract is for a fuel that was previously eligible under sections 95852.1.1(a)(1) or (2), and the verifier is able to track the fuel to the previously eligible contract; or
(4) If the biogas or biomethane is used at the site of production, and not transferred to another operator, thus not requiring a contract, the operator must demonstrate one of the following:
(A) The fuel has been combusted in California prior to January 1, 2012; or
(B) The fuel was not previously used to produce useful energy transfer.
(b) An entity may not sell, trade, give away, claim, or otherwise dispose of any of the carbon credits, carbon benefits, carbon emissions reductions, carbon offsets or allowances, howsoever entitled, attributed to the fuel production that would, when combined with the CO2 emissions from complete combustion of the fuel, result in more CO2e emissions than would have occurred in the absence of the fuel production. In the case of biomethane or biogas produced from digesters or landfills, the resulting credit for avoided methane emissions may not exceed 23.75 metric tons of CO2e per ton of captured methane. All calculations of CO2e emissions are based on the 100-year global warming potentials included in MRR. Generation of Renewable Energy Credits is excluded from this analysis and will not prevent a biomass-derived fuel that meets the requirements in this section from being exempt from a compliance obligation. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (a) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95852.2. Emissions Without a Compliance Obligation.
Note     •     History

Emissions from the following source categories and from the combustion of the following fuel types count toward applicable reporting thresholds, as applicable in MRR, but do not count toward a covered entity's compliance obligation set forth in this article unless those emissions are reported as non-exempt biomass- derived CO2 under MRR. Emissions without a compliance obligation include:
(a) CO2 emissions from combustion of the following biomass-derived fuels:
(1) The biogenic fraction of solid waste materials as reported under MRR;
(2) Waste pallets, crates, dunnage, manufacturing and construction wood wastes, tree trimmings, mill residues, and range land maintenance residues;
(3) All agricultural crops or waste;
(4) Wood and wood wastes identified to follow all of the following practices:
(A) Harvested pursuant to an approved timber management plan prepared in accordance with the Z'berg-Nejedly Forest Practice Act of 1973 or other locally or nationally approved plan; and
(B) Harvested for the purpose of forest fire fuel reduction or forest stand improvement.
(5) Biodiesel:
(A) Agri-biodiesel derived solely from virgin oils, including esters derived from virgin vegetable oils from corn, soybeans, sunflower seeds, cottonseeds, canola, cramble, rapeseeds, safflowers, flaxseeds, rice bran, mustard seeds, and camelina, and from animal fats. 
(B) Biodiesel is defined as monoalkyl esters of long chain fatty acids derived from the following plant or animal matter that meets the requirements of the American Society of Testing Materials (ASTM) D6751-08 (Standard Specification for Biodiesel Fuel Blendstock (B100) for Middle Distillate Fuels, 2008):
1. Waste oils;
2. Tallow; or
3. Virgin oils.
(6) Fuel ethanol (including denaturant):
(A) Cellulosic biofuel produced from lignocellulosic or hemicellulosic material that has a proof of at least 150 without regard to denaturants;
(B) Corn starch; or
(C) Sugar cane.
(7) The biogenic fraction of municipal solid waste as reported under MRR, including MSW directly combusted or converted to a cleaner-burning fuel;
(8) Biomethane and biogas from the following sources:
(A) All animal, plant and other organic waste; or
(B) Landfills and wastewater treatment plants;
(b) The following additional process, vented, and fugitive emissions: 
(1) Emissions from geothermal generating units and geothermal facilities, including geothermal geyser steam or fluids;
(2) Emissions from natural gas hydrogen fuel cells; 
(3) Vented and fugitive emissions from storage tanks used in petroleum and natural gas production and natural gas transmission; 
(4) Vented and fugitive emissions reported under section 95153 of MRR by local distribution companies that report under section 95122 of MRR; 
(5) Vented and fugitive emissions from natural gas transmission storage tanks used in petroleum and natural gas production and natural gas transmission, and from produced water;
(6) Emissions reported by petroleum refineries from asphalt blowing operations, equipment leaks, storage tanks, and loading operations; 
(7) Emissions from low bleed pneumatic devices; 
(8) Emissions from high bleed pneumatic devices reported prior to January 1, 2015; 
(9) Vented emissions from well-site centrifugal and reciprocating compressors with a rated horsepower less than 250hp;
(10) Sources for which emissions are estimated using leak detection and leaker emission factors, as required by section 95153(q) of MRR; and 
(11) Carbon dioxide that is imported, or that is exported for purposes other than geologic sequestration. 
(c) Additional Exemption. The operators of facilities with the NAICS code 92811 are exempt from compliance with this article through December 31, 2013.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (a)(5)(B) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95853. Calculation of Covered Entity's Triennial Compliance Obligation.
Note     •     History

(a) A covered entity that exceeds the threshold in section 95812 in any of the three data years preceding the start of a compliance period is a covered entity for the entire compliance period. The covered entity's triennial compliance obligation in this situation is calculated as the total of the emissions with a compliance obligation that received a positive or qualified positive emissions data verification statement, or were assigned emissions pursuant to section 95131 of MRR from all data years of the compliance period.
(b) A covered entity that initially exceeds the threshold in section 95812 in the first year of a compliance period is a covered entity for the entire compliance period. The covered entity's triennial compliance obligation in this situation is calculated as the total of the emissions that received a positive or qualified positive emissions data verification statement, or were assigned emissions pursuant to section 95131 of MRR from all data years of the compliance period.
(c) A covered entity that initially exceeds the threshold in section 95812 in the second year of the second or subsequent compliance period is a covered entity for the second and third years of this compliance period. The covered entity's triennial compliance obligation in this situation is calculated as the total of the emissions that received a positive or qualified positive emissions data verification statement, or were assigned emissions pursuant to section 95131 of MRR for the second and third data years of the compliance period. 
(d) A covered entity that initially exceeds the threshold in section 95812 in the second year of the first compliance period or the third year of a later compliance period has a compliance obligation for its emissions that received a positive or qualified positive emissions data verification statement, or were assigned emissions pursuant to section 95131 of MRR for that year, but the entity's triennial compliance obligation for the current compliance period is not due the following year. Instead the entity's reported and verified or assigned emissions for this year will be added to the entity's triennial obligation for the subsequent compliance period.
(e) For a new entrant that is eligible to receive free allowances pursuant to subarticles 8 and 9, the first year for this entity to receive free allowances is the year following the first year in which its emissions exceed the threshold in section 95812. The number of free allowances for this new entrant to receive in that year is twice the number calculated pursuant to section 95891. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95854. Quantitative Usage Limit on Designated Compliance Instruments--Including Offset Credits.
Note     •     History

(a) Compliance instruments identified in section 95820(b) and sections 95821(b), (c), and (d) are subject to a quantitative usage limit when used to meet a compliance obligation.
(b) The total number of compliance instruments identified in section 95854(a) that each covered entity may surrender to fulfill the entity's compliance obligation for a compliance period must conform to the following limit:
Oo/S must be less than or equal to Lo 
In which:
Oo = Total number of compliance instruments identified in section 95854(a) submitted to fulfill the entity's compliance obligation for the compliance period. 
S = Covered entity's compliance obligation.
Lo = Quantitative usage limit on compliance instruments identified in section 95854(a), set at 0.08.
(c) The number of sector-based offset credits that each covered entity may surrender to meet the entity's compliance obligation for a compliance period must not be greater than 0.25 of the Lo for the first and second compliance periods and not more than 0.50 of the Lo for subsequent compliance periods.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95855. Annual Compliance Obligation.
Note     •     History

(a) An entity has an annual compliance obligation for any year when the entity is a covered entity except for the condition specified in section 95853(d); and
(b) The annual compliance obligation for a covered entity equals 30 percent of emissions with a compliance obligation reported from the previous data year that received a positive or qualified positive emissions data verification statement, or were assigned emissions pursuant to section 95131 of MRR.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95856. Timely Surrender of Compliance Instruments by a Covered Entity.
Note     •     History

(a) A covered entity must surrender one compliance instrument for each metric ton of CO2e of GHG emissions for the annual and triennial compliance obligations calculated pursuant to this subarticle beginning with the emissions data report for 2013 emissions and each subsequent year in which the covered entity has a compliance obligation.
(b) Compliance Instruments Valid for Surrender.
(1) A compliance instrument listed in subarticle 4 may be used to satisfy a compliance obligation. 
(2) To fulfill any compliance obligation, a compliance instrument must be issued from an allowance budget year within or before the year for which an annual compliance obligation is calculated or the last year of a compliance period for which a triennial compliance obligation is calculated, unless:
(A) The allowance was purchased from the Allowance Price Containment Reserve pursuant to section 95913; or
(B) The allowance is used to satisfy an excess emissions obligation.
(c) A covered entity must transfer from its holding account to its compliance account a sufficient number of compliance instruments to meet the compliance obligation set forth in sections 95853 and 95855. 
(d) Deadline for Surrender of Annual Compliance Obligations. For any year in which a covered entity has an annual compliance obligation pursuant to section 95855, it must fulfill that obligation:
(1) By November 1 of the calendar year following the year for which the obligation is calculated if the entity reports by April 10 pursuant to section 95103 of MRR; or
(2) By November 1 of the calendar year following the year for which the obligation is calculated if the entity reports by June 1 pursuant to section 95103 of MRR.
(3) In years 2015, 2018, and 2021 there is no annual compliance obligation for the preceeding compliance period, only a triennial compliance obligation.
(e) Determination of Triennial Compliance Obligation.
(1) When a positive or qualified positive emissions data verification statement or assigned emissions for any year is received by ARB, then those emissions for the source categories in section 95852 equal the triennial compliance obligation pursuant to section 95853. 
(2) If a positive or qualified positive emissions data verification statement for any year of the compliance period is not received by ARB by the applicable verification deadline as set forth in MRR, ARB will assign emissions according to the requirements set forth in section 95103(g) of MRR for the emissions for the source categories in section 95852. The assigned emissions value then equals the compliance obligation.
(f) Surrender of Triennial Compliance Obligation.
(1) The covered entity must transfer sufficient valid compliance instruments to its compliance account to fulfill its triennial compliance obligation by November 1 of the calendar year following the final year of the compliance period.
(2) The total number of compliance instruments submitted to fulfill the triennial compliance obligation is subject to the quantitative use limit pursuant to section 95854.
(3) The surrender of compliance instruments must equal the triennial compliance obligation calculated pursuant to section 95853 less compliance instruments surrendered to fulfill the annual compliance obligation for the years in the compliance period.
(g) When the Executive Officer has determined the covered entity has met its compliance obligations, the Executive Officer shall:
(1) Retire the compliance instruments surrendered; and
(2) Inform programs to which California is linked or recognizes, pursuant to subarticles 12 and 14, of the retirements, including the serial numbers of the compliance instruments retired.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95857. Untimely Surrender of Compliance Instruments by a Covered Entity.
Note     •     History

(a) Applicability.
(1) A covered entity or opt-in covered entity that does not meet the compliance deadline for surrendering its annual or triennial compliance obligation pursuant to section 95856 is subject to the compliance obligation for untimely surrender as described in this section; and
(2) The compliance obligation for untimely surrender (“excess emissions”) will not apply to a covered entity or opt-in covered entity which is determined to have transferred insufficient instruments to meet the compliance obligations of section 95856 solely because of the invalidation of an ARB offset credit by the Executive Officer pursuant to section 95985 until six months after notice of invalidation.
(b) Calculation of the Untimely Surrender Obligation.
(1) The quantity of excess emissions is the difference between the compliance obligation calculated pursuant to this section and any compliance instruments timely surrendered by the entity;
(2) The entity's compliance obligation for untimely surrender is calculated as four times the entity's excess emissions; 
(3) At least three-fourths of an entity's compliance obligation for untimely surrender may only be fulfilled with CA GHG allowances or allowances issued by a GHG ETS pursuant to subarticle 12; 
(4) Up to one-fourth of an entity's compliance obligation for untimely surrender may be fulfilled with ARB offset credits or compliance instruments listed in sections 95821(b), (c), and (d);
(5) The quantitative usage limit provided in section 95854 will apply to the compliance instruments listed in section 95857(b)(4) for the compliance period for which the untimely surrender obligation applies; and 
(6) The untimely surrender obligation is due within five days of the first auction or reserve sale conducted by ARB following the applicable surrender date, whichever is the latter, and for which the registration deadline has not passed when the untimely surrender obligation is assessed.
(c) If an entity with an untimely surrender obligation fails to satisfy this obligation pursuant to section 95857(b)(6) then:
(1) ARB will determine the number of violations pursuant to section 96014;
(2) If a portion of the untimely surrender obligation is not surrendered as required, the entity will have a new untimely surrender obligation equal to the amount of the previous untimely surrender obligation which was not satisfied by the deadline stated in section 95857(b)(6) upon which the number of violations will be calculated pursuant to section 96014. The new untimely surrender obligation is due immediately; and
(3) The calculation of the untimely surrender obligation shall only apply once for each untimely surrender of compliance instruments per annual or triennial compliance obligation.
(d) When the covered entity or opt-in covered entity meets its untimely surrender obligations pursuant to sections 95857(a) through (c), the Executive Officer shall:
(1) Transfer the compliance instruments used to fulfill the untimely surrender obligation in the following manner:
(A) At least three fourths of the compliance instruments to the Auction Holding Account. The three fourths of the compliance instruments transferred to the Auction Holding Account shall only be comprised of allowances; and
(B) The remaining one fourth of compliance instruments to the Retirement Account.
(2) Inform programs to which California is linked or recognizes, pursuant to subarticles 12 and 14, of the retirements, including the serial numbers of the compliance instruments retired.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95858. Compliance Obligation for Under-Reporting in a Previous Compliance Period.
Note     •     History

If, after an entity has surrendered its compliance instruments for a compliance period pursuant to section 95856, the Executive Officer determines, through an audit or other information, that the entity under-reported its emissions under MRR for any emissions sources that form the basis for entity's the compliance obligation, then the following shall apply:
(a) If the difference between the emissions used to calculate the compliance obligation and subsequently used to calculate the number of compliance instruments surrendered pursuant to section 95856 and the emissionsdetermined by the Executive Officer to be under-reported for the sum of those emissions is less than five percent of the emissions number used to calculate the compliance obligation and subsequently used to calculate the number of compliance instruments surrendered pursuant to section 95856, then the entity is not required to take any further action.
(b) If the difference between the emissions used to calculate the compliance obligation and subsequently calculate the number of compliance instruments surrendered pursuant to section 95856 and the emissions determined by the Executive Officer to be under-reported for the sum of those emissions is more than five percent of the emissions number used to calculate the compliance obligation and subsequently used to calculate the number of compliance instruments surrendered pursuant to section 95856, then the entity must surrender compliance instruments in the following amount:
Cla = EMd - CO - (CO * 0.05)
Where:
`Cla' is the number of additional compliance instruments that must be surrendered to ARB to cover under-reported emissions;
`CO' is the emissions number used to determine the compliance obligation surrendered pursuant to section 95856 for any previous compliance period; and
`EMd' is the number of the emissions determined by the Executive Officer for the sum of the emissions sources subject to a compliance obligation;
(c) The entity will have six months from the time of notification by the Executive Officer to surrender additional compliance instruments for under- reporting emissions under MRR for the previous compliance period as determined pursuant to this section. The provisions of sections 95857 and 96014 shall not apply during these six months. The entity may use compliance instruments from subsequent compliance periods to meet these requirements. The entity may only use CA GHG allowances or allowances issued by a GHG ETS approved pursuant to subarticle 12 to meet the requirements of this section. 
(d) Any determination that an entity under-reported its emissions for a previous compliance period shall be made by the Executive Officer no later than eight years from the applicable verification deadline for the emissions data report which contained the under-reporting of emissions. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 8. Disposition of Allowances
§95870. Disposition of Allowances.
Note     •     History

(a) Allowance Price Containment Reserve. Upon creation of the Allowance Price Containment Reserve Account, the Executive Officer shall transfer allowances to the Allowance Price Containment Reserve, as follows: 
(1) One percent of the allowances from budget years 2013-2014; 
(2) Four percent of the allowances from budget years 2015-2017; and 
(3) Seven percent of the allowances from budget years 2018-2020.
(b) Advance Auction. Upon creation of the Auction Holding Account, the Executive Officer shall transfer 10 percent of the allowances from budget years 2015-2020 to the Auction Holding Account.
(1) These allowances shall be auctioned pursuant to section 95910. 
(2) The proceeds from the sale of these allowances will be deposited into the Air Pollution Control Fund and will be available upon appropriation by the Legislature for the purposes designated in California Health and Safety Code sections 38500 et seq.
(c) Upon creation of the Voluntary Renewable Electricity Reserve Account, the Executive Officer shall transfer allowances to the Voluntary Renewable Electricity Reserve Account, as follows:
(1) 0.5 percent of the allowances from budget years 2013-2014; and
(2) 0.25 percent of the allowances from budget years 2015-2020.
(d) Electrical Distribution Utility Sector Allocation. Allowances available for allocation to electrical distribution utilities each budget year shall be 97.7 million metric tons multiplied by the cap adjustment factor in Table 9-2 for each budget year 2013-2020. The Executive Officer will allocate to electrical distribution utilities on July 15, 2012, or the first business day thereafter, for vintage 2013 allowances and November 1, or first business day thereafter, of each calendar year from 2013-2019 for allocations from 2014-2020 annual allowance budgets. 
(e) Allocation to Industrial Covered Entities. Allowances allocated for the purposes of industry assistance shall be transferred to holding accounts for industrial sectors listed in Table 8-1. 
(1) The Executive Officer will place an annual individual allocation in the holding account of each eligible covered entity on or before November 1, or the first business day thereafter, of each calendar year 2012-2019 for allocations from 2013-2020 annual allowance budgets.
(2) Allocation to eligible covered entities shall be conducted using the assistance factors specified for each listed industrial activity found in Table 8-1 and the methodology set forth in section 95891.
(A) First Compliance Period Refining Sector Allocation. Allowances available for allocation to petroleum refineries from the 2013-2014 allowance budgets shall be calculated using the following equation. Individual petroleum refiners will receive a portion of this sector allocation under the method calculated pursuant to section 95891(d). 
SAt = Ot-2 * BR * AFR, t * ct 
Where:
“SAt” is the allocation to the refining sector from budget year “t”;
“Ot-2” is the output of primary refinery products, in barrels, from the refining sector in year “t-2”;
“BR” is the benchmark for primary products produced by the refining sector, equal to 0.0462 metric tons of allowances per barrel of primary refinery product;
“AFR, t” is the assistance factor for budget year “t” assigned to petroleum refining as specified in Table 8-1; and
“ct” is the cap adjustment factor for budget year “t” assigned to petroleum refining to account for cap decline as specified in Table 9-2 in section 95891.
(B) Second and Third Compliance Period Refining Sector Allocation. For budget years 2015-2020, allowances available for allocation to individual petroleum refineries shall be calculated using the product output-based allocation calculation methodology in section 95891(b). 
(3) The total amount of allowances allocated for the purposes of industry assistance shall not exceed the available amount of allowances after accounting for allocations made pursuant to section 95870(a) through (d). If the amount calculated under the methodology set forth in section 95891 exceeds the amount of allowances available, the number of allowances available will be prorated equally across all eligible industrial covered entities. The proration will be calculated using the share of allowances available after accounting for all allocations made pursuant to sections 95870(a) through (d) compared to total allowances that would be distributed according to the methodology set forth in section 95891.

Table 8-1: Industry Assistance

View Graphic
(f) Auction Proceeds for AB 32 Statutory Objectives. All remaining allowances not allocated for uses specified in sections 95870(a) through (e) will be designated for sale at auction. The proceeds from the sale of these allowances will be deposited into the Air Pollution Control Fund and will be available for appropriation by the Legislature for the purposes designated in California Health and Safety Code sections 38500 et seq. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 8 (section 95870) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (e)(2)(A) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
Subarticle 9. Direct Allocations of California GHG Allowances
§95890. General Provisions for Direct Allocations.
Note     •     History

(a) Eligibility Requirements for Industrial Facilities. A covered entity or opt-in covered entity from the industrial sectors listed in Table 8-1 shall be eligible for direct allocations of California GHG allowances if it has complied with the requirements of MRR and has obtained a positive or qualified positive product data verification statement for the prior year pursuant to MRR. 
(b) Eligibility Requirements for Electrical Distribution Utilities. An electrical distribution utility shall be eligible for direct allocation of California GHG allowances if it has complied with the requirements of MRR and has obtained a positive or qualified positive emissions data verification statement for the prior year pursuant to MRR.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 9 (sections 95890-95893) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95891. Allocation for Industry Assistance.
Note     •     History

(a) The Executive Officer shall determine the amount of allowances directly allocated to each eligible covered entity or opt-in covered entity using the product output-based allocation calculation methodology specified in section 95891(b) if the entity conducts an activity listed in both Table 8-1 and Table 9-1. The Executive Officer shall determine the amount of allowances directly allocated to each eligible covered entity or opt-in covered entity using the energy-based allocation calculation methodology specified in section 95891(c) if the entity conducts an activity listed in Table 8-1 but not listed in Table 9-1.
(1) First Compliance Period Refining Sector Allocation Exception. For budget years 2013-2014 petroleum refineries shall receive their allocation of allowances pursuant to the methodology stated in section 95891(d).
(2) Second and Third Compliance Period Refining Sector Allocation. For buget years 2015-2020 petroleum refineries shall receive their allocation of allowances pursuant to the product output-based allocation calculation methodology stated in section 95891(b). 
(b) Product Output-Based Allocation Calculation Methodology. The Executive Officer shall calculate the amount of California GHG Allowances directly allocated under a product output-based methodology annually using the following formula:

View Graphic
Where:
“At” is the amount of California GHG allowances directly allocated to the operator of an industrial facility for all activities with a product output-based allocation from budget year “t”; 
“t” is the budget year from which the direct allocation occurs;
“t-2” is the year two years prior to year “t”;
“t-4” is the year four years prior to year “t”;
“a” is each eligible activity as defined in Table 9-1;
“n” is the number of eligible activities at a facility; 
“Oa,initial” will be calculated by the Executive Officer as the output in year “t-2” as reported to ARB.
“Oa,trueup” adjusts for any output in year “t” not properly accounted for in prior allocations. The Executive Officer will calculate this term using the difference between the output reported in data year “t-2” and the output reported in data year “t-4.”
“Ba” is the emissions efficiency benchmark per unit of output for each eligible activity defined in Table 9-1; 
“AFa,t” is the assistance factor for budget year “t” assigned to each activity “a” as specified in Table 8-1; and 
“ca,t” is the adjustment factor for budget year “t” assigned to each activity 
“a” to account for cap decline as specified in Table 9-2.

Table 9-1: Product-Based Emissions Efficiency Benchmarks

View Graphic
(c) Energy-Based Allocation Calculation Methodology. The Executive Officer shall calculate the amount of California GHG Allowances directly allocated under the energy-based methodology annually using the following formula:

At = (SConsumed * BSteam + FConsumed * BFuel - eSold * BElectricity) * AFa, t * ca, t
Where:
“At” is the amount of California GHG allowances directly allocated to the operator of an industrial facility with an energy-based allocation from budget year “t”; 
“t” is the budget year from which the direct allocation occurs; 
“SConsumed” is the historical baseline annual arithmetic mean amount of steam consumed, measured in MMBtu, at the industrial facility for any industrial process, including heating or cooling applications. This value shall exclude any steam used to produce electricity. This value shall exclude steam produced from an onsite cogeneration unit;
“BSteam” is the emissions efficiency benchmark per unit of steam, 0.06244 California GHG Allowances/MMBtu Steam; 
“FConsumed” is the historical baseline annual arithmetic mean amount of energy produced due to fuel combustion at a given facility, measured in MMBtus. The Executive Officer shall calculate this value based on measured higher heating values or the default higher heating value of the applicable fuel in Table C***1 of subpart C, title 40, Code of Federal Regulations, Part 98 (October 30, 2009). This value shall include any energy from fuel combusted in an onsite electricity generation or cogeneration unit. This value shall exclude energy to generate the steam accounted for in the “SConsumed” term;
“BFuel” is the emissions efficiency benchmark per unit of energy from fuel combustion, 0.05307 California GHG Allowances/MMBtu; 
“eSold” is the historical baseline annual arithmetic mean amount of electricity sold or provided for off-site use, measured in MWhs;
“BElectricity” is the emissions efficiency benchmark per unit of electricity sold or provided to off-site end users, 0.431 California GHG Allowances/MWh;
“AFa, t” is the assistance factor for budget year “t” assigned to each activity “a” as specified in Table 8-1; and 
“c a,t” is the adjustment factor for budget year “t” assigned to each activity “a” to account for cap decline as specified in Table 9-2.
(1) Data Sources. 
(A) In determining the appropriate baseline values, the Executive Officer may employ all available data reported to ARB under MRR for data years 2008-2010. If necessary, the Executive Officer will solicit additional data to establish a representative baseline allocation.
(B) Recognition of California Climate Action Registry membership. If a facility reported facility level, third-party verified, greenhouse gas emissions data to the California Climate Action Registry for data years 2000-2007, the Executive Officer may consider these years in determining the representative annual baseline value. If necessary the Executive Officer will solicit additional data for these data years.
(2) Maximum Free Allocation. The Executive Officer shall ensure that the annual amount of California GHG Allowances directly allocated under the energy-based methodology to a covered entity for operations at a facility shall not exceed 110% of the maximum annual level of greenhouse gas emissions, adjusted for steam purchases and sales and electricity sales, emitted during the historical data years used in establishing the baseline allocation for the facility in question.
(3) New Entrants. Covered entities of facilities that were not in operation prior to 2011 and are eligible for free allocation under the energy-based methodology shall be assessed a baseline annual allocation based on expected activity levels as determined by the Executive Officer.
(4) Facility Closures. Covered entities that are no longer subject to the Cap-and-Trade Program due to reduced emissions or facility closure as determined pursuant to section 95812(e) shall no longer be eligible to receive allowances. 
(d) First Compliance Period Refining Sector Allocation Calculation Methodology. For the budget years 2013-2014, the Executive Officer shall calculate the amount of California GHG allowances allocated to an individual petroleum refinery annually using the following methodology.
(1) Facilities without an EII value. For refineries that did not participate in the 2008 Solomon Energy Review, or that do not have a representative EII value as determined by the Executive Officer, allowances will be allocated using the following equation:
If: OX,t-2 * BR * ct * AFR, t <UN-> BEX * ct * AFR, t
Then: AX = OX,t-2 * BR * ct * AFR, t 
If: OX,t-2 * BR * ct AFR, t > BEX * ct * AFR, t
Then: 
Where: AX = BEX * ct * AFR, t
“AX,t” is the allocation to refinery “X” without an EII value for year “t”;
“OX,t-2” is the output of primary refinery products, in barrels, from refinery “X” in year “t-2”;
“BR” is the benchmark for primary products produced by the refining sector, equal to 0.0462 metric tons of allowances per barrel of primary product;
“AFR, t” is the assistance factor for budget year “t” assigned to petroleum refining as specified in Table 8-1; and
“ct” is the adjustment factor for budget year “t” assigned to petroleum refining to account for cap decline as specified in Table 9-2.
“BEX” is the baseline average annual greenhouse gas emissions for refinery “X” adjusted for steam purchases and sales and electricity sales using the following equation:

BEX = GHG + (SPurchased - SSold) * 0.06244 - eSold * 0.431
“GHG” is the annual arithmetic mean amount of greenhouse gas emissions from the refinery;
“SPurchased” is the annual arithmetic mean amount of steam purchased by the refinery in MMBtu;
“SSold” is the annual arithmetic mean amount of steam sold from the refinery in MMBtu;
“eSold” is the annual arithmetic mean amount of electricity sold from the refinery in MWh; 
To calculate these values, the Executive Officer may employ data reported to ARB for data years 2008-2010. If the facility reported facility-level, third-party verified, greenhouse gas emissions data to the California Climate Action Registry for data years 2006-2007, the Executive Officer may consider these years in determining representative baseline values. If necessary, the Executive Officer will solicit data to establish a representative baseline.
(2) Facilities with an EII value. For refineries that participated in the 2008 Solomon Energy Review and have a representative EII value, allowances will be allocated using the following approach:
(A) Initial Allocations. 2013 and 2014 vintage allowances will be allocated using the following equation:

AY,t = BEY * DFY,t * Ft
Where: 
“AY,t” is the initial allocation to refinery “Y” that has an EII value for year “t”;
“BEY” is the baseline average annual greenhouse gas emissions for refinery “Y” adjusted for steam purchases and sales and electricity sales using the following equation:

BEY = GHG + (SPurchased - SSold) * 0.06244 - eSold * 0.431
“GHG”, for the purposes of this calculation,is the annual arithmetic mean amount of greenhouse gas emissions from the refinery;
“SPurchased” is the annual arithmetic mean amount of steam purchased by the refinery in MMBtu;
“SSold” is the annual arithmetic mean amount of steam sold from the refinery in MMBtu;
“eSold” is the annual arithmetic mean amount of electricity sold from the refinery in MWh; 
To calculate these values, the Executive Officer may employ data reported to ARB for data years 2008-2010. If the facility reported facility level, third-party verified, greenhouse gas emissions data to the California Climate Action Registry for data years 2006-2007, the Executive Officer may consider these years in determining representative baseline values. If necessary, the Executive Officer will solicit data to establish a representative baseline allocation; 
“DFY,t” is a distribution factor calculated as:

DFY,t = ((Avg / EIIY) + Adjt) / (1 + Adj&t)
“Avg” is the weighted average EII for all facilities with EII values calculated as:

View Graphic
“EIIY” is the Solomon Energy Intensity Index (EII) for facility Y for 2008, 2009 or 2010 as determined to be representative by the Executive Officer. For the purposes of this calculation, EII values shall be rounded to one digit after the decimal; 
“Adj” is an adjustment factor designed to provide the facility with the best EII the most allowances relative to its baseline level:

Adjt = ((Avg/EIIBest) * Ft - 1) / (1 - Ft)
“EIIBest” is the EII of most efficient facility (lowest EII in sector);
“Ft” is a fraction calculated as: 

View Graphic 
“SAt” is the allocation to refining sector for year “t” specified in section 95870(e)(2)(A);
(B) True-up Debit. If actual 2013 and 2014 emissions are less than the amount of allowances allocated, the entity will need to surrender additional allowances according to the following equation:
If: (AEY,2013 + AEY,2014) < (AY,2013 + AY,2014)
Then: AY,Debit = 0.8 * [(AEY,2013 + AEY,2014) - (AY,2013 + AY,2014)]
Where:
“AEY,t” = Actual GHG emissions from a facility in year “t” adjusted for heat sales and purchases and electricity purchases. 
“AY,Debit” = A debit (shown as a negative value in the equation above) to be surrendered in addition to the triennial compliance obligation for refinery “Y.” 
(C) True-up Credit. If actual 2013 and 2014 emissions are greater than the assumed baseline emissions, a true-up allocation will be conducted using 2015 vintage allowances and the following equation:
If: (2 * BEY) < (AEY,2013 + AEY,2014)
Then: 
AY,Credit = (AEY,2013 * DFY,2013 * F2013 * AF2013 + AEY,2014 * DFY,2014 * F2014 * AF2014) - (AY,2013 + AY,2014)
Where:
“AY,Credit” = An additional true-up allocation distributed by the Executive Officer to refinery “Y” using 2015 vintage allowances. 

Table 9-2: Cap Adjustment Factors for Allowance Allocation

View Graphic
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (c) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95892. Allocation to Electrical Distribution Utilities for Protection of Electricity Ratepayers.
Note     •     History

(a) Allocation to Individual Electrical Distribution Utilities. The allowances allocated to each electrical distribution utility from each budget year shall be the electrical distribution utility sector allocation calculated pursuant to section 95870(d) for the budget year multiplied by the percentage allocation factors specified in Table 9-3. Any allowance allocated to electrical distribution utilities must be used exclusively for the benefit of retail ratepayers of each such electrical distribution utility, consistent with the goals of AB 32, and may not be used for the benefit of entities or persons other than such ratepayers. 
(b) Transfer to Utility Accounts.
(1) Investor Owned Utilities. The Executive Officer will place allowances in the limited use holding account created for each electrical corporation. 
(2) Publicly Owned Electric Utilities or Electrical Cooperatives. When allocating to a publicly owned electric utility or an electrical cooperative, the Executive Officer will place allowances in either a limited use holding account or in a compliance account per the entity's preference. Prior to receiving a direct allocation of allowances, publicly owned electric utilities or electrical cooperatives shall inform the Executive Officer of the share of their allowances that is to be placed:
(A) In the compliance account of an electrical generating facility operated by a publicly owned electric utility, an electrical cooperative, or a Joint Powers Agency in which the electrical distribution utility or electrical cooperative is a member and with which it has a power purchase agreement; or
(B) In the publicly owned electric utility's or electrical cooperative's limited use holding account. 
(c) Monetization Requirement. 
(1) In 2012 an electrical distribution utility must offer one sixth of the allowances placed in its limited use holding account in 2012 for sale at each of the two auctions scheduled for 2012. 
(2) Within each calendar year after 2012, an electrical distribution utility must offer for sale at auction all allowances in a limited use holding account that were issued:
(A) From budget years that correspond to the current calendar year; and
(B) From budget years prior to the current calendar year.
(d) Limitations on the Use of Auction Proceeds and Allowance Value. 
(1) Proceeds obtained from the monetization of allowances directly allocated to a publicly owned electric utility shall be subject to any limitations imposed by the governing body of the utility and to the additional requirements set forth in sections 95892(d)(3-5) and 95892(e). 
(2) Proceeds obtained from the monetization of allowances directly allocated to investor owned utilities shall be subject to any limitations imposed by the California Public Utilities Commission and to the additional requirements set forth in sections 95892(d)(3-5) and 95892(e).
(3) Auction proceeds and allowance value obtained by an electrical distribution utility shall be used exclusively for the benefit of retail ratepayers of each electrical distribution utility, consistent with the goals of AB 32, and may not be used for the benefit of entities or persons other than such ratepayers. 
(4) Investor owned utilities shall ensure equal treatment of their own customers and customers of electricity service providers and community choice aggregators.
(5) Prohibited Use of Allocated Allowance Value. Use of the value of any allowance allocated to an electrical distribution utility, other than for the benefit of retail ratepayers consistent with the goals of AB 32 is prohibited, including use of such allowances to meet compliance obligations for electricity sold into the California Independent System Operator markets. 
(e) Reporting on the Use of Auction Proceeds and Allowance Value. No later than June 30, 2013, and each calendar year thereafter, each electrical distribution utility shall submit a report to the Executive Officer describing the disposition of any auction proceeds and allowance value received in the prior calendar year. This report shall include:
(1) The monetary value of auction proceeds received by the electrical distribution utility;
(2) How the electrical distribution utility's disposition of such auction proceeds complies with the requirements of this section and the requirements of California Health and Safety Code sections 38500 et seq.;
(3) The monetary value of allowances received by the electrical distribution utility which were deposited directly into electrical generating facility compliance accounts. The electrical distribution utility shall calculate the value of these allowances based on the average market clearing price of the four quarterly auctions held in the same calendar year that the allowances are allocated; and
(4) How the electrical distribution utility's disposition of the monetary value of allowances, deposited directly into compliance accounts, complies with the requirements of this section and the requirements of California Health and Safety Code sections 38500 et seq.

Table 9-3: Percentage of Electric Sector Allocation Allocated to Each Utility

View Graphic

View Graphic

View Graphic

View Graphic

View Graphic
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (b)(2) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95893. Reserved for Allocation to Natural Gas Distribution Utilities for Protection of Natural Gas Ratepayers. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect repealing reserved section 95893 filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
Subarticle 10. Auction and Sale of California Greenhouse Gas Allowances
§95910. Auction of California GHG Allowances.
Note     •     History

(a) Timing of the Allowance Auctions.
(1) In 2012, auctions will be held on August 15 and November 14. 
(2) Beginning in 2013, auctions shall be conducted on the twelfth business day of the second month of each calendar quarter.
(b) An allowance may be designated for auction prior to its vintage year. 
(c) The Executive Officer will conduct two separate auctions each quarter. 
(1) Auction of Allowances from the Current and Previous Budget Years. 
(A) Beginning in 2013, one quarter of the allowances designated for auction from the current calendar year's budget will be offered pursuant to section 95870(f).
(B) This auction will include allowances consigned to auction pursuant to section 95910(d).
(C) Advanced auctions may include allowances which were returned to the Auction Holding Account following an auction which resulted in unsold allowances, and which are returned to auction pursuant to 95911(b)(4).
(2) Auction of Allowances from Future Budget Years.
(A) At each auction taking place in 2012, one half of the allowances designated for advance auction pursuant to section 95870(b) will be offered from the 2015 budget.
(B) Beginning in 2013, one quarter of the allowances designated for advance auction pursuant to 95870(b) from the budget year three years subsequent to the current calendar year will be offered at each auction.
(C) This auction will include allowances which were returned to the Auction Holding Account following an auction which resulted in unsold allowances, and which are returned to auction pursuant to 95911(b)(4).
(3) Auctions of allowances from different budget years will be conducted separately.
(d) Auction of Consigned Allowances. 
(1) An entity may consign allowances to the Executive Officer for sale at the quarterly auctions only from a limited use holding account.
(2) When the Executive Officer withdraws compliance instruments from accounts closed pursuant to section 95831(c) or accounts suspended or revoked pursuant to section 95921(f)(3):
(A) Allowances shall be consigned to the next auction;
(B) If, after review, the Executive Officer determines the withdrawn ARB offset credits are valid, the Executive Officer will retire them, withdraw a similar number of allowances from the Auction Holding Account, and consign those allowances to auction in place of the retired ARB offset credits.
(3) Each consigning entity agrees to accept the auction settlement price for allowances sold at auction.
(4) Deadline for Consignment. 
(A) For the auctions conducted in 2012, allowances designated for consignment pursuant to section 95892(c) must be transferred to the Auction Holding Account at least 10 days before each auction.
(B) Beginning in 2013, allowances consigned to auction through a transfer to the Auction Holding Account at least 75 days prior to the regular quarterly auction will be offered for sale at that auction. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 10 (sections 95910-95914) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95911. Format for Auction of California GHG Allowances.
Note     •     History

(a) Auction Bidding Format.
(1) The auction will consist of a single round of bidding.
(2) Bids will be sealed.
(3) Bid quantities must be submitted as multiples of 1,000 California GHG allowances.
(4) Bid prices must be submitted in whole dollars and whole cents.
(b) Auction Reserve Price Schedule.
(1) Each auction will be conducted with an auction reserve price.
(2) No allowances will be sold at bids lower than the auction reserve price.
(3) If an auction settlement price equals the reserve price:
(A) The auction operator will fulfill winning bids with allowances from consignment sources in the following order: 
1. Allowances consigned to auction pursuant to section 95910(d)(2);
2. Allowances consigned from limited use holding accounts pursuant to section 95910(d)(1); 
3. Allowances directly allocated by ARB to auction pursuant to subarticle 8 and allowances returned to the auction pursuant to section 95911(b)(4).
(B) When there are insufficient winning bids to exhaust the allowances from a consignment source in section 95911(b)(3)(A), the auction operator will sell an equal proportion of allowances from each consigning entity in that source.
(4) Disposition of Allowances Allocated for Auction when an Auction Settlement Price Equals the Reserve Price. 
(A) Allowances designated by ARB for an auction which remain unsold when the auction settlement price equals the Auction Reserve Price shall be returned to the Auction Holding Account to be re-auctioned. 
(B) Allowances returned to the Auction Holding Account will be re-designated for auction after two consecutive auctions have resulted in an auction settlement price greater than the applicable Auction Reserve Price. This requirement applies separately to the current vintage and future vintage auctions.
(C) The number of allowances returned to each subsequent current vintage or future vintage auction will not exceed 25 percent of allowances already designated by ARB for that auction.
(5) Disposition of Consigned Allowances Remaining Unsold at Auction.
(A) Allowances consigned to auction from limited use holding accounts that remain unsold at auction will be returned to the respective source accounts.
(B) Allowances consigned to auction pursuant to section 95921(f)(3) that remain unsold at auction will be held in the Auction Holding Account until the next auction.
(6) Method for Setting the Auction Reserve Price. 
(A) For auctions conducted in calendar year 2012 and 2013 the Reserve Price shall be $10 per metric ton of CO2e for vintage 2013 allowances. For auctions conducted in 2012, the Reserve Price shall be $10 per metric ton of CO2e for vintage 2015 allowances.
(B) For auctions conducted in calendar years after 2013 the Reserve Prices shall be the Auction Reserve Prices for the previous calendar year increased annually by 5 percent plus the rate of inflation as measured by the Consumer Price Index for All Urban Consumers.
(c) Auction Purchase Limit.
(1) The auction purchase limit is the maximum number of allowances offered at each quarterly auction which can be purchased by any entity or group of entities with a disclosable corporate association pursuant to section 95833.
(2) The auction purchase limit will apply to auctions conducted from January 1, 2012 through December 31, 2014. 
(3) For the advance auction of future vintage allowances conducted pursuant to section 95910(c) the purchase limit is 25 percent. 
(4) For the auction of current vintage allowances:
(A) The purchase limit for covered entities and opt-in covered entities will be 15 percent of the allowances offered for auction;
(B) The purchase limit does not apply to electrical distribution utilities receiving a direct allocation of allowances pursuant to section 95892(b) and subject to the monetization requirement pursuant to section 95892(c). This provision shall not be interpreted to exempt said electrical distribution utilities from any other requirements of this article; and 
(C) The purchase limit for all other auction participants is four percent of the allowances offered for auction.
(d) Determination of Winning Bidders and Settlement Price. The following process shall be used to determine winning bidders, amounts won, and a single auction settlement price:
(1) Each bid will consist of a price and the quantity of allowances, in multiples of 1,000 CA GHG Allowances, desired at that price.
(2) Each bidder may submit multiple bids.
(3) Beginning with the highest bid price, bids will be considered in declining order by price, and the auction operator shall reject a bid: 
(A) If acceptance of the bid would result in violation of the purchase limit pursuant to sections 95911(c) and 95914; 
(B) If acceptance of the bid would result in violation of the holding limit pursuant to sections 95914 and 95920(b); or
(C) If acceptance of the bid would result in a total value of accepted bids for an auction participant greater than the value of the bid guarantee submitted by the auction participant pursuant to section 95912(h).
(4) Beginning with the highest bid price, bids will be considered in declining order by price and entities submitting bids at that price will be sold allowances until either:
(A) The next lower bid price is less than the auction reserve price, in which case the current price becomes the auction settlement price; or
(B) The total quantity of allowances contained in the bids at the next lower bid price is greater than or equal to the number of allowances yet to be sold, in which instance, the next lower bid price becomes the auction settlement price and the procedure for resolution of tie bids in section 95911(d)(5) shall apply.
(5) Resolution of tie bids: 
(A) If the quantity of allowances contained in the bids placed at the lowest bid is greater than the quantity of allowances available to be sold at that price, then the auction operator will assign a random number to each bundle of 1,000 CA GHG Allowances contained in each of the bids at that price.
(B) Beginning with the lowest random number assigned and working in increasing order of the random numbers assigned, the auction operator shall sell allowances to the bidder assigned the random number until the remaining allowances are sold.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95912. Auction Administration and Registration.
Note     •     History

(a) Administration of the Auctions.
(1) The Executive Officer may serve as auction administrator or designate an entity to serve as auction administrator.
(2) The Executive Officer may serve as financial services administrator or may designate a qualified financial services administrator to conduct all financial transactions required by this article.
(b) The Executive Officer may direct that the California GHG allowances designated for auction be offered through an auction conducted jointly with other jurisdictions to which California links pursuant to subarticle 12, provided the joint auction conforms with this article. 
(c) Auction Registration Requirements. An entity that intends to participate in the auction must complete an auction registration at least 30 days prior to the auction. 
(1) The details of the auction and the requirements for auction registration will be provided in a public notice by the auction administrator no later than 60 days prior to the auction.
(2) An entity will be required to complete an auction registration application at least 30 days prior to an auction in which it intends to participate. The entity must provide information and documentation including:
(A) Information and documentation regarding the corporate identity, ownership, and capital structure of the applicant;
(B) The existence of any direct or indirect corporate associations pursuant to sections 95833 and 95914(e);
(C) Declarations as to the beneficial holding, pursuant to section 95914, of any compliance instrument that may be acquired through the auction or that already exists prior to the auction;
(D) The identification of any previous or pending investigation with respect to any alleged violation of any rule, regulation, or law associated with any commodity market or exchange; and
(E) The applicant's holding account number.
(3) The Executive Officer must approve an entity's auction registration before that entity may participate in an auction.
(d) Maintenance and Modification of Auction Registration.
(1) Once the Executive Officer has approved an entity's auction registration, the entity need not complete another application for subsequent auctions unless there is a material change to the information contained in the application or the Executive Officer has made a determination restricting an entity's auction participation pursuant to section 95914(c).
(2) An entity approved for auction participation must inform the auction operator at least 30 days prior to an auction when reporting a change to the information disclosed, otherwise the entity may not participate in that auction.
(e) A registered entity may not communicate information on auction participation with any other entity that is not part of an association disclosed pursuant to section 95914, except as requested by the auction operator to remediate an auction application. 
(f) Protection of Confidential Information.
(1) To the extent permitted by state law, the Executive Officer, the auction administrator, and the financial services administrator will treat the information contained in the auction application as confidential business information. 
(2) Following the auction, the Executive Officer will release the following information:
(A) The names of the bidders;
(B) Auction settlement price; and
(C) Aggregated or distributional information on purchases with the names of the entities withheld.
(g) All bids shall be submitted to the Executive Officer and will be considered binding offers for the purchase of allowances under the rules of the auction.
(h) Registrants must provide a bid guarantee to the financial services administrator at least one week prior to the auction.
(1) The bid guarantee must be in one or a combination of the following forms:
(A) A bond issued by a financial institution with a United States banking license; 
(B) Cash in the form of a wire transfer or certified funds, such as a bank check or cashier's check; 
(C) An irrevocable letter of credit issued by a financial institution with a United States banking license; or
(D) If California participates in a joint auction with one or more Canadian Provinces pursuant to section 95912(b) then bonds or irrevocable letters of credit issued by a financial institution with a Canadian banking license will be acceptable. 
(2) The amount of the bid guarantee must be greater than or equal to the sum of the value of the bids submitted by the auction participant.
(i) At least 60 days prior to each auction the auction administrator shall publish the following information:
(1) The date and time of the auction;
(2) Application instructions for applying to participate in the auction; 
(3) The form and manner for submitting bids;
(4) The procedures for conducting the auction; 
(5) The administrative requirements for participation; and
(6) The number of CA GHG Allowances that will be available at each auction.
(j) To conduct the auction the auction administrator will: 
(1) Obtain a determination from the financial services administrator of the acceptance of the registration bid guarantees;
(2) Determine that bids and bid quantities conform with purchase limits set for the auction pursuant to section 95911(c), the holding limit pursuant to section 95920(b), and the amount of the bid guarantee provided by the registrant;
(3) Determine the winning bids and auction price; and
(4) Inform the Executive Officer of the auction results. 
(k) Following the auction, the Executive Officer will:
(1) Certify whether the auction was operated pursuant to this article; 
(2) After certification, direct the financial services administrator to:
(A) Collect payments from winning bidders;
(B) Declare forfeit and retain the bid guarantee mechanism submitted pursuant to section 95912(h) for any bidder that fails to tender full payment when due for allowances awarded at auction, in an amount equal to any unpaid balance;
(C) Deposit auction proceeds from sales of ARB allowances sold at auction into the Air Pollution Control Fund; and
(D) Distribute auction proceeds to entities that consigned allowances for auction pursuant to section 95910(d);
(3) Upon determining that the payment for allowances has been deposited into the Air Pollution Control Fund or transferred to entities that consigned allowances, transfer the serial numbers of the allowances purchased into each winning bidder's Holding Account, or to its Compliance Account if needed to comply with the holding limit;
(4) Inform each approved external GHG emissions trading system and the associated tracking system of the serial numbers of allowances purchased at auction; and
(5) Publish the auction results in the manner set forth in section 95912 at www.arb.ca.gov.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95913. Sale of Allowances from the Allowance Price Containment Reserve.
Note     •     History

(a) The Executive Officer may serve as reserve sale administrator to conduct sales from the Allowance Price Containment Reserve (Reserve) or designate an entity to serve as reserve sale administrator. The financial services administrator designated by the Executive Officer pursuant to section 95912(a) will conduct the financial transactions required to operate sales from the Reserve. 
(b) If California links to an external greenhouse gas emissions trading system (GHG ETS) pursuant to subarticle 12, the linkage agreement will specify whether covered entities in the linked GHG ETS will be eligible to purchase from a jointly operated Reserve, or whether each GHG ETS will operate separate Reserves.
(c) Timing, Eligible Participants, and Limitations.
(1) Eligible Participants. Only covered entities (including opt-in covered entities) registered as provided in sections 95811 or 95813 shall be eligible to purchase allowances from the Reserve.
(2) The reserve sale administrator of the Reserve shall offer all of the allowances in the Reserve at each reserve sale.
(3) Timing of Reserve Sale. 
(A) The first Reserve sale will be conducted on March 8, 2013.
(B) Subsequent sales shall be conducted six weeks after each quarterly allowance auction pursuant to section 95910. 
(C) The Reserve sale administrator shall provide all eligible participants with written notice of the number of allowances available for sale and the terms of the sale at least four weeks prior to the sale. 
(4) Limitation. Allowances purchased from the Reserve are subject to the Holding Limit established pursuant to section 95920.
(d) Reserve Tiers.
(1) Creation of Reserve Tiers. Prior to the first Reserve sale, the reserve sale administrator shall divide allowances allocated to the Reserve into three equal-sized tiers. 
(2) Reserve Tier Prices. Sales of Reserve allowances in calendar year 2013 shall be conducted at the following prices:
(A) Allowances from the first tier shall be offered for $40 per allowance;
(B) Allowances from the second tier shall be offered for $45 per allowance; and
(C) Allowances from the third tier shall be offered for $50 per allowance.
(3) Increase in Release Prices. In calendar years subsequent to 2013, allowances from each tier shall be offered at prices equal to the offer price for each tier from the previous calendar year increased by five percent plus the rate of inflation as measured by the Consumer Price Index for All Urban Consumers. 
(e) Submissions of Bids to Purchase. At least two weeks prior to the scheduled sale, an entity shall submit: 
(1) To the reserve sale administrator a bid consisting of a price equal to one of the three tier prices and a quantity of allowances; and 
(2) To the financial services administrator a bid guarantee in an amount greater than or equal to the sum of the maximum value of the bids submitted by the entity, in one or a combination of the following forms:
(A) A bond issued by a financial institution with a United States banking license; 
(B) Cash in the form of a wire transfer or certified funds, such as a bank check or cashier's check;
(C) An irrevocable letter of credit issued by a financial institution with a United States banking license; or 
(D) If California participates in a joint Allowance Price Containment Reserve with one or more GHG ETS programs in the Canadian Provinces to which it links and covered entities from linked systems are eligible to purchase from the Reserve pursuant to section 95913(b), then bonds or irrevocable letters of credit issued by a financial institution with a Canadian banking license will be acceptable. 
(E) The financial services administrator will evaluate the bid guarantee and inform the reserve sale administrator of the value of the bid guarantee once it is found to conform to this section and is accepted by the financial services administrator.
(f) Purchase Determinations. 
(1) The reserve sale administrator will conduct sales from each tier in succession, beginning with the lowest to the highest priced tier, until either all allowances are sold from the reserve or all the accepted bids are filled.
(2) The reserve sale administrator will only accept a bid:
(A) If acceptance of the bid would not result in violation of the holding limit pursuant to section 95920(b); or
(B) If acceptance of the bid would not result in a total value of accepted bids for a covered entity greater than the value of the bid guarantee submitted by the covered entity pursuant to section 95913(e)(2).
(3) If the sum of bids at the tier price which are accepted by the reserve sale administrator is less than or equal to the number of allowances in the tier, then: 
(A) The reserve sale administrator will sell to each covered entity the number of allowances for which the entity submitted bids for that tier which were accepted by the reserve sale administrator; and
(B) If allowances remain in the tier after the sales pursuant to section 95913(f)(3)(A) are completed, the reserve sale administrator will assign a random number to each bundle of 1,000 allowances for which entities submitted a bid for the tier above the current tier being sold. Beginning with the lowest random number assigned and working in increasing order of the random numbers assigned, the reserve sale administrator shall sell allowances to the bidder assigned the random number until the remaining allowances in the tier are sold or all bids have been fulfilled. The price for the allowances sold under this procedure will be the price for the tier from which they are sold, not the bid placed.
(4) If the sum of bids accepted by the reserve sale administrator for a tier is greater than the number of allowances in the tier, the reserve sale administrator will determine the total amount to be distributed from the tier to each covered entity using the following procedure:
(A) The reserve sale administrator will calculate the share of the tier to be distributed to each bidding entity by dividing the quantity bid by that entity and accepted by the reserve sale administrator by the total quantity of bids which were accepted by the reserve sale administrator; and
(B) The reserve sale administrator will calculate the number of allowances distributed to each bidding entity from the tier by multiplying the bidding entity's share calculated in section 95913(f)(4)(A) above by the number of allowances in the tier, rounding the number down to the nearest whole number.
(5) After completing the sales for each tier the reserve sale administrator will repeat the processes in sections 95913(f)(3) and (f)(4) above for the next highest price tier until all bids have been filled or until the Reserve is depleted. At that time the reserve sale administrator will inform the Executive Officer of the sales from the Reserve to each participant. 
(g) Resolution of Sales. Following each sale of allowances from the Reserve, the Executive Officer shall:
(1) Certify that the reserve sale administrator conducted the reserve sale pursuant to this article; 
(2) Upon certification of the sale results, authorize the financial services administrator to process payments from covered entities and deposit proceeds into the Air Pollution Control Fund;
(3) Upon determining that the financial services administrator has deposited the payment for allowances into the Air Pollution Control Fund, transfer the serial numbers of the allowances purchased from the Allowance Price Containment Reserve Account into each winning bidder's compliance account;
(4) Inform each approved external GHG emissions trading system and the associated tracking system of the serial numbers of allowances sold; and
(5) Publish the sale results at www.arb.ca.gov.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95914. Auction Participation and Limitations.
Note     •     History

(a) An entity registering as an auction participant must be registered as provided in sections 95830.
(b) An entity whose holding account has been revoked or is currently suspended pursuant to section 96011 cannot participate in an auction.
(c) If the Executive Officer determines that a bidder has provided false or misleading facts, or has withheld material information in its application, or has violated any part of the auction rules set forth in subarticle 10, then:
(1) The Executive Officer may instruct the auction operator to not accept auction applications from the bidder or any agent or affiliate of the bidder intending to purchase allowances at auction for subsequent transfer to the bidder through either a beneficial holding or corporate association pursuant to sections 95833 and 95834.
(2) This exclusion from auction participation shall be in addition to any other penalties, fines, and additional remedies available at law. 
(3) This exclusion from auction participation may be permanent or for a specified number of auctions.
(4) A fact is material if it could probably influence a decision by the Executive Officer, the Board, or the Board's staff.
(d) Non-disclosure of Bidding Information Among Auction Participants.
(1) An entity approved for auction participation shall not release any confidential information related to its auction participation, including:
(A) Qualification status;
(B) Bidding strategy;
(C) Bid price or bid quantity information;
(D) Information on the financial security it provided to the auction administrator; and
(E) Other information identified in the auction application by the auction administrator.
(2) If an entity participating in an auction has retained the services of an advisor regarding auction bidding strategy, then:
(A) The entity must ensure against the advisor transferring information to other auction participants or coordinating the bidding strategy among participants; 
(B) The entity will inform the advisor of the prohibition of sharing information to other auction participants and ensure the advisor has read and acknowledged the prohibition under penalty of perjury; and
(C) Any entity that has retained the services of an advisor must inform ARB of the advisor's retention. 
(3) Restrictions on disclosure of information on auction participation between members of a beneficial holding relationship.
(A) A principal may only disclose confidential information related to its auction participation with another principal in the beneficial holding relationship or with more than one agent.
(B) An agent in a beneficial holding relationship may not disclose confidential information related to auction participation to anyone other than the principal who made the original disclosure.
(4) Any disclosure of auction participation information to entities that are not subject to exclusion pursuant to section 95914(d)(1) shall be a violation of this article and subject to penalties pursuant to section 96013.
(e) Application of the Corporate Association to the Auction Purchase Limit.
(1) The total number of compliance instruments which may be purchased in a single auction by a group of entities with a direct or indirect corporate association is limited pursuant to section 95911(c).
(2) Entities that are part of a direct or indirect corporate association may allocate shares of the purchase limit amongst themselves. Each entity will then have a specified percentage share of the association's purchase limit. The sum of the shares allocated among the entities must sum to one:
(A) The group of associated entities must inform the Executive Officer when submitting the auction application of an allocation of the purchase limit among the associated entities, if applicable;
(B) The purchase limit allocation will be in effect for the auction for which the associated entities submitted the application; and
(C) Each associated entity's allocated purchase limit share times the auction purchase limit becomes the purchase limit for that entity.
(3) If entities with a direct or indirect corporate association do not allocate shares of the purchase limit among themselves, then the auction administrator will apply the purchase limit to the entities as follows:
(A) The administrator will order the associated entities' bids from highest to lowest bid price;
(B) Working from the highest to the lowest bid, the auction administrator will accept bids until the purchase limit for the associated entities is met;
(C) The auction operator will conduct this procedure before conducting the auction pursuant to section 95911.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (d)(3)(A) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
Subarticle 11. Trading and Banking
§95920. Trading.
Note     •     History

(a) The holding limit is the maximum number of California GHG allowances that may be held by an entity or jointly held by a group of entities with a direct or indirect corporate association, as defined in section 95833 at any point in time.
(b) Application of the Holding Limit.
(1) The holding limit will apply to each entity registered as a covered, opt-in covered, or voluntarily associated entity pursuant to section 95830.
(2) The holding limit calculation will not include allowances contained in limited use holding accounts created pursuant to section 95831.
(3) Application of the Holding Limit to Exchange Clearing Holding Accounts. Compliance instruments contained in an exchange clearing holding account will be included in the calculation of the holding limit for the entity listed as the purchaser in the transfer request reported to the accounts administrator pursuant to section 95921 for the transfer request being cleared. 
(4) If the Executive Officer determines that a reported transfer request not yet recorded into the tracking system would result in an entity's holdings exceeding the applicable holding limit, then the Executive Officer shall not approve the transfer request pursuant to section 95921(a)(1). If the violation is not discovered until after the transfer request is recorded, then the transfer request may be reversed pursuant to section 95921(b)(2) and penalties may be imposed pursuant to section 96013.
(c) The holding limit will be separately calculated to holdings of:
(1) Allowances which may be used to fulfill a compliance obligation during the current compliance year pursuant to section 95856(b), including:
(A) Allowances issued for previous compliance years;
(B) Allowances from any vintage purchased from the Allowance Price Containment Reserve pursuant to section 95913; and
(C) Allowances originally purchased at the advance auction but now usable for compliance during the current compliance year. 
(2) Allowances issued for future compliance years that may not be used for compliance during the current compliance year pursuant to section 95856(b).
(d) The holding limit will be calculated for allowances qualifying pursuant to section 95920(c)(1) as the sum of:
(1) The number given by the following formula:

Holding Limit = 0.1*Base + 0.025*(Annual Allowance Budget - Base)
In which:
“Base” equals 25 million metric tons of CO2e.
“Annual Allowance Budget” is the number of allowances issued for the current budget year.
(2) A Limited Exemption from the Holding Limit is calculated as:
(A) The limited exemption is the number of allowances which are exempt from the holding limit calculation after they are transferred by a covered entity or an opt-in covered entity to its compliance account.
(B) On June 1, 2012 the limited exemption will equal the annual emissions most recent emissions data report that has received a positive or qualified positive emissions data verification statement. 
(C) Beginning in 2013 on October 1 of each year the limited exemption will be increased by the amount of emissions contained in the most recent emissions data report that has received a positive or qualified positive emissions data verified statement during that year.
(D) If for any year ARB has assigned emissions to an entity in the absence of a positive or qualified positive emissions data verification statement the calculation of the limited exemption will use the assigned emissions.
(E) For the first compliance period all reported emissions or assigned emissions used to calculate the limited exemption will include only the emissions associated with the scope for the program during the first compliance period.
(F) Beginning in 2015, all reported emissions or assigned emissions used to calculate the limited exemption will include the emissions associated with the change in scope taking place in 2015. 
(G) On January 1, 2015 the limited exemption will be increased by the amount of emissions included in the emissions data report received during 2014 but not yet included in the limited exemption pursuant to section 95920(d)(2)(E). 
(H) On December 31 of the calendar year following the end of a compliance period, the limited exemption will be reduced by the sum of the entity's compliance obligation over that compliance period.
(e) The holding limit will be calculated for allowances qualifying pursuant to section 95920(c)(2) as the number given by the following formula:
Holding Limit = 0.1*Base + 0.025*(Compliance Period Budget - Base)
In which:
“Base” equals 75 million metric tons of CO2e.
“Compliance Period Budget” is the number of allowances issued for the future compliance period from which the allowances were sold at the advance auction. 
(f) Application of the Corporate Association Disclosure to the Holding Limit.
(1) The total number of allowances held by a group of entities with a direct or indirect corporate association pursuant to section 95833 in their holding accounts must sum to less than the holding limit pursuant to section 95920(e).
(2) The limited exemption for each entity which is part of a direct or indirect corporate association is the same as defined in section 95920(d).
(3) Entities that are part of a corporate association may allocate shares of the holding limit among themselves. This holding limit allocation results in each entity having a specified percentage share of the group's holding limit. The sum of the shares allocated among the entities must sum to one.
(A) The group of associated entities must inform the accounts administrator of the allocation of the holding limit when registering pursuant to section 95833. 
(B) The holding limit allocation will remain in effect until the group of associated entities informs the accounts administrator of subsequent changes to the allocation of the holding limit.
(4) If entities with a direct or indirect corporate association do not allocate shares of the holding limit among themselves, the accounts administrator will not record any transfer request which would result in the entities with a direct or indirect corporate association exceeding the holding limit. 
(g) The application of the holding limit will treat beneficial holding by an agent as part of the holding of the principal.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 11 (sections 95920-95922) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (b)(4) and (f)(2) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95921. Conduct of Trade.
Note     •     History

(a) Transfers of Compliance Instruments Between Accounts. 
(1) Except when a transfer is undertaken by the Executive Officer, the accounts administrator will not register a transfer of compliance instruments between accounts into the tracking system until:
(A) The two parties to the transfer submit a request for the transfer to the accounts administrator within three calendar days of settlement of the transaction agreement; and
(B) The Executive Officer has determined the transfer request and the transaction meet the requirements of this article.
(2) Except when a transfer is undertaken by the Executive Officer, all transfers between two entities will involve transfers between holding accounts and/or an exchange clearing holding account. 
(b) Deficient Transfer Requests 
(1) If the accounts administrator detects a deficiency in a transfer request before it is recorded into the tracking system:
(A) The accounts administrator will inform the entities submitting the request and the Executive Officer of the deficiency;
(B) The entities submitting the transfer request may resubmit the request with the deficiency corrected within the time limit set pursuant to section 95921(a)(1)(A); and
(C) If the entities fail to submit an acceptable transfer request within the time limit, then they must either withdraw the transfer request or submit a new request for transfer. 
(2) If the accounts administrator detects a deficiency in a transfer request after it is recorded into the tracking system: 
(A) The accounts administrator will inform the entities submitting the request and the Executive Officer of the deficiency; and
(B) If the entities that submitted the deficient transfer request cannot correct the deficiency within 5 business days after notification by the accounts administrator, the Executive Officer may instruct the accounts administrator to reverse the transfer.
(c) Information Requirements. The following information must be reported to the accounts administrator as part of a transfer request before any transfer of allowances can be recorded on the tracking system:
(1) Holding account number and authorized account representative of seller;
(2) Holding account number and authorized account representative of purchaser;
(3) Serial number of the compliance instruments;
(4) Date of the transaction agreement;
(5) Settlement date, if not the same as date of transaction agreement;
(6) Price of the compliance instrument in U.S. dollars. If California links to Canadian provinces pursuant to subarticle 12, the price of the compliance instrument may be reported in Canadian dollars; and
(7) Holding account number and authorized representative of an entity for whom the compliance instrument is to be held in benefit;
(d) Protection of Confidential Information. The Executive Officer will ensure that the accounts administrator:
(1) Releases information on the transaction price and quantity of compliance instruments in a timely manner; 
(2) Except as needed for market oversight and investigation by the Executive Officer, protects as confidential all other information obtained through transaction reports;
(3) Protects as confidential the quantity and serial numbers of compliance instruments contained in holding accounts; and
(4) Releases information on the quantity and serial numbers of compliance instruments contained in compliance accounts in a timely manner.
(e) General Prohibitions on Trading. 
(1) An entity cannot acquire allowances and hold them in its own holding account for another entity, except when part of a disclosed beneficial holdings relationship pursuant to section 95834.
(2) A registered entity acquiring a compliance instrument on behalf of another registered entity not part of a disclosed beneficial holdings relationship must designate the holding account of the second entity as the destination account in the transfer request.
(3) A trade involving, related to, or associated with any of the following are prohibited: 
(A) Any manipulative or deceptive device in violation of this article;
(B) A corner or an attempt to corner the market for a regulated instrument;
(C) Fraud, or an attempt to defraud any other entity;
(D) A false, misleading or inaccurate report concerning information or conditions that affects or tends to affect the price of a compliance instrument;
(E) An application, report, statement, or document required to be filed pursuant to this article which is false or misleading with respect to a material fact, or which omits to state a material fact necessary to make the contents therein not misleading; or
(F) Any trick, scheme, or artifice to falsify or conceal a material fact, including use of any false statements or representations, written or oral, or documents made by or provided to an entity on or through which transactions in compliance instruments occur, are settled, or are cleared.

(G) 	A fact is material if it could probably influence a decision by the Executive Officer, the Board, or the Board's staff.
(f) Restrictions on Registered Entities. If an entity registered pursuant to section 95830 violates any provision specified in this article the Executive Officer may:
(1) Reduce the number of compliance instruments a covered entity or opt-in covered entity may have in its holding account below the amount allowed by the holding limit pursuant to section 95920;
(2) Increase the annual surrender obligation for a covered entity or an opt-in covered entity to a percentage of its reported and verified or assigned emissions above the 30% obligation pursuant to section 95855; 
(3) Suspend or revoke the registration of opt-in covered entities, voluntarily associated entities, and other entities registered pursuant to section 95830; 
(A) If registration is revoked or suspended the entity must sell or voluntarily retire all compliance instruments in its holding account within 30 days of revocation; and
(B) If registration is revoked or suspended and the entity fails to sell or voluntarily retire all compliance instruments in its holding account within 30 days of revocation, the accounts administrator will transfer the remaining instruments into the Auction Holding Account for sale at auction on behalf of the entity pursuant to section 95910(d);
(4) Limit or prohibit transfers in or out of the holding account; or 
(5) All of the above. 
(g) Information Reporting By Holders of Exchange Clearing Holding Accounts
(1) Holders of exchange clearing holding accounts must make the transaction records available to ARB within 10 calendar days of a request from the Executive Officer.
(2) Holders of exchange clearing holding accounts must retain transaction records containing the information listed in 95921(c) for 10 years.
(3) ARB Holders of exchange clearing holding accounts are not required to include the information listed in 95921(c)(4), (5), (6), and (7) in transfer requests to the accounts administrator.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95922. Banking, Expiration, and Voluntary Retirement.
Note     •     History

(a) Allowances Issued for a Current or Previous Compliance Period. A CA GHG allowance or an allowance issued by an approved GHG ETS pursuant to subarticle 12 may be held (“banked”) by an entity registered pursuant to section 95830.
(b) Allowances Issued for a Future Compliance Period. A CA GHG Allowance or an allowance approved pursuant to subarticle 12 issued from an allowance budget year within a future compliance period may be held by an entity registered pursuant to section 95830.
(c) Expiration of Compliance Instruments. A California compliance instrument does not expire and is not retired in the tracking system until:
(1) It is surrendered by a covered entity or opt-in covered entity and retired by the Executive Officer; 
(2) An entity voluntarily submits the instrument to the Executive Officer for retirement; or
(3) The instrument is retired by an approved external GHG emissions trading system to which the Cap-and-Trade Program is linked pursuant to subarticle 12.
(d) Voluntary Retirement of Compliance Instruments. 
(1) An entity registered pursuant to section 95830 may voluntarily submit any compliance instrument for retirement.
(2) To voluntarily retire a compliance instrument, the registered entity submits a transaction report to the accounts administrator listing its account number, the serial numbers of the instruments to be retired, and the ARB Retirement Account as the destination account.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 12. Linkage to External Greenhouse Gas Emissions Trading Systems
§95940. General Requirements.
Note     •     History

A compliance instrument issued by an external greenhouse gas emissions trading system (GHG ETS) may be used to meet the requirements of this Article if the external GHG ETS and the compliance instrument have been approved pursuant to this section and section 95941.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 12 (sections 95940-95943) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95941. Procedures for Approval of External GHG ETS.
Note     •     History

The Board may approve a linkage with an external GHG ETS after public notice and opportunity for public comment in accordance with the Administrative Procedure Act (Government Code sections 11340 et seq.). Provisions set forth in this Article shall specify which compliance instruments issued by a linked GHG ETS may be used to meet a compliance obligation under this Article.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95942. Approval of Compliance Instruments from External GHG ETS.
Note     •     History

(a) Once a linkage is approved, a compliance instrument issued by the approved external GHG ETS, as specified in this section, may be used to meet a compliance obligation under this Article.
(b) An allowance issued by an approved external GHG ETS and specified in this section is not subject to the quantitative usage limit specified in section 95854. 
(c) An offset credit or sector-based credit issued by an external GHG ETS is subject to the quantitative usage limit specified in section 95854, when used to meet a compliance obligation under this Article.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95943. Reserved for Linkage. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect repealing reserved section 95893 filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
Subarticle 13. ARB Offset Credits and Registry Offset Credits
§95970. General Requirements for ARB Offset Credits.
Note     •     History

An Offset Project Operator or Authorized Project Designee must ensure the requirements for ARB offset credits and registry offset credits are met as follows: 
(a) A registry offset credit must:
(1) Represent a GHG emission reduction or GHG removal enhancement that is real, additional, quantifiable, permanent, verifiable, and enforceable; 
(2) Result from the use of a Compliance Offset Protocol that meets the requirements of section 95972 and is adopted by the Board pursuant to section 95971;
(3) Result from an offset project that meets the requirements specified in section 95973;
(4) Result from an offset project that is listed pursuant to section 95975;
(5) Result from an offset project that follows the monitoring, reporting and record retention requirements pursuant to section 95976;
(6) Result from an offset project that is verified pursuant to sections 95977 through 95978; and
(7) Be issued pursuant to section 95980.1 by an Offset Project Registry approved pursuant to section 95986.
(b) An ARB offset credit must meet the requirements in sections 95970(a)(1) through (a)(6) and:
(1) Be issued pursuant to section 95981.1; 
(2) Be registered pursuant to section 95982; and
(3) When used for compliance under this article, be subject to the quantitative usage limit pursuant to section 95854.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 13 (sections 95970-95988) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95971. Procedures for Approval of Compliance Offset Protocols.
Note     •     History

(a) The Board shall provide public notice of and opportunity for public comment prior to approving any Compliance Offset Protocols, including updates or modifications to existing Compliance Offset Protocols.
(b) All Compliance Offset Protocols shall be reviewed and periodically revised if needed and in compliance with the California Administrative Procedure Act, if applicable. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (b) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95972. Requirements for Compliance Offset Protocols.
Note     •     History

(a) To be approved by the Board, a Compliance Offset Protocol must:
(1) Accurately determine the extent to which GHG emission reductions and GHG removal enhancements are achieved by the offset project type;
(2) Establish data collection and monitoring procedures relevant to the type of GHG emissions sources, GHG sinks, and GHG reservoirs for that offset project type;
(3) Establish a project baseline that reflects a conservative estimate of business-as-usual performance or practices for the offset project type;
(4) Account for activity-shifting leakage and market-shifting leakage for the offset project type, unless the Compliance Offset Protocol stipulates eligibility conditions for use of the Compliance Offset Protocol that eliminate the risk of activity-shifting and/or market-shifting leakage;
(5) Account for any uncertainty in quantification factors for the offset project type;
(6) Ensure GHG emission reductions and GHG removal enhancements are permanent;
(7) Include a mechanism to ensure permanence of GHG removal enhancements for sequestration offset project types; 
(8) Establish the length of the crediting period pursuant to section 95972(b) for the relevant offset project type; and
(9) Establish the eligibility and additionality of projects using standard criteria, and quantify GHG reductions and GHG removal enhancements using standardized baseline assumptions, emission factors, and monitoring methods.
(b) Crediting Periods. The crediting period for a non-sequestration offset project must be no less than 7 years and no greater than 10 years, unless specified otherwise in a Compliance Offset Protocol. The crediting period for a sequestration offset project must be no less than 10 years and no greater than 30 years. 
(c) Geographic Applicability. A Compliance Offset Protocol must specify where the protocol is applicable. The geographic boundary must be within the United States or its Territories, Canada, or Mexico.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95973. Requirements for Offset Projects Using ARB Compliance Offset Protocols.
Note     •     History

(a) General Requirements for Offset Projects. To qualify under the provisions set forth in this article, an Offset Project Operator or Authorized Project Designee must ensure that an offset project:
(1) Meets all of the requirements in a Compliance Offset Protocol approved by the Board pursuant to section 95971;
(2) Meets the following additionality requirements, as well as any additionality requirements in the applicable Compliance Offset Protocol, as of the date of Offset Project Commencement:
(A) The activities that result in GHG reductions and GHG removal enhancements are not required by law, regulation, or any legally binding mandate applicable in the offset project's jurisdiction, and would not otherwise occur in a conservative business-as-usual scenario;
(B) The Offset Project Commencement date occurs after December 31, 2006, unless otherwise specified in the applicable Compliance Offset Protocol, except as provided in section 95973(c); and
(C) The GHG reductions and GHG removal enhancements resulting from the offset project exceed the project baseline calculated by the Compliance Offset Protocol for that offset project type as set forth in the following:
1. Compliance Offset Protocol Ozone Depleting Substances Projects, incorporated by reference October 20, 2011;
2. Compliance Offset Protocol Livestock Projects, incorporated by reference October 20, 2011;
3. Compliance Offset Protocol Urban Forest Projects, incorporated by reference October 20, 2011; and
4. Compliance Offset Protocol U.S. Forest Projects, incorporated by reference October 20, 2011.
(3) Is located in the United States or its Territories, Canada, or Mexico.
(b) Local, Regional, and National Environmental Impact Assessment Requirements. An Offset Project Operator or Authorized Project Designee must fulfill all local, regional, and national requirements on environmental impact assessments that apply based on the offset project location.
(c) Early Action Offset Project Commencement Date. Offset projects that transition to Compliance Offset Protocols pursuant to section 95990(k) may have an Offset Project Commencement date before December 31, 2006.
(d) Any Offset Project Operator or Authorized Project Designee seeking to list an offset project situated on any of the following categories of land must demonstrate the existence of a limited waiver of sovereign immunity between ARB and the governing body of the Tribe entered into pursuant to section 95975(l):
(1) Land that is owned by, or subject to, an ownership or possessory interest of the Tribe;
(2) Land that is “Indian lands” of the Tribe, as defined by 25 U.S.C, §81(a)(1); or 
(3) Land that is owned by any person, entity, or tribe, within the external borders of such Indian lands.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95974. Authorized Project Designee.
Note     •     History

(a) General Requirements for Designation of Authorized Project Designee. An Offset Project Operator may designate an entity as an Authorized Project Designee at the time of offset project listing or any time after offset project listing as long as it meets the requirements of section 95974(b). The Offset Project Operator must identify to ARB or an Offset Project Registry the rights and responsibilities they are assigning or delegating to an Authorized Project Designee.
(1) The Offset Project Operator may assign ownership rights of ARB offset credits or registry offset credits to the following:
(A) Authorized Project Designee; or
(B) Any other third party not otherwise prohibited by this article.
(2) The Offset Project Operator may delegate responsibility to the Authorized Project Designee for performing or meeting the requirements of sections 95975, 95976, 95977, 95977.1, 95977.2, 95981, 95981.1, 95983, and, where specifically identified, sections 95985, and 95990.
(b) Modifications to Authorized Project Designee and Activities. An Offset Project Operator may modify or change an Authorized Project Designee, or any other third party authorized pursuant to section 95974(a)(1) for a listed offset project once within each calendar year after the offset project has been listed by ARB or an Offset Project Registry by submitting a request, in writing, to ARB or an Offset Project Registry.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (a)(2) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95975. Listing of Offset Projects Using ARB Compliance Offset Protocols.
Note     •     History

(a) General Requirements for Offset Project Operators or Authorized Project Designees Who Are Submitting an Offset Project for Listing. Before an offset project can be listed by ARB or an Offset Project Registry the Offset Project Operator, its Authorized Project Designee and, if applicable, another third party as provided in section 95974(a)(1) must:
(1) Register with ARB pursuant to section 95830; and
(2) Not be subject to any Holding Account restrictions imposed pursuant to section 96011.
(b) If the offset project is not listed by ARB, it must be listed by an Offset Project Registry approved pursuant to section 95986.
(c) General Requirements for Offset Project Listing. For offset projects being listed by ARB or an Offset Project Registry in an initial or renewed crediting period, the Offset Project Operator and any Authorized Project Designees approved pursuant to section 95974 must:
(1) Attest, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California the GHG reductions and/or GHG removal enhancements for [project] from [date] to [date] will be measured in accordance with the [appropriate ARB Compliance Offset Protocol] and all information required to be submitted to ARB is true, accurate, and complete;”
(2) Attest, in writing, to ARB as follows:
“I understand I am voluntarily participating in the California Greenhouse Gas Cap-and-Trade Program under title 17, article 5, and by doing so, I am now subject to all regulatory requirements and enforcement mechanisms of this program and subject myself to the jurisdiction of California as the exclusive venue to resolve any and all disputes arising from the enforcement of provisions in this article.”;
(3) Attest in writing to ARB as follows:
“I understand that the offset project activity and implementation of the offset project must be in accordance with all applicable local, regional, and national environmental and health and safety laws that apply to the offset project location. I understand that offset projects are not eligible to receive ARB or registry offset credits for GHG reductions and GHG removal enhancements that are not in compliance with the requirements of the cap-and-trade program.”;
(4) Provide all documentation required pursuant to section 95975(e) to ARB or an Offset Project Registry; and
(5) Disclose GHG reductions and GHG removal enhancements issued credit by any voluntary or mandatory programs for the same offset project being listed or any GHG reductions and GHG removal enhancements used for any GHG mitigation requirement.
(d) The attestations in section 95975(c)(1), 95975(c)(2), and 95975(c)(3) may be provided to an Offset Project Registry with the listing information but must be provided to ARB when the requirements in section 95981(b) apply.
(e) Offset Project Listing Information Requirements. Before an offset project is publicly listed for an initial or renewed crediting period the Offset Project Operator or Authorized Project Designee must provide the listing information in a Compliance Offset Protocol for that offset project type as set forth in and incorporated by reference:
(1) Compliance Offset Protocol Ozone Depleting Substances Projects, October 20, 2011;
(2) Compliance Offset Protocol Livestock Projects, October 20, 2011;
(3) Compliance Offset Protocol Urban Forest Projects, October 20, 2011; and
(4) Compliance Offset Protocol U.S. Forest Projects, October 20, 2011.
(f) Notice of Completeness for Offset Project Listing Information. The Offset Project Operator or Authorized Project Designee will be notified after review by ARB or the Offset Project Registry, if the information submitted pursuant to section 95975(e) is complete and may be listed. If it is determined that the information submitted pursuant to section 95975(e) is incomplete, the Offset Project Operator or Authorized Project Designee will be notified within 30 calendar days by ARB or an Offset Project Registry.
(g) Timing for Offset Project Listing in an Initial Crediting Period. The Offset Project Operator or Authorized Project Designee must submit the information in section 95975(e) to ARB or an Offset Project Registry no later than the date at which the Offset Project Operator or Authorized Project Designee submits its required Offset Project Data Report to ARB or an Offset Project Registry pursuant to section 95976.
(h) Listing Status of Offset Projects in an Initial Crediting Period. After the Offset Project Operator or Authorized Project Designee submits the offset project for listing in an initial crediting period and the required documentation pursuant to section 95975(e) and ARB or the Offset Project Registry has reviewed the offset project against the additionality requirements in section 95973(a)(2), the offset project listing status will be “Proposed Project.” If the offset project is not accepted for listing by an Offset Project Registry, the Offset Project Operator or Authorized Project Designee may request ARB to make a final determination if the offset project meets the requirements in section 95975 to be listed for an initial crediting period by the Offset Project Registry. In making this determination, ARB may consult with the Offset Project Registry before making the final determination. 
(i) Timing for Offset Project Listing in a Renewed Crediting Period. The Offset Project Operator or Authorized Project Designee must submit the information in section 95975(e) for a renewed crediting period to ARB or an Offset Project Registry no earlier than 18 months and no later than 9 months before conclusion of the initial crediting period or a previous renewed crediting period.
(j) Listing Status of Offset Projects in a Renewed Crediting Period. After the Offset Project Operator or Authorized Project Designee submits the offset project for listing in a renewed crediting period and the required documentation pursuant to section 95975(e), and ARB or the Offset Project Registry has reviewed the offset project against the additionality requirements in section 95973(a)(2)(A) and 95973(a)(2)(C) as of the date of the commencement of the renewed crediting period, the offset project listing status will be “Proposed Renewal.” If the offset project is not accepted for listing by an Offset Project Registry, the Offset Project Operator or Authorized Project Designee may request ARB to make a final determination if the project meets the requirements in section 95975 to be listed for a renewed crediting period by the Offset Project Registry. In making this determination, ARB may consult with the Offset Project Registry before making the final determination. 
(k) Limitations for Crediting Period Renewals. A crediting period may be renewed if the offset project meets the requirements for additionality pursuant to section 95975(j). 
(1) The crediting period for non-sequestration offset projects may be renewed twice for the length of time identified by the Compliance Offset Protocol.
(2) Sequestration offset projects are not subject to any renewal limits.
(l)Additional Offset Project Listing Requirements for Tribes. In addition to meeting the listing requirements in sections 95975(c)(1) through (5), Tribes must meet the following requirements before offset projects located on the categories of land specified in section 95973(d) can be listed with ARB or an Offset Project Registry pursuant to this section. The requirements of this article apply regardless of the category of land on which the offset project is located.
(1) The governing body of the Tribe must enter into a limited waiver of sovereign immunity with ARB related to its participation in the requirements of the Cap-and-Trade Program for the duration required by the applicable Compliance Offset Protocol(s). This waiver must include a consent to suit by the State of California, Air Resources Board, in the courts of the State of California, with respect to any action in law or equity commenced by the State of California, Air Resources Board to enforce the obligations of the Tribe with respect to its participation in the Cap-and-Trade Program, irrespective of the form of relief sought, whether monetary or otherwise.
(2) The Tribe must provide ARB with documentation demonstrating that the limited waiver of sovereign immunity entered into pursuant to section 95975(l)(1) has been properly adopted in accordance with the Tribe's Constitution or other organic law, by-laws and ordinances, and applicable federal laws. 
(3) For offset projects located on Indian lands, as defined in 25 U.S.C. §81(a)(1), the Tribe must also provide ARB with proof of federal approval of the Tribe's participation in the requirements of the Cap-and-Trade Program, or documentation from the U.S. Department of the Interior, Bureau of Indian Affairs that federal approval is not required.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (c)(3) and (e) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95976. Monitoring, Reporting, and Record Retention Requirements for Offset Projects.
Note     •     History

(a) General Requirements for Monitoring Equipment for Offset Projects. The Offset Project Operator or Authorized Project Designee must employ the procedures in the Compliance Offset Protocol for monitoring measurements and project performance for offset projects. All required monitoring equipment must be maintained and calibrated in a manner and at a frequency required by the equipment manufacturer, unless otherwise specified in the applicable Compliance Offset Protocol. All modeling, monitoring, sampling, or testing procedures must be conducted in a manner consistent with the applicable procedure. 
(b) The Offset Project Operator or Authorized Project Designee must use the missing data methods as provided in a Compliance Offset Protocol for that offset project type, if provided and applicable. 
(c) An Offset Project Operator or Authorized Project Designee must put in place all monitoring equipment or mechanisms required by a Compliance Offset Protocol for that offset project type as set forth in:
(1) Compliance Offset Protocol Ozone Depleting Substances Projects, October 20, 2011;
(2) Compliance Offset Protocol Livestock Projects, October 20, 2011;
(3) Compliance Offset Protocol Urban Forest Projects, October 20, 2011; and
(4) Compliance Offset Protocol U.S. Forest Projects, October 20, 2011.
(d) Offset Project Reporting Requirements. An Offset Project Operator or Authorized Project Designee shall submit an Offset Project Data Report to ARB or an Offset Project Registry annually for each Reporting Period. Each Offset Project Data Report must cover a single Reporting Period. Reporting Periods must be contiguous; there must be no gaps in reporting once the first Reporting Period has commenced. The Offset Project Operator or Authorized Project Designee must submit an Offset Project Data Report to ARB or an Offset Project Registry within 24 months of listing their offset project pursuant to section 95975. The Offset Project Data Report shall contain the information required by a Compliance Offset Protocol for that offset project type as set forth in:
(1) Compliance Offset Protocol Ozone Depleting Substances Projects, October 20, 2011;
(2) Compliance Offset Protocol Livestock Projects, October 20, 2011;
(3) Compliance Offset Protocol Urban Forest Projects, October 20, 2011; and
(4) Compliance Offset Protocol U.S. Forest Projects, October 20, 2011.
(5) The Offset Project Operator or Authorized Project Designee must attest, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California the GHG reductions and/or GHG removal enhancements for [project] from [date] to [date] are measured in accordance with the [appropriate ARB approved protocol] and all information required to be submitted to ARB in the Offset Project Data Report is true, accurate, and complete.”
This attestation may be provided to an Offset Project Registry with the Offset Project Data Report but must be provided to ARB when the requirements in section 95981(b) apply.
(6) All Offset Project Data Reports must be submitted within four months after the conclusion of each Reporting Period. 
(7) If an Offset Project Data Report is not submitted to ARB or an Offset Project Registry by the applicable reporting deadline, the GHG reductions and GHG removal enhancements quantified and reported in the Offset Project Data Report are not eligible to be issued ARB offset credits pursuant to section 95981.
(e) Requirements for Record Retention for Offset Projects. An Offset Project Operator or Authorized Project Designee must meet the following requirements:
(1) The Offset Project Operator or Authorized Project Designee must retain the following documents:
(A) All information submitted as part of the Offset Project Data Report;
(B) Documentation of the offset project boundary, including a list of all GHG emissions sources, GHG sinks, and GHG reservoirs included in the offset project boundary and the project baseline, and the calculation of the project baseline, project emissions, GHG emission reductions, and GHG removal enhancements;
(C) Fuel use and any other underlying measured or sampled data used to calculate project baseline emissions, GHG emission reductions, and GHG removal enhancements for each source, categorized by process and fuel, or material type;
(D) Documentation of the process for collecting fuel use or any other underlying measured or sampled data for the offset project and its GHG emissions sources, GHG sinks, and GHG reservoirs for quantifying project baseline emissions, project emissions, GHG emission reductions, and GHG removal enhancements;
(E) Documentation of all project baseline emissions, project emissions, GHG emission reductions, and GHG removal enhancements;
(F) All point of origin and chain of custody documents required by a Compliance Offset Protocol, if applicable;
(G) All chemical analyses, results, and testing-related documentation for material and sources used for inputs to project baseline emissions, project emissions, GHG emission reductions, and GHG removal enhancements;
(H) All model inputs or assumptions used for quantifying project baseline emissions, project emissions, GHG emission reductions, and GHG removal enhancements;
(I) Any data used to assess the accuracy of project baseline emissions, GHG emission reductions, and GHG removal enhancements from each offset project GHG emissions source, GHG sink, and GHG reservoir, categorized by process;
(J) Quality assurance and quality control information including information regarding any measurement gaps, missing data substitution, calibrations or maintenance records for monitoring equipment, or models providing data for calculating project baseline emissions, project emissions, GHG emission reductions, and GHG removal enhancements;
(K) A detailed technical description of any offset project continuous measurement/monitoring system, including documentation of any findings and approvals by federal, state, and local agencies; 
(L) Raw and aggregated data from any measurement system; 
(M) Documentation of any changes over time and the log book on tests, down-times, calibrations, servicing, and maintenance for any measurement/monitoring equipment providing data for project baseline calculations, project emissions, GHG emission reductions, and GHG removal enhancements; 
(N) For sequestration offset projects, documentation of inventory methodologies and sampling procedures including all calculation methodologies and equations used, and any data related to plot sampling; and 
(O) Any other documentation or data required to be retained by a Compliance Offset Protocol, if applicable.
(2) Documents listed in section 95976(e)(1) associated with the preparation of an Offset Project Data Report shall be retained in paper, electronic, or other usable format for a minimum of 15 years following the issuance of ARB offset credits related to that Offset Project Data Report. All other documents shall be retained in paper, electronic, or other usable format for a minimum of 15 years. 
(3) The documents retained pursuant to this section must be sufficient to allow for the verification of each Offset Project Data Report. 
(4) Upon request by ARB or an Offset Project Registry, the Offset Project Operator or Authorized Project Designee must provide to ARB or an Offset Project Registry all documents pursuant to this section, including data used to develop an Offset Project Data Report within 10 calendar days of the request.
(f) General Procedure for Interim Gas or Fuel Analytical and Monitoring Equipment Data Collection. This section only applies if a Compliance Offset Protocol does not already include methods for collecting or accounting for data in the event of missing data due to an unforeseen breakdown of gas or fuel analytical monitoring data equipment. 
(1) In the event of an unforeseen breakdown of offset project data monitoring equipment and gas or fuel flow monitoring devices required for the GHG emission reductions and GHG removal enhancement estimation, ARB may authorize an Offset Project Operator or Authorized Project Designee to use an interim data collection procedure if ARB determines that the Offset Project Operator or Authorized Project Designee has satisfactorily demonstrated that:
(A) The breakdown may result in a loss of more than 20 percent of the source's gas or fuel data for the year covered by an Offset Project Data Report;
(B) The gas or fuel analytical data monitoring equipment cannot be promptly repaired or replaced without shutting down a process unit significantly affecting the offset project operations, or that the monitoring equipment must be replaced and replacement equipment is not immediately available;
(C) The interim procedure will not remain in effect longer than is reasonably necessary for repair or replacement of the malfunctioning data monitoring equipment; and
(D) The request was submitted within 30 calendar days of the breakdown of the gas or fuel analytical data monitoring equipment.
(2) An Offset Project Operator or Authorized Project Designee seeking approval of an interim data collection procedure must, within 30 calendar days of the monitoring equipment breakdown, submit a written request to ARB that includes all of the following:
(A) The proposed start date and end date of the interim procedure;
(B) A detailed description of what data are affected by the breakdown;
(C) A discussion of the accuracy of data collected during the interim procedure compared with the data collected under the Offset Project Operator's or Authorized Project Designee's usual equipment-based method; and
(D) A demonstration that no feasible alternative procedure exists that would provide more accurate emissions data.
(3) ARB may limit the duration of the interim data collection procedure or include other conditions for approval.
(4) Data collected pursuant to an approved interim data collection procedure shall be considered captured data for purposes of compliance with a Compliance Offset Protocol. When approving an interim data collection procedure, ARB shall determine whether the accuracy of data collected under the procedure is reasonably equivalent to data collected from properly functioning monitoring equipment, and if it is not, the relative accuracy to assign for purposes of assessing possible offset material misstatement under section 95977.1(b)(3)(Q) of this article.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95977. Verification of GHG Emission Reductions and GHG Removal Enhancements from Offset Projects.
Note     •     History

(a) General Requirements. An Offset Project Operator or Authorized Project Designee must obtain the services of an ARB-accredited verification body for the purposes of verifying Offset Project Data Reports submitted under this article.
(b) Schedule for Verification of Non-Sequestration Offset Projects. The verification of GHG emission reductions for non-sequestration offset projects must be performed annually and cover the Reporting Period for which the most recent Offset Project Data Report was submitted. For Reporting Periods in which an Offset Project Data Report for a non-sequestration offset project shows that the offset project produced fewer than 25,000 metric tons of GHG reductions, the Offset Project Operator or Authorized Project Designee may choose to perform verification that covers two consecutive Reporting Periods. 
(c) Schedule for Verification of Sequestration Offset Projects. The verification of GHG emission reductions and GHG removal enhancements for sequestration offset projects must be performed at least once every six years and may cover up to six Reporting Periods for which Offset Project Data Reports were submitted. After an initial verification with a Positive Offset Verification Statement, reforestation offset projects may defer the second verification for twelve years, but verification of Offset Project Data Reports must be performed at least once every six years thereafter. 
(d) Timing for Submittal of Offset Verification Statements to ARB or an Offset Project Registry. Any Offset Verification Statement must be received by ARB or an Offset Project Registry within nine months after the conclusion of the Reporting Period for which offset verification services were performed. If the Offset Verification Statement is not submitted to ARB or an Offset Project Registry by the verification deadline, the GHG reductions and GHG removal enhancements quantified and reported in the Offset Project Data Report are not eligible to be issued ARB offset credits or registry offset credits.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95977.1. Requirements for Offset Verification Services.
Note     •     History

(a) Rotation of Verification Bodies. An offset project shall not have more than six consecutive years of offset project data verified by the same verification body or verifier(s). An Offset Project Operator or Authorized Project Designee may contract with a previous verification body or verifier(s) only if at least three years of the offset project data have been verified by a different verification body or verifier(s) before the previous verification body is selected again. The six year rotation requirement is applied between the Offset Project Operator or Authorized Project Designee and the verification body or verifier(s) on an offset project basis. 
(b) Offset Verification Services. Offset Verification Services shall be subject to the following requirements.
(1) Notice of Offset Verification Services for Offset Projects. Before offset verification services may begin, the verification body must submit a Notice of Offset Verification Services to ARB and an Offset Project Registry, if applicable. The verification body may begin offset verification services for the Offset Project Operator or Authorized Project Designee 10 working days after the Notice for Offset Verification Services is received by ARB or the Offset Project Registry, or earlier, if approved by ARB in writing. The Notice for Offset Verification Services must include the following information:
(A) The name of the offset project type, including the length of the offset project crediting period, and title of the Compliance Offset Protocol used to implement the offset project;
(B) A list of staff who will be designated to provide offset verification services as part of an offset verification team, including the names of each designated staff member, the lead verifier, independent reviewer, all subcontractors, and a description of the roles and responsibilities each team member will have during the offset verification process;
(C) Documentation that the offset verification team has the skills required to provide offset verification services for the Offset Project Operator or Authorized Project Designee. At least one offset verification team member must be accredited by ARB as an offset project specific verifier for an offset project of that type; and
(D) General information on the Offset Project Operator or Authorized Project Designee, including:
1. The name of the Offset Project Operator or Authorized Project Designee, including contact information, address, telephone number, and email address;
2. The locations that will be subject to offset verification services; 
3. The date(s) of on-site visits, with address and contact information; and
4. A brief description of expected offset verification services to be performed, including expected completion date.
(2) If any information submitted pursuant to sections 95977.1(b)(1)(B) and 95977.1(b)(1)(D) changes after the Notice for Offset Verification Services is submitted to ARB and the Offset Project Registry, if applicable, the verification body must notify ARB and the Offset Project Registry by submitting an updated conflict of interest self-evaluation form as soon as the change is made, but, at least five days prior to the start of offset verification services. If any information submitted pursuant to sections 95977.1(b)(1)(B) and 95977.1(b)(1)(D) changes during offset verification services, the verification body must notify ARB and the Offset Project Registry, if applicable. In either instance, the conflict of interest must be resubmitted to ARB or the Offset Project Registry, as applicable. 
(3) Offset verification services must include the following: 
(A) Offset Verification Plan. The Offset Project Operator or Authorized Project Designee must submit the following information necessary to develop an Offset Verification Plan:
1. Information to allow the offset verification team to develop a general understanding of offset project boundaries, operations, project baseline emissions, and annual GHG reductions and GHG removal enhancements;
2. Information regarding the training or qualifications of personnel involved in developing the Offset Project Data Report;
3. The name and date of the Compliance Offset Protocol used to quantify and report project baselines, GHG reductions, GHG removal enhancements, and other required data as applicable in the Compliance Offset Protocol; and
4. Information about any data management system, offset project monitoring system, and models used to track project baselines, GHG reductions, GHG removal enhancements, and other required data as applicable in the Compliance Offset Protocol.
(B) Timing of Offset Verification Services. Such information shall include:
1. Dates of proposed meetings and interviews with personnel related to the offset project;
2. Dates of proposed site visits;
3. Types of proposed document and data reviews; and 
4. Expected date for completing offset verification services.
(C) Planning Meetings with the Offset Project Operator or Authorized Project Designee. The offset verification team must discuss with the Offset Project Operator or Authorized Project Designee the scope of the offset verification services and request any information and documents needed for initial offset verification services. The offset verification team must review the documents submitted and plan and conduct a review of original documents and supporting data for the Offset Project Data Report.
(D) Site Visits for Offset Projects. For a non-sequestration offset project, at least one accredited offset verifier in the offset verification team, including the offset project specific verifier, must make at least one site visit every year to each offset project location for which an Offset Project Data Report is submitted, except for those non-sequestration offset projects that qualify for a two-year offset verification period pursuant to section 95977(b). In this case, at least one offset verifier in the offset verification team, including the offset project specific verifier, must make a site visit to each offset project location in the year that offset verification services are performed. For a forest or urban forest offset project, at least one accredited offset verifier in the offset verification team, including the offset project specific verifier, must make a site visit every year that offset verification services are provided, except for those offset projects approved for less intensive verification, for which a site visit must be performed at least once every six years. A site visit is also required after the first full calendar year of operations of an offset project. During the site visit, the offset verification team member(s) must conduct the following:
1. During the initial site visit the offset verification team members must:
a. Assess offset project eligibility and additionality according to section 95973 and the applicable Compliance Offset Protocol;
b. Review the information submitted for listing pursuant to section 95975;
c. Confirm that the offset project boundary is appropriately defined; 
d. Review project baseline calculations and modeling; 
e. Assess the operations, functionality, data control systems, and review GHG measurement and monitoring techniques; and
f. Confirm that all applicable eligibility criteria to design, measure, and monitor the offset project conforms to the requirements of the applicable Compliance Offset Protocol.
2. During the initial and each subsequent site visit the offset verification team must:
a. Check that all offset project boundaries, GHG emissions sources, GHG sinks, and GHG reservoirs in the applicable Compliance Offset Protocol are identified appropriately;
b. Review and understand the data management systems used by the Offset Project Operator or Authorized Project Designee to track, quantify, and report GHG reductions, GHG removal enhancements, or other data required as applicable in the Compliance Offset Protocol. This includes reviewing data collection processes and procedures, sampling techniques and metering accuracy, quality assurance/quality control processes and procedures, and missing data procedures. The offset verification team member(s) must evaluate the uncertainty and effectiveness of these systems;
c. Interview key personnel involved in collecting offset project data and preparing the Offset Project Data Report;
d. Make direct observations of equipment for data sources and equipment supplying data for GHG emission sources in the sampling plan determined to be high risk;
e. Collect and review other information that, in the professional judgment of the team, is needed in the offset verification process;
f. Confirm the offset project conforms with all local, state, or federal environmental regulatory requirements pursuant to section 95973(b), including health and safety regulations; and 
g. Review all chain of custody documents as required in the Compliance Offset Protocol, if applicable.
h. If the offset project is found by the offset verification team to not meet the requirements of section 95977.1(b)(3)(D)2.f., the offset project is ineligible to receive ARB offset credits or registry offset credits for GHG reductions and GHG removal enhancements quantified and reported in the Offset Project Data Report.
i. The activities performed pursuant to sections 95977.1(b)(3)(D)2.f. through (b)(3)(D)2.h. may be included in a site visit or, alternatively, may be conducted as part of a desk review.
(E) The offset verification team must review offset project operations to identify applicable GHG emissions sources, project emissions, GHG sinks, and GHG reservoirs required to be included and quantified in the Offset Project Data Report as required by the applicable Compliance Offset Protocol. This must include a review of each type of GHG emissions source, GHG sink, and GHG reservoir to ensure that all GHG emissions sources, GHG sinks, and GHG reservoirs required to be reported for the offset project are properly included in the Offset Project Data Report.
(F) An Offset Project Operator or Authorized Project Designee must make available to the offset verification team all information and documentation used to calculate and report project baseline and annual GHG emissions, GHG reductions, and GHG removal enhancements and other information required by the applicable Compliance Offset Protocol.
(G) Sampling Plan for Offset Project Data Reports. As part of confirming the Offset Project Data Report, the offset verification team must develop a sampling plan that meets the following requirements:
1. The offset verification team must develop a sampling plan based on a strategic analysis developed from document reviews and interviews to assess the likely nature, scale, and complexity of the offset verification services for an Offset Project Operator or Authorized Project Designee. The analysis must review the inputs for the development of the submitted Offset Project Data Report, the rigor and appropriateness of the GHG data management systems, and the coordination within an Offset Project Operator's or Authorized Project Designee's organization to manage the operation and maintenance of equipment and systems used to develop the Offset Project Data Reports;
2. The offset verification team must include a ranking of GHG emissions sources, GHG sinks, and GHG reservoirs within the offset project boundary by amount of contribution to total CO2e emissions, GHG reductions, and GHG removal enhancements, and a ranking of GHG emissions sources, GHG sinks, or GHG reservoirs with the largest calculation uncertainty; and
3. The offset verification team must include a qualitative narrative of uncertainty risk assessment in the following areas as applicable to the Compliance Offset Protocol:
a. Data acquisition equipment;
b. Data sampling and frequency;
c. Data processing and tracking; 
d. Project baseline and annual GHG emissions, GHG reductions, and GHG removal enhancement calculations;
e. Data reporting;
f. Chain of custody requirements; and 
g. Management policies or practices in developing Offset Project Data Reports.
(H) After completing the analysis in section 95977.1(b)(3)(G), the offset verification team must include in the sampling plan a list which includes the following:
1. GHG emissions sources, GHG sinks, and GHG reservoirs that will be targeted for document reviews to ensure conformance with the Compliance Offset Protocol and data checks as specified in section 95977.1(b)(3)(L) and an explanation of why they were chosen;
2. Methods used to conduct data checks for each GHG emissions source, GHG sink, and GHG reservoir; and
3. A summary of the information analyzed in the data checks and document reviews conducted for each GHG emissions source, GHG sink, and GHG reservoir.
(I) The sampling plan list, prepared pursuant to section 95977.1(b)(3)(H), must be updated and finalized prior to the completion of offset verification services. The final sampling plan must describe in detail how the GHG emissions sources, GHG sinks, and GHG reservoirs with identified risk, subject to data checks, were reviewed for accuracy.
(J) The offset verification team must revise the sampling plan to describe tasks completed or needed to be completed by the offset verification team as relevant information becomes available and potential issues emerge of offset material misstatement or nonconformance with the requirements of the Compliance Offset Protocol and this article.
(K) The verification body must retain the sampling plan in paper, electronic, or other format for a period of not less than 15 years following the submission of each Offset Verification Statement. The sampling plan must be made available to ARB or the Offset Project Registry within 10 days upon request. The verification body must also retain all material received, reviewed, or generated to render an Offset Verification Statement for an Offset Project Operator or Authorized Project Designee for 15 years following the submittal of each Offset Verification Statement. The documentation must allow for a transparent review of how a verification body reached its conclusion in the Offset Verification Statement.
(L) Data Checks for Offset Project Data Reports. To determine the reliability of the submitted Offset Project Data Report, the offset verification team must use data checks. Such data checks must focus first on the largest and most uncertain estimates of project baseline GHG emissions, project emissions, GHG reductions, and GHG removal enhancements, and the offset verification team must:
1. Use data checks to ensure that the appropriate methodologies and GHG emission factors have been applied in calculating the project baseline and annual GHG emissions, project emissions, GHG reductions, and GHG removal enhancements calculations in the Compliance Offset Protocol;
2. Choose GHG emissions sources, project emissions, GHG sinks, and GHG reservoirs for data checks based on their relative sizes and risks of offset material misstatement or nonconformance as indicated in the sampling plan;
3. Use professional judgment in the number of data checks required for the offset verification team to conclude with reasonable assurance whether the Offset Project Operator's or Authorized Project Designee's total reported GHG reductions and GHG removal enhancements are free of offset material misstatement and the Offset Project Data Report otherwise conforms to the requirements of the Compliance Offset Protocol and this article. At a minimum a data check must include the following:
a. Tracing data in the Offset Project Data Report to its origin;
b. Looking at the process for data compilation and collection;
c. Reviewing all GHG inventory designs for GHG sources, GHG sinks, and GHG reservoirs, and sampling procedures, if applicable;
d. Recalculating GHG emissions, project emissions, GHG reductions, and GHG removal enhancements estimates to check original calculations;
e. Reviewing calculation methodologies used by the Offset Project Operator or Authorized Project Designee for conformance with the Compliance Offset Protocol and this article;
f. Reviewing meter and fuel analytical instrumentation calibration, if applicable; and 
g. Reviewing the quantification from models approved for use in the Compliance Offset Protocol, if applicable; and
4. Compare its own calculated results with the reported offset project data in order to confirm the extent and impact of any omissions and errors. Any discrepancies must be identified. The comparison of data checks must also include a narrative to indicate which GHG emissions sources, GHG sinks, and GHG reservoirs were checked, the types and quantity of data that were evaluated for each GHG emissions source, GHG sink, and GHG reservoir, and any discrepancies that were identified.
(M) Offset Project Data Report Modifications. As a result of review by the offset verification team and prior to completion of an Offset Verification Statement, the Offset Project Operator or Authorized Project Designee must make any possible improvements or corrections to the submitted Offset Project Data Report, and a revised Offset Project Data Report must be submitted to ARB or the Offset Project Registry. Documentation for all Offset Project Data Report submittals must be retained by the Offset Project Operator or Authorized Project Designee for the length of time specified in section 95976(e)(2).
(N) To verify that the Offset Project Data Report is free of offset material misstatement, the offset verification team must make its own determination of GHG reductions or GHG removal enhancements relative to the project baseline, and must determine whether there is reasonable assurance that the Offset Project Data Report does not contain an offset material misstatement for the Offset Project Operator or Authorized Project Designee, on a CO2e basis. To assess conformance with this article and the Compliance Offset Protocol the offset verification team must review the methods and factors used to develop the Offset Project Data Report for adherence to the requirements of this article and the Compliance Offset Protocol and ensure that other requirements of this article are met.
(O) Issues Log. The offset verification team must keep a log of any issues identified in the course of offset verification services that may affect determinations of offset material misstatement and nonconformance. The issues log must identify the section of this article or Compliance Offset Protocol related to the nonconformance, if applicable, and indicate that the issues were corrected by the Offset Project Operator or Authorized Project Designee prior to completing the offset verification services. Any other concerns that the offset verification team has with the preparation of the Offset Project Data Report must be documented in the issues log. The issues log must indicate whether the issues could have any bearing on offset material misstatement or conformance.
(P) An assessment of offset material misstatement is conducted for annual net GHG reductions and GHG removal enhancements relative to the project baseline in metric tons of CO2e.
(Q) The offset verification team must determine whether the GHG reductions and GHG removal enhancements quantified and reported in the Offset Project Data Report contain an offset material misstatement using the following equation:

View Graphic
Where:
“Discrepancies” means any differences between the reported GHG emissions, project emissions, GHG reductions, and GHG removal enhancements and GHG emissions, project emissions, GHG reductions, and GHG removal enhancements for a data source subject to data checks in 95977.1(b)(3)(L) calculated by the offset verification team.
“Omissions” means any GHG emissions, GHG reductions, project emissions, and GHG removal enhancements that the offset verification team concludes must be part of the Offset Project Data Report, but were not included by the Offset Project Operator or Authorized Project Designee in the Offset Project Data Report.
“Misreporting” means duplicative, incomplete, or other GHG emissions, project emissions, GHG reductions, and GHG removal enhancements the offset verification team concludes should, or should not, be part of the Offset Project Data Report.
“Total reported emissions” means annual reported net GHG reductions and GHG removal enhancements relative to the project baseline in metric tons CO2e.
(R) Completion of offset verification services must include: 
1. Offset Verification Statement. Upon completion of the offset verification services pursuant to section 95977.1(b), the verification body must complete an Offset Verification Statement and provide it to the Offset Project Operator or Authorized Project Designee and ARB or the Offset Project Registry by the verification deadline pursuant to section 95977(d). Before the Offset Verification Statement is completed, the verification body must have the offset verification services and findings of the offset verification team independently reviewed within the verification body by an independent reviewer not involved in offset verification services for that offset project.
2. The independent reviewer shall serve as the final check of the offset verification team's work to identify any significant concerns, including:
a. Errors in planning; 
b. Errors in data sampling; and 
c. Errors in judgment by the offset verification team that are related to the draft offset verification statement.
3. The independent reviewer must maintain independence from the offset verification services by not making specific recommendations about how the offset verification services should be conducted. The independent reviewer will review documents applicable to the offset verification services provided and identify any failure to comply with the requirements of this article or with the verification body's internal policies and procedures for providing offset verification services. The independent reviewer must concur with the offset verification findings before the Offset Verification Statement can be issued.
4. When the offset verification team completes its findings: 
a. The verification body must provide to the Offset Project Operator or Authorized Project Designee a detailed verification report. The detailed verification report must at a minimum include the Offset Verification Plan, the detailed comparison of the data checks conducted during offset verification services, the issues log identified in the course of offset verification activities and the issue resolutions, and any qualifying comments on findings during offset verification services. The detailed verification report must also include the calculations performed in 95977.1(b)(3)(Q) and be made available to ARB within 10 calendar days upon request. If the Offset Verification Statement is being submitted to an Offset Project Registry, then the verification body must submit the detailed verification report to the Offset Project Registry with the Offset Verification Statement. The detailed verification report must be submitted to the Offset Project Operator or Authorized Project Designee at the same time or before the Offset Verification Statement is submitted to ARB or the Offset Project Registry.
b. The verification body must provide the Offset Verification Statement to the Offset Project Operator or Authorized Project Designee and ARB or the Offset Project Registry, attesting to ARB whether the verification body has found the submitted Offset Project Data Report to be free of offset material misstatement, and whether the Offset Project Data Report is in conformance with the requirements of this article and the Compliance Offset Protocol. 
c. A Compliance Offset Protocol may restrict the use of a Qualified Positive Offset Verification Statement for certain project types, in which case the verification body must submit either a Positive Offset Verification Statement or an Adverse Offset Verification Statement. In the case of a Qualified Positive Offset Verification Statement, when not restricted by a Compliance Offset Protocol, the verification body will qualify the Offset Verification Statement to indicate any non-conformances contained within the Offset Project Data Report and that these nonconformances do not result in an offset material misstatement.
d. The offset verification team must have a final discussion with the Offset Project Operator or Authorized Project Designee explaining their findings and notifying the Offset Project Operator or Authorized Project Designee of any unresolved issues noted in the issues log before the Offset Verification Statement is finalized.
e. The lead verifier in the offset verification team must attest to ARB in the Offset Verification Statement that the offset verification team has carried out all offset verification services as required by this article, and the lead verifier who has conducted the independent review of offset verification services and findings must attest to his or her independent review on behalf of the verification body and his or her concurrence with the offset verification findings.
f. The lead verifier must attest in the Offset Verification Statement, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California that the offset verification team has carried out all offset verification services as required by sections 95977.1 and 95977.2 and the findings are true, accurate, and complete and have been independently reviewed by an independent reviewer as required under sections 95977.1(b)(3)(R)1. through 95977.1(b)(3)(R)3..”
5. Prior to the verification body providing an Adverse Offset Verification Statement to ARB or the Offset Project Registry, the Offset Project Operator or Authorized Project Designee must be provided at least 10 working days to modify the Offset Project Data Report to correct any offset material misstatement or nonconformance found by the offset verification team. The modified Offset Project Data Report and Offset Verification Statement must be submitted to ARB or the Offset Project Registry by the applicable verification deadline, unless the Offset Project Operator or Authorized Project Designee makes a request to ARB pursuant to section 95977.1(b)(3)(R)6.
6. If the Offset Project Operator or Authorized Project Designee and the verification body cannot reach agreement on modifications to the Offset Project Data Report that result in a Positive Offset or Qualified Positive Offset Verification Statement due to a disagreement on the requirements of this article or Compliance Offset Protocol, the Offset Project Operator or Authorized Project Designee may petition ARB to make a decision as to the verifiability of the submitted Offset Project Data Report. 
7. If ARB determines that the Offset Project Data Report does not meet the standards and requirements specified in this article, the Offset Project Operator or Authorized Project Designee must provide any additional information within 30 calendar days of the ARB determination. ARB will review the new information and notify the Offset Project Operator or Authorized Project Designee and verification body of its final decision. In re-verifying a revised Offset Project Data Report, the verification body and offset verification team shall be subject to the requirements in sections 95977.1(b)(3)(R)1. through 95977.1(b)(3)(R)4. and must submit the revised Offset Verification Statement to ARB or the Offset Project Registry within 15 calendar days.
(S) Upon submission of the Offset Verification Statement to ARB or the Offset Project Registry, the Offset Project Data Report must be considered final and no further changes may be made. All offset verification requirements of this article shall be considered complete.
(T) If the Executive Officer finds a high level of conflict of interest existed between a verification body and an Offset Project Operator or Authorized Project Designee pursuant to section 95979(b)(3) and section 95979(b)(4), or an Offset Project Data Report that received a Positive Offset or Qualified Positive Offset Verification Statement fails an ARB audit, the Executive Officer may set aside the Positive Offset or Qualified Positive Offset Verification Statement submitted by the verification body and require the Offset Project Operator or Authorized Project designee to have the Offset Project Data Report re-verified by a different verification body within 90 calendar days of this finding.
(U) Upon request by ARB or the Offset Project Registry, the Offset Project Operator or Authorized Project Designee must provide the data used to generate an Offset Project Data Report, including all data available to the offset verification team in the conduct of offset verification services, within 10 working days of the request.
(V) Upon request by ARB or the Offset Project Registry the verification body must provide ARB or the Offset Project Registry the detailed verification report given to the Offset Project Operator or Authorized Project Designee, as well as the sampling plan, contracts for offset verification services, and any other supporting documentation. All documentation must be provided by the verification body to ARB or the Offset Project Registry within 10 working days of the request.
(W) Upon written notification by ARB the verification body and its staff must be available for an offset verification services audit when providing offset verification services for an offset project listed with ARB or an Offset Project Registry using a Compliance Offset Protocol. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (b)(3)(D)2.h.-i., (b)(3)(R)4.f., (b)(3)(R)5. and (b)(3)(R)7. filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95977.2. Additional Project Specific Requirements for Offset Verification Services.
Note     •     History

In addition to meeting the offset verification requirements in sections 95977 and 95977.1, Offset Project Operators or Authorized Project Designees must ensure the GHG emission reductions and GHG removal enhancements resulting from an offset project meet any additional verification requirements in the Compliance Offset Protocol, if applicable, for an offset project of that type.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95978. Offset Verifier and Verification Body Accreditation.
Note     •     History

An offset verifier or verification body must meet the accreditation requirements in section 95132 of MRR to provide offset verification services to verify GHG emission reductions and GHG removal enhancements for offset projects listed pursuant to this article.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95979. Conflict of Interest Requirements for Verification Bodies for Verification of Offset Project Data Reports.
Note     •     History

(a) The conflict of interest provisions of this section shall apply to verification bodies, lead verifiers, and offset verifiers accredited by ARB to perform offset verification services for Offset Project Operators or Authorized Project Designees.
(b) The potential for a conflict of interest must be deemed to be high where:
(1) The verification body and Offset Project Operator or Authorized Project Designee share any senior management staff or board of directors membership, or any of the senior management staff of the Offset Project Operator or Authorized Project Designee have been employed by the verification body, or vice versa, within the previous three years; or
(2) Within the previous five years, any staff member of the verification body or any related entity has provided to the Offset Project Operator or Authorized Project Designee any of the following non-offset verification services:
(A) Designing, developing, implementing, reviewing, or maintaining an inventory or offset project information or data management system for air emissions, unless the review was part of providing GHG offset verification services;
(B) Developing GHG emission factors or other GHG-related engineering analysis, including developing or reviewing a California Environmental Quality Act (CEQA) GHG analysis that includes offset project specific information;
(C) Designing energy efficiency, renewable power, or other projects which explicitly identify GHG reductions and GHG removal enhancements as a benefit;
(D) Designing, developing, implementing, internally auditing, consulting, or maintaining an offset project resulting in GHG emission reductions and GHG removal enhancements;
(E) Owning, buying, selling, trading, or retiring shares, stocks, or ARB offset credits or registry offset credits from the offset project;
(F) Dealing in or being a promoter of ARB offset credits or registry offset credits on behalf of an Offset Project Operator or Authorized Project Designee;
(G) Preparing or producing GHG-related manuals, handbooks, or procedures specifically for the Offset Project Operator or Authorized Project Designee;
(H) Appraisal services of carbon or GHG liabilities or assets;
(I) Brokering in, advising on, or assisting in any way in carbon or GHG-related markets;
(J) Directly managing any health, environment or safety functions for the Offset Project Operator or Authorized Project Designee;
(K) Bookkeeping or other services related to the accounting records or financial statements;
(L) Any service related to information systems, including International Organisation for Standardization 14001 Certification for Environmental Management (ISO 14001 Certification), unless those systems will not be reviewed as part of the offset verification process;
(M) Appraisal and valuation services, both tangible and intangible;
(N) Fairness opinions and contribution-in-kind reports in which the verification body has provided its opinion on the adequacy of consideration in a transaction, unless the information reviewed in formulating the Offset Verification Statement will not be reviewed as part of the offset verification services;
(O) Any actuarially oriented advisory service involving the determination of amounts recorded in financial statements and related accounts;
(P) Any internal audit service that has been outsourced by the Offset Project Operator or Authorized Project Designee that relates to the Offset Project Operator's or Authorized Project Designee's internal accounting controls, financial systems, or financial statements, unless the systems and data reviewed during those services, as well as the result of those services will not be part of the offset verification process;
(Q) Acting as a broker-dealer (registered or unregistered), promoter, or underwriter on behalf of the Offset Project Operator or Authorized Project Designee;
(R) Any legal services; and
(S) Expert services to the Offset Project Operator or Authorized Project Designee or a legal representative for the purpose of advocating the Offset Project Operator's or Authorized Project Designee's interests in litigation or in a regulatory or administrative proceeding or investigation, unless providing factual testimony.
“Member” for the purposes of this section means any employee or subcontractor of the verification body or related entities of the verification body. “Member” also includes any individual with majority equity share in the verification body or its related entities. 
“Related entity” for the purposes of this section means any direct parent company, direct subsidiary, or sister company.
(3) The potential for conflict of interest will be deemed to be high when any member of the verification body provides any type of incentive to an Offset Project Operator or Authorized Project Designee to secure an offset verification services contract.
(4) The potential for a conflict of interest will also be deemed to be high where any member of the verification body has provided offset verification services for the Offset Project Operator or Authorized Project Designee, except within the time periods in which the Offset Project Operator or Authorized Project Designee is allowed to use the same verification body as specified in section 95977.1(a).
(c) The potential for a conflict of interest must be deemed to be low where no potential for a conflict of interest is found under section 95979(b) and any non-offset verification services provided by any member of the verification body to the Offset Project Operator or Authorized Project Designee within the last five years are valued at less than 20 percent of the fee for the proposed offset verification, except where medium conflict of interest related to personal or family relationships is identified pursuant to section 95979(d).
(d) The potential for a conflict of interest must be deemed to be medium where the potential for a conflict of interest is not deemed to be either high or low as specified in sections 95979(b) and 95979(c), or where there are any instances of personal or familial relationships between the verification body and management or employees of the Offset Project Operator or Authorized Project Designee, and when a conflict of interest self-evaluation is submitted pursuant to section 95979(g). If a verification body identifies a medium potential for conflict of interest and intends to provide offset verification services for the Offset Project Operator or Authorized Project Designee for an offset project listed with ARB or an Offset Project Registry, the verification body must submit, in addition to the submittal requirements specified in section 95979(e), a plan to avoid, neutralize, or mitigate the potential conflict of interest situation. At a minimum, the conflict of interest mitigation plan must include:
(1) A demonstration that any members with potential conflicts have been removed and insulated from the project;
(2) An explanation of any changes to the organizational structure or verification body to remove the potential conflict of interest. A demonstration that any unit with potential conflicts has been divested or moved into an independent entity or any subcontractor with potential conflicts has been removed; and
(3) Any other circumstance that specifically addresses other sources for potential conflict of interest.
(e) Conflict of Interest Submittal Requirements for Accredited Verification Bodies. Before providing any offset verification services, the verification body must submit to the Offset Project Operator or Authorized Project Designee, and ARB or the Offset Project Registry, a self-evaluation of the potential for any conflict of interest that the verification body, its staff, its related entities, or any subcontractors performing offset verification services may have with the Offset Project Operator or Authorized Project Designee for which it will perform offset verification services. The submittal must include the following:
(1) Identification of whether the potential for conflict of interest is high, low, or medium based on factors specified in sections 95979(b), (c), and (d);
(2) Identification of whether any member of the offset verification team has previously provided offset verification services for the Offset Project Operator or Authorized Project Designee, and, if so, the years in which such offset verification services were provided; and
(3) Identification of whether any member of the offset verification team or related entity has engaged in any non-offset verification services of any nature with the Offset Project Operator or Authorized Project Designee either within or outside California during the previous three years. If non-offset verification services have previously been provided, the following information must also be submitted:
(A) Identification of the nature and location of the work performed for the Offset Project Operator or Authorized Project Designee and whether the work is similar to the type of work to be performed during offset verification;
(B) The nature of past, present, or future relationships with the Offset Project Operator or Authorized Project Designee including:
1. Instances when any member of the offset verification team has performed or intends to perform work for the Offset Project Operator or Authorized Project Designee;
2. Identification of whether work is currently being performed for the Offset Project Operator or Authorized Project Designee, and if so, the nature of the work;
3. How much work was performed for the Offset Project Operator or Authorized Project Designee in the last three years, in dollars;
4. Whether any member of the offset verification team has any contracts or other arrangements to perform work for the Offset Project Operator or Authorized Project Designee or a related entity; and
5. How much work related to GHG reductions and GHG removal enhancements the offset verification team has performed for the Offset Project Operator or Authorized Project Designee or related entities in the last three years, in dollars;
(C) Explanation of how the amount and nature of work previously performed is such that any member of the offset verification team's credibility and lack of bias should not be under question;
(D) A list of names of the staff that would perform offset verification services for the Offset Project Operator or Authorized Project Designee, and a description of any instances of personal or family relationships with management or employees of the Offset Project Operator or Authorized Project Designee that potentially represent a conflict of interest;
(E) Identification of any other circumstances known to the verification body, or Offset Project Operator or Authorized Project Designee that could result in a conflict of interest; and
(F) Attest, in writing, to ARB as follows:
“I certify under penalty of perjury of the laws of the State of California the information provided in the Conflict of Interest submittal is true, accurate, and complete.”
(f) Monitoring Conflict of Interest Situations.
(1) After commencement of offset verification services, the verification body must monitor and immediately make full disclosure, in writing, to ARB or the Offset Project Registry regarding any potential for a conflict of interest situation that arises for an offset project using a Compliance Offset Protocol. This disclosure must include a description of actions that the verification body has taken or proposes to take to avoid, neutralize, or mitigate the potential for a conflict of interest.
(2) The verification body must continue to monitor arrangements or relationships that may be present for a period of one year after the completion of offset verification services for an offset project using a Compliance Offset Protocol. During that period, within 30 days of the verification body or any verification team member entering into any contract with the Offset Project Operator or Authorized Project Designee for which the verification body has provided offset verification services, the verification body must notify ARB or the Offset Project Registry of the contract and the nature of the work to be performed. ARB or the Offset Project Registry, within 30 working days, will determine the level or conflict using the criteria in sections 95979(a) through (d), if the Offset Project Operator or Authorized Project Designee must re-verify their Offset Project Data Report, and if accreditation revocation is warranted by ARB.
(3) The verification body must notify ARB or the Offset Project Registry within 30 calendar days, of any emerging conflicts of interest during the time offset verification services are being provided for an offset project using a Compliance Offset Protocol.
(A) If ARB or the Offset Project Registry determines that an emerging potential conflict disclosed by the verification body is medium risk, and this risk can be mitigated, then the verification body meets the conflict of interest requirements to continue to provide offset verification services for the Offset Project Operator or Authorized Project Designee and will not be subject to suspension or revocation of accreditation as specified in section 95132(d) of MRR.
(B) If ARB or the Offset Project Registry determines that an emerging potential conflict disclosed by the verification body is medium or high risk, and this risk cannot be mitigated, then the verification body will not be able to continue to provide offset verification services for the Offset Project Operator or Authorized Project Designee, and may be subject to the suspension or revocation of accreditation by ARB under section 95132(d) of MRR.
(4) The verification body must report to ARB and the Offset Project Registry, if applicable, any changes in its organizational structure, including mergers, acquisitions, or divestitures, for one year after completion of offset verification services.
(5) ARB may void a Positive Offset or Qualified Positive Offset Verification Statement received in section 95981 if it discovers a potential conflict of interest has arisen for any member of the offset verification team. In such a case, the Offset Project Operator or Authorized Project designee shall be provided 90 calendar days to complete re-verification.
(6) If the verification body or its subcontractor(s) are found to have violated the conflict of interest requirements of this article, the Executive Officer may rescind accreditation of the body, its verifier staff, or its subcontractor(s) for any appropriate period of time as provided in section 95132(d) of MRR.
(g) Specific Requirements for Air Quality Management Districts and Air Pollution Control Districts.
(1) If an air district has provided or is providing any services listed in section 95979(b)(2) as part of its regulatory duties, those services do not constitute non-verification services or a potential for high conflict of interest for purposes of this article;
(2) Before providing offset verification services, an air district must submit a conflict of interest self-evaluation pursuant to 95979(e) for each Offset Project Developer or Authorized Project Designee for which it intends to provide verification services. As part of its conflict of interest self-evaluation submittal under section 95979(e), the air district shall certify that it will prevent conflicts of interests and resolve potential conflict of interest situations pursuant to its policies and mechanisms submitted under section 95132(b)(1)(G) of MRR;
(3) If an air district hires a subcontractor who is not an air district employee to provide offset verification services, the air district shall be subject to all of the requirements of section 95979.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (b)(2)(L) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95980. Issuance of Registry Offset Credits.
Note     •     History

(a) One registry offset credit, which represents one metric ton of CO2e for a direct GHG emission reduction or direct GHG removal enhancement, will be issued pursuant to section 95980.1 only if:
(1) An Offset Project Registry has listed the offset project pursuant to section 95975;
(2) The GHG emission reductions or GHG removal enhancements were issued a Positive Offset or Qualified Positive Offset Verification Statement pursuant to sections 95977.1 and 95977.2; and
(3) An Offset Project Registry has received a Positive Offset or Qualified Positive Offset Verification Statement issued and attested to by an ARB-accredited verification body for the Offset Project Data Report for which registry offset credits would be issued. 
(b) An Offset Project Registry will determine whether the GHG emission reductions and GHG removal enhancements meet the requirements of section 95980(a), the information submitted pursuant to section 95980(a) is complete, and the Positive Offset or Qualified Positive Offset Verification Statement meets the requirements of sections 95977, 95977.1, and 95977.2 within 45 calendar days of receiving it.
(c) Determination for Timing and Duration of Initial Crediting Periods for Offset Projects Submitted Through an Offset Project Registry. The initial crediting period will begin with the date that the first verified GHG emission reductions and GHG removal enhancements occur, according to the first Positive Offset or Qualified Positive Offset Verification Statement that is received by an Offset Project Registry. An early action offset project that transitions pursuant to section 95990(k) will begin its initial crediting period pursuant to section 95990(k)(2).
(d) Determination for Timing and Duration of Renewed Crediting for Offset Projects Submitted through an Offset Project Registry. A renewed crediting period will begin the day after the conclusion of the prior crediting period.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (b) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95980.1. Process for Issuance of Registry Offset Credits.
Note     •     History

(a) An Offset Project Registry may issue a registry offset credit that meets the requirements of section 95980(a) to an Offset Project Operator, Authorized Project Designee, or any other third party authorized by the Offset Project Operator pursuant to section 95974(a)(1), no later than 15 calendar days after an Offset Project Registry makes a determination pursuant to section 95980(b).
(b) Change of Listing Status at the Offset Project Registry. When an Offset Project Registry issues a registry offset credit for an offset project, the listing status for that offset project will be changed to either “Active Registry Project” or “Active Registry Renewal” at the Offset Project Registry and ARB.
(c) Notice of Determination of Issuance of Registry Offset Credits. Not later than 15 calendar days after an Offset Project Registry issues a registry offset credit, an Offset Project Registry will notify the Offset Project Operator, Authorized Project Designee, or any other third party authorized by the Offset Project Operator pursuant to section 95974(a)(1) of the issuance. 
(d) After notifying the Offset Project Operator, Authorized Project Designee, or any other third party authorized by the Offset Project Operator pursuant to section 95974(a)(1) of the issuance, the Offset Project Registry will create a unique serial number for each registry offset credit.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95981. Issuance of ARB Offset Credits.
Note     •     History

(a) One ARB offset credit, which represents one metric ton of CO2e for a direct GHG emission reduction or direct GHG removal enhancement, will be issued only if:
(1) ARB or an Offset Project Registry has listed the offset project pursuant to section 95975;
(2) The GHG emission reductions and GHG removal enhancements were issued a Positive Offset or Qualified Positive Offset Verification Statement pursuant to sections 95977.1 and 95977.2; and
(3) ARB or an Offset Project Registry has received a Positive Offset or Qualified Positive Offset Verification Statement issued and attested to by an ARB-accredited verification body for the Offset Project Data Report for which registry offset credits were issued pursuant to section 95980.1 or for which ARB offset credits would be issued pursuant to section 95981.1.
(b) Requirements for Offset Projects Submitted Through an Offset Project Registry Seeking Issuance of ARB Offset Credits. If an Offset Project Operator or Authorized Project Designee provides information for listing pursuant to section 95975, monitors and reports pursuant to section 95976, and has their offset project verified pursuant to sections 95977, 95977.1, and 95977.2 through an Offset Project Registry, the Offset Project Operator or Authorized Project Designee must provide the following information to ARB for issuance of ARB offset credits pursuant to section 95981.1:
(1) The attestations required in sections 95975(c)(1), 95975(c)(2), 95975(c)(3), 95976(d)(5), 95977.1(b)(3)(R)4.b., 95977.1(b)(3)(R)4.e., and 95977.1(b)(3)(R)4.f. and any in the applicable Compliance Offset Protocol;
(2) Offset project listing information submitted to an Offset Project Registry pursuant to sections 95975(c) and (e);
(3) Offset Project Data Reports submitted to an Offset Project Registry pursuant to section 95976(d); and
(4) Offset Verification Statements submitted pursuant to section 95977.1(b)(3)(R)4.b.
(c) ARB will determine whether the GHG emission reductions and GHG removal enhancements meet the requirements of section 95981(a), the information submitted in sections 95981(b) and (c) is complete, and the Positive Offset or Qualified Positive Offset Verification Statement meets the requirements of sections 95977, 95977.1, and 95977.2 within 45 calendar days of receiving it.
(d) Before ARB issues an ARB offset credit pursuant to section 95981.1 for GHG reductions and GHG removal enhancements achieved by an offset project in an Offset Verification Statement the Offset Project Operator or Authorized Project Designee must provide the following attestations, in writing, to ARB:
(1) “I certify under penalty of perjury under the laws of the State of California the GHG reductions or GHG removal enhancements for [project] from [date] to [date] have been measured in accordance with the [appropriate ARB Compliance Offset Protocol] and all information required to be submitted to ARB is true, accurate, and complete.”;
(2) “I understand I am voluntarily participating in the California Greenhouse Gas Cap-and-Trade Program under title 17, article 5, and by doing so, I am now subject to all regulatory requirements and enforcement mechanisms of this program and subject myself to the jurisdiction of California as the exclusive venue to resolve any and all disputes arising from the enforcement of provisions in this article.”;
(3) “I understand that the offset project activity and implementation of the offset project must be in accordance with all applicable local, regional, and national environmental and health and safety regulations that apply based on the offset project location. I understand that offset projects are not eligible to receive ARB or registry offset credits for GHG reductions and GHG removal enhancements that are not in compliance with the requirements of this Article.”;
(4) “I certify under penalty of perjury under the laws of the State of California all information provided to ARB for issuance of ARB offset credits is true, accurate, and complete.”; and
(5) “I certify under penalty of perjury under the laws of the State of California that the GHG reductions and GHG removal enhancements for which I am seeking ARB Offset Credits have not been issued any offset credits or been used for any GHG mitigation requirements in any other voluntary or mandatory program, except, if applicable, an Offset Project Registry pursuant to section 95980.1.”
(e) Determination for Timing and Duration of Initial Crediting Periods for Offset Projects Submitted Through ARB. The initial crediting period will begin with the date that the first verified GHG emission reductions and GHG removal enhancements occur, according to the first Positive Offset or Qualified Positive Offset Verification Statement that is received by ARB. An early action offset project that transitions pursuant to section 95990(k) will begin its initial crediting period pursuant to section 95990(k)(2).
(f) Determination for Timing and Duration of Renewed Crediting for Offset Projects Submitted Through ARB. A renewed crediting period will begin the day after the conclusion of the prior crediting period.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (b)(1) and (b)(4) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95981.1. Process for Issuance of ARB Offset Credits.
Note     •     History

(a) ARB will issue an ARB offset credit for an offset project that meets the requirements of section 95981(a) to an Offset Project Operator, Authorized Project Designee, or any other third party authorized by the Offset Project Operator pursuant to section 95974(a)(1), no later than 15 calendar days after ARB makes a determination pursuant to section 95981(c). 
(b) Change of Listing Status at ARB. When ARB issues an ARB offset credit for an offset project, the listing status for that offset project will be changed from “Active Registry Project” to “Active ARB Project” or “Active Registry Renewal” to “Active ARB Renewal” at the Offset Project Registry and ARB.
(c) Notice of Determination of Issuance of ARB Offset Credits. Not later than 15 calendar days after ARB issues an ARB offset credit, ARB will notify the Offset Project Operator, Authorized Project Designee, or any other third party authorized by the Offset Project Operator pursuant to section 95974(a)(1) of the issuance. 
(d) Requests for Additional Information. ARB may request additional information for offset projects submitted through an Offset Project Registry seeking issuance of ARB offset credits.
(1) ARB will notify the Offset Project Operator, Authorized Project Designee, or other third party identified in section 95974(a)(1) within 15 calendar days of its determination pursuant to section 95981(c) if the information in section 95981(b) and (c) is incomplete and request additional specific information.
(2) ARB may request any additional information from the Offset Project Operator, Authorized Project Designee, Offset Project Registry, or verification body before issuing ARB offset credits for an offset project that meets the requirements of section 95981. 
(3) If ARB determines the information submitted in sections 95981(b), 95981(c), and 95981.1(d)(2) does not meet the requirements for issuance of ARB offset credits, then ARB may deny issuance of ARB offset credits. The Offset Project Operator or Authorized Project Designee may petition ARB within 10 days of denial for a review of submitted information in sections 95981(b), 95981(c), and 95981.1(d)(2) and respond to any issues that prevent the issuance of ARB offset credits.
(4) ARB must make a final determination within 30 calendar days of receiving the request in section 95981.1(d)(3) and may request additional information from the Offset Project Operator or Authorized Project Designee, verification body, or Offset Project Registry. This determination made by the Executive Officer is final.
(e) A registry offset credit issued pursuant to section 95980.1(a) must be removed or cancelled by the Offset Project Registry within 10 calendar days of ARB notification, such that the registry offset credit is no longer available for transaction on the Offset Project Registry system. Registry offset credits must be removed or cancelled by the Offset Project Registry before ARB issues an ARB offset credit pursuant to this section.
(f) Receipt of ARB Offset Credits. ARB will transfer ARB offset credits into the Holding Account of the Offset Project Operator, Authorized Project Designee, or any other third party authorized by the Offset Project Operator pursuant to section 95974(a)(1), within 15 working days of the notice of determination pursuant to sections 95981.1(c) and (d)(4). 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (a) and (d)(2) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95982. Registration of ARB Offset Credits.
Note     •     History

An ARB offset credit will be registered by:
(a) Creating a unique ARB serial number; and
(b) Transferring this serial number to the Holding Account of the listed Offset Project Operator, Authorized Project Designee, or another third party as provided in section 95974(a)(1) unless otherwise required by section 95983.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95983. Forestry Offset Reversals.
Note     •     History

(a) For forest sequestration projects, a portion of ARB offset credits issued to the forest offset project will be placed by ARB into the Forest Buffer Account. 
(1) The amount of ARB offset credits that must be placed in the Forest Buffer Account shall be determined as set forth in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011.
(2) ARB offset credits will be transferred to the Forest Buffer Account by ARB at the time of ARB offset credit registration pursuant to section 95982.
(3) If a forest offset project is originally submitted through an Offset Project Registry an equal number of registry offset credits must be removed or cancelled by the Offset Project Registry, such that the registry offset credit is no longer available for transaction on the Offset Project Registry system, and issued by ARB for placement in the Forest Buffer Account.
(b) Unintentional Reversals. If there has been an unintentional reversal, the Offset Project Operator or Authorized Project Designee must notify ARB and the Offset Project Registry, in writing, of the reversal and provide an explanation for the nature of the unintentional reversal within 30 calendar days of its discovery.
(1) In the case of an unintentional reversal the Offset Project Operator or Authorized Project Designee shall provide in writing to ARB and an Offset Project Registry, if applicable, a verified estimate of current carbon stocks within the offset project boundary within one year of the discovery of the unintentional reversal.
(2) If ARB determines that there has been an unintentional reversal, and ARB offset credits have been issued to the offset project, ARB will retire a quantity of ARB offset credits in the amount of metric tons of CO2e reversed from the Forest Buffer Account.
(c) Intentional Reversals. Requirements for intentional reversals are as follows:
(1) If an intentional reversal occurs, the Offset Project Operator or Authorized Project Designee shall, within 30 calendar days of the intentional reversal:
(A) Give notice, in writing, to ARB and the Offset Project Registry, if applicable, of the intentional reversal; and
(B) Provide a written description and explanation of the intentional reversal to ARB and the Offset Project Registry, if applicable. 
(2) Within one year of the occurrence of an intentional reversal, the Offset Project Operator or Authorized Project Designee shall submit to ARB and the Offset Project Registry, if applicable, a verified estimate of current carbon stocks within the offset project boundary.
(3) If an intentional reversal occurs from a forest offset project, and ARB offset credits have been issued to the offset project, the forest owner must submit to ARB for placement in the Retirement Account a quantity of valid ARB offset credits or other approved compliance instruments pursuant to subarticle 4, in the amount of metric tons of CO2e reversed within six months of notification by ARB. 
(A) Notification by ARB will occur after the verified estimate of carbon stocks has been submitted to ARB, or after one year has elapsed since the occurrence of the reversal if the Offset Project Operator or Authorized Project Designee fails to submit the verified estimate of carbon stocks. 
(B) If the forest owner does not submit valid ARB offset credits or other approved compliance instruments to ARB within six months of notification by ARB, ARB will retire a quantity of ARB offset credits in the amount of metric tons of CO2e reversed from the Forest Buffer Account and the forest owner will be subject to enforcement action and each ARB offset credit retired from the Forest Buffer Account will constitute a separate violation pursuant to section 96014.
(4) In the event of an early forest offset project termination ARB will retire from the Forest Buffer Account a quantity of ARB offset credits in the amount calculated pursuant to project termination provisions in Compliance Offset Protocol, U.S. Forest Projects, October 20, 2011. This provision only applies to ARB offset credits that have been issued to the offset project. 
(A) ARB will notify the forest owner of retirement within 10 calendar days. 
(B) The forest owner must submit to ARB for placement in the Retirement Account a valid ARB offset credit or another approved compliance instrument pursuant to subarticle 4 for each ARB offset credit retired by ARB from the Forest Buffer Account within six months of ARB's retirement. 
(C) If the forest owner does not submit valid ARB offset credits or other approved compliance instruments to ARB within six months of ARB's retirement, they will be subject to enforcement action and each ARB offset credit retired from the Forest Buffer Account will constitute a separate violation pursuant to section 96014.
(d) Disposition of Forest Sequestration Projects After a Reversal. If a reversal lowers the forest offset project's actual standing live carbon stocks below its project baseline standing live carbon stocks, the forest offset project will be terminated by ARB or an Offset Project Registry. 
(1) If the forest offset project is terminated due to an unintentional reversal, ARB will retire from the Forest Buffer Account a quantity of ARB offset credits equal to the total number of ARB offset credits issued pursuant to section 95981, and where applicable, all early action offset credits issued to the offset project pursuant to section 95990(i) over the preceding 100 years.
(2) If the forest offset project is terminated due to an unintentional reversal, another offset project may be initiated and submitted to ARB or an Offset Project Registry for listing within the same offset project boundary. 
(3) If the forest offset project has experienced an unintentional reversal and its actual standing live carbon stocks are still above the approved baseline levels, it may continue without termination as long as the unintentional reversal has been compensated by the Forest Buffer Account. The Offset Project Operator or Authorized Project Designee must continue contributing to the Forest Buffer Account in future years as quantified in section 95983(a)(1).
(4) If the forest offset project is terminated due to any reason except an unintentional reversal, new offset projects may not be initiated within the same offset project boundary, unless otherwise specified in a Compliance Offset Protocol.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95984. Ownership and Transferability of ARB Offset Credits.
Note     •     History

(a) Initial ownership of an ARB offset credit will be with the registered Offset Project Operator, Authorized Project Designee, or another third party as provided in section 95974(a)(1), unless otherwise required by section 95983. An ARB offset credit may be sold, traded, or transferred, unless: 
(1) It has been retired, surrendered for compliance, or used to meet any GHG mitigation requirements in any voluntary or regulatory program;
(2) It resides in the Forest Buffer Account pursuant to section 95983; or
(3) It has been invalidated pursuant to section 95985.
(b) An ARB offset credit may only be used: 
(1) To meet a compliance obligation under this article, except if used by a covered entity in a program approved for linkage pursuant to subarticle 12; or
(2) By a Voluntarily Associated Entity for purposes of voluntary retirement.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95985. Invalidation of ARB Offset Credits.
Note     •     History

(a) An ARB offset credit issued under this article will remain valid unless invalidated pursuant to this section.
(b) Timeframe for Invalidation. ARB may invalidate an ARB offset credit pursuant to this section within the following timeframe if a determination is made pursuant to section 95985(f):
(1) Within eight years of issuance of an ARB offset credit unless one of the following requirements is met; 
(A) An offset project developed under Compliance Offset Protocol Ozone Depleting Substances Projects, October 20, 2011, may only be subject to invalidation within three years of issuance of an ARB offset credit if the Offset Project Data Report is re-verified pursuant to sections 95977 through 95978 by a different offset verification body within those three years; or
(B) An offset project developed under the protocols listed below, may only be subject to invalidation within three Reporting Periods if a subsequent Offset Project Data Report for that offset project is verified pursuant to sections 95977 through 95978 by a different offset verification body and issued a Positive Offset or Qualified Positive Offset Verification Statement within three years of issuance of the ARB Offset Credit. This provision applies if an offset project is developed under one of the following Compliance Offset Protocols;
1. Compliance Offset Protocol Livestock Projects, October 20, 2011;
2. Compliance Offset Protocol Urban Forest Projects, October 20, 2011; and
3. Compliance Offset Protocol U.S. Forest Projects, October 20, 2011.
(c) Grounds for Initial Determination of Invalidation. ARB may determine that an ARB offset credit is invalid for the following reasons:
(1) The Offset Project Data Report contains errors that overstate the amount of GHG reductions or GHG removal enhancements by more than five percent; 
(A) If ARB finds that there has been an overstatement by more than five percent, ARB shall determine how many GHG reductions and GHG removal enhancements were achieved by the offset project for the applicable Reporting Period. Within 10 calendar days of this determination, ARB will notify the verification body that performed the offset verification and the Offset Project Operator or Authorized Project Designee. Within 25 calendar days of receiving the written notification by ARB, the verification body shall provide any available offset verification services information or correspondence related to the Offset Project Data Report. Within 25 calendar days of receiving the written notification by ARB, the Offset Project Operator or Authorized Project Designee shall provide data that is required to calculate GHG reductions and GHG removal enhancements for the offset project according to the requirements of this article, the detailed offset verification report prepared by the verification body, and other information requested by ARB. The Offset Project Operator or Authorized Project Designee shall also make available personnel who can assist ARB's determination of how many GHG reductions and GHG removal enhancements were achieved by the offset project for the applicable Reporting Period.
1. ARB will determine the actual GHG reductions and GHG removal enhancements achieved by the offset project for the applicable Reporting Period based on, at a minimum, the following information:
a. The GHG sources, GHG sinks, and GHG reservoirs within the offset project boundary for that Reporting Period; and
b. Any previous Offset Project Data Reports submitted by the Offset Project Operator or Authorized Project Designee, and the Offset Verification Statements rendered for those reports.
2. In determining how many GHG reductions and GHG removal enhancements were achieved by the offset project for the applicable Reporting Period, ARB may use the following methods, as applicable:
a. The applicable Compliance Offset Protocol;
b. In the event of missing data, ARB will rely on the missing data provisions pursuant to section 95976, and, if applicable, the Compliance Offset Protocol; and
c. Any information reported under this article for this Reporting Period and past Reporting Periods.
3. ARB shall determine how many GHG reductions and GHG removal enhancements were achieved by the offset project for the applicable Reporting Period using the best information available, including the information in section 95985(c)(1)(A)1. and methods in section 95985(c)(1)(A)2., as applicable. 
(B) If ARB determines that an overstatement has occurred pursuant to section 95985(c)(1), ARB shall determine the amount of ARB offset credits that correspond to the overstatement using the following equation, rounded to the nearest whole ton:

If: IARBOC > ROPDR X 1.05
Then: OR = IARBOC - ROPDR
Where:
“OR” is the amount of overstated GHG reductions and GHG removal enhancements for the applicable Offset Project Data Report, rounded to the nearest whole ton;
“IARBOC” is the number of ARB offset credits issued under the applicable Offset Project Data Report pursuant to section 95981.1 or 95990(i);
“ROPDR” is the number of GHG reductions and GHG removal enhancements determined by ARB pursuant to section 95985(c)(1) for the applicable Offset Project Data Report;
(2) The offset project activity and implementation of the offset project was not in accordance with all local, state, or national environmental and health and safety regulations during the Reporting Period for which the ARB offset credit was issued; or
(3) ARB determines that offset credits have been issued in any other voluntary or mandatory program within the same offset project boundary and for the same Reporting Period in which ARB offset credits were issued for GHG reductions and GHG removal enhancements.
(4) The following shall not be grounds for invalidation:
(A) An update to a Compliance Offset Protocol will not result in an invalidation of ARB offset credits issued under a previous version of the Compliance Offset Protocol; or
(B) A reversal that occurs under a forest offset project. If such a reversal occurs the provisions in section 95983 apply. 
(d) Suspension of Transfers. When ARB makes an initial determination pursuant to section 95985(c) it will immediately block any transfers of ARB offset credits for the applicable Offset Project Data Report. Once ARB makes a final determination pursuant to section 95985(f) the block on transfers for any valid ARB offset credits will be cancelled. 
(e) Identification of Affected Parties. If ARB makes an initial determination that one of the circumstances listed in section 95985(c) has occurred, ARB will identify the following parties:
(1) The current holders that hold any ARB offset credits in their Holding and/or Compliance Accounts from the applicable Offset Project Data Report; 
(2) The entiies for which ARB transferred any ARB offset credits from the applicable Offset Project Data Report into the Retirement Account; and
(3) The Offset Project Operator and Authorized Project Designee, and, for forest offset projects the Forest Owner(s).
(f) Final Determination and Process of Invalidation. ARB will notify the parties identified in section 95985(e) of its initial determination pursuant to section 95985(c), and provide each party an opportunity to submit additional information to ARB prior to making its final determination, as follows:
(1) ARB will include the reason for its initial determination in its notification to the parties identified in section 95985(e).
(2) After notification the parties identified in section 95985(e) will have 25 calendar days to provide any additional information to ARB.
(3) ARB may request any information as needed in addition to the information provided under this section.
(4) The Executive Officer will have 30 calendar days after all information is submitted under this section to make a final determination that one or more conditions listed pursuant to section 95985(c) has occurred and whether to invalidate ARB offset credits.
(A) The parties identified pursuant to section 95985(e) will be notified of ARB's final determination of invalidation pursuant to this section.
(B) Any approved program for linkage pursuant to subarticle 12 will be notified of the invalidation at the time of ARB's final determination pursuant to this section.
(g) Removal of Invalidated ARB Offset Credits from Holding and/or Compliance Accounts. If the Executive Officer makes a final determination pursuant to section 95985(f) that an ARB offset credit is invalid, then:
(1) ARB offset credits will be removed from any Holding or Compliance Account, as follows;
(A) If an ARB offset credit is determined to be invalid due to the circumstance listed in section 95985(c)(1), then:
1. ARB will determine which ARB offset credits will be removed from the Compliance and/or Holding Accounts of each party identified in section 95985(e)(1) according to the following equation, rounded to the nearest whole ton:

View Graphic
Where: 
“OR” is the amount of overstated GHG reductions and GHG removal enhancements for the applicable Offset Project Data Report calculated pursuant to section 95985(c)(1);
“IARBOC” is the number of ARB offset credits issued under the applicable Offset Project Data Report pursuant to section 95981.1 or 95990(i);
“TOTHolding” is the total number of ARB offset credits currently being held in a Compliance and/or Holding Account by each party identified in section 95985(e)(1) for the applicable Offset Project Data Report;
“HARBOC” is the total number of ARB offset credits, rounded to the nearest whole ton, that will be removed from the Holding and/or Compliance Account of each party identified in section 95985(e)(1).
2. ARB will determine the lowest serial numbers assigned to ARB offset credits issued under the applicable Offset Project Data Report in the amount calculated pursuant to section 95985(g)(1)(A) and remove them from any Holding and/or Compliance Account of the parties identified in section 95985(e)(1).
(B) If an ARB offset credit is determined to be invalid due to the circumstances listed in sections 95985(c)(2) or (c)(3), ARB will remove all ARB offset credits issued under the applicable Offset Project Data Report from any Holding and/or Compliance Account of the parties identified in section 95985(e)(1).
(2) The parties identified pursuant to section 95985(e) will be notified of which serial numbers were removed from any Compliance and/or Holding Accounts.
(3) Any approved program for linkage pursuant to subarticle 12 will be notified of which serial numbers were removed from any Compliance and/or Holding Accounts. 
(h) Requirements for Replacement of ARB Offset Credits for Non-Sequestration Offset Projects. 
(1) If an ARB offset credit in the Retirement Account from a non-sequestration offset project is determined to be invalid pursuant to section 95985(f) for only the circumstance listed in section 95985(c)(1); then: 
(A) Each party identified in section 95985(e)(2) must replace ARB offset credits in the amount calculated for the individual party according to the following equation, rounded to the nearest whole ton:

View Graphic
Where: 
“RARBOC” is the calculated total number of retired ARB offset credits for the applicable Offset Project Data Report, rounded to the nearest whole ton, that must be replaced by each individual party identified in section 95985(e)(2);
“TOTRetired” is the total number of ARB offset credits for which ARB transferred the ARB offset credits from the applicable Offset Project Data Report into the Retirement Account for the individual party specified in section 95985(e)(2);
“IARBOC” is the number of ARB offset credits issued under the applicable Offset Project Data Report pursuant to section 95981.1 or 95990(i);
“OR” is the amount of overstated GHG reductions and GHG removal enhancements calculated pursuant to section 95985(c)(1) for the applicable Offset Project Data Report.
(B) Each party identified in section 95985(e)(2) must replace ARB offset credits in the amount calculated pursuant to section 95985(h)(1)(A) with valid ARB offset credits or other approved compliance instruments pursuant to subarticle 4, within six months of notification by ARB pursuant to section 95985(g)(2).
(C) If each party identified in section 95985(e)(2) does not replace each invalid ARB offset credit in the amount calculated pursuant to section 95985(h)(1)(A) within six months of notice of invalidation pursuant to section 95985(g)(2), each unreplaced invalidated ARB offset credit will constitute a violation for that party pursuant to section 96014.
1. If the party identified in section 95985(e)(2) is no longer in business pursuant to section 95101(h)(2) of MRR, ARB will require the Offset Project Operator to replace each invalidated ARB offset credit and will notify the Offset Project Operator that they must replace them. 
2. The Offset Project Operator must replace each ARB offset credit with a valid ARB offset credit or another approved compliance instrument pursuant to subarticle 4, within six months of notification by ARB pursuant to section 95985(h)(1)(C)1. 
3. If the Offset Project Operator does not replace each invalid ARB offset credit within six months of notification by ARB pursuant to section 95985(h)(1)(C)1., each unreplaced invalidated ARB offset credit will constitute a violation for that Offset Project Operator pursuant to section 96014.
(D) ARB will determine the lowest serial numbers assigned to ARB offset credits issued under the applicable Offset Project Data Report in the amount calculated pursuant to section 95985(h)(1)(A) and invalidate those serial numbers.
(E) The parties identified pursuant to section 95985(e) will be notified of which serial numbers were invalidated.
(F) Any approved program for linkage pursuant to subarticle 12 will be notified of which serial numbers were invalidated. 
(2) If an ARB offset credit in the Retirement Account from a non-sequestration offset project is determined to be invalid pursuant to section 95985(f) for any circumstance listed in sections 95985(c)(2) and (c)(3); then:
(A) The party identified in section 95985(e)(2) must replace each ARB offset credit it requested ARB to transfer into the Retirement Account for the applicable Offset Project Data Report with a valid ARB offset credit or another approved compliance instrument pursuant to subarticle 4, within six months of notification by ARB pursuant to section 95985(g)(2). 
(B) If the party identified in section 95985(e)(2) does not replace each invalid ARB offset credit within six months of the notice of invalidation pursuant to section 95985(g)(2), each unreplaced invalidated ARB offset credit will constitute a violation for that party pursuant to section 96014. 
1. If the party identified in section 95985(e)(2) is no longer in business pursuant to section 95101(h)(2) of MRR ARB will require the Offset Project Operator to replace each invalidated ARB offset credit and will notify the Offset Project Operator that they must replace them. 
2. The Offset Project Operator must replace each ARB offset credit with a valid ARB offset credit or another approved compliance instrument pursuant to subarticle 4, within six months of notification by ARB pursuant to section 95985(h)(2)(B)1. 
3. If the Offset Project Operator does not replace each invalid ARB offset credit within six months of notification by ARB pursuant to section 95985(h)(2)(B)1., each unreplaced invalidated ARB offset credit will constitute a violation for that Offset Project Operator pursuant to section 96014.
(C) The parties identified pursuant to section 95985(e) will be notified of which serial numbers were invalidated.
(D) Any approved program for linkage pursuant to subarticle 12 will be notified of which serial numbers were invalidated. 
(i) Requirements for Replacement of ARB Offset Credits for Forest Offset Projects. 
(1) If an ARB offset credit in the Retirement Account from a forest offset project is determined to be invalid pursuant to section 95985(f) for only the circumstance listed in section 95985(c)(1): 
(A) The Forest Owner identified in section 95985(e)(3) must replace ARB offset credits in the amount calculated according to the following equation, rounded to the nearest whole ton:

View Graphic
Where: 
“RFARBOC” is the total number of retired ARB offset credits for the applicable forest offset project's Offset Project Data Report, rounded to the nearest whole ton, that must be replaced by the Forest Owner;
“TFRetired” is the total number of ARB offset credits issued for the applicable forest offset project's Offset Project Data Report for which ARB transferred any ARB offset credits from into the Retirement Account;
“IFARBOC” is the number of ARB offset credits issued under the applicable Offset Project Data Report for the forest offset project pursuant to section 95981.1 or 95990(i);
“OFR” is the amount of overstated GHG reductions and GHG removal enhancements calculated pursuant to section 95985(c)(1) for the forest offset project for the applicable Offset Project Data Report.
(B) The Forest Owner identified in section 95985(e)(3) must replace ARB offset credits in the amount calculated pursuant to section 95985(i)(1)(A) with valid ARB offset credits or other approved compliance instruments pursuant to subarticle 4, within six months of notification by ARB pursuant to section 95985(g)(2).
(C) If the Forest Owner identified in section 95985(e)(3) does not replace each invalid ARB offset credit in the amount calculated pursuant to section 95985(i)(1)(A) within six months of notice of invalidation pursuant to section 95985(g)(2), each unreplaced invalidated ARB offset credit will constitute a violation for that Forest Owner pursuant to section 96014.
(D) ARB will determine the lowest serial numbers assigned to ARB offset credits issued under the applicable Offset Project Data Report in the amount calculated pursuant to section 95985(i)(1)(A) and invalidate those serial numbers.
(E) The Forest Owner identified pursuant to section 95985(e)(3) will be notified of which serial numbers were invalidated.
(F) Any approved program for linkage pursuant to subarticle 12 will be notified of which serial numbers were invalidated. 
(2) If an ARB offset credit in the Retirement Account from a forest offset project is determined to be invalid pursuant to section 95985(f) for any circumstance listed in sections 95985(c)(2) and (c)(3):
(A) The Forest Owner must replace each ARB offset credit transferred by ARB into the Retirement Account for the applicable Offset Project Data Report with a valid ARB offset credit or another approved compliance instrument pursuant to subarticle 4, within six months of notification by ARB pursuant to section 95985(g)(2). 
(B) If the Forest Owner does not replace each invalid ARB offset credit within six months of the notice of invalidation pursuant to section 95985(g)(2), each unreplaced invalidated ARB offset credit will constitute a violation for that Forest Owner pursuant to section 96014. 
(C) The parties identified pursuant to section 95985(e) will be notified of which serial numbers were invalidated. 
(D) Any approved program for linkage pursuant to subarticle 12 will be notified of which serial numbers were invalidated. 
(j) Nothing in this section shall limit the authority of the State of California from pursuing enforcement action against any parties in violation of this article.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code. 
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (c)(1)(A)3., (h)(1)(C)2.-3., (h)(2)(B)2.-3. and (i)(1)(E) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
3. Editorial correction of subsection (c)(1)(B) (Register 2012, No. 8).
§95986. Executive Officer Approval Requirements for Offset Project Registries.
Note     •     History

(a) The approval requirements specified in this subarticle apply to all Offset Project Registries that will operate to provide registry services under this article.
(b) The Executive Officer may approve Offset Project Registries that meet the requirements specified in this section.
(c) The Offset Project Registry must be registered with ARB pursuant to section 95830. 
(1) Offset Project Registry Approval Application. To apply for approval as an Offset Project Registry, the applicant shall submit the following information to the Executive Officer:
(A) Name of applicant; 
(B) Name of president or chief executive officer;
(C) List of all board members, if applicable;
(D) Addresses of offices located in the United States;
(E) Documentation that the applicant carries at least five million U.S. dollars of professional liability insurance; and 
(F) List of any judicial proceedings and administrative actions filed against the applicant within the previous five years, with a detailed explanation as to the nature of the proceedings.
(2) The applicant must submit, in writing, the procedures to screen and address internal conflicts of interest. The applicant must provide the following information to the Executive Officer:
(A) A staff, management, and board member conflict of interest policy where there are clear criteria for what constitutes a conflict of interest. The policy must:
1. Identify specific activities and limits on monetary and non-monetary gifts staff, management, or board members must not conduct or accept to meet the Offset Project Registry's internal policies of conflict of interest policy, or alternatively provide a comprehensive policy on the applicant's requirements for the reporting of any and all conflicts based on internal policies that guard against conflict of interest; and
2. Include a requirement for annual disclosure by each staff, management, or board member of any items or instances that are covered by the applicant's conflict of interest policy on an ongoing basis or for the previous calendar year.
3. The applicant must have appropriate conflict of interest and confidentiality requirements in place for any of its contractors;
(B) List of all service types provided by the applicant; 
(C) The industrial sectors the applicant serves; 
(D) Locations where services are provided; and
(E) A detailed organizational chart that includes the applicant and any parent, subsidiary, and affiliate companies.
(F) If the applicant under section 95986 is going to designate a subdivision of its organization to provide registry services, then the prohibition in section 95986(d)(1) on serving as an offset project consultant shall apply at the subdivision level and the applicant must provide the following general information for its self:
1. General types of services; and
2. General locations where services are provided.
(3) The applicant has the following capabilities for registration and tracking of registry offset credits issued under this article:
(A) A comprehensive registration requirement for all registry participants;
(B) Tracking ownership and transactions of all registry offset credits it issues at all times; and
(C) Possesses a permanent repository of ownership information on all transactions involving all registry offset credits it issues under this article from the time they are issued to the time they are retired or cancelled.
(d) The applicant's primary business must be operating an Offset Project Registry for voluntary or regulatory purposes and meet the following business requirements:
(1) The applicant may not act as an Offset Project Operator, Authorized Project Designee, or offset project consultant for offset projects registered or listed on its own Offset Project Registry and developed using a Compliance Offset Protocol once approved as an Offset Project Registry. The applicant must annually disclose to ARB any non-offset project related consulting services it provides to an Offset Project Operator or Authorized Project Designee who lists a project using a Compliance Offset Project with the applicant as part of the information included in the annual report required in section 95987(j);
(2) The applicant may not act as a verification body or provide offset verification services pursuant to sections 95977.1 and 95977.2 once approved as an Offset Project Registry;
(3) If the applicant designates a subdivision of its organization to provide registry services, the applicant may not be an Offset Project Operator or Authorized Project Designee for offset projects listed at the subdivision's registry, act as a verification body, or be a covered entity or opt-in covered entity;
(4) The applicant must demonstrate experience in the continuous operation of a registry serving an environmentally-focused market for a minimum of two years in a regulatory and/or voluntary market; and
(5) The applicant's primary incorporation or other business formation and primary place of business, or the primary place of business of the designated subdivision, if the applicant designates a subdivision to provide registry services pursuant to this section, must be in the United States of America.
(e) The Offset Project Registry must continue to maintain the professional liability insurance required in section 95986(c) while it provides registry services to Offset Project Operators or Authorized Project Designees who are implementing offset projects using Compliance Offset Protocols.
(f) If any information submitted pursuant to sections 95986(c) through (e) changes after the approval of an Offset Project Registry, the Offset Project Registry must notify the Executive Officer within 30 calendar days and provide updated information consistent with that required in sections 95986(c) through (e).
(g) The Offset Project Registry must attest, in writing, to ARB as follows:
(1) “As the authorized representative for this Offset Project Registry, I understand that the Offset Project Registry is voluntarily participating in the California Cap-and-Trade Program under title 17, article 5, and the Offset Project Registry is now subject to all regulatory requirements and enforcement mechanisms of this program.”;
(2) “All information generated and submitted to ARB by the Offset Project Registry related to an offset project that uses a Compliance Offset Protocol will be true, accurate, and complete.”;
(3) “All information provided to ARB as part of an ARB audit of the Offset Project Registry will be true, accurate, and complete.”;
(4) “All registry services provided will be in accordance with the requirements of section 95987.”;
(5) “The Offset Project Registry is committed to participating in all ARB training related to ARB's compliance offset program or Compliance Offset Protocols.”; and
(6) The authorized representative of the Offset Project Registry must attest in writing, to ARB: “I certify under penalty of perjury under the laws of the State of California I have authority to represent the Offset Project Registry and all information provided as part of this application is true, accurate, and complete.”.
(h) At least two of the management staff at the Offset Project Registry must take ARB provided training on ARB's compliance offset program and pass an examination upon completion of training. 
(i) The Offset Project Registry must have staff members who have collectively completed ARB training and passed an examination upon completion of training in all Compliance Offset Protocols. 
(j) The Offset Project Registry must have experience in, and requirements for, staff oversight of the offset project review, listing, and registry offset credit issuance process.
(k) ARB Approval.
(1) Within 60 calendar days of receiving an application for approval as an Offset Project Registry and completion by all management staff of the training required in section 95986(h), the Executive Officer will inform the applicant in writing either that the application is complete or that additional specific information is required to make the application complete.
(2) The applicant may be allowed to submit additional supporting documentation before a decision is made by the Executive Officer.
(3) Within 60 calendar days following completion of the application process, the Executive Officer shall approve an Offset Project Registry if evidence of qualification submitted by the applicant has been found to meet the requirements of section 95986 and issue an Executive Order to that effect.
(4) The Executive Officer and the applicant may mutually agree, in writing, to longer time periods than those specified in subsections 95986(k)(1) and 95986(k)(3).
(5) The Executive Officer approval for an Offset Project Registry is valid for a period of 10 years, whereupon the applicant may re-apply. At the time of re-application, the Offset Project Registry must:
(A) Demonstrate it consistently met all of the requirements in section 95986; 
(B) Pass a performance review, which, at a minimum shows the Offset Project Registry consistently:
1. Demonstrates knowledge of the ARB compliance offset program and Compliance Offset Protocols;
2. Meets all regulatory deadlines; and
3. Provides registry services in accordance with the requirements of this article; and
(C) Not have been subject to enforcement action under this article.
(l) Modification, Suspension, and Revocation of an Executive Order Approving an Offset Project Registry. The Executive Officer may review, and, for good cause, modify, suspend, or revoke an Executive Order providing approval to an Offset Project Registry. 
(1) During revocation proceedings, the Offset Project Registry may not continue to provide registry services for ARB.
(2) Within five working days of suspension or revocation of approval, an Offset Project Registry must notify all Offset Project Operators or Authorized Project Designees for whom it is providing registry services, or has provided registry services within the past 12 months, of its suspension or revocation of approval.
(3) An Offset Project Operator or Authorized Project Designee who has been notified by an Offset Project Registry of a suspended or revoked approval must re-submit its offset project information with a new Offset Project Registry or ARB. An offset project listed at ARB or a new Offset Project Registry will continue to operate under its originally approved crediting period, provided that ARB may extend the crediting period or the relevant deadline in section 95977(d) for one year if ARB determines that such extention is necessary to provide time for re-submission of information to the new Offset Project Registry or ARB.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (g)(4) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95987. Offset Project Registry Requirements.
Note     •     History

(a) The Offset Project Registry shall use Compliance Offset Protocols approved pursuant to section 95971 to determine whether an offset project may be listed with the Offset Project Registry for issuance of registry offset credits. The Offset Project Registry may list projects under non-Compliance Offset Protocols, but must make it clear any GHG emission reductions and GHG removal enhancements achieved under those protocols are not eligible to be issued registry offset credits or ARB offset credits. 
(b) The Offset Project Registry must make the following information publicly available for each offset project developed under a Compliance Offset Protocol:
(1) Within 10 working days of the offset project listing requirements being deemed complete in section 95975(f):
(A) Offset project name;
(B) Offset project location;
(C) Offset Project Operator and, if applicable, the Authorized Project Designee;
(D) Type of offset project;
(E) Name and date of the Compliance Offset Protocol used by the offset project;
(F) Date of offset project listing submittal and Offset Project Commencement date; and
(G) Identification if the offset project is in an initial or renewed crediting period;
(2) Within 10 working days of the Offset Project Data Report being issued an Offset Verification Statement:
(A) Annual verified project baseline emissions;
(B) Annual verified GHG reductions and GHG removal enhancements achieved by the offset project;
(C) The unique serial numbers of registry offset credits issued to the offset project for the applicable Offset Project Data Report;
(D) Total verified GHG reductions and GHG removal enhancements for the offset project by Reporting Period for when an Offset Project Data Report was submitted; 
(E) Offset Verification Statement for each year the Offset Project Data Report was verified; and
(3) Clear identification of which offset projects are listed and submitting Offset Project Data Reports using Compliance Offset Protocols.
(c) Conflict of Interest Review by Offset Project Registries. The Offset Project Registry must apply the conflict of interest requirements in section 95979 when making a conflict of interest determination for a verification body proposing to conduct offset verification services under sections 95977.1 and 95977.2. The Offset Project Registry must review and make sure the conflict of interest submittal in section 95979(e) is complete. When an Offset Project Operator or Authorized Project Designee submits its information pursuant to section 95981(b) to ARB, the Offset Project Registry must provide ARB with the information and attestation identified in section 95979(e) within 15 calendar days.
(d) The Offset Project Registry may provide guidance to Offset Project Operators, Authorized Project Designees, or offset verifiers for offset projects using a Compliance Offset Protocol, if there is no clear requirement for the topic in a Compliance Offset Protocol, this article, or an ARB guidance document.
(1) An Offset Project Registry must maintain all correspondence and records of communication with an Offset Project Operator, Authorized Project Designee, or offset verifier when providing clarifications or guidance for an offset project using a Compliance Offset Protocol.
(2) Before providing such guidance, the Offset Project Registry may request ARB to provide clarification on the topic.
(3) Any Offset Project Operator or Authorized Project Designee requests for clarifications or guidance must be documented and the Offset Project Registry response must be submitted on an ongoing monthly basis to ARB beginning with the date of approval as an Offset Project Registry.
(e) The Offset Project Registry must audit at least 10 percent of the annual offset verifications developed for offset projects using a Compliance Offset Protocol.
(1) The audit must include the following checks:
(A) Attendance with the offset verification team on the offset project site visit;
(B) In-person or conference call attendance for the first offset verification team and Offset Project Operator or Authorized Project Designee meeting;
(C) In-person or conference call attendance to the last meeting or discussion between the offset verification team and Offset Project Operator or Authorized Project Designee;
(D) Documentation of any findings during the audit that cause the Offset Project Registry to provide guidance to, or require corrective action with, the offset verification team, including a list of issues noted during the audit and how those were resolved;
(E) A review of the detailed verification report and sampling plan to ensure that it meets the minimum requirements in sections 95977.1 and 95977.2 and documentation of any discrepancies found during the review; and
(F) An investigative review of the conflict of interest assessment provided by the verification body, which includes the following:
1. Discussions with both the lead verifier who submitted the conflict of interest assessment form and the Offset Project Operator or Authorized Project Designee to confirm the information on the conflict of interest assessment form is true, accurate, and complete;
2. An internet-based search to ascertain the existence of any previous relationship between the verification body and the Offset Project Operator or Authorized Project Designee, and if so the nature and extent; and
3. Any other follow up by the Offset Project Registry to have reasonable assurance that the information provided on the conflict of interest assessment form is true, accurate, and complete.
(2) All information related to audits of offset projects developed using a Compliance Offset Protocol must be provided to ARB within 10 calendar days of an ARB request.
(3) The audits must be selected to provide a representative sampling of geographic locations of all offset projects, representative sampling of verification bodies, representative sampling of lead verifiers, representative sampling of offset project types, and representative sampling of offset projects by size.
(4) The Offset Project Registry must provide an annual report to ARB by January 31 for its previous year's audit program of offset projects developed using Compliance Offset Protocols that includes:
(A) A list of all offset projects audited;
(B) Locations of all offset projects audited;
(C) Verification bodies associated with each offset project and names of offset verification team members;
(D) Dates of site visits;
(E) Offset Project Registry staff that conducted the audit; and
(F) Audit findings as required in section 95987(e)(1)(D) through (F).
(f) The Offset Project Registry must review each detailed verification report provided in section 95977.1(b)(3)(R)4.a. for completeness and accuracy and to ensure it meets the requirements of section 95977.1(b)(3)(R)4.a. before accepting the associated Offset Verification Statement for the Offset Project Data Report and issuing registry offset credits.
(g) The Offset Project Registry must provide all information in its possession, custody, or control related to a listed offset project under a Compliance Offset Protocol within 10 calendar days of request by ARB.
(h) The Offset Project Registry must make its staff and all information related to listed offset projects under Compliance Offset Protocols by the Offset Project Registry available to ARB during any audits or oversight activities initiated by ARB to ensure the requirements in section 95987 are being carried out as required by this article. 
(i) The Offset Project Registry must remove or cancel any registry offset credits issued for an offset project using a Compliance Offset Protocol, such that the registry offset credits are no longer available for transaction on the Offset Project Registry system, once notified by ARB that the offset project is eligible to be issued ARB offset credits.
(j) The Offset Project Registry must provide an annual report by January 31 of the previous year's offset projects that are listed using a Compliance Offset Protocol. The report must contain the name of the offset project, type of offset project and applicable Compliance Offset Protocol, name of Offset Project Operator or Authorized Project Designee, location of offset project, status of offset project, associated verification body, crediting period, amount of any registry offset credits issued to date, amount of any registry offset credits retired or cancelled for the offset project by the Offset Project Registry to date.
(k) The Offset Project Registry may choose to offer insurance or other products to cover the risk of invalidation of ARB offset credits, but purchase or use of the insurance or other invalidation risk mechanisms will be optional for all entities involved with registry offset credits and ARB offset credit transactions.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsections (e)(1)(D) and (f) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95988. Record Retention Requirements for Offset Project Registries.
Note     •     History

All information submitted, and correspondence related to, listed offset projects under Compliance Offset Protocols by the Offset Project Registry must be maintained by the Offset Project Registry for a minimum of 15 years.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 14. Recognition of Compliance Instruments from Other Programs
§95990. Recognition of Early Action Offset Credits.
Note     •     History

(a) Approval of Early Action Offset Programs. To qualify as an Early Action Offset Program, either the Executive Officer shall issue an Executive Order pursuant to section 95986(k) or the program must demonstrate to ARB that it meets the following requirements:
(1) The program must provide documentation that it carries at least one million U.S. dollars of professional liability insurance.
(2) The program must have the following capabilities for registration and tracking of offset credits:
(A) A registration requirement for all registry participants;
(B) A system for tracking ownership and transactions of all early action offset credits it issues under the quantification methodologies listed pursuant to section 95990(c)(5) at all times; and
(C) A permanent repository of ownership information on all transactions involving all early action offset credits that have been or will be issued for any early action offset project until they are retired or cancelled.
(3) The program's primary business (or that of the designated subdivision, if the Early Action Offset Program applicant designates a subdivision to provide services as an Early Action Offset Program pursuant to this section) is operating a registry for issuing offset credits for voluntary or regulatory purposes and must meet the following business requirements:
(A) The Early Action Offset Program may not act as an Offset Project Operator, Authorized Project Designee, or offset project consultant for early action offset projects registered on its own registry system and developed under protocols approved pursuant 95990(c)(5). The Early Action Offset Program applicant may act as an offset project consultant for early action offset projects as long as these are registered with an Early Action Offset Program or an Offset Project Registry unaffiliated with the applicant;
(B) The applicant may not act as a verification body and provide offset verification services pursuant to section 95990(f);
(C) If the applicant designates a subdivision of its organization to provide registry services, the applicant may not be an Offset Project Operator or Authorized Project Designee for offset projects listed at the subdivision's registry, act as a verification body, or be a covered entity or opt-in covered entity; and
(D) The applicant's primary incorporation or other business information and primary place of business, or the primary place of business of the designated subdivision, if the applicant designates a subdivision to be an Early Action Offset Program pursuant to this section, must be in the United States of America.
(4) The program must agree to submit to ARB the original documentation submitted by an Offset Project Operator or Authorized Project Designee or third-party verifier regarding the early action offset project, including registration documentation, sampling plans, and Early Action Verification Reports. 
(5) The program must agree to retire, and not allow for further use, any early action offset credits it issues when retired or used in any voluntary or regulatory program, including when ARB requests retirement for ARB offset credit issuance pursuant to section 95990(i).
(6) An authorized representative of the Early Action Offset Program must attest in writing, to ARB, as follows:
“I certify under penalty of perjury under the laws of the State of California the information provided in demonstrating this program meets the requirements in section 95990(a) and is true, accurate, and complete.”
(b) ARB shall accept early action offset credits from early action offset projects registered with Early Action Offset Programs approved pursuant to section 95990(a), if the early action offset credits meet the criteria set forth in this section. 
(c) Criteria for Approval of Early Action Offset Credits Issued by Early Action Offset Programs. An early action offset credit may be issued an ARB offset credit pursuant to section 95990(i) if the early action offset credit results from a GHG reduction or GHG removal enhancement which:
(1) Occurred between January 1, 2005 and December 31, 2014;
(2) Is verified pursuant to section 95990(f);
(3) Results from an early action offset project that is listed or registered with an Early Action Offset Program prior to January 1, 2014;
(4) Results from an early action offset project located in the United States; and 
(5) Results from the use of one of the following offset quantification methodologies and relied on the most recent version thereof at the time of offset project submittal:
(A) Climate Action Reserve U.S. Livestock Project Protocol versions 1.0 through 3.0;
(B) Climate Action Reserve Urban Forest Project Protocol versions 1.0 through 1.1; 
(C) Climate Action Reserve U.S. Ozone Depleting Substances Project Protocol version 1.0; and
(D) Climate Action Reserve Forest Project Protocol versions 2.1 and 3.0 through 3.2, if the early action offset project contributes early action offset credits into a buffer account based on its reversal risk calculated according to the Compliance Offset Protocol U.S. Forest Projects, October 20, 2011. 
(d) The following parties must register with ARB pursuant to section 95830 before ARB offset credits may be issued pursuant to section 95990(i):
(1) The Offset Project Operator or Authorized Project Designee for a forest or urban forest early action offset project that does not transition to a Compliance Offset Protocol pursuant to section 95990(k); and
(2) The Offset Project Operator or Authorized Project Designee for the following early action offset projects, except as provided in section 95990(d)(3):
(A) A forest or urban forest early action offset project that transitions to a Compliance Offset Protocol pursuant to section 95990(k);
(B) An early action offset project developed under one of the protocols identified in section 95990(c)(5)(A) and (C).
(3) If the Offset Project Operator or Authorized Project Designees identified in section 95990(d)(2) do not register with ARB or list the early action offset project pursuant to section 95990(e), the holder of early action offset credits may register with ARB and seek issuance of ARB offset credits pursuant to section 95990(i), as long as the holder lists the early action offset project pursuant to section 95990(e) and provides ARB with the attestations required pursuant to section 95990(h)(6). 
(e) Listing of Early Action Offset Projects. Before ARB can issue ARB offset credits pursuant to section 95990(i): 
(1) The following parties must submit the information listed in section 95990(e)(2) to ARB:
(A) The Offset Project Operator or Authorized Project Designee for a forest or urban forest early action offset project that does not transition to a Compliance Offset Protocol pursuant to section 95990(k); and 
(B) The Offset Project Operator or Authorized Project Designee for the following early action offset projects, except as provided in section 95990(e)(1)(C); 
1. A forest or urban forest early action offset project that transitions to a Compliance Offset Protocol pursuant to section 95990(k);
2. An early action offset project developed under one of the protocols identified in section 95990(c)(5)(A) and (C).
(C) If the Offset Project Operator or Authorized Project Designees identified in section 95990(e)(1)(B) do not register with ARB pursuant to section 95990(d) or list the early action offset project, the holder of early action offset credits may list the early action offset credit by submitting the information listed in section 95990(e)(2) and seek issuance of ARB offset credits pursuant to section 95990(i), as long as the holder registers with ARB pursuant to section 95990(d) and provides ARB with the attestations required pursuant to section 95990(h)(6).
(2) The parties identified in section 95990(e)(1) must submit the following information to ARB:
(A) Early action offset project name;
(B) Early action offset project location;
(C) Offset Project Operator, or if applicable, the Authorized Project Designee;
(D) Name and date of protocol used by the early action offset project, including, if applicable, a version number;
(E) Date of early action offset project listing or registration date and Offset Project Commencement Date; and
(F) The name of any verification bodies associated with the early action offset project.
(3) The Early Action Offset Program must make the following information available on a publicly available website and clearly indicate which early action offset projects and Offset Project Data Report years qualify for early action under this article:
(A) Early action offset project name;
(B) Early action offset project location;
(C) Offset Project Operator, or if applicable, the Authorized Project Designee;
(D) Name and date of protocol used by the early action offset project, including, if applicable, a version number;
(E) Date of early action offset project listing or registration date and Offset Project Commencement Date; and
(F) The name of any verification bodies associated with the early action offset project.
(f) Regulatory Verification of Early Action Offset Credits. Any early action offset credit issued by an Early Action Offset Program must be verified under the following requirements before being issued an ARB offset credit pursuant to section 95990(i):
(1) The project must be verified by an ARB-accredited verification body that meets the accreditation requirements in section 95978. The verification body performing regulatory verification pursuant to this section must be different than the verification body that conducted offset verification services for the early action offset project under the Early Action Offset Program. 
(2) Conflict of interest must be assessed against parties identified pursuant to section 95990(g) and the conflict of interest assessment must meet the requirements of section 95979.
(3) A verification body must conduct a desk review for each Offset Project Data Report year eligible and applicable pursuant to section 95990(c)(1) for each early action offset project that generates early action offset credits under the quantification methodologies listed in section 95990(c)(5). The desk review of all Offset Project Data Reports for years eligible and applicable pursuant to section 95990(c)(1) for each early action offset project may be applied as one single desk review. The desk review must include the following:
(A) Review of the early action offset project original documentation, including the Early Action Verification Reports and Offset Verification Statements submitted to the Early Action Offset Program, to ensure that the previously provided offset verification services were sufficient to render a reasonable assurance to support the issuance of early action offset credits by the Early Action Offset Program;
(B) Review of the data checks conducted by the offset verification body for the Early Action Offset Program to ensure they were calculated correctly;
(C) If the verification body concludes with reasonable assurance that they concur that a positive verification statement should have been issued based on the Early Action Verification Report and the Offset Verification Statement submitted to the Early Action Offset Program for the applicable Offset Project Data Report year, the verification body must submit the attestation in section 95990(f)(3)(D) to ARB. 
(D) The verification body must attest, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California that I have conducted a desk review in accordance with the requirements of section 95990(f)(3) and concur with the issuance of a positive verification statement based on the Early Action Verification Report and Offset Verification Statement that was submitted to the Early Action Offset Program for the applicable Offset Project Data Report year.”
(E) For each early action offset project the Offset Project Operator or Authorized Project Designee or the Early Action Offset Program must provide the Early Action Verification Report(s) for all years eligible and applicable pursuant to section 95990(c)(1) to the offset verification team to assist in offset verification services and desk review.
(4) If during the desk review performed pursuant to section 95990(f)(3) the verification body cannot conclude with reasonable assurance that a positive verification statement should have been issued based on the Early Action Verification Report and the Offset Verification Statement submitted to the Early Action Offset Program for the applicable Offset Project Data Report year then the verification body must prepare a report for ARB and explain the reasons for this conclusion.
(5) ARB will review the information submitted by the verification body pursuant to section 95990(f)(4) and may request additional information from, and consult with, the Early Action Offset Program or the verification body as necessary. 
(6) If ARB finds that the Offset Project Data Report should not have been issued a positive verification statement after reviewing the information submitted in section 95990(f)(5), the Offset Project Data Report must be verified and offset verification services pursuant to sections 95977.1 and any additional verification requirements in the applicable protocol identified in section 95990(c) must be conducted. The Offset verification services for each Offset Project Data Report year may be done by the same verification body that performed the desk review and may be applied as one single offset verification service and meet the following requirements:
(A) If the early action offset project is still in operation, the verification body must conduct a site visit as required in section 95977.1(b)(3)(D).
(B) If the early action offset project is no longer in operation, the verification body must conduct a desk review of the original documentation to confirm any previous verification findings related to the types of offset verification services required in section 95977.1(b)(3)(D).
(C) The sampling plan in section 95977.1(b)(3)(G) must cover all serialized early action offset credits issued to the early action offset project for all years eligible and applicable pursuant to section 95990(c)(1);
(D) The data checks in section 95977.1(b)(3)(L) must include checks across the sources identified in the sampling plan, covering all serialized early action offset credits issued to the early action offset project for all years eligible and applicable pursuant to section 95990(c)(1); and
(E) The verification body must submit an Offset Verification Statement pursuant to section 95977.1(b)(3)(R) to ARB covering all serialized early action offset credits issued to the early action offset project for all years eligible and applicable pursuant to section 95990(c)(1). For non-forestry offset projects, the verification body may submit a Positive, Qualified Positive, or Adverse Offset Verification Statement. Forestry Offset projects may only receive a Positive or Adverse Offset Verification Statement.
(7) Once ARB offset credits have been issued for an Offset Project Data Report pursuant to section 95990(i) subsequent offset verification services provided for additional Offset Project Data Reports for the same early action offset project will not trigger a desk review of those Offset Project Data Reports for which ARB offset credits have already been issued pursuant to section 95990(i).
(g) Conflict of Interest Requirements for Early Action. For each Early Action Verification Report that a verification body reviews pursuant to section 95990(f), the verification body must assess conflict of interest according to the following requirements against each party identified in section 95990(g)(2). The conflict of interest assessment for each Early Action Verification Report must be submitted to ARB before ARB issues an ARB offset credit pursuant to section 95990(i). 
(1) The verification body is subject to the conflict of interest requirements in section 95979. 
(2) The conflict of interest requirements in section 95979 must be assessed against the following parties at the time that offset verification services are conducted pursuant to section 95990(f):
(A) The Offset Project Operator or Authorized Project Designee for the project; and 
(B) Any party that holds greater than 30 percent of the early action offset credits issued to an early action offset project for each individual Early Action Verification Report reviewed as part of offset verification services conducted pursuant to section 95990(f). 
(h) Issuance of ARB Offset Credits for Early Action. ARB will issue ARB offset credits pursuant to section 95990(i) for early action if the following requirements are met: 
(1) The early action offset credits meet the requirements of section 95990(c);
(2) The GHG reduction or GHG removal enhancement occurred by December 31, 2014;
(3) The GHG reduction or GHG removal enhancement was determined to meet the requirements for regulatory verification pursuant to section 95990(f);
(4) The early action offset project has been listed pursuant to section 95990(e); and 
(5) The following parties must submit the attestations listed in section 95990(h)(6) to ARB:
(A) The Offset Project Operator or Authorized Project Designee for a forest or urban forest early action offset project that does not transition to a Compliance Offset Protocol pursuant to section 95990(k); and 
(B) The Offset Project Operator or Authorized Project Designee for the following early action offset projects, except as provided in section 95990(h)(5)(C):
1. A forest or urban forest early action offset project that transitions to a Compliance Offset Protocol pursuant to section 95990(k);
2. An early action offset project developed under one of the protocols identified in section 95990(c)(5)(A) and (C).
(C) If the Offset Project Operator or Authorized Project Designees identified in section 95990(h)(5)(B) do not register with ARB pursuant to section 95990(d) and list the early action offset project pursuant to section 95990(e), the holder of early action offset credits may seek issuance of ARB offset credits pursuant to section 95990(i), as long as the holder provides ARB the attestations required pursuant to section 95990(h)(6).
(6) The parties identified in section 95990(h)(5) must submit the following information to ARB:
(A) Attest, in writing, to ARB as follows:
“I certify under penalty of perjury under the laws of the State of California the GHG reductions and GHG removal enhancements for [project] from [date] to [date] have been measured in accordance with the [appropriate Early Action Offset Program offset protocol] and all information required to be submitted to ARB is true, accurate, and complete;” 
(B) Attest, in writing, to ARB as follows:
“I understand I am voluntarily participating in the California Greenhouse Gas Cap-and-Trade Program under title 17, article 5, and by doing so, I am now subject to all regulatory requirements and enforcement mechanisms of this program and subject myself to the jurisdiction of California as the exclusive venue to resolve any and all disputes;” and
(C) Attest in writing to ARB as follows:
“I understand that the offset project activity and the implementation of the offset project must be in accordance with all applicable local, regional, and national environmental and health and safety regulations that apply based on the offset project location. I understand that offset projects are not eligible to receive ARB offset credits for GHG reductions or GHG removal enhancements that are not in compliance with the requirements of this Article.”
(7) An ARB offset credit may not be issued for an early action offset credit that has been retired, canceled, used to meet a surrender obligation, used to meet a voluntary commitment, or used to meet any GHG mitigation requirements in any voluntary or regulatory system.
(i) Process for Issuance of ARB Offset Credits for Purposes of Early Action. ARB will issue an ARB offset credit that meets the requirements of section 95990(h) in the amount calculated pursuant to section 95990(i)(1):
(1) ARB offset credits will be issued according to the following schedule:
(A) One ARB offset credit will be issued for one early action offset credit generated under Climate Action Reserve Urban Forest Project Protocol versions 1.0 through 1.1; 
(B) One ARB offset credit will be issued for one early action offset credit generated under Climate Action Reserve U.S. Ozone Depleting Substances Project Protocol version 1.0;
(C) One ARB offset credit will be issued for one early action offset credit generated under Climate Action Reserve U.S. Livestock Project Protocol versions 1.0 through 3.0; and
(D) ARB offset credits will be issued for early action offset credits generated under Climate Action Reserve Forest Project Protocol version 2.1 and versions 3.0 through 3.2, pursuant to the following:
1. If any ARB offset credits are being issued to an early action forest offset project pursuant to this section, the Early Action Offset Program must transfer all of the early action offset credits in its buffer account for forest projects for that project to ARB by removing the early action offset credits, such that they are no longer available on the Early Action Offset Program's system.
a. For vintages 2001-2004 early action offset credits in the Early Action Offset Program buffer account for forest projects transferred for the early action forest offset project, ARB will create a series of unique serial numbers that identify them as being from these vintage years. 
b. Vintage 2001-2004 serial numbers may only reside in the Forest Buffer Account and will only be retired by ARB in the event of a project termination pursuant to section 95983(d). These vintages will not be able to count towards the contribution to ARB's Forest Buffer Account pursuant to this section.
2. A specified number of the issued ARB offset credits must be placed in the Forest Buffer Account in the amount determined by the project-specific risk rating calculation in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011 for each Offset Project Data Report year eligible and applicable pursuant to section 95990(c)(1).
3. If the Offset Project Operator or Authorized Project Designee registers and lists the early action offset project pursuant to sections 95990(d) and (e) and is seeking issuance of ARB offset credits for an Offset Project Data Report year ARB will determine the number of ARB offset credits that will be issued to the Offset Project Operator or Authorized Project Designee as follows: 
a. If the following condition applies, then ARB will issue one ARB offset credit for each early action offset credit:

EAOPBuffer > EAOCIssue x RRCOP
Where:
“EAOPBuffer” is the total number of early action offset credits in the Early Action Offset Program's buffer account for forest projects that meet the requirements of section 95990(h) and are being transferred to ARB for the applicable Offset Project Data Report; 
“EAOCIssue” is the total number of early action offset credits that meet the requirements of section 95990(h) for which the Offset Project Operator or Authorized Project Designee is seeking issuance of ARB offset credits pursuant to this section for the applicable Offset Project Data Report;
“RRCOP” is the percentage that must be applied for the early action forest offset project pursuant to the project-specific risk rating calculation in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011;
b. If the amount of early action offset credits being transferred to ARB from the Early Action Offset Program's buffer account for forest projects does not cover the number of ARB offset credits to be placed in the Forest Buffer Account, the following applies:

View Graphic
Where:
“ARBIssue” is the total number of ARB offset credits that will be issued to the Offset Project Operator or Authorized Project Designee for the applicable Offset Project Data Report;
“EAOCIssue” is the total number of early action offset credits that meet the requirements of section 95990(h) for which the Offset Project Operator or Authorized Project Designee is seeking issuance of ARB offset credits pursuant to this section for the applicable Offset Project Data Report;
“RRCOP” is the percentage that must be applied for the early action forest offset project pursuant to the project-specific risk rating calculation in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011;
“EAOPBuffer” is the total number of early action offset credits in the Early Action Offset Program's buffer account for forest projects that meet the requirements of section 95990(h) and are being transferred to ARB for the applicable Offset Project Data Report; 
4. If the holder of early action offset credits registers and lists the early action offset project pursuant to sections 95990(d) and (e), provides the attestations listed in section 95990(h)(6) to ARB, and is seeking issuance of ARB offset credits pursuant to this section for an Offset Project Data Report year, ARB will determine the number of ARB offset credits that will be issued to each holder of the original early action offset credits as follows:
a. If the following condition applies, then ARB will issue one ARB offset credit for each early action offset credit for which the holder is seeking issuance of ARB offset credits:
EAOPBuffer > EAOCIssue x RRCOP
Where:
“EAOPBuffer” is the total number of early action offset credits in the Early Action Offset Program's buffer account for forest projects that meet the requirements of section 95990(h) and are being transferred to ARB for the applicable Offset Project Data Report; 
“EAOCPIssue” is the total number of early action offset credits that meet the requirements of section 95990(h) that would qualify to be issued ARB offset credits pursuant to this section for the applicable Offset Project Data Report;
“RRCOP” is the percentage that must be applied for the early action forest offset project pursuant to the project-specific risk rating calculation in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011;
b. If the amount of early action offset credits being transferred to ARB from the Early Action Offset Program's buffer account for forest projects does not cover the number of ARB offset credits to be placed in the Forest Buffer Account, the following applies:

View Graphic
Where:
“EAOPBuffer” is the total number of early action offset credits in the Early Action Offset Program's buffer account for forest projects that meet the requirements of section 95990(h) and are being transferred to ARB for the applicable Offset Project Data Report; 
“EAOCPIssue” is the total number of early action offset credits that meet the requirements of section 95990(h) that would qualify to be issued ARB offset credits pursuant to this section for the applicable Offset Project Data Report;
“ARBHIssue” is the total number of ARB offset credits that will be issued to the holder of early action offset credits seeking issuance of ARB offset credits pursuant to this section for the applicable Offset Project Data Report;
“EAOCHIssue” is the total number of early action offset credits that meet the requirements of section 95990(h) for which the holder of early action offset credits is seeking issuance of ARB offset credits pursuant to this section for the applicable Offset Project Data Report;
“RRCOP” is the percentage that must be applied for the early action forest offset project pursuant to the project-specific risk rating calculation in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011;
“RREAP” is the percentage that was calculated and applied for the early action forest offset project pursuant to the project-specific risk rating calculation in the applicable early action protocol;
5. If there is an unintentional reversal for any early action forest offset project, even after it transitions to ARB's Compliance Offset Protocol U.S. Forest Projects, October 20, 2011, the provisions in section 95983(b) and (d) apply.
6. If there is an intentional reversal for any early action forest offset project, even after it transitions to ARB's Compliance Offset Protocol U.S. Forest Projects, October 20, 2011, the provisions in section 95983(c) and (d) apply.
(E) If an early action offset project is issued ARB offset credits pursuant to section 95990(i)(1)(D) and transitions from Climate Action Reserve Forest Project Protocol version 2.1 to Compliance Offset Protocol U.S. Forest Projects, October 20, 2011 pursuant to section 95990(k) the early action offset project may calculate its project baseline pursuant to section 95990(k)(1)(D) and use the following method to determine if it could qualify for additional early action offset credits:
1. Based on the project baseline calculated in section 95990(k)(1)(D), the early action offset project must calculate and sum the net GHG emission reductions and GHG removal enhancements it achieves following all the provisions of the Compliance Offset Protocol U.S. Forest Projects, October 20, 2011 and the requirements in this article, from the date of offset project commencement under the Early Action Offset Program through the date the early action offset project applies for transition pursuant to section 95990(k).
2. The early action offset project must subtract the number of early action offset credits issued by the Early Action Offset Program for the period from the date of offset project commencement through the time the early action offset project applies for transition pursuant to section 95990(k) from the number of sum determined pursuant to section 95990(i)(E)(1.):
a. If the difference is positive, ARB will issue ARB offset credits equivalent to the difference at the time of offset project transition pursuant to section 95990(k) for the timeframe specified in section 95990(i)(1)(E)(1.).
b. If the difference is negative, ARB will only issue ARB offset credits pursuant to section 95990(i)(D)(1.) for the timeframe specified in section 95990(i)(1)(E)(1.).
(2) ARB will notify the Early Action Offset Program within 10 calendar days of ARB's determination of issuance of ARB offset credits pursuant to this section.
(3) Early action offset credits must be removed by the Early Action Offset Program within 10 calendar days of ARB notification, such that the early action offset credits are no longer available for transaction on the Early Action Offset Program registry system.
(4) Not later than 15 calendar days after ARB issues an ARB offset credit for purposes of early action, ARB will notify the Offset Project Operator, Authorized Project Designee, and holders of the original early action offset credits of the issuance.
(j) Registration and Transfer of ARB Offset Credits for Purposes of Early Action. An ARB offset credit issued pursuant to section 95990(i) will be registered by creating a unique ARB serial number. ARB will transfer the serial numbers into Holding Accounts as follows within 15 working days of the notice of issuance pursuant to section 95990(i)(4), unless otherwise required in section 95990(i)(1)(D):
(1) If the Offset Project Operator or Authorized Project Designee registered the early action offset project pursuant to section 95990(d), lists the early action offset project pursuant to section 95990(e), provides ARB the attestations pursuant to section 95990(h)(6), and is issued ARB offset credits pursuant to section 95990(i), ARB will transfer the ARB offset credit into the Holding Account of the Offset Project Operator or Authorized Project Designee.
(2) If the holder registered the early action offset project pursuant to section 95990(d), lists the early action offset project pursuant to section 95990(e), provides ARB the attestations pursuant to section 95990(h)(6), and is issued ARB offset credits pursuant to section 95990(i), ARB will transfer the ARB offset credit into the Holding Account of the holder. The holder must prove ownership of the original early action offset credits, including the original serial numbers issued by the Early Action Offset Program, before ARB will transfer the ARB offset credits.
(k) Transition of Early Action Offset Projects to the Compliance Program.
(1) Early Action Offset Project Transition to ARB Compliance Offset Protocols. Early action offset projects must transition to ARB Compliance Offset Protocols no later than February 28, 2015:
(A) Early action offset projects using Climate Action Reserve U.S. Livestock Project Protocol versions 1.0 through 3.0 must use and meet all the requirements in Compliance Offset Protocol Livestock Projects, October 20, 2011;
(B) Early action offset projects using Climate Action Reserve Urban Forest Project Protocol versions 1.0 through 1.1 must use and meet all the requirements in Compliance Offset Protocol Urban Forest Projects, October 20, 2011;
(C) Early action offset projects using Climate Action Reserve U.S. Ozone Depleting Substances Project Protocol version 1.0 must use and meet all the requirements in Compliance Offset Protocol Ozone Depleting Substances, October 20, 2011; 
(D) Early action offset projects using Climate Action Reserve Forest Project Protocol version 2.1 must use and meet all the requirements in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011. At the time of transition the early action offset project must calculate its project baseline according to all the provisions in Compliance Offset Protocol U.S. Forest Projects, October 20, 2011 and the requirements in this article from the date of offset project commencement under the Early Action Offset Program to the date the early action offset project applies for transition pursuant to section 95990(k). This project baseline will remain valid for the duration of the offset project life. Registry offset credits and ARB offset credits issued for the first Reporting Period after the early action offset project is listed pursuant to section 95975 using the Compliance Offset Protocol U.S. Forest Projects, October 20, 2011, will only be for the increased carbon stocks beyond what was already issued early action offset credits in the last year before the early action offset project transitioned to a Compliance Offset Protocol pursuant to this section.
(E) Early action offset projects using Climate Action Reserve Forest Project Protocol versions 3.0 through 3.2 must use Compliance Offset Protocol U.S. Forest Projects, October 20, 2011 and subtract from the project baseline any carbon stocks from any optional pools that are excluded in the Compliance Offset Protocol beginning with the last reporting period under the Early Action Offset Program. Decreases will not constitute a reversal.
(2) Crediting Periods for Early Action Offset Projects. When an early action offset project transitions to a Compliance Offset Protocol pursuant to section 95990(k)(1), it will begin an initial crediting period. The initial crediting period will begin with the date that the first verified GHG emission reductions or GHG removal enhancements occur using a Compliance Offset Protocol approved pursuant to section 95971.
(3) Listing Requirements for Transition of Early Action Offset Projects. At the time an early action offset project transitions to a Compliance Offset Protocol pursuant to section 95990(k)(1), the Offset Project Operator or Authorized Project Designee must:
(A) Meet the requirements for offset projects pursuant to section 95973; and
(B) List the offset project pursuant to section 95975.
(C) To transition an early action offset project to the ARB compliance offset program, the offset project must be listed with ARB or an Offset Project Registry by February 28, 2015, but has until September 30, 2015 to complete the verification of GHG reductions and GHG removal enhancements pursuant to section 95990(f) that were achieved in 2014. These GHG reductions and GHG removal enhancements are eligible for early action offset credits.
(4) After an early action offset project lists with ARB pursuant to section 95990(k)(3), it must meet the following requirements: 
(A) Monitoring, reporting, and record retention requirements pursuant to section 95976;
(B) GHG reduction and GHG removal enhancement verification requirements pursuant to sections 95977 through 95978; 
(C) Be issued a registry offset credit pursuant to section 95980.1 or an ARB offset credit pursuant to section 95981.1 for any GHG reductions or GHG removal enhancements it achieves.
(l) An ARB offset credit issued pursuant to section 95990(i) may be invalidated pursuant to section 95985 as follows: 
(1) ARB Offset Credits from Non-Sequestration Offset Projects. An ARB offset credit from a non-sequestration project may be invalidated pursuant to sections 95985(a) through (h) and section 95985(j): 
(A) If an Offset Project Operator or Authorized Project Designee registers and lists the early action offset project pursuant to sections 95990(d) and (e), submits the attestations to ARB pursuant to section 95990(h)(6), and was issued offset credits pursuant to section 95990(i) and the party identified in section 95985(e)(2) is no longer in business pursuant to section 95101(h)(2), the provisions in sections 95985(h)(1)(C)1. through 3. and sections 95985(h)(2)(B)1. through 3. still apply to the Offset Project Operator; or
(B) If the holder of early action offset credits registers and lists the early action offset project pursuant to sections 95990(d) and (e), submits the attestations to ARB pursuant to section 95990(h)(6), and was issued ARB offset credits pursuant to section 95990(i) and the party identified in section 95985(e)(2) is no longer in business pursuant to section 95101(h)(2), the provisions in sections 95985(h)(1)(C)1. through 3. and sections 95985(h)(2)(B)1. through 3. apply to the holder that was issued ARB offset credits pursuant to section 95990(i) and not the Offset Project Operator.
(2) ARB Offset Credits from Forest Offset Projects. An ARB offset credit from a forest offset project may be invalidated pursuant to sections 95985(a) through (g) and sections 95985(i) and (j). 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 14 (sections 95990-95995) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect repealing subsection (c)(5)(E) and amending subsections (f)(3) and (l)(1)(A)-(B) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95991. Sector-Based Offset Credits.
Note     •     History

Sector-based offset credits may be generated through reduced or avoided GHG emissions from within, or carbon removed and sequestered from the atmosphere by, a specific sector in a particular jurisdiction. The Board may consider for acceptance compliance instruments issued from sector-based offset crediting programs that meet the requirements set forth in section 95994 and originate from developing countries or from subnational jurisdictions within those developing countries, except as specified in subarticle 13.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95992. Procedures for Approval of Sector-Based Crediting Programs.
Note     •     History

The Board may approve a sector-based crediting program in an eligible jurisdiction after public notice and opportunity for public comment in accordance with the Administrative Procedure Act (Government Code section 11340 et seq.). Provisions set forth in this article shall specify which compliance instruments issued by an approved sector-based crediting program may be used to meet a compliance obligation under this Article.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§95993. Sources for Sector-Based Offset Credits.
Note     •     History

Sector-based credits may be generated from:
(a) Reducing Emissions from Deforestation and Forest Degradation (REDD) Plans.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (a) and repealing subsection (b) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95994. Requirements for Sector-Based Offset Crediting Programs.
Note     •     History

(a) General Requirements for Sector-Based Crediting Programs. The Board may consider for approval a sector-based crediting program which may include the following sectoral requirements: 
(1) Sector Plan. The host jurisdiction has established a plan for reducing emissions from the sector.
(2) Monitoring, Reporting, Verification, and Enforcement. The program includes a transparent system that regularly monitors, inventories, reports, verifies, and maintains accounting for emission reductions across the program's entire sector, as well as maintains enforcement capability over its reference activity producing credits.
(3) Offset Criteria. The program has requirements to ensure that offset credits generated by the program are real, additional, quantifiable, permanent, verifiable and enforceable. 
(4) Sectoral Level Performance. The program includes a transparent system for determining and reporting when it meets or exceeds its crediting baseline(s), and evaluating the performance of the program's sector during each program's crediting period relative to the business as usual or other emissions reference level. 
(5) Public Participation and Participatory Management Mechanism. The program has established a means for public participation and consultation in the program design process. 
(6) Nested Approach. If applicable, the program includes:
(A) Offset project-specific requirements that establish methods to inventory, quantify, monitor, verify, enforce, and account for all project-level activities
(B) A system for reconciling offset project-based GHG reductions in sector-level accounting from the host jurisdiction. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect repealing subsection (b) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§95995. Quantitative Usage Limit.
Note     •     History

Sector-based offset credits approved by ARB for compliance pursuant to section 95821(d) are subject to the quantitative usage limit specified in section 95854. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 15. Enforcement and Penalties
§96010. Jurisdiction.
Note     •     History

Any of the following actions shall conclusively establish a person's consent to be subject to the jurisdiction of the State of California, including the administrative authority of ARB and the jurisdiction of the Superior Courts of the State of California:
(a) Registration with ARB pursuant to subarticle 5;
(b) The purchase or holding of a compliance instrument issued by ARB;
(c) Receipt of compensation of any kind, including sales proceeds and commissions, from any transfers of allowances or offset credits issued by ARB pursuant to subarticle 13 or recognized by ARB pursuant to subarticle 14; or
(d) Verification of an offset credit to be issued by ARB.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 15 (sections 96010-96014) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§96011. Authority to Suspend, Revoke, or Modify.
Note     •     History

(a) The Executive Officer may suspend, revoke, or place restrictions on the Holding Account of a voluntarily associated entity determined to be in violation of any provision of this article. 
(b) The Executive Officer may place restrictions on a Holding Account of a covered entity or an opt-in covered entity determined to be in violation of any provision of this article or of article 2 of this subchapter. 
(c) The Executive Officer may suspend, revoke, or modify any Executive Order issued under this article or under article 2 of this subchapter, including an order accrediting a verifier, for a violation of any provision of this article.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§96012. Injunctions.
Note     •     History

Any violation of this article may be enjoined pursuant to Health and Safety Code section 41513. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§96013. Penalties.
Note     •     History

Penalties may be assessed pursuant to Health and Safety Code section 38580 for any violation of this article as specified in section 96014. In determining any penalty amount, ARB shall consider all relevant circumstances, including the criteria in Health and Safety Code section 42403(b). 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§96014. Violations.
Note     •     History

(a) If an entity fails to surrender a sufficient number of compliance instruments to meet its compliance obligation as specified in sections 95856 or 95857, and the procedures in 95857(c) have been exhausted, there is a separate violation of this article for each required compliance instrument that has not been surrendered, or otherwise obtained by the Executive Officer under 95857(c). 
(b) A separate violation accrues every 45 days after the end of the Untimely Surrender Period pursuant to section 95857 for each required compliance instrument that has not been surrendered.
(c) It is a violation to submit any record, information or report required by this article that:
(1) Falsifies, conceals, or covers up by any trick, scheme or device a material fact;
(2) Makes any false, fictitious or fraudulent statement or representation;
(3) Makes or uses any false writing or document knowing the same to contain any false, fictitious or fraudulent statement or entry; or
(4) Omits material facts from a submittal or record.
(5) A fact is material if it could probably influence a decision by the Executive Officer, the Board, or the Board's staff.
(d) The violations stated in section 96014(c) are additional to violations of any obligations of any entity subject to this regulation under other provisions of this article requiring submissions to ARB to be true, accurate and complete.
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Subarticle 16. Other Provisions
§96020. Severability, Effect of Judicial Order.
Note     •     History

Each provision of this article shall be deemed severable, and in the event that any provision of this article is held to be invalid, the remainder of this article shall continue in full force and effect. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New subarticle 16 (sections 96020-96022) and section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
§96021. Confidentiality.
Note     •     History

(a) Emissions data submitted to ARB under this article is public information and shall not be designated as confidential. 
(b) Any entity submitting information to the Executive Officer pursuant to this subarticle may claim such information as “confidential” by clearly identifying such information as “confidential.” Any claim of confidentiality by an entity submitting information must be based on the entity's belief that the information marked as confidential is either trade secret or otherwise exempt from public disclosure under the California Public Records Act (Government Code, section 6250 et seq.). All such requests for confidentiality shall be handled in accordance with the procedures specified in California Code of Regulations, title 17, sections 91000 to 91022. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
2. Change without regulatory effect amending subsection (b) filed 2-15-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 7).
§96022. Jurisdiction of California.
Note     •     History

Any party that participates in the Cap-and-Trade Program is subject to the jurisdiction of the State of California. 
NOTE

Authority cited: Sections 38510, 38560, 38562, 38570, 38571, 38580, 39600 and 39601, Health and Safety Code. Reference: Sections 38530, 38560.5, 38564, 38565, 38570 and 39600, Health and Safety Code.
HISTORY

1. New section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code section 11343.4 (Register 2011, No. 50).
Division 3.5. Office of Environmental Health Hazard Assessment
Chapter 2. Pesticide Program
Subchapter 1. Pesticide-Related Illness and Injury
Article 1. Reporting
The provisions of this article are adopted pursuant to California Health and Safety Code, section 105200, which gives the Office of Environmental Health Hazard Assessment (OEHHA) the authority to prescribe the form for local health officers to report known or suspected pesticide poisonings to the OEHHA, the Department of Pesticide Regulation (DPR), and for work-related cases, to the Department of Industrial Relations (DIR). The purpose of this regulation is to define the information pertaining to pesticide-related illness or injury that local health officers shall report to the state, which will improve the consistency and standardization in reporting and enhance the exchange of data among local and state agencies. More efficient data exchange will improve the timeliness of pesticide illness and injury investigations, thereby positively impacting public health.
§96100. Local Health Officers' Report of Known or Suspected Pesticide-Related Illness. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 105200, Health and Safety Code. Reference: Section 105200, Health and Safety Code.
HISTORY

1. New division 3.5 (chapter 2, subchapter 1, article 1, section 96100) and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
2. Change without regulatory effect renumbering former section 96100 to new section 98100 filed 9-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 36).
§98100. Local Health Officers' Report of Known or Suspected Pesticide-Related Illness.
Note     •     History

(a) Upon receipt of a report of a known or suspected pesticide-related illness or injury from a licensed physician or other health care provider, as defined in Title 17, California Code of Regulations, section 2500(a)(14), the local health officer or designee shall report the following information to the Director of the Office of Environmental Health Hazard Assessment, the Director of Pesticide Regulation, and, for work-related illness or injury, the Director of Industrial Relations:
(1) Patient demographic information, including:
(A) First and last name.
(B) Social security number, if available.
(C) Birth date.
(D) Residence address, including street address, city, county, state, and zip code.
(E) Contact telephone number, including residential, work, or cellular telephone.
(F) Gender.
(G) Ethnicity, if known.
(H) Race, if known.
(2) Patient health and medical information, including:
(A) Date of onset of illness or symptoms.
(B) Date of initial examination by health care provider.
(C) Symptoms reported by patient and observations noted by health care provider.
(D) Laboratory or diagnostic tests conducted and results.
(E) Treatment rendered, if any.
(F) Medical diagnosis.
(3) Pesticide exposure information, including:
(A) Date of exposure.
(B) Name of pesticide or active ingredient, if known.
(C) Description of the location where exposure occurred, including county.
(D) Description of how the exposure occurred, e.g., pesticide drift, direct spray, accidental ingestion.
(E) Determination of whether the exposure occurred at work.
(F) Determination of whether others were exposed during the incident.
(G) Description of the patient's activity at time of exposure, e.g., field work, pesticide application, equipment repair.
(4) Health care provider information, including:
(A) First and last name of health care provider.
(B) Name of facility where the patient was examined or treated.
(C) Address of facility where patient was examined or treated, including street address, city, county, state, and zip code.
(D) Contact telephone number of health care provider.
(E) Name of person who submitted the report, if different from the health care provider.
(5) Reporting agency information, including:
(A) Agency name.
(B) Agency address, including street address, city, and county.
(C) Agency contact telephone number.
(D) Facsimile number.
(b) The unavailability of any of the information required by section 96100(a) shall not prevent the health officer from providing a report of the pesticide illness or injury to the required state agencies with the information that is available as long as reasonable efforts are made to obtain the information.
(c) Reports of known or suspected pesticide-related illness shall be transmitted to the State agencies by the local health officer, or his or her designee, in a secure manner consistent with state and federal medical record transfer laws and regulations (Civil Code section 1798 et seq., Government Code sections 6250-6270; Public Law 104-191; 45 CFR parts 160, 162, and 164), via either of the following:
(1) Mail or facsimile of a paper form, such as OEH 700 (9/2006), available through OEHHA (www.oehha.ca.gov/pesticides).
(2) Electronic media, where available.
NOTE

Authority cited: Section 105200, Health and Safety Code. Reference: Section 105200, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 96100 to new section 98100 filed 9-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 36).
Division 4. California Institute for Regenerative Medicine
§100000. Conflict of Interest Code -- CIRM.
Note     •     History

(a) The terms of 2 Cal. Code of Regs. section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission except as set forth in chapter 3, article 1, subdivision (g), of Proposition 71, which was approved by the voters on November 2, 2004, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code of the California Institute for Regenerative Medicine.
(b) The Board Members and the President of the Independent Citizens Oversight Committee shall file statements of economic interests with the California Institute for Regenerative Medicine, which shall make and retain a copy and forward the original to the fair Political Practices Commission, which shall be the filing officer.
(c) All other designated employees shall file statements of economic interests with the California Institute for Regenerative Medicine, which shall be the filing officer.
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code; and Section 87300, Government Code.  Reference: Section 87300, Government Code; and Section 125290.40, Health and Safety Code.
HISTORY

1. New section and Appendices A and B filed 9-11-2006; operative 10-11-2006. Approved by Fair Political Practices Commission 5-18-2006 (Register 2006, No. 37).

Appendix A

	Assigned Disclosure 
Designated Employee	Category

Chair, Independent Citizens Oversight Committee	1
Vice Chair, Independent Citizens Oversight Committee	1
Member, Independent Citizens Oversight Committee	1
Executive Assistant to the Chair	3

Chief of Staff	1
Deputy Chief of Staff	1
Senior Administrative Coordinator	4

Director, Legislation and Research Policy	1

Director, ICOC Board Relations	2
Administrative Coordinator	4

Chief Deputy to the Vice Chair	1
Chair's Liaison to the Working Groups	2

President, Independent Citizens Oversight Committee	1
Chief Administrative Officer/Controller	1
Chief Human Resources Officer	4
Executive Assistant to the President	3

Senior Communications Specialist	3

General Counsel	1
Legal Associate/Ethics Officer	1

Director, Patient & Medical Organizations Relations	2

Chief Scientific Officer	1
Director, Scientific Program and Review Activities	1
Scientific Program Officer	1
Scientific Review Officer	1
Senior Officer for Medical & Ethical Standards	1

Consultant	1*1
_________
1 Consultants shall disclose pursuant to the broadest disclosure category in this conflict of interest code subject to the following limitations: The agency Chief of Staff may determine in writing that a particular consultant, although a designated employee, is hired to perform a range of duties that are limited in scope and thus is not required to comply with the disclosure requirements described in this section. Such determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The determination of the Chief of Staff is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code. Nothing herein excuses any such consultant from any other provision of this Conflict of Interest Code.

Appendix B
Disclosure Categories
Category 1
A designated employee in this category shall report:
All investments, business positions, and income, including gifts, loans and travel payments; and all interests in real property located in the state of California, as defined in the Political Reform Act and the FPPC's regulations.
Category 2
A designated employee in this category shall report:
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to receive grants or other monies from or through the California Institute for Regenerative Medicine;
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to offer or provide facilities, services, goods or products purchased or used, or contracted for, by the California Institute for Regenerative Medicine, and is providing or planning to provide such facilities, services, goods or products; and
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is engaged in biomedical research or manufacturing biomedical pharmaceuticals.
Category 3
A designated employee in this category shall report:
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is engaged in biomedical research or manufacturing biomedical pharmaceuticals.
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to offer or provide facilities, services, goods or products purchased or used, or contracted for, by the California Institute for Regenerative Medicine, and is providing or is planning to provide such facilities, services, goods or products.
Category 4
A designated employee in this category shall report:
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to offer or provide facilities, services, goods or products purchased or used, or contracted for, by the California Institute for Regenerative Medicine, and is providing or planning to provide such facilities, services, goods or products.
§100001. Definitions for Working Group Conflict of Interest Provisions.
Note     •     History

The following definitions apply to the conflict of interest regulations contained in this Chapter: 
(a) “Applicant” includes investigators, the project director(s) and the applicant entity or entities. Each campus of a statewide university is considered to be a separate institution. 
(b) “CIRM” is the California Institute for Regenerative Medicine. 
(c) “Facilities Working Group” refers to the Scientific and Medical Facilities Working Group. 
(d) “Grant” means a grant, loan or guarantee. 
(e) “Grantee” means a recipient of a grant from the institute. Each campus of a statewide university shall be considered as a separate and individual grantee institution. 
(f) “Grants Review Working Group” refers to the Scientific and Medical Research Funding Working Group. 
(g) “Member” is a non-ICOC individual appointed to serve as a voting member on a working group. 
(h) “Principal Investigator” is an individual designated by the grantee to direct the project or activity being supported by the grant. 
(i) “Project Director” is an individual designated by the grantee to direct the project or activity being supported by the grant. 
(j) “Standards Working Group” refers to the Scientific and Medical Accountability Standards Working Group 
(k). “Working Group” means any of three advisory bodies to the Independent Citizens' Oversight Committee (“ICOC”), the governing body of the CIRM. 
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50, 125290.55, 125290.60, 125290.65, 125292.10(i) and (j), Health and Safety Code. 
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
§100002. Conflicts of Interest -- Non-ICOC Members of the Scientific and Medical Accountability Standards Working Group.
Note     •     History

(a) Prohibitions: Non-ICOC Members of the Standards Working Group are precluded from deriving direct financial benefit from the CIRM through grants, loans or contracts and from acting as a Principal Investigator on any CIRM-funded grant. Senior academic officers (including, but not limited to, chancellors, presidents of institutions, deans, chairs of departments, executive officers of research institutions, and other similar positions), who, as part of their responsibilities, oversee and advise researchers in their institution or who sign off on grants, loans or contracts shall not be deemed to have a conflict of interest under this regulation. 
(b) Disclosure: A non-ICOC working group member has a financial interest in and must disclose confidentially and under penalty of perjury the following: 
(1) All California-based academic or non-profit research institutions from which Standard Working Group members, their spouses, or others with whom a member has a common financial interest, receive current income of $5,000 or more; 
(2) All biotechnology and pharmaceutical companies from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit or investments of $5,000 or more; and 
(3) All real property interests in California of $5,000 or more (including real estate interests and interests in intellectual property such as patents and copyrights) held by members, their spouses, or others with whom a member has a common financial interest. 
(c) Disqualification: A conflict of interest exists when there is a financial or other interest that significantly impairs the individual's objectivity or that creates an unfair advantage for any person, institution or company. A non-ICOC member has a conflict of interest when any financial interest identified in subdivision (b) of this regulation is the subject of a decision before the working group. A member of the Working Group who has a real or apparent conflict of interest with respect to a decision may not participate in the decision and must leave the room when that decision is discussed. In exceptional cases, the President of the CIRM may decide that the need for special expertise of a member outweighs any possible bias posed by a real or apparent conflict of interest. Under these circumstances, the CIRM staff shall publicly disclose the working group member's interest before the meeting and the working group member shall be permitted to participate in the discussion but will not be permitted to vote on the matter. 
(d) Record-Keeping: All financial disclosure documents shall be kept confidential by the CIRM staff and preserved for purposes of review by the State Auditor or another independent auditor and any other audit as required by law. Records of the working group indicating those members who participated in or voted on particular recommendations shall be maintained by the CIRM staff. If the CIRM or an auditor discovers a violation of these conflict of interest provisions, a report will be made to the Legislature along with a review of corrective actions taken by the CIRM to prevent future occurrences. 
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50(e) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
§100003. Conflicts of Interest -- Non-ICOC Members of the Scientific and Medical Research Funding Working Group.
Note     •     History

(a) Prohibition: Except as provided otherwise in this regulation, a Grants Review Working Group member may not participate in a decision of the working group in which the individual has a conflict of interest. A conflict of interest exists when a non-ICOC Grants Review Working Group member has a real or apparent interest in the outcome of an application such that the member is in a position to gain financially, professionally or personally from either a positive or negative evaluation of the grant proposal. 
(b) “Financial: Conflict of Interest -- Defined: A non-ICOC member has a financial conflict of interest if: 
(1) The member, his or her spouse, or any other person with whom the member has a common financial interest, is an employee of either the institution or the Principal Investigator on an application. 
(2) The member, his or her spouse, or any other person with whom the member has a common financial interest, is under active consideration for a faculty or administrative position at an applicant institution. 
(3) A member, his or her spouse, or any other person with whom the member has a common financial interest, stands to receive a financial benefit of any amount from an application under review. 
(4) A member, his or her spouse, or any other person with whom the member has a common financial interest, has received or could receive a financial benefit of any type from an applicant institution or organization unrelated to the proposal, of over $5,000 per year. This total includes honoraria, fees, stock and other benefits. It also includes current stock holdings, equity interest, intellectual property or real property interest, but does not include diversified mutual funds. 
(c) “Professional” Conflict of Interest -- Defined: A non-ICOC member has a professional conflict of interest if: 
(1) A person listed on the grant application as Principal Investigator or someone who receives salary from the grant is a professional associate, such as a former student or post-doctoral fellow, or someone with whom the member has co-authored a publication within the last three years. 
(2) The member and a primary member of the applicant's research team are engaged in, or are planning to be engaged in, collaboration. 
(3) An applicant is someone with whom the member has had long-standing scientific differences or disagreements that are known to the professional community and could be perceived as affecting the member's objectivity. 
(d) “Personal” Conflict of Interest -- Defined: A non-ICOC member has a personal conflict of interest if: 
(1) A close family member or close personal friend is an applicant. 
(2) An applicant is someone with whom the member has had long-standing personal differences. 
(e) Disclosure: A non-ICOC working group member shall disclose confidentially and under penalty of perjury the following financial interests: 
(1) All California-based academic or non profit research institutions from which members, their spouses, or others with whom the member has a common financial interest, receive income or other benefit of $5,000 or more. 
(2) All publicly-held biotechnology and pharmaceutical companies from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit, or hold an investment, of $5,000 or more. 
(3) All privately held biotechnology companies in which reviewers, their spouses, or others with whom a member has a common financial interest, have an equity interest. 
(4) Real property interests in California held by members, their spouses, or others with whom a member has a common financial interest. 
(f) Disqualification: A non-ICOC member is required to report to the CIRM staff any conflict of interest of which he or she is aware, including, but not limited to, those described in subdivisions (b) through (e) of this regulation. Any member of the Grants Review Working Group who has a real or apparent conflict of interest with respect to an application may not review or vote on the application and must leave the room when that application is discussed. In exceptional cases, the President of the CIRM may decide that the need for special expertise of the reviewer outweighs any possible bias posed by a real or apparent conflict of interest. Under these circumstances, the CIRM staff shall publicly disclose the working group member's interest before the meeting and the working group member shall be permitted to participate in the discussion but will not be permitted to vote on the application or participate in the scientific scoring. 
(g) All non-ICOC members must sign a pre-review statement indicating any possible conflicts of interest that they have, and must also sign a post-review statement that they did not participate in the discussion or review of any application for which they might have a conflict of interest, or shall indicate permission to participate was granted by the President pursuant to subdivision (f) of this regulation. 
(h) Record-Keeping: All financial disclosure documents shall be kept confidential by the CIRM staff and preserved for purposes of review by the State Auditor or another independent auditor and any other audit as required by law. Records of the working group indicating those members who participated in or voted on particular recommendations shall be maintained by the CIRM staff. If the CIRM or an auditor discovers a violation of these conflict of interest provisions, a report will be made to the Legislature along with a review of corrective actions taken by the CIRM to prevent future occurrences. 
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50(e) and 125290.60, Health and Safety Code. 
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
§100004. Conflicts of Interest -- Non-ICOC Members of the Scientific and Medical Facilities Working Group.
Note     •     History

(a) Prohibitions: Except as provided otherwise in this regulation, a Facilities Working Group member may not participate in a decision of the working group in which the individual has a conflict of interest. Non-ICOC members serving on the Facilities Working Group may not receive compensation from any construction or development entity providing specialized services for medical research facilities. Non-ICOC members may not provide real estate facilities brokerage services for any applicant for a facilities grant, or for any entity that receives funding from the Facilities Working Group, and shall not receive compensation from any recipient of CIRM funding grants. 
(b) Conflict of Interest Protections: A conflict of interest exists when a non-ICOC Working Group member has a real or apparent interest in the outcome of an application such that the member is in a position to gain financially or professionally from either a positive or negative evaluation of the grant proposal. 
(c) “Financial” Conflict of Interest -- Defined: A non-ICOC member has a financial conflict of interest if: 
(1) The member, his or her spouse, or any other person with whom the member has a common financial interest, is an employee of any construction, real estate or development entity on an application. 
(2) The member, his or her spouse, or any other person with whom the member has a common financial interest, is under active consideration for employment at an applicant entity. 
(3) A member, his or her spouse, or any other person with whom the member has a common financial interest, stands to receive a financial benefit of any amount from an application under review. 
(4) A member, his or her spouse, or any other person with whom the member has a common financial interest, has received or could receive a financial benefit of any type from an applicant institution or organization unrelated to the proposal, of over $5,000 per year. This total includes honoraria, fees, stock and other benefits. It also includes current stock holdings, equity interest, intellectual property or real property interest, but does not include diversified mutual funds. 
(d) “Professional” Conflict of Interest -- Defined: A non-ICOC member has a professional conflict of interest if the reviewer and a project director or manager of an application are engaged in, or are planning to be engaged in, a joint project. 
(e) Disclosure: A non-ICOC working group member shall disclose confidentially and under penalty of perjury the following financial interests: 
(1) All California-based academic or non-profit research institutions from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit of $5,000 or more. 
(2) All construction, real estate or development firms from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit, or hold an investment, of $5,000 or more. 
(3) All real property interests in California held by members, their spouses, or others with whom a member has a common financial interest. 
(f) Disqualification: A non-ICOC member is required to report to the CIRM staff member any conflict of interest of which he or she is aware, including, but not limited to, those described in subdivisions (c) through (e) of this regulation. Any member of the Facilities Working Group who has a real or apparent conflict of interest with respect to an application may not review or vote on the application and must leave the room when that application is discussed. In exceptional cases, the President of the CIRM may decide that the need for special expertise of the reviewer outweighs any possible bias posed by a real or apparent conflict of interest. Under these circumstances, the CIRM staff shall publicly disclose the working group member's interest before the meeting and the working group member shall be permitted to participate in the discussion but will not be permitted to vote on the application. 
(g) All members reviewing grants must sign a pre-review statement indicating any possible conflicts of interest that they have, and must also sign a post-review statement that they did not participate in the discussion or review of any application for which they might have a conflict of interest, or shall indicate permission to participate was granted by the President pursuant to subdivision (f) of this regulation. 
(h) Record-Keeping: All financial disclosure documents shall be kept confidential by the CIRM staff and preserved for purposes of audit as provided for in Health and Safety code Section 125290.30 and any other audit as required by law. Records of the working group indicating those members who participated in or voted on particular recommendations shall be maintained by the CIRM staff. If the CIRM or an auditor discovers a violation of these conflict of interest provisions, a report will be made to the Legislature along with a review of corrective actions taken by the CIRM to prevent future occurrences.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50(e) and 125290.65, Health and Safety Code.
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
Chapter 2. Human Embryonic Stem Cell Research
§100010. Scope of Chapter 2 -- Stem Cell Research.
Note     •     History

The standards set forth in this chapter apply to all institutions, as defined by Title 17, California Code of Regulations, section 100020, subdivision (f), performing research, as defined in Title 17, California Code of Regulations, section 100020, subdivision (d), funded by the California Institute for Regenerative Medicine (CIRM) as authorized by Article XXXV of the California Constitution. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code.
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100020. Definitions.
Note     •     History

As used in this chapter: 
(a) “Acceptably derived” means derived in accordance with the requirements of Code of California Regulations, Title 17, sections 100080 and 100090. 
(b) “CIRM” means the California Institute for Regenerative Medicine. 
(c) “Covered stem cell line” means a culture-derived, human pluripotent stem cell population that is capable of: 1) sustained propagation in culture; and (2) self-renewal to produce daughter cells with equivalent developmental potential. This definition includes both embryonic and non-embryonic human stem cell lines regardless of the tissue of origin. “Pluripotent” means capable of differentiation into mesoderm, ectoderm, and endoderm. 
(d) “Funded research” means research supported in whole or part by funds authorized by article XXXV of the California Constitution. For the purpose of this chapter, training activities supported by such funds shall be considered funded research. 
(e) “Human subject” means a living individual about whom an investigator (whether professional or student) conducting research obtains: 
(1) Data through intervention or interaction with the individual, or 
(2) Identifiable private information. 
(f) “Institution” means any public or private entity or agency (including federal, state, local or other agencies). 
(g) “Institutional Review Board” (“IRB”) is an entity established in accordance with Title 45, Code of Federal Regulations, section 46.107, revised June 23, 2005. 
(h) “Permissible Expenses” means necessary and reasonable costs directly incurred as a result of donation or participation in research activities. Permissible expenses may include but are not limited to costs associated with travel, housing, child care, medical care, health insurance and actual lost wages. 
(i) “Research” means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute research for purposes of these regulations, whether or not they are conducted or supported under a program which is considered research for other purposes. 
(j) “Somatic Cell Nuclear Transfer” (“SCNT”) means the transfer of a somatic cell nucleus into an oocyte. 
(k) “Stem Cell Research Oversight Committee” (“SCRO” committee) means a committee established in accordance with Code of California Regulations, Title 17, section 100060. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55, 125292.10(p) and (q), Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100030. Activities Not Eligible for CIRM Funding.
Note     •     History

The following activities are not eligible for CIRM funding: 
(a) Human reproductive cloning, as defined in California Health and Safety Code Section 125292.10. subdivision (k), or reproductive uses of SCNT prohibited by article XXXV, section 3, of the California Constitution. 
(b) The culture in vitro of (i) any intact human embryo or (ii) any product of SCNT, parthenogenesis or androgenesis, after the appearance of the primitive streak or after 12 days whichever is earlier. The 12 day prohibition does not count any time during which the embryos and/or cells have been stored frozen. 
(c) The introduction of stem cells from a covered stem cell line into nonhuman primate embryos. 
(d) The introduction of any stem cells, whether human or nonhuman, into human embryos. 
(e) Breeding any animal into which stem cells from a covered stem cell line have been introduced. 
(f) The transfer to a uterus of a genetically modified human embryo. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55 and 125292.10, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100040. Institutional Assurance of Compliance.
Note     •     History

(a) All research institutions shall be responsible for providing written assurance satisfactory to CIRM that CIRM-funded research complies with the requirements set forth in this chapter. 
(b) Each institution shall: 
(1) Ensure that the chancellor, chief executive officer or person with plenary authority designates an institutional official responsible for oversight of and documentation of compliance for CIRM-funded research; 
(2) Designate one or more SCRO committee(s) established in accordance with the requirements of Code of California Regulations, title 17, section 100060; 
(3) Designate one or more IRB(s); 
(4) Ensure that clinical personnel who have a conscientious objection not be required to participate in providing donor information or securing donor consent for research use of gametes or embryos. That privilege shall not extend to the care of a donor or recipient. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100050. Compliance.
Note     •     History

Grantees must report promptly to CIRM any failure to comply with the terms and conditions of an award. Depending on the severity and duration of the non-compliance, CIRM actions may include, but are not limited to, the following: 
(a) Temporary withholding of payment; 
(b) Placing special conditions on awards; 
(c) Conversion to a reimbursement payment method; 
(d) Precluding the grantee (principal investigator (PI) or grantee organization, as appropriate) from obtaining future awards for a specified period; 
(e) Debarment from receipt of further CIRM funds; 
(f) Recovery of previously awarded funds; 
(g) Civil action, including referring the matter to the Office of the Attorney General of the State of California for investigation and enforcement; 
(h) Other available legal remedies. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100060. SCRO Committee Membership and Function.
Note     •     History

(a) A SCRO committee shall be comprised of persons with expertise in, including but not limited to, developmental biology, stem cell research, molecular biology, assisted reproduction, and ethical issues in stem cell research. A SCRO committee shall include at least one non-scientist member of the public who is not employed by, or appointed to, or remunerated by the relevant research institution and who is not part of the immediate family of a person who is affiliated with the institution. In addition, a SCRO committee shall include at least one patient advocate. 
(b) Any member of a SCRO committee may be reimbursed for reasonable out-of-pocket expenses for attending the meeting, not including lost wages. No SCRO committee may have a member participate in the SCRO committee's initial or continuing review of any project in which the member has a conflicting interest, except to provide information to the SCRO committee. 
(c) The designated SCRO committee shall provide scientific and ethical review of CIRM-funded research consistent with the requirements of Section 100070 and other applicable CIRM requirements. 
(d) The SCRO committee shall facilitate education of investigators with applicable requirements of this chapter. 
(e) A SCRO committee may provide oversight for two or more funded research institutions, provided the SCRO committee has oversight authority consistent with the requirements of this chapter. 
(f) A SCRO committee may be convened by an institution, a group of institutions, the CIRM or other state agency. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j). Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100070. SCRO Committee Review and Notification.
Note     •     History

(a) CIRM-funded research involving the procurement or use of human oocytes or the creation of human gametes may not commence without SCRO committee review and approval in writing. If CIRM-funded research involves the procurement of human oocytes from a living donor a member of the committee with expertise in assisted reproduction shall be present. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (a)(3) of this regulation as a condition of granting its approval. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific rationale for the need to procure or use human oocytes or create human gametes. In the case of human oocyte procurement, a justification for the number needed. If SCNT is proposed a justification for SCNT shall be provided. 
(2) Demonstrate experience, expertise or training in derivation or culture of human or nonhuman stem cell lines. 
(3) Provide documentation of compliance with any required review of the proposed research by an IRB, Institutional Animal Care and Use Committee (IACUC), Institutional Bioethics Committee (IBC), or other mandated review. 
(b) CIRM-funded research involving procurement, creation or use of human blastocysts or embryos may not commence without SCRO committee review and approval in writing. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (b)(3) of this regulation as a condition of granting its approval. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific rationale for the need to create or use blastocysts or embryos including a justification for the number needed. 
(2) Demonstrate experience, expertise or training in derivation or culture of human or nonhuman stem cell lines. 
(3) Provide documentation of compliance with any required review of the proposed research by an IRB, Institutional Animal Care and Use Committee (IACUC), Institutional Bioethics Committee (IBC), or other mandated review. 
(c) CIRM-funded human subjects research, as defined by Title 45, Code of Federal Regulations, Part 46 (Protection of Human Subjects), revised June 23, 2005, and California Health and Safety Code section 24173, with the aim to create, from sources other than human gametes, blastocysts or embryos, or use a covered stem cell line may not commence without written notification of the SCRO committee. Research may include animal assays to evaluate pluripotency; however, subsequent introduction of derived covered stem cell lines in non-human animals shall be reviewed in accordance with subdivision (e) of this section. The designated SCRO committee may require the investigator to: 
(1) Demonstrate experience, expertise or training in derivation or culture of human or nonhuman stem cell lines. 
(2) Provide documentation of compliance with any required review of the proposed research by an IRB, Institutional Bioethics Committee (IBC), or other mandated review. 
(3) Document how stem cell lines will be characterized, validated, stored, and distributed to ensure that the confidentiality of the donor(s) is protected. 
(d) CIRM-funded purely in vitro research with the aim to create or use a covered stem cell line from non-identifiable cells may not commence with out written notification of the SCRO committee. A statement from the designated institutional official pursuant to section 100040(b)(1) may be provided in lieu of SCRO committee notification if human somatic cells conform to the requirements of section 100080(a)(3); or the covered stem cell line(s) are recognized by an authorized authority. At a minimum the statement shall certify the:
(1) Human somatic cells conform to the requirements of section 10080(a)(3); or
(2) The covered stem cell lines are recognized by an authorized authority.
In addition, the institutional official shall submit documentation of any required review of the proposed research by an IRB, IACUC, IBC, or other mandated review.
Research may include animal assays to evaluate pluripotency; however, subsequent introduction of derived covered stem cell lines in non-human animals shall be reviewed in accordance with subdivision (e) of this section.
(e) CIRM-funded research introducing covered stem cell lines into non-human animals or introducing neural-progenitor cells into the brain of non-human animals at any state of embryonic, fetal, or postnatal development may not commence without SCRO committee review and approval in writing. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (e)(3) of this regulation as a condition of granting its approval. The SCRO committee may establish guidelines and procedures for expedited review of animal research so that review by the entire SCRO committee is not required. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific rationale for introducing stem cells into non-human animals. 
(2) Provide assurance that all covered stem cell lines have been acceptably derived. 
(3) Evaluate the probable pattern and effects of differentiation and integration of the human cells into the nonhuman animal tissues. 
(4) Provide documentation of compliance with any required review of the proposed research by an IRB, IACUC, IBC, or other mandated review. 
(f) CIRM-funded research introducing cells from covered stem cell lines into a live born human may not commence without SCRO committee review and approval in writing. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (f)(4) of this regulation as a condition of granting its approval. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific for rationale introducing stem cells into humans. 
(2) Provide assurance that all covered stem cell lines have been acceptably derived. 
(3) Evaluate the probable pattern and effects of differentiation and integration of the human cells into the human tissues. 
(4) Provide documentation of compliance with any required review of the proposed research by an IRB, IACUC, IBC, or other mandated review. 
(g) In cases where SCRO committee approval is required, a SCRO committee shall notify investigators in writing of its decision to approve or disapprove the proposed research activity, or of modifications required to secure SCRO committee approval of the research activity. If the SCRO committee decides to disapprove a research activity, it shall include in its written notification a statement of the reasons for its decision and give the investigator an opportunity to respond in person or in writing. 
(h) SCRO committee approvals shall be reviewed no less frequently than once per year. The renewal review shall confirm compliance with all applicable rules and regulations. The SCRO committee may establish guidelines and procedures for expedited review of renewals so that review by the entire SCRO committee is not required. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Amendment of subsections (a)-(a)(1), (b)-(b)(1) and (c), repealer of subsections (c)(1)-(2), subsection renumbering, amendment of subsection (d), repealer and new subsections (d)(1)-(2) and amendment of subsection (f) filed 6-29-2010; operative 7-29-2010 (Register 2010, No. 27).
3. Editorial correction of subsection (d)(2) (Register 2010, No. 43).
§100080. Acceptable Research Materials.
Note     •     History

All covered stem cell lines used in CIRM-funded research must be “acceptably derived.” 
(a) To be “acceptably derived,” the covered stem cell line must meet one of the following three criteria: 
(1) The covered stem cell line is recognized by an authorized authority. To be recognized by an authorized authority the stem cell line must:
(A) Be approved by the National Institutes of Health; or 
(B) Be deposited in the United Kingdom Stem Cell Bank; or 
(C) Be derived by, or approved for use by, a licensee of the United Kingdom Human Fertilization and Embryology Authority; or 
(D) Be derived in accordance with the Canadian Institutes of Health Research Guidelines for Human Pluripotent Stem Cell Research under an application approved by the National Stem Cell Oversight Committee; or 
(E) Be derived in accordance with the Japanese Guidelines for Derivation and Utilization of Human Embryonic Stem Cells; or
(F) Be derived under license of the Australian National Health and Medical Research Council; or
(G) Be derived in accordance with California Code of Regulations, title 17, section 100090.
(2) The covered stem cell line is derived under the following conditions: 
(A) Donors of human gametes, embryos, somatic cells or tissue gave voluntary and informed consent; and
(B) Donors of human gametes or embryos did not receive valuable consideration. For embryos originally created using in vitro fertilization for reproductive purposes and are no longer needed for this purpose, “valuable consideration” does not include payments to original gamete donors in excess of “permissible expenses.” Original gamete donors may receive reimbursement for permissible expenses as defined in California Code of Regulations, title 17, section 100020, subdivision (h); and
(C) Donation of human gametes, embryos, somatic cells or tissue was overseen by an IRB (or, in the case of foreign sources, an IRB-equivalent); and
(D) Individuals who consented to donate stored human gametes, embryos, somatic cells or tissue were not reimbursed for the cost of storage prior to donation.
(3) The covered stem cell line is derived from non-identifiable human somatic cells under the following conditions:
(A) The derivation did not result from the transfer of a somatic cell nucleus into a human oocyte (SCNT) or the creation or use of a human embryo; and
(B) The somatic cells have no associated codes or links maintained by anyone that would identify to the investigator(s) the donor of the specimens, or, if such codes or links exist, that the identity of the donor is not readily ascertainable because, for example:
(i) the key to decipher the code or link is destroyed before the research begins;
(ii) an agreement prohibits release of the key to the investigators under any circumstances;
(iii) IRB-approved written policies and operating procedures for a repository or data management center prohibit releasing the key under any circumstances; or 
(iv) the release of the key to the investigators is forbidden by law.
(b) In addition to the requirements of subdivision (a) of this chapter, the following requirements apply to the derivation and use of all covered stem cell lines.
(1) Any covered stem cell line derived from any intact human embryo, any product of SCNT, parthenogenesis or androgenesis after 12 days in culture may not be used unless prior approval is obtained from the Independent Citizens Oversight Committee, constituted under Health & Safety Code, section 125290.15. Use of any covered stem cell line derived from any intact human embryo, any product of SCNT, parthenogenesis or androgenesis after 14 days or after the appearance of the primitive streak is prohibited. The 12-14 day limit does not include any time during which the cells have been frozen.
(2) Any payments for the purchase of covered stem cell lines, somatic cells, or human tissue to persons other than the original donors shall be limited to those costs identified in Health & Safety Code, section 125290.35, subdivision (b)(5). Any payment for gametes and embryos, to persons other than the original donors, shall be limited to necessary and reasonable costs directly incurred as a result of providing materials for research, which include but are not limited to expenditures associated with processing, quality control, storage, or transportation.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55 and 125300, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Amendment filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
3. Amendment of subsections (a), (a)(1), (a)(2), (a)(2)(B) and (a)(3) filed 1-10-2011; operative 2-9-2011 (Register 2011, No. 2).
4. New subsection (a)(1)(F) and subsection relettering filed 3-28-2012; operative 4-27-2012 (Register 2012, No. 13).
§100081. Exemption Petition for Lines Derived Prior to November 22, 2006.
Note     •     History

For a covered stem cell line derived before November 22, 2006, the ICOC may find in public session that it is acceptably derived pursuant to the following procedure: 
(a) A person or entity seeking ICOC approval for a covered stem cell line not otherwise acceptably derived under Title 17, California Code of Regulations, section 100080, shall submit a petition in a form as required by CIRM (see Appendix A to this regulation). That petition shall, at a minimum, provide the following information: 
1. The name or designation of the covered stem cell line;
2. Information about the nature of the consents given by the donors of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line, including copies of any such consents given; 
3. Information about whether the donors of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line received valuable consideration in exchange for their donation, including copies of any documents reflecting such exchanges; 
4. Information about whether the donation of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line was overseen by an IRB or equivalent, including copies of any documents reflecting such a review; 
5. Information about whether the donors of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line were reimbursed for the cost of storage prior to donation, including copies of any documentation reflecting such reimbursements; 
6. Information regarding “best practices” at the time of donation of human gametes, embryos, somatic cells or tissue, including any documents substantiating those practices for each type of donation; 
7. A statement describing the scientific and/or clinical necessity for granting the petition; and 
8. Information submitted in connection with the petition that is of a confidential or proprietary nature as defined in H&S Code section 125290.30, subdivisions (e)(B) or (C), or that is protected from disclosure pursuant to other federal or state law shall not be subject to disclosure pursuant to those laws. 
(b) Within 60 days of receipt of a complete petition, the President of CIRM will prepare a written recommendation to the ICOC, and provide a copy of that recommendation to the petitioner. The recommendation will describe the petition and the evidence without revealing confidential and proprietary information, will include an analysis of the petition, and a statement of reasons for granting or denying the petition. 
(c) Within 30 days of receipt of the President's recommendation, the petitioner may submit a response to CIRM. Once that response is received, the petition will be placed on the agenda for the next regularly scheduled ICOC meeting. 
(d) The President's recommendation and the petitioner's response shall be provided to the ICOC and the public (by posting on the CIRM website) at least ten days prior to the date of the meeting at which the ICOC will consider the petition. 
(e) The ICOC must consider the merits of the petition in open session, and must vote to grant or deny the petition in open session. Members of the ICOC may request access to confidential and proprietary information in the petition during closed session before acting on the petition. 
(f) The decision of the ICOC to grant or deny the petition is final and not subject to appeal. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 124290.55, Health and Safety Code. 
HISTORY

1. New section and Appendix A filed 8-19-2009; operative 9-18-2009 (Register 2009, No. 34).

Appendix A

View Graphic

View Graphic

View Graphic

View Graphic
§100085. Use of Fetal Tissue.
Note     •     History

Fetal tissue shall be procured in accordance with 17 Cal. Code of Regs. section 100080, subdivision (a)(2). In addition, research involving human fetal tissue will adhere to the following provisions:
(a) The woman who donates the fetal tissue must sign a statement declaring:
(1) That the donation is being made for research purposes, and
(2) The donation is made without any restriction regarding who may be the recipient(s) of materials derived from the tissue; and
(b) The attending physician must:
(1) Sign a statement that he or she has obtained the tissue in accordance with the donor's signed statement. In the case of tissue obtained pursuant to an induced abortion, the physician must sign a statement stating that he or she:
(A) Obtained the woman's consent for the abortion before requesting or obtaining consent for the tissue to be used for research;
(B) Did not alter the timing, method, or procedures used to terminate the pregnancy solely for the purpose of obtaining the tissue for research; and
(C) Performed the abortion in accordance with applicable law.
(2) Disclose to the donor any financial interest that the attending physician has in the research to be conducted with the tissue.
(3) Disclose any known medical risks to the donor or risks to her privacy that might be associated with the donation of the tissue and that are in addition to risks of such type that are associated with the woman's medical care.
(c) The principal investigator of the research project must sign a statement certifying that he or she:
(1) Is aware that the tissue is human fetal tissue obtained in a spontaneous or induced abortion or pursuant to a stillbirth;
(2) Is aware that the tissue was donated for research purposes;
(3) Had no part in any decisions as to the timing, method, or procedures used to terminate the pregnancy; and
(4) Is not the donor's attending physician.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55 and 125300, Health and Safety Code.
HISTORY

1. New section filed 7-24-2007; operative 8-23-2007 (Register 2007, No. 30).
2. Amendment of first paragraph filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
§100090. Special Considerations for CIRM-Funded Procurement, Derivation and Transplantation.
Note     •     History

(a) Where CIRM funds are to be used for research intended to derive a covered stem cell line, the SCRO committee must determine or the designated institutional official must certify the applicable requirements of Code of California Regulations, title 17, section 100080, subdivision (a)(2) or (a)(3), have been met subject to the following:
(1) For embryos created before November 22, 2006 consent exclusively from oocyte donors is sufficient provided the sperm donor cannot be identified and the donation was made in accordance with the legal requirements in force at the place and time of donation.
(2) For gametes or embryos, procured from human subjects, after November 22, 2006, the SCRO committee must confirm that donors provided voluntary and informed consent in accordance with Code of California Regulations, title 17, section 100100, subdivision (b).
(3) For research involving the use of embryos originally created using in vitro fertilization for reproductive purposes, the physician performing oocyte retrieval or attending physician responsible for infertility treatment may not be the CIRM-funded Principal Investigator (as defined in title 17, California Code of Regulations, section 100500) unless the SCRO committee has approved an exemption from this requirement.
(4) For human somatic cells, procured from human subjects after November 22, 2006, and the CIRM-funded research is designed to develop cells for transplantation into a live born human, the SCRO committee must confirm that donors provided voluntary and informed consent including the requirements of Code of California Regulations, title 17, section 100100, subdivision (b)(1)(E).
(b) CIRM funds may not be use to provide valuable consideration to donors of gametes, embryos, somatic cells or tissue. This provision does not prohibit reimbursement for permissible expenses as defined in California Code of Regulations, title 17, section 100200, subdivision (h).
(c) The modification of an acceptably derived stem cell line shall not be considered a CIRM-funded derivation.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Repealer and new section filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
3. Amendment of section heading and subsection (a), new subsections (a)(1)-(4) and repealer and new subsection (b) filed 6-29-2010; operative 7-29-2010 (Register 2010, No. 27).
§100095. Additional Requirements for CIRM-Funded Research Involving Oocytes.
Note     •     History

When procurement of oocytes are required for CIRM-funded research, the SCRO committee must confirm the following conditions have been met: 
(a) The clinic performing oocyte retrieval is a member of the Society for Assisted Reproductive Technology. 
(b) The procurement and disposition for research purposes of oocytes initially provided for reproductive uses, either for use by the donor or another woman, shall not knowingly compromise the optimal reproductive success of the woman in infertility treatment. Pursuant to this requirement, the SCRO shall confirm the following: 
(1) The infertility treatment protocol is established prior to requesting or obtaining consent for a donation for research purposes and that the prospect of donation for research does not alter the timing, method, or procedures selected for clinical care. 
(2) The woman in infertility treatment makes the determination that she does not want or need the oocytes for her own reproductive success. 
(3) The donation of oocytes for research is done without valuable consideration either directly or indirectly. 
(4) If the procurement of oocytes involves a donor providing oocytes for another woman's reproductive use, then the donation to research must be expressly permitted by the original donor. 
(5) If the procurement of oocytes involves use of materials donated for reproductive use by another woman and with valuable consideration in excess of reimbursement for permissible expenses for the oocyte donor, then oocytes may not be used for CIRM-funded research. 
(c) The CIRM-funded institution shall develop procedures to ensure that an individual who donates oocytes for CIRM-funded research has access to medical care that is required as a direct and proximate result of that donation. Such care shall be provided at no cost to the donor. If a donor is medically insured, the donor shall not be required to claim any treatment costs through her own insurance policy. 
(d) The physician attending to any donor and the principal investigator shall not be the same person unless exceptional circumstances exist and an IRB has approved an exemption from this requirement. 
(e) The physician performing oocyte retrieval shall not have a financial interest in the outcome of the research. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100100. Informed Consent Requirements.
Note     •     History

(a) All CIRM-funded human subjects research shall be performed in accordance with Title 45 Code of Federal Regulations, Part 46 (Protection of Human Subjects), revised June 23, 2005, and California Health and Safety Code section 24173. In accordance with existing law, California Health and Safety Code section 24173 does not apply to a person who is conducting research as an investigator within an institution that holds an assurance with the United States Department of Health and Human Services pursuant to Title 45 Code of Federal Regulations Part 46, revised June 23, 2005, and who obtains informed consent in the method and manner required by those regulations. 
(b) In addition to the requirements of Code of California Regulations, title 17, section 100080, subdivision (a)(2), the following provisions apply when CIRM funded research involves donation of human gametes, embryos, somatic cells or tissue for derivation of new covered stem cell lines: 
(1) CIRM-funds may not be used for research that violates the documented preferences of donors with regard to the use of donated materials. The SCRO committee or IRB must confirm that donors have given voluntary and informed consent in accordance with this section. To ensure that donors are fully informed of the potential uses of donated materials in addition to the general requirements for obtaining informed consent identified in subdivision (a) of this regulation, researchers shall disclose all of the following, unless a specific item has been determined by the SCRO committee or IRB to be inapplicable: 
(A) Derived cells or cell products may be kept for many years. 
(B) Whether or not the identity(ies) of the donor will be ascertainable by those who work with the resulting cells or cell products. If the identity of the donor is to remain associated with the cell or cell products, then the investigator must inform the donor of any plan for recontact whether for the purpose of providing information about research findings to donors, or for the purpose of requesting additional health information. After donation, an investigator may recontact a donor only if the donor consents at the time of donation. 
(C) Cell lines may be used in future studies which are not now foreseeable.
(D) Derived cells or cell products may be used in research involving genetic manipulation. 
(E) Derived cells or cell products may be transplanted into humans or animals. 
(F) Derived cells or cell products are not intended to provide direct medical benefit to the donor, except in the case of autologous donation. 
(G) The donation is being made without restriction on the recipient of transplanted cells, except in the case where donation is intended for autologous transplantion. 
(H) Neither consent nor refusal to donate materials for research will affect the quality of any care provided to a potential donor. 
(I) Although the results of research including donated materials may be patentable or have commercial value, the donor will have no legal or financial interest in any commercial development resulting from the research.
(2) A donor must be given the opportunity to impose restrictions on future uses of donated materials. Researchers may choose to use materials only from donors who agree to all future uses without restriction. 
(3) For CIRM-funded research involving the donation of oocytes, an IRB finding that potential risks of donation are reasonable even if there is no anticipated benefit to the donor shall be documented and made available to the donor, SCRO and the CIRM. In addition, the following requirements apply: 
(A) The description of foreseeable risk required in subdivision (a) of this regulation shall include but not be limited to information regarding the risks of ovarian hyperstimulation syndrome, bleeding, infection, anesthesia and pregnancy. 
(B) Any relationship between the attending physician and the research or researcher(s) must be disclosed to an egg donor. 
(C) Prospective donors shall be informed of their option to deliberate before deciding whether or not to give consent. If a deliberation period is chosen, the donor shall be informed of her right to determine the method of recontact. The donor must be informed that she has the option to initiate recontact. Investigators shall not initiate recontact unless the donor has consented, and this consent is documented in the research record. 
(D) The researcher shall ascertain that the donor understands the essential aspects of the research involving donated materials, following a process approved by the designated IRB or SCRO committee. Understanding the essential aspects of the research includes understanding at least that: 
(i) Eggs will not be used for reproductive purposes. 
(ii) There are medical risks in oocyte donation, including the risks of ovarian hyperstimulation syndrome, bleeding, infection, anesthesia, and pregnancy. 
(iii) The research is not intended to directly benefit the donor or any other individual. 
(iv) Whether stem cell lines will be derived from her oocytes through fertilization, SCNT, parthenogenesis, or some other method. 
(v) Stem cell lines developed from her oocytes will be grown in the lab and shared with other researchers for studies in the future. 
(vi) If stem cells derived from her donation are to be transplanted into patients, researchers might recontact the donor to get additional health information. 
(vii) Donors receive no payment beyond reimbursement for permissible expenses. 
(viii) Stem cell lines derived as a result of her oocyte donation may be patented or commercialized, but donors will not share in patent rights or in any revenue or profit from the patents. 
(4) For funded research involving the donation and destruction of human embryos for stem cell research, the informed consent process shall include a disclosure that embryos will be destroyed in the process of deriving embryonic stem cells. 
(5) Research that uses human umbilical cord, cord blood or placenta, consent shall be obtained from the birth mother. 
(6) For research involving the donation of somatic cells for SCNT, the informed consent process shall include disclosure as to whether the donated cells may be available for autologous treatment in the future. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 24173, 125290.35, 125290.40, 125290.55 and 125315, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Amendment filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
§100110. Fairness and Diversity in Research.
Note     •     History

CIRM grantees shall comply with the California Health Research Fairness Act, California Health and Safety Code, sections 439.900-439.906, and Inclusion of Women and Minorities in Clinical Research Act, Health and Safety Code, sections 100237-100239. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 439.900-439.906, 100237-100239, 125290.40 and 125290.55, Health and Safety Code.
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100120. Record Keeping.
Note     •     History

(a) In addition to any other reporting or record retention obligations required by the CIRM, each grantee's institution shall also maintain records documenting:
(1) Review or notification requirements as described in Title 17, California Code of Regulations, section 100070;
(2) The final disposition of gametes, embryos and, somatic cells donated for CIRM-funded research or products of SCNT. For donated materials used to derive a covered stem cell line this record must demonstrate compliance with section 100080, subdivision (a).
(b) Such records shall be made available at CIRM's request.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 124290.55, Health and Safety Code.
HISTORY

1. New section filed 7-14-2008; operative 8-13-2008 (Register 2008, No. 29).
§100140. Scope of Chapter. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New division 4, chapter 2 (sections 100140-100150) and section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100141. Categories of hES Cell Research. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100142. hES Cell Research Eligible for CIRM Funding. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100143. hES Cell Research Eligible for CIRM Funding After Additional ESCRO Review and Approval. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100144. hES Cell Research That is Prohibited. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100145. Obligations of Investigators and Institutions. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100146. Establishment of an Institutional Embryonic Stem Cell Research Oversight Committee. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100147. Procurement of Gametes, Blastocysts or Cells for hES Generation. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100148. Derivation of hES Cell Lines. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100149. Banking and Distribution of hES Cell Lines. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100150. Research Use of hES Cell Lines. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100300. Intellectual Property Requirements for Non-Profit Organizations -- Scope.
Note     •     History

The regulations of this chapter apply to all CIRM grant awards issued on or after the effective date of these regulations. By accepting a CIRM grant award, the grantee agrees to comply with the provisions of these regulations. Any new or amended regulations adopted by the Independent Citizen's Oversight Committee (“ICOC”) will be applied to currently active grants on the start date of the next non-competitive renewal period after the effective date of the regulations. A currently active grant is a grant that is still in the Project Period or a grant for which CIRM funds are still being expended. New or amended regulations under this chapter adopted after the expiration of the Project Period of a grant and after all CIRM funds for the grant have been expended will apply on January 1 following the effective date of the new or amended regulation, unless specified otherwise in the regulation. Principal investigators, program directors and organizational officials with active CIRM grants will receive notification of revised grant terms and conditions or revised editions of the CIRM Grants Administration Policy as they are released. In addition, all revisions to these regulations will be posted on the CIRM website at www.cirm.ca.gov. Failure by a principal investigator or other person affiliated with the grantee to have notification of new or amended regulations, revised grant terms and conditions, or revised editions of the Grants Administration Policy, shall not excuse non-compliance as long as the CIRM has notified the grantee. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100301. Intellectual Property Regulations -- Definitions.
Note     •     History

(a) “Authorized Organizational Official.” The individual, named by the applicant organization, who is authorized to execute agreements that legally bind the applicant institution to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to grant applications or grant awards. 
(b) “Award.” The provision of funds by CIRM, based on an approved application and budget or progress report, to an organizational entity or an individual to carry out a project or activity.
(c) “Bayh-Dole Act.” Section 6(a) of the federal Patent and Trademark Law Amendments Act as amended (35 U.S.C. §§200-212). 
(d) “Biomedical Materials.” Entities of biomedical relevance first produced as a consequence of CIRM-funded scientific research including but not limited to unique research resources such as synthetic compounds, organisms, cell lines, viruses, cell products, cloned DNA, as well as DNA sequences, mapping information, crystallographic coordinates, and spectroscopic data. Specific examples include specialized and/or genetically defined cells, including normal and diseased human cells, monoclonal antibodies, hybridoma cell lines, microbial cells and products, viruses and viral products, recombinant nucleic acid molecules, DNA probes, nucleic acid and protein sequences, certain types of animals including transgenic mice and other property such as computer programs.
(e) “Data.” The recorded factual material commonly accepted in the scientific community as necessary to validate research findings, but not any of the following: preliminary analyses, drafts of scientific papers, plans for future research, peer reviews, or communications with colleagues. This “recorded” material excludes physical objects (e.g., laboratory samples).
(f) “Exclusive License.” Any License Agreement for a CIRM-funded patented invention that permits the licensee to exclusively exercise any commercial right within the state of California or the United States, or within any field of use, or for any licensed product or licensed purpose. 
(g) “Grantee/Grantee Organization.” The non-profit organization awarded a grant by CIRM that is legally responsible and accountable for the use of the funds provided and for the performance of the grant-supported project or activity. The grantee is the entire legal entity even if a particular component is designated in the Notice of Grant Award (“NGA”). All University of California grantee campuses shall be considered as separate and individual Grantee Organizations. 
(h) “Grantee Organization's Share.” The revenues received by a Grantee Organization under a commercial license of a CIRM-funded patented invention remaining after deducting the direct costs associated with patents and patent applications claiming inventions made under CIRM funding and the inventor's share of those revenues.
(i) “Invention.” A discovery that is or may be patentable (novel, useful and non-obvious) or otherwise protectable under Title 35 of the United States Code.
(j) “Invention Disclosure.” A description of an invention that, if made public, would trigger a patent bar under U.S. Patent Law.
(k) “Invention Disclosure Form.” A written notification to CIRM that a CIRM-funded patentable invention has been made. 
(l) “Invention Utilization Report.” Applicable to Grantee Organizations that have previously filed an Invention Disclosure Form, this annual report is a written description of efforts made by authorized organizational officials to commercialize CIRM-funded patentable inventions. This report will include information about the status of development, date of first commercial sale or use and any licensing fees and/or gross royalties received by the Grantee Organization relating to CIRM-funded patented inventions.
(m) “Inventor.” A person who thinks of, finds, discovers, or creates an invention during the project period of a CIRM grant and using CIRM funds as determined under U.S. Patent Law. 
(n) “License Agreement.” An agreement by which a patent owner allows another party to make, use, sell, offer to sell, and/or import an invention protected by a patent.
(o) “Licensing Activities.” Actions taken by authorized organizational officials, the desired outcome of which is a contractual agreement under which the Grantee Organization grants permission to another party to use intellectual property under specific conditions.
(p) “Licensing Fee.” A one-time cost payable by a licensee to the patent owner typically associated with execution of a license agreement.
(q) “Materials Transfer Agreement.” A document (“MTA”) which governs the exchange of a substance, element or item (material) to another party for the purposes of research. It limits the commercial exploitation of the material without the permission of the provider party. 
(r) “No-Cost License.” An agreement to practice an invention protected by a patent where no licensing fee, royalty or any other payment is required of the licensee.
(s) “Non-Profit Organization.” A (1) university or other institution of higher education or another organization of the type described in 501(c)(3) of the Internal Revenue Code of 1986, as amended (26 U.S.C. 501(c)(3)) and is exempt from taxation under 501(a) of the Internal Revenue Code (26 U.S.C. 501(a)), or (2) any other non-profit scientific or educational organization qualified under a state non-profit organization statute whose organizational charter provides that (A) the organization is not organized or operated for the private gain of any person, (B) no part of the organization's net income or assets shall inure to the benefit of any person, and (C) the organization's net assets upon dissolution shall be distributed to a non-profit fund, foundation or corporation which is organized and operated exclusively for charitable purposes.
(t) “Notice of Grant Award.” (“NGA”) The document that notifies the grantee and others that an award has been made, contains or references all terms and conditions of the award, and documents the obligation of CIRM funds.
(u) “Patentable Invention.” A novel, useful and non-obvious invention that advances science and enables new useful applications including therapeutics or diagnostic tools, as determined under relevant patent law. 
(v) “Person.” A “person” means an individual, proprietorship, firm, partnership, joint venture, syndicate, business trust, company, corporation, limited liability company, association, or any other organization or group of persons acting in concert.
(w) “Principal Investigator/Program Director.” The principal investigator (“PI”) or program director (“PD”) is an individual designated by the grantee to direct the project or activity being supported by the grant. He or she is responsible and accountable to the grantee and CIRM for the proper conduct of the project or activity. For training programs or similarly structured programs, the PD is the same as the PI.
(x) “Project period.” The total amount of time for which CIRM promises to fund a grant and authorizes a grantee to conduct the approved work of the project described in the application.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100302. Invention Reporting Requirements.
Note     •     History

(a) Grantee organizations are required to have written agreements with researchers requiring prompt disclosure of inventions made in the performance of CIRM-funded research.
(b) Within 60 days after an inventor discloses a CIRM-funded invention to a grantee organization, the grantee organization must notify CIRM of the invention through the use of the CIRM Invention Disclosure Form which will be received in confidence by CIRM. The Invention Disclosure Form shall identify the grant under which the invention was made and the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding, to the extent known at the time of the disclosure, of the nature, purpose, operation, and physical, chemical, biological or electrical characteristics of the invention. The disclosure shall also identify whether a manuscript describing the invention has been submitted for publication. If so, the disclosure shall identify the publication to which the manuscript has been submitted and the submission date.
(c) Grantee organizations must notify CIRM on an annual basis regarding the filing of patent applications that claim inventions made in the performance of CIRM-funded research.
(d) Grantee organization must notify CIRM on an annual basis regarding execution of any licensing agreements of inventions made in the performance of CIRM-funded research.
(e) Grantee organizations must submit annually an Invention Utilization Report that lists all CIRM-funded inventions, patents claiming such inventions and a statement of efforts made to utilize CIRM-funded inventions. Such reports shall include information about the status of development, date of first commercial sale or use and all licensing fees and/or gross royalties received by the grantee organization under licenses of CIRM-funded patented inventions. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100303. Publication Requirements.
Note     •     History

(a) Within 60 days of the publication of CIRM-funded research results in a scientific journal, PIs must submit to CIRM a 500 word abstract written for the general public that highlights the findings of the published body of work. In addition, PIs must submit a biographical sketch to accompany the abstract. The abstract and the biographical sketch will be deposited into the publicly-accessible CELR, to be accessed via the CIRM website. 
(b) One copy of each publication resulting from work performed under a CIRM grant must accompany the mandatory annual progress report submitted to CIRM.
(c) In the final manuscript, authors must include the URL of a website where the CIRM MTA (or similar document) can be accessed to facilitate requests for publication-related materials.
(d) CIRM grantees must acknowledge CIRM support of research findings in publications, announcements, presentations, and press releases by the grantees. An example of an acknowledgement is:
“The research was made possible by a grant from the California Institute for Regenerative Medicine (Grant Number _______). The contents of this publication are solely the responsibility of the authors and do not necessarily represent the official views of CIRM or any other agency of the State of California.” 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100304. Biomedical Materials.
Note     •     History

Grantees shall share biomedical materials first created under CIRM funding and described in published scientific articles for research purposes in California within 60 days of receipt of a request and without bias as to the affiliation of the requestor unless legally precluded. Under special circumstances, exceptions to the above are possible with approval by CIRM. Alternatively, authors may provide requestors with information on how to reconstruct or obtain the material. Such materials are to be shared without cost or at the actual cost of providing the material without an allocation of costs for overhead, research, discovery or other non-direct costs of providing the material.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100305. Patent Applications.
Note     •     History

(a) Grantee organizations shall bear responsibility for costs associated with patents and patent applications claiming their CIRM-funded inventions. This requirement shall not restrict the rights of Grantee Organizations to recover these costs through license fees or otherwise.
(b) Grantee organizations shall report pursuant to Code of California Regulations, Title 17, section 100302, on an annual basis filings of such patent applications that claim inventions made in the performance of CIRM-funded research.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100306. Licensing CIRM-Funded Patented Inventions.
Note     •     History

(a) A Grantee Organization shall assume responsibility for licensing activities including identification of potential licensees, negotiation of license agreements and documentation of development progress for licenses relating to CIRM-funded patented inventions. In licensing CIRM-funded patented inventions, a Grantee Organizations agrees that it shall retain the right to practice the use of its CIRM-funded patented inventions for its non-commercial purposes. A Grantee Organization agrees to make its CIRM-funded patented inventions readily accessible on reasonable terms, directly or through a licensee or licensees, to other Grantee Organizations for non-commercial purposes, upon request from a Grantee Organization. Grantee organizations are required to submit an Invention Utilization Report relevant to CIRM-funded patented inventions on an annual basis.
(b) Grantee organizations shall negotiate non-exclusive licenses of CIRM-funded inventions whenever possible. Nevertheless, grantee organizations may negotiate and award exclusive licenses for CIRM-funded inventions if such licenses are necessary to provide economic incentives required to enable commercial development and availability of the inventions. In due diligence relating to such exclusive licenses, grantee organizations shall document development and commercialization capabilities of the intended licensee, and include terms in the license agreement addressing all relevant therapeutic and diagnostic uses for which the invention is applicable and the licensee agrees to diligently develop.
(c) In exclusive license agreements, grantee organizations shall include terms for commercial development plans to bring the invention to practical application. Such provisions shall include commercial development milestones and benchmarks so that development can be assessed and monitored. 
(d) Grantee organizations shall grant exclusive licenses involving CIRM-funded patented inventions relevant to therapies and diagnostics only to persons that agree to have a plan in place at the time of commercialization to provide access to resultant therapies and diagnostics for uninsured California patients. In addition, such licensees will agree to provide drugs at prices negotiated pursuant to the California Discount Prescription Drug Program (commencing with California Health and Safety Code section 130500, et seq.) to eligible Californians under that program. This regulation is not intended, and this regulation shall not be construed, to preempt any other requirement under state or federal law or regulation that would otherwise require provision of drugs at a lower price than provided hereunder. The CIRM may make access plans available for review by the ICOC on an annual basis.
(e) Grantee organizations shall monitor the performance of exclusive licensees of CIRM-funded patented inventions to ensure that the licensed invention is developed in a timely fashion. Remedies for failure to develop may include modification or termination of a license by the grantee in the event that a licensee is unable to fully develop the rights granted. 
(f) Grantee organizations shall negotiate relevant and specific grounds for modification or termination of the license. Examples would include failure to meet agreed-upon commercialization benchmarks, failure to keep the licensed invention reasonably accessible to the public for research purposes, and failure to reasonably meet the agreed-upon plan for access to resultant therapies as described in subdivision (d) of this regulation.
(g) Grantee organizations shall monitor the commercial development activities of the licensees to determine compliance with the terms of the license agreement and include reports of monitoring activities annually to the CIRM. 
(h) Grantee organizations shall take administrative action to modify or terminate license rights where necessary and report such action to the CIRM. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code.
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100308. Revenue Sharing.
Note     •     History

(a) Grantee organizations shall share a fraction of any net revenues with the inventor(s) in accordance with their established policies. Net revenues are defined as gross revenues minus the direct costs incurred in the generation and protection of the patents from which the revenues are received.
(b) The grantee organization may retain a threshold amount of its share (after payments to inventors) of any net revenues received under a license agreement or agreements of any CIRM-funded patented invention(s). Thereafter, the grantee organization shall pay 25% of its share after payments to inventors of such net revenues to the State of California for deposit into the State's General Fund unless such action violates any federal law. The threshold amount is $500,000 (in the aggregate) multiplied by a fraction, the denominator of which is the Consumer Price Index, All Urban Consumers, All Items (San Francisco-Oakland-San Jose; 1982-84=100) as prepared by the Bureau of Labor Statistics of the United States Department of Labor and published for the month of February, 2006, and the numerator of which is such Index published for the month in which the grant award is accepted by the grantee. 
(c) If funding sources in addition to CIRM were used in the creation of a CIRM-funded patented invention, the return to the State of California of any resultant revenues shall be proportionate to the support provided by CIRM for the discovery of the invention.
(d) Grantees shall apply the grantee organization's share of any revenues earned as a result of CIRM-funded patented inventions to the support of scientific research or education. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100309. Press Release Requirements.
Note     •     History

CIRM grantees must notify CIRM prior to any press releases that refer to research findings, collaborations, inventions, patents or licensing activities that arise as a consequence of CIRM funding by contacting the CIRM Communications Officer and the Scientific Program Officer. In the event that the CIRM wishes to participate in a joint press release, the grantee will coordinate with the CIRM Communications Officer.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100310. March-In Rights.
Note     •     History

(a) With regard to CIRM-funded patented inventions, CIRM shall have the right to require the grantee organization, or exclusive licensee of a CIRM-funded invention, to grant a nonexclusive, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances, and if the grantee organization, or exclusive licensee refuses such request, to grant such a license itself, if the CIRM determines that such an action is required:
(1) Because the grantee organization or the licensee has not made responsible efforts in a reasonable time to achieve practical application of a CIRM-funded patented invention;
(2) Because the licensee has failed to adhere to the agreed-upon plan for access to resultant therapies as described in subdivision (d) of Code of California Regulations, Title 17, section 100306;
(3) To meet requirements for public use and the requirements have not been satisfied by the grantee organization or its licensee;
(4) To alleviate public health and safety needs which are not reasonably satisfied by the grantee organization or its licensee and which needs constitute a public health emergency.
(b) CIRM will give to the grantee or licensee notice of such determination and the basis on which it was made. CIRM will not exercise its rights described above if the grantee or licensee takes diligent action promptly to cure the deficiency and such deficiency is cured sooner than one year from receipt of notice (or longer period by mutual agreement). With respect to a deficiency described in subdivision (a)(4) of this regulation, CIRM may exercise such right at any time in the event of a public health or safety emergency.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
Chapter 4. Intellectual Property and Revenue Sharing Requirements for For-Profit Organizations
§100400. Intellectual Property and Revenue Sharing Requirements for For-Profit Organizations -- Scope.
Note     •     History

The regulations of this chapter apply to all California Institute for Regenerative Medicine (“CIRM”) Grants issued to For-Profit Organizations on or after the effective date of these regulations. By accepting a CIRM Grant, the Grantee agrees to comply with these regulations. Any new or amended regulations subsequently adopted by the Independent Citizens Oversight Committee (“ICOC”) will apply to Currently Active Grants on the start date of the next noncompetitive renewal period after the effective date of the regulations, except amendments to Title 17, California Code of Regulations, sections 100406, 100407 and 100408, which shall only apply to grants awarded after adoption of the new or amended regulations. CIRM will notify a Grantee's Principal Investigator and Authorized Organizational Official of the adoption of new or amended regulations. In addition, all revisions to CIRM regulations will be posted on the CIRM website at www.cirm.ca.gov. Failure of actual notice to a Grantee's Principal Investigator or Authorized Organizational Official shall not excuse non-compliance with any regulation if CIRM has notified the Grantee of the changes. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New chapter 4 (sections 100400-100410) and section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100401. Intellectual Property Regulations -- Definitions.
Note     •     History

The following definitions apply to the regulations in this chapter: 
(a) Authorized Organizational Official. The individual, named by the applicant organization, who is authorized to execute agreements that legally bind the applicant institution to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to Grant applications or Grant awards. 
(b) CIRM-funded Patented Invention. An invention that has been patented under Title 35 of the United States Code, and that resulted wholly or in part from CIRM-funded Research, except in the event the patent has expired, been abandoned or found to be invalid or otherwise unenforceable (unless noted otherwise in these regulations). 
(c) CIRM-funded Research. Research that has been funded in whole or in part by a CIRM Grant. 
(d) Currently Active Grant. A Grant that is still in the Project Period, or that is outside the Project Period but CIRM funds are still being spent on the project, or the repayment of CIRM grant funds remains unsatisfied. 
(e) Drug. (1) An article recognized in the official United States Pharmacopoeia, Homoeopathic Pharmacopoeia of the United States, or National Formulary, or any supplement to any of them; (2) an article intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in man or other animals; or, (3) an article intended for use as a component of any article specified in subdivision (1) or (2). This term includes therapeutic products such as blood, blood products, cells, and cell therapies. 
(f) Exclusive License. A License Agreement for a CIRM-funded Patented Invention that authorizes the licensee to the exclusive exercise of one or more of the rights (or a portion of the rights) belonging to the patent holder under the patent. 
(g) For-Profit Organization. A legal entity that is organized for the profit or benefit of its shareholders or owners. 
(h) Grant. CIRM funding in the form of a payment to conduct research. 
(i) Grantee. A For-Profit Organization that receives a Grant and that is legally accountable for the funds and for the performance of CIRM-funded Research. 
(j) License Agreement. An agreement by which the owner of a CIRM-funded Patented Invention allows a licensee to commercially use or develop the CIRM-funded Patented Invention in exchange for financial or other consideration. 
(k) Licensing Activities. Efforts of a Grantee to execute or enforce a License Agreement. 
(l) Material Transfer Agreement (“MTA”). An agreement that governs the transfer of tangible research material between organizations and defines the rights of the providor and the recipient with respect to the materials and any derivatives. 
(m) Net Licensing Revenue. Gross revenue derived from a License Agreement minus the direct costs incurred in the prosecution and protection of a CIRM-funded Patented Invention. 
(n) Net Commercial Revenue. Income from commercial sales of a product(s) resulting from CIRM-funded Research. Net Commercial Revenue excludes the following (as they pertain to the making, using or selling of products resulting from CIRM-funded Research): 
(1) import, export, excise and sales taxes, and customs duties; 
(2) costs of insurance, packing, and transportation from the place of manufacture to the customer's premises; 
(3) credit for returns, allowances or trades; and 
(4) pre-commercial revenues received in connection with research and development and/or clinical activities. 
(o) Principal Investigator. The Principal Investigator (“PI”) is an individual designated by the Grantee to direct CIRM-funded Research and who is accountable to the Grantee and to CIRM for the proper conduct of that research. 
(p) Project Period. The amount of time over which CIRM funds research through a Grant. 
(q) Public Funds. Funds belonging to the State of California or of any county, city, city and county, or other municipal corporation or subdivision thereof, or any public agency therein. 
(r) Publication-related Biomedical Materials. Tangible research material of biomedical relevance first produced by a Grantee in CIRM-funded Research including but not limited to unique research resources (such as synthetic compounds, organisms, cell lines, viruses, cell products, cloned DNA, as well as DNA sequences, mapping information, crystallographic coordinates, and spectroscopic data), as described in a published scientific paper as provided by Title 17, California Code of Regulations, section 100403. Specific examples include specialized and/or genetically defined cells, including normal and diseased human cells, monoclonal antibodies, hybridoma cell lines, microbial cells and products, viruses and viral products, recombinant nucleic acid molecules, DNA probes. nucleic acid and protein sequences, certain types of animals including transgenic mice and other property such as computer programs. This term does not include therapeutic products or diagnostic products. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100402. Invention and Licensing Reporting Requirements.
Note     •     History

A Grantee must annually report to CIRM all patenting and Licensing Activities relating to CIRM-funded Research during and for 15 years after the Project Period of the Grant as follows: 
(a) A Grantee must report all patent applications filed with respect to any inventions arising out of CIRM-funded Research, including the application serial number(s), and detailed description(s) of the invention(s). These reports shall be marked confidential in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(b) A Grantee must report the issuance or nonissuance of any patent applied for with respect to inventions arising out of CIRM-funded Research, including the patent number and date of issuance. 
(c) At the time of filing of a patent application, a Grantee must report the percentage of support provided by CIRM and by all other sources of funding that contributed in whole or in part to the discovery of the CIRM-funded invention. CIRM may audit all such co-funding reports. This information shall be marked confidential in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(d) A Grantee must report to CIRM the execution of any Licensing Agreement pertaining to CIRM-funded Patented Inventions. This information shall be marked confidential in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(e) In the event that a CIRM-funded Patented Invention generates revenue (whether from a License Agreement or otherwise), a Grantee must report such revenue received during the preceding 12 month period or since the last report, whichever is longer. This information shall be marked confidential in accordance with Health and Safety Code 125290.30, subdivision (e)(2)(B). 
(f) CIRM reserves the right to itself and its agents to conduct an audit of the Grantee to ensure compliance with this section and the Grantee agrees to maintain and provide such documentation as necessary to establish compliance. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100403. Publication Requirements.
Note     •     History

(a) Within 60 days of the publication in a scientific journal of CIRM-funded Research, the PI must submit to CIRM a 500-word abstract written for the general public that highlights the findings of the publication, as well as a brief statement of the Principal Investigator's biographical credentials. The abstract and the biographical statement will be deposited into the publicly-accessible CIRM electronic library repository, to be accessed via the CIRM website. 
(b) One copy of each publication of CIRM-funded Research must accompany the annual progress report submitted to CIRM pursuant to Title 17, California Code of Regulations, section 100402. 
(c) A Grantee must ensure that the final manuscript of any publication of CIRM-funded Research includes the URL of a website where an MTA (or similar document) can be accessed to facilitate requests for Publication-related Biomedical Materials. 
(d) A Grantee must acknowledge CIRM funding of research in publications, announcements, presentations, and press releases. An example of an acknowledgement is: 
“This research was made possible by a grant from the California Institute for Regenerative Medicine (Grant Number _____ ). The contents of this publication are solely the responsibility of the authors and do not necessarily represent the official views of CIRM or any other agency of the State of California.”
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100404. Publication-Related Biomedical Materials Requirements.
Note     •     History

(a) A Grantee shall share Publication-related Biomedical Material that results from CIRM-funded Research, for bona fide purposes of research in California. Such materials are to be shared without cost to the requestor or at the actual cost of providing the materials without an allocation of costs for overhead, research, discovery or other non-direct costs of providing the materials. 
(b) A Grantee must share such materials within 60 days of receipt of a written request, without bias as to the affiliation of the requestor, unless otherwise prohibited by law. 
(c) CIRM may approve alternatives to this sharing requirement on a showing that: 
(1) the number of sharing requests has become financially onerous for the Grantee; 
(2) a sharing request is in direct conflict with the business of the Grantee;
(3) the material or its transfer could pose a public health risk; or
(4) the request is otherwise inappropriate, as determined by CIRM. 
(d) In lieu of sharing as provided herein, a Grantee may provide requestors with the information necessary to reconstruct or obtain identical material. 
(e) With prior approval from CIRM, a Grantee's obligations under this regulation may cease when the materials are made broadly commercially available. 
(f) Prior to transferring any Publication-related Biomedical Material, a grantee may require the requestor to execute an industry-standard Material Transfer Agreement restricting the use and dissemination of such materials. 
(g) A Grantee has no obligation under these regulations to share third party materials described in publications of CIRM-funded Research such as raw materials purchased by the Grantee to develop or synthesize the Publication-related Biomedical Material or other materials covered by third party intellectual property rights, or if the Grantee is legally prohibited from doing so. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100405. Patents.
Note     •     History

A Grantee shall bear the costs associated with any patent application claiming any one or more inventions arising out of CIRM-funded Research, any patent itself, and all costs of protecting such patents. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100406. Licensing CIRM-Funded Patented Inventions.
Note     •     History

(a) A Grantee bears responsibility for Licensing Activities including identification of potential licensees, negotiation of license agreements, and documentation of the progress and execution of development under a License Agreement of a CIRM-funded Patented Invention. A Grantee must submit an annual report of these Licensing Activities as described in Title 17, California Code of Regulations, section 100402. 
(b) If a Grantee elects not to develop a CIRM-funded Patented Invention itself, then it shall make commercially reasonable efforts to negotiate non-exclusive licenses for third party development of such inventions, unless doing so would put the Grantee at a competitive disadvantage with a competitor. 
(c) A Grantee may negotiate an Exclusive License if exclusivity is reasonably believed by Grantee to be an economic incentive necessary to achieve commercial development and availability of the invention. 
(1) A Grantee must document the development and commercialization capabilities of any intended exclusive licensee prior to entering into an Exclusive License. 
(2) A Grantee must include in any Exclusive License terms addressing all reasonably anticipated therapeutic and diagnostic uses for the invention. 
(3) A Grantee must include in any Exclusive License terms including: 
(A) a commercial development plan to bring the invention to practical application, including milestones and benchmarks, so that the progress of development can be assessed and monitored;
(B) explicit remedies for failure to develop, including modification or termination of an Exclusive License in the event that a licensee is unable to fully develop the rights granted; and 
(C) explicit grounds for modification or termination, such as failure to use commercially reasonable efforts to meet agreed-upon milestones or benchmarks, failure to negotiate in good faith alternative milestones or benchmarks, and failure to provide access as provided in subdivision (c)(5). 
(4) A Grantee may negotiate an Exclusive License for a CIRM-funded Patented Invention that is required for commercialization of a Drug, as defined in Title 17, California Code of Regulations, section 100401, subdivision (e), only if the licensee agrees to abide by the provisions of Title 17, California Code of Regulations, section 100407. 
(5) A Grantee must monitor and annually report to CIRM the performance of an exclusive licensee to ensure that the licensee develops the invention according to the milestones and benchmarks of the commercial development plan. 
(6) A Grantee must take commercially reasonable action to enforce the terms of an Exclusive License and must promptly report any material breach of an Exclusive License to the CIRM scientific program officer. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100407. Access Requirements for Products Developed by For-Profit Grantees.
Note     •     History

(a) A Grantee (or, by terms of an Exclusive License, its exclusive licensee) must submit a plan to afford uninsured Californians access to a Drug, as defined in Title 17, California Code of Regulations, section 100401, subdivision (e), the development of which was in whole or in part the result of CIRM-funded Research. 
(1) A Grantee must submit this access plan to CIRM no fewer than 90 days prior to the time the Drug is commercialized in California, unless the agency agrees to shortened time. 
(2) The access plan must be consistent with industry standards at the time of commercialization, accounting for the size of the market for the Drug and the resources of the Grantee or its exclusive licensee. 
(3) The plan shall be subject to the approval of CIRM after a public hearing conducted by CIRM that provides for receipt of public comment.
(4) The Grantee or its exclusive licensee is responsible only for providing the Drug itself, not any costs of administering the Drug or other attendant care. 
(b) A Grantee (or its exclusive licensee) must provide a Drug, the development of which was in whole or in part the result of CIRM-funded Research, at a price as provided in the California Discount Prescription Drug Program (commencing with California Health and Safety Code section 130500) (or a successor statewide prescription drug discount program) to eligible Californians under this program. 
(c) A Grantee or its exclusive licensee must sell a Drug, the development of which is in whole or in part the result of CIRM-funded Research, and which is purchased in California with Public Funds (as defined in Title 17, California Code of Regulations, section 100401, subdivision (q)) at any benchmark price described in the California Discount Prescription Drug Program or a successor statewide prescription drug discount program. 
(d) This regulation is not intended, and this regulation shall not be construed, to preempt or prevent any other requirement under state or federal law or regulation, or agreement or contract, that would result in selling a Drug at a lower price than provided hereunder. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
2. Amendment of subsections (a)(1)-(3) filed 10-30-2008; operative 11-29-2008 (Register 2008, No. 44).
§100408. Revenue Sharing.
Note     •     History

(a) A Grantee must share with the State of California a fraction of any Net Licensing Revenue it receives under a License Agreement for a CIRM-funded Patented Invention as follows: 
(1) Subject to subdivision (a)(2) of this regulation, a Grantee must pay 25 percent of Net Licensing Revenue in excess of $500,000 to the State of California for deposit into the State's General Fund. The threshold amount of $500,000 (in the aggregate) shall be adjusted annually by a multiple of a fraction, the denominator of which is the Consumer Price Index, All Urban Consumers, All Items (San Francisco-Oakland-San Jose; 1982-84=100) as prepared by the Bureau of Labor Statistics of the United States Department of Labor and published for the month of December 2007, and the numerator of which is such Index published for the month in which the Grantee accepts the Grant. 
(2) If funding sources other than CIRM (including those of the Grantee) contributed to the development of a CIRM-funded Patented Invention, then the return to the State of California on Net Licensing Revenue in excess of the threshold amount described in subdivision (a)(1) of this regulation shall be proportionate to the support provided by CIRM, as follows: The amount of CIRM funding of the patented invention shall be divided by the total of funding provided by all sources, and that fraction shall be multiplied by 25. That numeral is the percentage due to the State of California of Net Licensing Revenue. 
(b) A Grantee must share with the State of California a fraction of any Net Commercial Revenue it receives from a self-commercialized product resulting from its CIRM-funded Research (regardless of whether a CIRM-funded Patented Invention is involved) as follows: 
(1) A Grantee must pay royalties to the State of California for deposit into the State's General Fund on Net Commercial Revenue exceeding the threshold amount described in subdivision (a)(1) of this regulation. Total payments under this subdivision (b)(1) shall not exceed three times the total amount of the CIRM Grant or Grants. The precise rate of payback in the form of a royalty shall be negotiated between the Grantee and CIRM, but in no event shall be less than two (2) percent nor more than five (5) percent of the annual Net Commercial Revenue from the invention, unless the product achieves blockbuster status, as provided in subdivisions (b)(2) and (b)(3) below. 
(2) If Net Commercial Revenue from a self-commercialized product resulting from its CIRM-funded Research exceeds the milestone of $250 million per year, and then if Net Commercial Revenue exceeds the milestone of $500 million per year from a self-commercialized product resulting from its CIRM-funded Research, then upon the first occurrence of each of these milestones the Grantee will pay to the State of California a one-time blockbuster payment of three times the total amount of the Grant. 
(3) In addition to any amounts due under any other provision of this regulation, where a CIRM-funded Patented Invention(s) is involved in the achievement of Net Commercial Revenue realized by Grantee equivalent to or greater than $500 million in any year, and where CIRM Grants amounting to more than $5 million (in the aggregate) were made in support of CIRM-funded Research that contributed to the creation of Net Commercial Revenue, the Grantee will pay the State of California one percent of Net Commercial Revenue in excess of $500 million for the life of the patent. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
2. Amendment of subsection (b)(2) filed 10-30-2008; operative 11-29-2008 (Register 2008, No. 44).
§100409. Press Release Requirements.
Note     •     History

A Grantee must notify CIRM's communications officer at least one day in advance of issuing any press release that refers to CIRM-funded Research. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100410. March-In Rights.
Note     •     History

(a) CIRM may request that a Grantee or its exclusive licensee to enter into a nonexclusive, partially exclusive, or exclusive License Agreement with respect to a CIRM-funded Patented Invention and/or data generated in CIRM-funded Research, in any field of use with a responsible applicant or applicants, upon terms that are reasonable under the circumstances. 
(b) If a Grantee or its exclusive licensee refuses CIRM's request to enter into a License Agreement to a CIRM-funded Patented Invention as provided by this regulation, CIRM shall have the right to enter into such a license with an applicant on behalf of the Grantee or its exclusive licensee (march in) if:
(1) the Grantee or its exclusive licensee has not made commercially reasonable efforts to achieve practical application of a CIRM-funded Patented Invention and/or CIRM-funded Research data, as applicable;
(2) the Grantee or its exclusive licensee has failed to provide or comply with a plan for access to a Drug in accordance with Title 17, California Code of Regulations, section 100407; 
(3) the Grantee or its exclusive licensee has failed to satisfy requirements for public use, including broad availability in California (for reasons other than price) in accordance with Title 17, California Code of Regulations, section 100407;
(4) the Grantee or its exclusive licensee has unreasonably failed to use a CIRM-funded Patented Invention or CIRM-funded Research data to alleviate public health and safety needs that constitute a public health emergency as declared by the Governor. 
(c) CIRM will promptly notify a Grantee or its exclusive licensee of any adverse determination under this provision and the basis therefore, as well as its intention to exercise march-in rights. 
(d) CIRM will not exercise its march-in rights if the Grantee or its excusive licensee promptly takes action to cure the deficiency and such deficiency is cured sooner than one year from the date of notice (or longer period by mutual agreement). With respect to a deficiency described in subdivision (b)(4) of this regulation, however, CIRM may exercise such right at any time in the event of a public health or safety emergency declared by the Governor and where CIRM finds that exercise of march-in rights is likely to alleviate the circumstances or conditions that give rise to the emergency declaration. 
(e) At any time within one year of the date CIRM issues a notice of determination and intent to exercise march-in rights, a Grantee may appeal CIRM's decision to the ICOC by notifying the President of CIRM in writing within 30 days of the next regularly scheduled meeting of the ICOC of its intent to appeal CIRM's decision. The ICOC may reverse the decision of the CIRM to exercise march-in rights under this regulation for any reason. 
(f) Any applicant to receive a license pursuant to this regulation will be bound by this Chapter as if it were an original Grantee recipient of the funding that resulted in the applicable CIRM-funded Patented Invention. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100500. Grants Administration Policy for Academic and Non-Profit Institutions.
Note     •     History

(a) All recipients of a grant, loan or guarantee from the California Institute for Regenerative Medicine (“CIRM”) who are academic or non-profit institutions agree to be bound by the terms and conditions of the CIRM Grants Administration Policy for Academic and Non-Profit Institutions (Rev. April 28, 2009) and incorporated herein by reference as identified below.
(b) The CIRM Grants Administration Policy for Academic and Non-Profit Institutions is incorporated by reference herein in its entirety as to Sections “II” through and including “VI” and Appendix. As to Section “I,” only parts “I.B.,” (“Abbreviations”), “I.C.,” (“Glossary”), and “I.E.2.” (“Roles and Responsibilities, Grantee Organization Staff”) are incorporated by reference.
(c) Amendments to this regulation and the policy incorporated herein will be applied to already active grants on the start date of the next budget period after the effective date of this regulation's amendment.
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.60 and 125292.10, Health and Safety Code.
HISTORY

1. New section filed 2-28-2007; operative 3-30-2007 (Register 2007, No. 9).
2. Amendment of subsections (a) and (b) and amendment of the CIRM Grants Administration Policy for Academic and Non-Profit Institutions (incorporated by reference) filed 9-18-2009; operative 10-18-2009 (Register 2009, No. 38).
§100501. Grants Administration Policy for For-Profit Organizations.
Note     •     History

(a) In addition to the provisions of Title 17, California Code of Regulations section 100500, all for-profit recipients of a grant from the California Institute for Regenerative Medicine (“CIRM”) agree to be bound by the terms and conditions of the CIRM Grant Administration Policy for For-Profit Organizations, as adopted by the Independent Citizens Oversight Committee and incorporated herein by reference as identified below. 
(b) The CIRM Grant Administration Policy for For-Profit Organizations, dated November 3, 2008, is incorporated by reference herein in its entirety except for its “Preface.”
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active grants on the anniversary date of the Notice of Grant Award following the effective date of the regulation's amendment unless specified otherwise in the regulation or policy amendment. 
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California. 
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.60, 125290.70 and 125292.10, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2008; operative 1-25-2009 (Register 2008, No. 52).
§100502. Definition of “California Supplier.”
Note     •     History

(a) As used in section 125290.30(i) and in CIRM policies and regulations, “California supplier” means: 
(1) any sole proprietorship, partnership, joint venture, corporation, or other business entity whose permanent, principal office or place of business from which the supplier's trade is directed or managed is located in California and which produces, builds, researches, develops or manufactures a product or service in California that is used for life science research, training, or facilities; or
(2) any sole proprietorship, partnership, joint venture, corporation, or other business entity that: 
(A) employs at least one-third of its total employees in California; or
(B) includes a business unit, division or subsidiary whose permanent principal office or place of business from which the unit, division or subsidiary's trade is directed or managed is located in California, for the specific product or products that are sold by the unit, division or subsidiary to CIRM grantees; or
(C) sells, produces, builds, or manufactures a product or products in California for the specific product or products that are sold to CIRM grantees, so long as the supplier certifies that at least 50% of the cost of the product is attributable to activity undertaken in California; or
(3) any sole proprietorship, partnership, joint venture, corporation, affiliate or other business entity, including those owned by, or under common control with, a corporation, that either individually or as an aggregated group under common control:
(A) employs at least 800 California residents engaged in functions relating to or supporting products or services used for life science research, training, or facilities regardless of where its principal office or place of business is located; or
(B) employs 5,000 or more California residents. 
(b) Any entity that qualifies as a California Supplier under subdivisions (a)(2)(B) or (a)(2)(C), but not any other section, shall be qualified as a California Supplier only for purposes of the supply of the products or services referred to in sections (a)(2)(B) or (a)(2)(C). An entity that qualifies as a California Supplier under subdivisions (a)(1), (a)(2)(A) or (a)(3) shall be considered a California Supplier for all the products and services produced or supplied by that entity. A California Supplier shall identify to CIRM those products or services that qualify under this regulation, which shall be certified by the supplier by any one of the supplier's Chief Executive Officer, General Counsel, Partner or other officer. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i) and 125290.40, Health and Safety Code. 
HISTORY

1. New section filed 11-10-2009; operative 12-10-2009 (Register 2009, No. 46).
Chapter 6. Intellectual Property and Revenue Sharing Requirements for Non-Profit and For-Profit Grantees
§100600. Intellectual Property and Revenue Sharing Requirements for Non-Profit and For-Profit Grantees -- Scope.
Note     •     History

The regulations of this chapter apply to all California Institute for Regenerative Medicine (“CIRM”) Grants awarded to Non-Profit and For-Profit Grantees on or after the effective date of these regulations. By accepting a CIRM Grant, the Grantee agrees to comply with these regulations. Any new or amended regulations of this Chapter subsequently adopted by the Independent Citizens Oversight Committee (“ICOC”) will apply to CIRM-Funded Project(s) or Activities on the start date of the next Budget Period after the effective date of the regulations, except amendments to Title 17, California Code of Regulations, sections 100606, 100607 and 100608, shall only apply to Grants awarded after adoption of the new or amended regulations. All revisions to CIRM regulations will be posted on the CIRM website at www.cirm.ca.gov, which shall serve as notice to the Grantee or Authorized Organization Official of such revisions. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New chapter 6 (sections 100600-100611) and section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100601. Intellectual Property Regulations -- Definitions.
Note     •     History

The following definitions apply to the regulations in this chapter:
(a) Authorized Organizational Official. The individual, named by the applicant organization, who is authorized to act for the applicant organization and to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to applications and awards.
(b) Budget Period. The intervals of time (usually 12 months) into which a Project Period is divided for budgetary funding and reporting purposes as specified in the relevant NGA.
(c) CIRM-Funded Invention. An Invention, whether patentable or not, which arises from CIRM-Funded Research and is either: 
(1) reduced to practice by a Grantee, Grantee Personnel and/or its Collaborator(s) during a CIRM-Funded Project or Activity; or
(2) conceived during a CIRM-Funded Project or Activity and reduced to practice by a Grantee, Grantee Personnel and/or its Collaborator(s) during a CIRM-Funded Project or Activity or within 12 months of the close of the Grant. 
(d) CIRM-Funded Project or Activity. Those activities specified or described in an Application that are approved by the ICOC for funding and for which CIRM has issued an NGA, regardless of whether CIRM funding constitutes all or only a portion of the financial support necessary to carry them out.
(e) CIRM-Funded Research. All aspects of work conducted on a CIRM-Funded Project or Activity that is paid for, in whole or in part, with CIRM funds. 
(f) CIRM-Funded Technology. Data, materials, research results or know-how whether patentable or not, that is (1) generated or conceived in the Project Period of a Grant, and is paid for in whole or in part with CIRM-funds. 
(g) Collaborator. Any person or entity other than a Grantee and Grantee Personnel who (1) receives directly or indirectly CIRM funding for work performed under a Grant, and (2) who obtains any ownership rights to a CIRM-Funded Invention or CIRM-Funded Technology during the Project Period. 
(h) Data. Scientific, clinical or technical recorded information derived during the Project Period of a Grant, regardless of form or the media on which it may be recorded, but not any of the following: financial, administrative, management data, other information incidental to contract administration, preliminary analyses, drafts of scientific papers, plans for future research, peer reviews, or communications with colleagues. “Data” excludes physical objects (e.g., laboratory samples).
(i) Drug. (1) An article recognized in the official United States Pharmacopoeia, Homoeopathic Pharmacopoeia of the United States, or National Formulary, or any supplement to any of them; (2) an article intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in humans or animals; or, (3) an article intended for use as a component of any article specified in subdivision (1) or (2). This term includes therapeutic products such as blood, blood products and cells, but excludes medical procedures and services relating thereto.
(j) Exclusive License. A License Agreement that conveys to the licensee the sole right to make, use, sell, offer for sale and/or import in one or more fields of use or territories, as to a CIRM-Funded Invention or CIRM-Funded Technology, that is not available to be licensed to other entities or persons.
(k) Exclusive Licensee. Any individual or entity receiving by license all rights to make, use, sell, offer for sale and/or import in one or more fields of use or territories a CIRM-Funded Technology or a CIRM-Funded Invention.
(l) For-Profit Organization. A sole-proprietorship, partnership, limited liability company, corporation, or other legal entity that is organized or operated for the profit or financial benefit of its shareholders or other owners. 
(m) Grant. A funding mechanism, other than a loan, providing money and/or property to an eligible entity to assist the recipient in carrying out all or any portion of a CIRM-Funded Project or Activity.
(n) Grantee. The Non-Profit Organization or For-Profit Organization awarded a Grant by CIRM that is legally responsible and accountable for the use of the CIRM funds provided for the performance of the grant-supported project or activity. The Grantee is the entire legal entity, including Affiliates, even if only a particular division is designated in the Notice of Grant Award (“NGA”). An entity is an Affiliate of a Grantee if both entities share substantial common direction or control (either directly or indirectly), or if either entity owns (directly or through one or more entities) at least a 25% capital or profits interest in the other. All University of California Grantee campuses shall be considered as separate and individual Grantees.
(o) Grantee Personnel. Grantee's Principal Investigator(s) and Grantee's employees, students and contractors working under the direct or indirect supervision of the Principal Investigator or a Co-Principal Investigator under the Grant. 
(p) Invention. A discovery that is conceived and/or reduced to practice, whether patentable or not. 
(q) Inventor. A person who is an inventor under the patent law of the relevant governing jurisdiction.
(r) License Agreement. An agreement by which an owner of a CIRM-Funded Invention or CIRM-Funded Technology conveys the right to make, use, develop, sell, offer to sell, and/or import a CIRM-Funded Invention or CIRM-Funded Technology in exchange for consideration. 
(s) Licensing Activities. Efforts of an owner or Collaborator of a CIRM-Funded Invention or CIRM-Funded Technology to negotiate, execute or enforce a License Agreement. 
(t) Licensing Revenue. The consideration rendered to an owner or Collaborator of a CIRM-Funded Invention or CIRM-Funded Technology pursuant to a License Agreement, but excludes subsequent research funding. In the case of Non-Profit Grantees only, Licensing Revenue is calculated by subtracting amounts due to the Inventor pursuant to existing institutional policies from total consideration rendered. For all owners of a CIRM-Funded Invention or CIRM-Funded Technology, Licensing Revenue is calculated by subtracting a proportion of expenses reasonably incurred in prosecuting, defending and enforcing related patent rights equal to CIRM's percentage of support for development of such Invention and Technology from total consideration rendered except to the extent that such expenses are recoverable from a third party as provided in Section 100605(c) or otherwise.
(u) Material Transfer Agreement (“MTA”). An agreement that governs the transfer of tangible research material between a Grantee and/or its Collaborator and an individual or entity (“Recipient”) and defines the rights of the Grantee and the rights and limitations of the Recipient with respect to the materials and any derivatives therefrom. 
(v) Net Commercial Revenue. Income from the sale or transfer, but not licensing or assignment, of a Drug or product(s) resulting in whole or in part from CIRM-Funded Research. Net Commercial Revenue excludes the following (as they pertain to the making, using or selling of products resulting from CIRM-Funded Research):
(1) import, export, excise and sales taxes, and customs duties;
(2) costs of insurance, packing, and transportation from the place of manufacture to the customer's premises; 
(3) credit for returns, allowances or trades; and
(4) pre-commercial revenues received in connection with research and development and/or clinical activities.
(w) Non-Exclusive License. A License Agreement under which the rights transferred or conveyed in a CIRM-Funded Technology or a CIRM-Funded Invention to the licensee remain available to be licensed to one or more entities.
(x) Non-Exclusive Licensee. Any individual or entity that obtains the right to make, use, sell, offer for sale and/or import in a specific field of use or territory, CIRM-Funded Technology or a CIRM-Funded Invention, through a Non-Exclusive License. 
(y) Non-Profit Organization. A university or other institution of higher education or another organization of the type described in 501(c)(3) of the Internal Revenue Code of 1986, as amended (26 U.S.C. 501 (c)(3)) and is exempt from taxation under 501 (a) of the Internal Revenue Code (26 U.S.C. 501 (a)) and California Revenue and Taxation Code section 23701d. 
(z) Notice of Grant Award (“NGA”). The document that notifies the Grantee and others that an award has been made, contains or references all terms and conditions of the award as well as the Grantee's and Principal Investigator's agreement to those terms and conditions, and documents the commitment of CIRM funds.
(aa) Principal Investigator. The Principal Investigator (“PI”) is an individual designated by the Grantee to direct CIRM-Funded Research. He or she is responsible and accountable to the Grantee and CIRM for the proper conduct of the project or activity. References herein to “Principal Investigator” include Co-Principal Investigators as well. 
(bb) Project Period. The amount of time over which CIRM funds a a specific Grant.
(cc) Public Funds. Funds belonging to the State of California or of any county, city, city and county, or other municipal corporation or subdivision thereof, or any public agency therein.
(dd) Publication-Related Biomedical Materials. Tangible research material of biomedical relevance first produced in the course of CIRM-Funded Research including but not limited to unique research resources (such as synthetic compounds, organisms, cell lines, viruses, cell products, cloned DNA, as well as DNA sequences, mapping information, crystallographic coordinates, and spectroscopic data), as described in a published scientific paper as provided by Title 17, California Code of Regulations, section 100603. Specific examples include specialized and/or genetically defined cells, including normal and diseased human cells, monoclonal antibodies, hybridoma cell lines, microbial cells and products, viruses and viral products, recombinant nucleic acid molecules, DNA probes, nucleic acid and protein sequences, certain types of animals including transgenic mice and other property such as computer programs. This term does not include tangible research material of biomedical relevance that is made commercially available by a Grantee, Grantee Personnel, Licensee or a Collaborator, as determined by CIRM pursuant to Title 17, California Code of Regulations section 100604, subdivision (e). 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100602. Invention and Licensing Reporting Requirements.
Note     •     History

(a) Prior to an NGA and continuing 12 months after the close of a Grant, a Grantee must have written agreements with Grantee Personnel and Collaborators requiring prompt disclosure to the Grantee of any CIRM-Funded Invention.
(b) Within 60 calendar days after a CIRM-Funded Invention has been disclosed to a Grantee, the Grantee must notify CIRM of the CIRM-Funded Invention through the use of the CIRM Invention Disclosure Form, which will be received in confidence by CIRM. The Invention Disclosure Form shall identify the Grant under which the CIRM-Funded Invention was made, the Inventor(s) and the Principle Investigator. The Disclosure shall be sufficiently complete in technical detail to convey a clear understanding, to the extent known at the time of the disclosure, of the nature, purpose, operation, and physical, chemical, biological or electrical characteristics of the CIRM-Funded Invention. If the CIRM-Funded Invention has been submitted for publication or presentation, then the Disclosure shall identify the publication, the date of the abstract or manuscript or presentation, the submission date and if relevant any publication dates, including publication via the internet. 
(c) A Grantee must submit annually to CIRM during, and for 15 years after, the Project Period of the Grant, an Invention Utilization Report containing the following information:
(1) Grantees must report all patent applications filed which claim, or cite to publications concerning, CIRM-Funded Inventions, including the countries in which application(s) were filed, application serial number(s), status and detailed description(s) of the CIRM-Funded Invention(s); and
(2) Grantees must report the issuance or abandonment of any patent applied for that claims, or cites to publications concerning, CIRM-Funded Invention, including the patent number and date of issuance or abandonment and the countries in which the applications have issued or have been abandoned; and
(3) Grantees must report the total funding from all sources that directly contributed to a CIRM-Funded Invention disclosed or claimed in the patent application, including each co-funder's identity, the dollar amounts each contributed and the dates of contribution. CIRM may audit all such co-funding reports; and 
(4) A Grantee must report to CIRM the execution of all Exclusive License Agreements, Non-Exclusive License Agreements, Material Transfer Agreements or Collaborative Agreements conveying rights in CIRM-Funded Inventions or CIRM-Funded Technology; and
(5) In the event that a CIRM- Funded Invention or CIRM-Funded Technology generates revenue or other consideration (whether from a License Agreement or otherwise), a Grantee must report such revenue or consideration received during the preceding 12 month period or since the last report, whichever is longer. 
(6) A Grantee must report the following key progress toward commercialization of a CIRM-Funded Invention or CIRM-Funded Technology including the following:
(A) Initiation of clinical testing; 
(B) Initiation of pivotal studies; and
(C) Application for marketing approval.
(7) Grantee shall have written agreements with its Grantee Personnel, Collaborators, licensees and transferees requiring such third parties to report to the Grantee information described in this subdivision (c).
(d) The Invention Utilization Report shall be marked “Confidential” in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(e) CIRM reserves the right to itself and its agents to conduct an audit of the Grantee and Collaborators to ensure compliance with this Chapter. Grantee and Collaborators must maintain and provide such documentation as is necessary to establish compliance. Further, Grantee must ensure that its Collaborators, Grantee Personnel and all Exclusive and Non-Exclusive Licensees maintain such documentation as is necessary to establish compliance. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100603. Publication Requirements.
Note     •     History

(a) Within 60 calendar days of the publication in a scientific journal, or the publication of an abstract in connection with a scientific meeting, of a CIRM-Funded Invention or CIRM-Funded Technology, the Grantee must submit to CIRM a Publication Disclosure Form containing a 500-word abstract written for the general public that highlights the findings of the publication, as well as a brief statement of the Principal Investigator's biographical credentials. The abstract and biographical statement will be publicly-available by CIRM. 
(b) One copy of each publication or abstract must accompany the Publication Disclosure Form. The form will identify the Grant Number, Grantee Institution, Principal Investigator and provide space for information identified in subdivision (a) of this regulation.
(c) A Grantee must ensure that the final abstract or manuscript includes the URL of a website where a Materials Transfer Agreement (or similar document) can be accessed to facilitate requests for Publication-related Biomedical Materials.
(d) Any written or oral publication reporting a CIRM-Funded Invention or CIRM-Funded Technology must acknowledge CIRM funding. An example of an acknowledgement is:
“This research was made possible by a grant from the California Institute for Regenerative Medicine (Grant Number _______). The contents of this publication are solely the responsibility of the authors and do not necessarily represent the official views of CIRM or any other agency of the State of California.” 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100604. Publication-Related Biomedical Materials Requirements.
Note     •     History

(a) A Grantee shall share Publication-related Biomedical Material, for bona fide purposes of research in California. Such materials are to be shared without cost to the requestor or at the actual cost of providing the materials without an allocation of costs for overhead, research, discovery or other non-direct costs of providing the materials.
(b) A Grantee must share such materials within 60 calendar days of receipt of a written request, without bias as to the affiliation of the requestor, unless otherwise prohibited by law. 
(c) CIRM may approve alternatives to this sharing requirement on a showing that: 
(1) the number of sharing requests has become financially onerous for the Grantee; 
(2) the material or its transfer could pose a public health risk; or
(3) the request is otherwise inappropriate, as determined by CIRM.
(d) In lieu of sharing as provided herein, a Grantee may provide requestors with the information necessary to reconstruct or obtain identical material.
(e) With prior approval from CIRM, a Grantee's obligations under this regulation may cease when the materials are made broadly commercially available. CIRM's review in response to a request for such approval shall include a determination of whether Grantee's terms for access are unreasonably onerous so as to create an unreasonable barrier to access to the materials.
(f) Prior to transferring any Publication-related Biomedical Material, a Grantee may require the requestor to execute an industry-standard or university-standard Material Transfer Agreement restricting the use and dissemination of such materials and its derivatives. 
(g) A Grantee has no obligation under these regulations to share third party materials described in publications, patents, patent applications or presentations of CIRM-Funded Research or CIRM-Funded Technology or CIRM-Funded Inventions such as raw materials purchased by the Grantee to develop or synthesize the Publication-related Biomedical Material or other materials covered by third party intellectual property rights, or if the Grantee is legally prohibited from doing so.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100605. Patents.
Note     •     History

(a) Nothing in these Regulations grants CIRM an ownership interest in CIRM-Funded Inventions, CIRM-Funded Research or CIRM-Funded Technology. 
(b) Grantees may retain or transfer all or a portion of any of Grantee's right, title or interest to any CIRM-Funded Invention or CIRM-Funded Technology or CIRM-Funded Research and to any patent or patent application relating thereto. 
(c) Grantees shall bear the costs associated with any patent application disclosing or claiming any one or more CIRM-Funded Inventions, any patent itself, and all costs of pursuing, maintaining and protecting such applications patents. However, these Regulations shall not restrict the rights of Grantees to recover these costs through license fees or other consideration.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100606. Licensing and Assignment of CIRM-Funded Inventions and Technology.
Note     •     History

(a) Subject to the provisions of Title 17, California Code of Regulations, section 100610, a Grantee shall make reasonable efforts to develop, commercialize or otherwise bring to practical application CIRM-Funded Technology or CIRM-Funded Inventions.
(b) If a Grantee elects not to develop, commercialize or otherwise bring to practical application a CIRM-Funded Invention or CIRM-Funded Technology itself, then it shall make reasonable efforts to negotiate Non-Exclusive Licenses for third party development of such CIRM-Funded Inventions or CIRM-Funded Technology, unless (1) doing so would put the Grantee at a competitive disadvantage with a competitor, or (2) the Grantee through reasonable means shares or otherwise makes publicly available the CIRM-Funded Inventions or Technology. 
(c) A Grantee may negotiate an Exclusive License for a CIRM-Funded Invention or CIRM-Funded Technology if exclusivity is reasonably believed by the Grantee to be an economic incentive necessary to achieve commercial development and availability of the invention. 
(1) A Grantee must document the development and commercialization capabilities of any intended exclusive licensee prior to entering into an Exclusive License.
(2) A Grantee must include in any Exclusive License terms addressing all reasonably anticipated therapeutic and diagnostic uses for the CIRM Funded Invention or CIRM-Funded Technology that the licensee is prepared to diligently develop and commercialize. Such terms shall include the following:
(A) a commercial development plan to bring the invention to practical application, including milestones and benchmarks, so that the Exclusive Licensee's progress of development can be assessed and monitored;
(B) explicit remedies for failure to develop, including modification or termination of an Exclusive License in the event that a licensee is unable to fully develop the rights granted; and
(C) explicit grounds for modification or termination, such as failure to use commercially reasonable efforts to meet agreed-upon milestones or benchmarks, failure to negotiate in good faith alternative milestones or benchmarks, and failure to abide by subdivision (f) of this regulation.
(d) A Grantee may negotiate an Exclusive License for a CIRM- Funded Invention or CIRM-Funded Technology that is required for commercialization of a Drug, as defined in Title 17, California Code of Regulations, section 100601, subdivision (i), only if the licensee agrees in writing to abide by the provisions of Title 17, California Code of Regulations, section 100607. 
(e) Subject to the provisions of Title 17, California Code of Regulations, section 100610, a Grantee bears responsibility for Licensing Activities including identification of potential licensees, negotiation of License Agreements, and documentation of the progress and execution of development under a License Agreement for all CIRM-Funded Inventions or CIRM-Funded Technology. A Grantee must submit an annual Invention Utilization Report describing, among other things, these licensing and/or assignment activities as described in Title 17, California Code of Regulations, section 100602.
(f) In licensing CIRM-Funded Inventions or CIRM-Funded Technology Exclusively or Non-Exclusively, Non-Profit Grantees shall retain the right to practice the use of its CIRM-Funded Inventions or CIRM-Funded Technology and to utilize the same for its non-commercial purposes. A Non-Profit Grantee agrees to make its CIRM-Funded Inventions or CIRM-Funded Technology readily accessible on reasonable terms, directly or through a licensee or licensees or other suitable means, to other Non-Profit Grantees for non-commercial purposes, upon request from a Non-Profit Grantee.
(g) A Grantee must monitor and annually report to CIRM in its Invention Utilization Report the performance of an Exclusive Licensee to ensure that said Licensee performs according to the milestones and benchmarks as described in section 100602, subdivision (c). 
(h) A Grantee must take reasonable action to enforce the terms of an Exclusive License and must promptly report any material breach affecting any of the obligations under these regulations of an Exclusive License in writing to CIRM. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100607. Access Requirements for Products Developed by Grantees.
Note     •     History

(a) A Grantee, a Collaborator or an Exclusive Licensee that is commercializing a Drug, as defined in Title 17, California Code of Regulations, section 100601, subdivision (i), that resulted in whole or in part from CIRM-Funded Research must submit a plan to afford access to such a Drug to Californians who have no other means to purchase the Drug. As used in this section, “no other means” means Californians who are not covered by a prescription drug benefit provided by any third-party payer (private or public) covering the particular Drug, and whose family incomes are below 300 percent of the federal poverty level. The access plan must be consistent with industry standards at the time of commercialization accounting for the size of the market for the Drug and the resources of the Grantee, the Collaborator or its Exclusive Licensee. Grantees, Collaborators and/or their Exclusive Licensees shall have the burden of establishing that the proposed access plan satisfies the requirements of this Section.
(b) A Grantee, a Collaborator or an Exclusive Licensee that commercializes a Drug must submit the access plan described in subdivision (a) of this regulation to CIRM within 10 business days following final approval of the Drug by the federal Food and Drug Administration, unless, within that timeframe, the Grantee, Collaborator or Exclusive Licensee seeks an extension from CIRM. If CIRM grants an extension, the access plan must be submitted no later than 30 business days following final approval of the Drug by the federal Food and Drug Administration.
(c) The access plan shall be subject to the approval of CIRM after a public hearing conducted by CIRM that provides for receipt of public comment. CIRM may adopt appropriate procedures to protect proprietary information submitted by Grantees, Collaborators and Exclusive Licensees in connection with said public hearing. Approval shall not be unreasonably withheld. Overall, CIRM shall not require that proposed Access plans exceed industry standards for such plans at the time of commercialization in California.
(d) Access plans approved hereunder shall make Grantees, Collaborators and Exclusive Licensees that commercialize a Drug responsible only for providing the Drug itself. Nothing herein shall require the Grantee, Collaborator or Exclusive Licensee to be responsible for any costs of administering the Drug nor for any associate costs of medical procedures or protocols for the Drug therapy, nor for any costs for attendant care. 
(e) The Independent Citizens Oversight Committee (“ICOC”) may waive the requirement in subdivision (a) of this section if the ICOC determines, after a public hearing, that in the absence of the waiver, development and broad delivery of the Drug will be unreasonably hindered or that the waiver will provide significant benefits that equal or exceed the benefits that would otherwise flow to the state pursuant to subdivision (a) of this section. To invoke this waiver provision, a Grantee, Collaborator or Exclusive Licensee must deliver a written request to the Chair of the ICOC within 10 business days following final approval of the Drug by the federal Food and Drug Administration, unless the Chair of the ICOC agrees to an extension. The request must be accompanied by materials describing how development and broad delivery of the Drug will be unreasonably hindered by compliance with subdivision (a) of this section, and/or how the waiver will provide significant benefits that equal or exceed the benefits that would otherwise flow to the state pursuant to subdivision (a) of this section. The request shall be posted on CIRM's website no fewer than ten (10) business days prior to the ICOC's consideration. The ICOC may meet in closed session to review confidential or proprietary material, or other material as allowed by Health and Safety Code section 125290.30, subdivision (d).
(f) A Grantee, Collaborator, or an Exclusive Licensee that is commercializing the Drug must provide a Drug, that resulted in whole or in part from CIRM-Funded Research, at a price as provided in the California Discount Prescription Drug Program (commencing with California Health and Safety Code section 130500) (or a successor statewide prescription drug discount program) to eligible Californians under said program.
(g) A Grantee, Collaborator or its Exclusive Licensee that is commercializing the Drug must sell a Drug, that resulted in whole or in part from CIRM-Funded Research, and which is purchased in California with Public Funds (as defined in Title 17, California Code of Regulations, section 100601, subdivision (cc)) at any benchmark price described in the California Discount Prescription Drug Program or a successor statewide prescription drug discount program. 
(h) This regulation is not intended, and this regulation shall not be construed, to preempt or prevent any other requirement under state or federal law or regulation, or agreement or contract, that would result in selling a Drug at a lower price than provided hereunder.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30 and 125290.80, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
2. Amendment of subsections (a)-(b), repealer of subsection (c), subsection relettering, new subsection (e) and amendment of subsection (g) and Note filed 4-18-2012; operative 4-18-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 16). 
§100608. Revenue Sharing.
Note     •     History

(a) A Grantee and Collaborator must share with the State of California a fraction of Licensing Revenue received under a License Agreement for a CIRM-Funded Invention, CIRM-Funded Technology, or results of CIRM-Funded Research, as follows:
(1) Subject to subdivision (a)(2) of this regulation and to adjustments made in accordance with the provisions hereof, the amount owed is 25 percent of Licensing Revenue received in excess of $500,000 to the State of California for deposit into the State's General Fund (such payments to be used by the State of California in a manner consistent with Title 35 United States Code, Section 202, subdivision (c)(7)). The threshold amount of $500,000 (in the aggregate) shall be adjusted annually by a multiple of a fraction, the denominator of which is the Consumer Price Index, All Urban Consumers, All Items (San Francisco-Oakland-San Jose; 1982-84=100) as prepared by the Bureau of Labor Statistics of the United States Department of Labor and published for the month of October 2009, and the numerator of which is such Index published for the month in which the Grantee accepts the Grant.
(2) If any funding sources other than CIRM (including those of the Grantee or Collaborator, as the case may be) directly contributed to the development of said CIRM-Funded Invention or CIRM-Funded Technology, then the return to the State of California on Licensing Revenue in excess of the threshold amount described in subdivision (a)(1) of this regulation shall be proportionate to the support provided by CIRM, as follows: The amount of CIRM funding of the CIRM-Funded Invention or CIRM-Funded Technology shall be divided by the total of funding provided by all sources, and that fraction shall be multiplied by 25. That numeral is the percentage due to the State of California of Licensing Revenue.
(b) A Grantee and Collaborator must share with the State of California a fraction of any Net Commercial Revenue it receives from a self-commercialized product it commercializes itself and which resulted from its CIRM-Funded Research (regardless of whether a CIRM- Funded Invention or CIRM-Funded Technology is involved) as follows:
(1) Grantees and Collaborators must pay royalties to the State of California for deposit into the State's General Fund on Net Commercial Revenue exceeding the threshold amount described in subdivision (a)(1) of this regulation. Total payments under this subdivision (b)(1) shall equal and not exceed three times the total amount of the CIRM Grant or Grants that led to the product. The rate of payback of the royalty shall be at a rate of three (3) percent of the annual Net Commercial Revenue from the product. 
(2) In addition, if Net Commercial Revenue from a product commercialized by the Grantee, or Collaborators and which resulted from its CIRM-Funded Research exceeds the milestone of $250 million in any calendar year, a one-time payment of three times the total amount of the Grant(s) awarded shall be paid to the State of California. In addition, if Net Commercial Revenue exceeds the milestone of $500 million in any calendar year, an additional one-time payment of three times the total amount of the Grant(s) awarded shall be paid to the State of California. 
(3) In addition to any amounts due under any other provision of this regulation, where a patented CIRM-Funded Invention(s) or patented CIRM-Funded Technology is involved in the achievement of Net Commercial Revenue realized by a Grantee or Collaborator equivalent to or greater than $500 million in any year, and where a CIRM Grant or Grants amounting to more than $5 million (in the aggregate) were made in support of CIRM-Funded Research that contributed to the creation of Net Commercial Revenue, the Grantee or Collaborator will pay the State of California one percent annually of Net Commercial Revenue in excess of $500 million for the life of any patent covering such patented CIRM-Funded Invention or patented CIRM-Funded Technology. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
2. Amendment of subsection (b)(3) filed 4-18-2012; operative 4-18-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 16). 
§100609. Press Release Requirements.
Note     •     History

Grantees and Collaborators must notify CIRM's communications officer at least one calendar day before issuing any press release that refers to CIRM-Funded Research. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100610. March-In Rights.
Note     •     History

(a) CIRM may request that a Grantee, Collaborator or an Exclusive Licensee enter into a nonexclusive, partially exclusive, or Exclusive License Agreement with respect to a CIRM-Funded Invention or CIRM-Funded Technology, in any field of use or territory with a responsible applicant or applicants, upon terms that are reasonable under the circumstances. 
(b) If a Grantee, Collaborator or an Exclusive Licensee refuses CIRM's request to enter into a License Agreement to a CIRM-Funded Invention or CIRM-Funded Technology as provided by this regulation, CIRM shall have the right to enter into such a license with an applicant on behalf of the Grantee or its Exclusive Licensee (march-in) if:
(1) the Grantee, Collaborator or an Exclusive Licensee has not made reasonable efforts to achieve practical application of a CIRM- Funded Invention and/or CIRM- Funded Technology, as applicable;
(2) the Grantee, Collaborator or an Exclusive Licensee have failed to provide or comply with a plan for access to a Drug in accordance with Title 17, California Code of Regulations, section 100607;
(3) the Grantee, Collaborator or Exclusive Licensee has unreasonably failed to use a CIRM- Funded Invention or CIRM- Funded Technology to alleviate public health and safety needs that constitute a public health emergency as declared by the Governor.
(c) One consideration in taking the action described in subdivision (b) of this regulation will be whether doing so will impinge on the Grantee's, Collaborator's or Exclusive Licensee's academic freedoms.
(d) CIRM will promptly notify a Grantee, Collaborator or an Exclusive Licensee of any adverse determination under this provision and the basis therefore, as well as its intention to exercise march-in rights (“March-In Notice”). 
(e) CIRM will not exercise its march-in rights if the Grantee, Collaborator or an Exclusive Licensee promptly takes action to cure the deficiency and such deficiency is cured sooner than one year from the date of the March-In Notice (or longer period by mutual agreement). With respect to a deficiency described in subdivision (b)(3) of this regulation, however, CIRM may exercise such right at any time in the event of a public health or safety emergency declared by the Governor and where CIRM finds that exercise of march-in rights is likely to alleviate the circumstances or conditions that give rise to the emergency declaration. 
(f) Within thirty (30) days of the date CIRM issues a March-In Notice, the subject Grantee may appeal CIRM's decision to the ICOC by notifying the President of CIRM in writing of its intent to appeal CIRM's decision. Within sixty (60) days of the March -In Notice date, the subject Grantee must submit a written statement of the reasons for the appeal and any supporting materials it wishes to have considered by the ICOC. Absent extraordinary circumstances, the ICOC shall render a final determination on the appeal within one hundred twenty (120) days of the March-In Notice. In cases where an appeal is filed, CIRM shall not effect a march-in unless and until the ICOC renders a final determination on the appeal. The ICOC may reverse the decision of the CIRM to exercise march-in rights under this regulation for any reason. 
(g) Unless provided otherwise by CIRM, any applicant to receive a License or Assignment pursuant to this regulation will be bound by this Chapter as if it were an original Grantee recipient of the funding that resulted in the applicable CIRM-Funded Invention or CIRM-Funded Technology.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100611. Assurance of Third-Party Compliance.
Note     •     History

Any party that becomes a successor in interest by merger, purchase, assignment or any other means, of a Grantee, Collaborator or Exclusive Licensee with regard to a CIRM-Funded Invention, CIRM-Funded Technology or CIRM-Funded Research, assumes all obligations of the Grantee, Collaborator or Exclusive Licensee, as applicable, described in this Chapter.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§100700. Grants Administration Policy for Facilities and Equipment Grants.
Note     •     History

(a) In addition to the provisions of Title 17, California Code of Regulations section 100500, all recipients of a facilities grant (a grant pursuant to Health and Safety Code section 125290.70, subdivision (a)(4)) from the California Institute for Regenerative Medicine (“CIRM”) agree to be bound by the terms and conditions of the CIRM Grant Administration Policy for Facilities and Equipment Grants, as adopted by the Independent Citizens Oversight Committee on December 12, 2007, and incorporated herein by reference as identified below.
(b) The CIRM Grant Administration Policy for Facilities and Equipment Grants is incorporated by reference herein in its entirety except for its “Preface.”
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active grants on the anniversary date of the Notice of Grant Award following the effective date of the regulation's amendment, unless specified otherwise in the regulation or the incorporated policy amendment.
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.65, 125290.70 and 125292.10, Health and Safety Code.
HISTORY

1. New section filed 3-17-2008; operative 4-16-2008 (Register 2008, No. 12).
§100701. Grants Administration Policy for Academic and Non-Profit Institutions -- Major Facilities Grants.
Note     •     History

	(a) In addition to the provisions of Title 2, California Code of Regulations section 100500, all recipients of a Major Facilities Grant (RFA 07-03) (a grant pursuant to Health and Safety Code section 125290.70, subdivision (a)(4)) from the California Institute for Regenerative  Medicine (“CIRM”) agree to be bound by the terms and conditions of the “CIRM Grant Administration Policy for Major Facilities (RFA 07-03),” as adopted by the Independent Citizens Oversight Committee and incorporated herein by reference as identified below. The terms of Title 17, California Code of Regulations section 100700 shall not apply to a Major Facilities Grant. 
(b) The “CIRM Grant Administration Policy for Major Grants (RFA 07-03)” is incorporated by reference herein in its entirety except for its “Preface.” 
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active grants on the anniversary date of the Notice of Grant Award following the effective date of the regulation's amendment, unless specified otherwise in the regulation or policy amendment. 
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California. 
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.65, 125290.70 and 125292.10, Health and Safety Code. 
HISTORY

1. New section filed 2-3-2009; operative 3-5-2009 (Register 2009, No. 6).
Chapter 8. Loan Administration
§100800. Loan Administration Policy.
Note     •     History

(a) All recipients of a loan from the California Institute for Regenerative Medicine (“CIRM”) pursuant to Health and Safety Code section 125290.40 and Section 2 of Article XXXV of the California Constitution, agree to be bound by the terms and conditions of the “CIRM Loan Administration Policy,” as adopted by the Independent Citizens Oversight Committee and incorporated herein by reference as identified below.
(b) The “Interim CIRM Loan Administration Policy” is incorporated by reference herein in its entirety except for its “Preface” and the title “Interim.”
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active loans on the anniversary date of the Notice of Loan Award following the effective date of the regulation's amendment, unless specified otherwise in the regulation or policy amendment.
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the loan and, should CIRM no longer exist, those rights may be enforced by the State of California.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.40, 125290.70 and 125292.10, Health and Safety Code.
HISTORY

1. New chapter 8 (section 100800) and section filed 1-10-2011; operative 1-10-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 2).
§100801. Intellectual Property Provisions Applicable to Loan Recipients.
Note     •     History

(a) The following sections of the Intellectual Property and Revenue Sharing Requirements for Non-Profit and For Profit Grantees shall apply to all recipients of a loan or loans granted pursuant to California Constitution Article XXXV Sec. 2(a) and Health and Safety Code Section 125291.20, subdivision (b) (“Loan Recipients”): Sections 100600, 100601, 100602 (except subdivisions (c)(3) and (c)(5), 100603, 100604, 100605, 100606, 100607, 100609, 100610 and 100611, of Title 17, California Code of Regulations.
(b) In the event that a Loan Recipient is unable or unwilling to repay its loan and the Loan Recipient or its CIRM Funded Invention or CIRM-Funded Technology is not the subject of a repayment-triggering change of control as defined in its loan documents or the CIRM Loan Administration Policy, then said Loan Recipient shall neither abandon nor otherwise compromise the value of the CIRM Funded Invention or Technology without first 1) notifying CIRM at least sixty (60) days in advance of any abandonment or compromise of the value or the inability or unwillingness to repay the loan; 2) making a good faith effort to identify third parties who are both i) interested in acquiring said Invention or Technology and ii) willing to undertake the applicable Loan obligations; and 3) co-operating with CIRM in transferring the Invention or Technology and all related obligations and interests to the identified third party on terms acceptable to CIRM.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code.
HISTORY

1. New section filed 3-7-2011 operative 3-7-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 10).
§96100. Local Health Officers' Report of Known or Suspected Pesticide-Related Illness. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 105200, Health and Safety Code. Reference: Section 105200, Health and Safety Code.
HISTORY

1. New division 3.5 (chapter 2, subchapter 1, article 1, section 96100) and section filed 5-4-2007; operative 6-3-2007 (Register 2007, No. 18).
2. Change without regulatory effect renumbering former section 96100 to new section 98100 filed 9-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 36).
§98100. Local Health Officers' Report of Known or Suspected Pesticide-Related Illness.
Note     •     History

(a) Upon receipt of a report of a known or suspected pesticide-related illness or injury from a licensed physician or other health care provider, as defined in Title 17, California Code of Regulations, section 2500(a)(14), the local health officer or designee shall report the following information to the Director of the Office of Environmental Health Hazard Assessment, the Director of Pesticide Regulation, and, for work-related illness or injury, the Director of Industrial Relations:
(1) Patient demographic information, including:
(A) First and last name.
(B) Social security number, if available.
(C) Birth date.
(D) Residence address, including street address, city, county, state, and zip code.
(E) Contact telephone number, including residential, work, or cellular telephone.
(F) Gender.
(G) Ethnicity, if known.
(H) Race, if known.
(2) Patient health and medical information, including:
(A) Date of onset of illness or symptoms.
(B) Date of initial examination by health care provider.
(C) Symptoms reported by patient and observations noted by health care provider.
(D) Laboratory or diagnostic tests conducted and results.
(E) Treatment rendered, if any.
(F) Medical diagnosis.
(3) Pesticide exposure information, including:
(A) Date of exposure.
(B) Name of pesticide or active ingredient, if known.
(C) Description of the location where exposure occurred, including county.
(D) Description of how the exposure occurred, e.g., pesticide drift, direct spray, accidental ingestion.
(E) Determination of whether the exposure occurred at work.
(F) Determination of whether others were exposed during the incident.
(G) Description of the patient's activity at time of exposure, e.g., field work, pesticide application, equipment repair.
(4) Health care provider information, including:
(A) First and last name of health care provider.
(B) Name of facility where the patient was examined or treated.
(C) Address of facility where patient was examined or treated, including street address, city, county, state, and zip code.
(D) Contact telephone number of health care provider.
(E) Name of person who submitted the report, if different from the health care provider.
(5) Reporting agency information, including:
(A) Agency name.
(B) Agency address, including street address, city, and county.
(C) Agency contact telephone number.
(D) Facsimile number.
(b) The unavailability of any of the information required by section 96100(a) shall not prevent the health officer from providing a report of the pesticide illness or injury to the required state agencies with the information that is available as long as reasonable efforts are made to obtain the information.
(c) Reports of known or suspected pesticide-related illness shall be transmitted to the State agencies by the local health officer, or his or her designee, in a secure manner consistent with state and federal medical record transfer laws and regulations (Civil Code section 1798 et seq., Government Code sections 6250-6270; Public Law 104-191; 45 CFR parts 160, 162, and 164), via either of the following:
(1) Mail or facsimile of a paper form, such as OEH 700 (9/2006), available through OEHHA (www.oehha.ca.gov/pesticides).
(2) Electronic media, where available.
NOTE

Authority cited: Section 105200, Health and Safety Code. Reference: Section 105200, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 96100 to new section 98100 filed 9-5-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 36).
Division 4. California Institute for Regenerative Medicine
§100000. Conflict of Interest Code -- CIRM.
Note     •     History

(a) The terms of 2 Cal. Code of Regs. section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission except as set forth in chapter 3, article 1, subdivision (g), of Proposition 71, which was approved by the voters on November 2, 2004, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code of the California Institute for Regenerative Medicine.
(b) The Board Members and the President of the Independent Citizens Oversight Committee shall file statements of economic interests with the California Institute for Regenerative Medicine, which shall make and retain a copy and forward the original to the fair Political Practices Commission, which shall be the filing officer.
(c) All other designated employees shall file statements of economic interests with the California Institute for Regenerative Medicine, which shall be the filing officer.
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code; and Section 87300, Government Code.  Reference: Section 87300, Government Code; and Section 125290.40, Health and Safety Code.
HISTORY

1. New section and Appendices A and B filed 9-11-2006; operative 10-11-2006. Approved by Fair Political Practices Commission 5-18-2006 (Register 2006, No. 37).

Appendix A

	Assigned Disclosure 
Designated Employee	Category

Chair, Independent Citizens Oversight Committee	1
Vice Chair, Independent Citizens Oversight Committee	1
Member, Independent Citizens Oversight Committee	1
Executive Assistant to the Chair	3

Chief of Staff	1
Deputy Chief of Staff	1
Senior Administrative Coordinator	4

Director, Legislation and Research Policy	1

Director, ICOC Board Relations	2
Administrative Coordinator	4

Chief Deputy to the Vice Chair	1
Chair's Liaison to the Working Groups	2

President, Independent Citizens Oversight Committee	1
Chief Administrative Officer/Controller	1
Chief Human Resources Officer	4
Executive Assistant to the President	3

Senior Communications Specialist	3

General Counsel	1
Legal Associate/Ethics Officer	1

Director, Patient & Medical Organizations Relations	2

Chief Scientific Officer	1
Director, Scientific Program and Review Activities	1
Scientific Program Officer	1
Scientific Review Officer	1
Senior Officer for Medical & Ethical Standards	1

Consultant	1*1
_________
1 Consultants shall disclose pursuant to the broadest disclosure category in this conflict of interest code subject to the following limitations: The agency Chief of Staff may determine in writing that a particular consultant, although a designated employee, is hired to perform a range of duties that are limited in scope and thus is not required to comply with the disclosure requirements described in this section. Such determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The determination of the Chief of Staff is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code. Nothing herein excuses any such consultant from any other provision of this Conflict of Interest Code.

Appendix B
Disclosure Categories
Category 1
A designated employee in this category shall report:
All investments, business positions, and income, including gifts, loans and travel payments; and all interests in real property located in the state of California, as defined in the Political Reform Act and the FPPC's regulations.
Category 2
A designated employee in this category shall report:
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to receive grants or other monies from or through the California Institute for Regenerative Medicine;
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to offer or provide facilities, services, goods or products purchased or used, or contracted for, by the California Institute for Regenerative Medicine, and is providing or planning to provide such facilities, services, goods or products; and
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is engaged in biomedical research or manufacturing biomedical pharmaceuticals.
Category 3
A designated employee in this category shall report:
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is engaged in biomedical research or manufacturing biomedical pharmaceuticals.
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to offer or provide facilities, services, goods or products purchased or used, or contracted for, by the California Institute for Regenerative Medicine, and is providing or is planning to provide such facilities, services, goods or products.
Category 4
A designated employee in this category shall report:
All investments, business positions and income, including gifts, loans and travel payments, if the business entity or source of income is of the type to offer or provide facilities, services, goods or products purchased or used, or contracted for, by the California Institute for Regenerative Medicine, and is providing or planning to provide such facilities, services, goods or products.
§100001. Definitions for Working Group Conflict of Interest Provisions.
Note     •     History

The following definitions apply to the conflict of interest regulations contained in this Chapter: 
(a) “Applicant” includes investigators, the project director(s) and the applicant entity or entities. Each campus of a statewide university is considered to be a separate institution. 
(b) “CIRM” is the California Institute for Regenerative Medicine. 
(c) “Facilities Working Group” refers to the Scientific and Medical Facilities Working Group. 
(d) “Grant” means a grant, loan or guarantee. 
(e) “Grantee” means a recipient of a grant from the institute. Each campus of a statewide university shall be considered as a separate and individual grantee institution. 
(f) “Grants Review Working Group” refers to the Scientific and Medical Research Funding Working Group. 
(g) “Member” is a non-ICOC individual appointed to serve as a voting member on a working group. 
(h) “Principal Investigator” is an individual designated by the grantee to direct the project or activity being supported by the grant. 
(i) “Project Director” is an individual designated by the grantee to direct the project or activity being supported by the grant. 
(j) “Standards Working Group” refers to the Scientific and Medical Accountability Standards Working Group 
(k). “Working Group” means any of three advisory bodies to the Independent Citizens' Oversight Committee (“ICOC”), the governing body of the CIRM. 
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50, 125290.55, 125290.60, 125290.65, 125292.10(i) and (j), Health and Safety Code. 
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
§100002. Conflicts of Interest -- Non-ICOC Members of the Scientific and Medical Accountability Standards Working Group.
Note     •     History

(a) Prohibitions: Non-ICOC Members of the Standards Working Group are precluded from deriving direct financial benefit from the CIRM through grants, loans or contracts and from acting as a Principal Investigator on any CIRM-funded grant. Senior academic officers (including, but not limited to, chancellors, presidents of institutions, deans, chairs of departments, executive officers of research institutions, and other similar positions), who, as part of their responsibilities, oversee and advise researchers in their institution or who sign off on grants, loans or contracts shall not be deemed to have a conflict of interest under this regulation. 
(b) Disclosure: A non-ICOC working group member has a financial interest in and must disclose confidentially and under penalty of perjury the following: 
(1) All California-based academic or non-profit research institutions from which Standard Working Group members, their spouses, or others with whom a member has a common financial interest, receive current income of $5,000 or more; 
(2) All biotechnology and pharmaceutical companies from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit or investments of $5,000 or more; and 
(3) All real property interests in California of $5,000 or more (including real estate interests and interests in intellectual property such as patents and copyrights) held by members, their spouses, or others with whom a member has a common financial interest. 
(c) Disqualification: A conflict of interest exists when there is a financial or other interest that significantly impairs the individual's objectivity or that creates an unfair advantage for any person, institution or company. A non-ICOC member has a conflict of interest when any financial interest identified in subdivision (b) of this regulation is the subject of a decision before the working group. A member of the Working Group who has a real or apparent conflict of interest with respect to a decision may not participate in the decision and must leave the room when that decision is discussed. In exceptional cases, the President of the CIRM may decide that the need for special expertise of a member outweighs any possible bias posed by a real or apparent conflict of interest. Under these circumstances, the CIRM staff shall publicly disclose the working group member's interest before the meeting and the working group member shall be permitted to participate in the discussion but will not be permitted to vote on the matter. 
(d) Record-Keeping: All financial disclosure documents shall be kept confidential by the CIRM staff and preserved for purposes of review by the State Auditor or another independent auditor and any other audit as required by law. Records of the working group indicating those members who participated in or voted on particular recommendations shall be maintained by the CIRM staff. If the CIRM or an auditor discovers a violation of these conflict of interest provisions, a report will be made to the Legislature along with a review of corrective actions taken by the CIRM to prevent future occurrences. 
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50(e) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
§100003. Conflicts of Interest -- Non-ICOC Members of the Scientific and Medical Research Funding Working Group.
Note     •     History

(a) Prohibition: Except as provided otherwise in this regulation, a Grants Review Working Group member may not participate in a decision of the working group in which the individual has a conflict of interest. A conflict of interest exists when a non-ICOC Grants Review Working Group member has a real or apparent interest in the outcome of an application such that the member is in a position to gain financially, professionally or personally from either a positive or negative evaluation of the grant proposal. 
(b) “Financial: Conflict of Interest -- Defined: A non-ICOC member has a financial conflict of interest if: 
(1) The member, his or her spouse, or any other person with whom the member has a common financial interest, is an employee of either the institution or the Principal Investigator on an application. 
(2) The member, his or her spouse, or any other person with whom the member has a common financial interest, is under active consideration for a faculty or administrative position at an applicant institution. 
(3) A member, his or her spouse, or any other person with whom the member has a common financial interest, stands to receive a financial benefit of any amount from an application under review. 
(4) A member, his or her spouse, or any other person with whom the member has a common financial interest, has received or could receive a financial benefit of any type from an applicant institution or organization unrelated to the proposal, of over $5,000 per year. This total includes honoraria, fees, stock and other benefits. It also includes current stock holdings, equity interest, intellectual property or real property interest, but does not include diversified mutual funds. 
(c) “Professional” Conflict of Interest -- Defined: A non-ICOC member has a professional conflict of interest if: 
(1) A person listed on the grant application as Principal Investigator or someone who receives salary from the grant is a professional associate, such as a former student or post-doctoral fellow, or someone with whom the member has co-authored a publication within the last three years. 
(2) The member and a primary member of the applicant's research team are engaged in, or are planning to be engaged in, collaboration. 
(3) An applicant is someone with whom the member has had long-standing scientific differences or disagreements that are known to the professional community and could be perceived as affecting the member's objectivity. 
(d) “Personal” Conflict of Interest -- Defined: A non-ICOC member has a personal conflict of interest if: 
(1) A close family member or close personal friend is an applicant. 
(2) An applicant is someone with whom the member has had long-standing personal differences. 
(e) Disclosure: A non-ICOC working group member shall disclose confidentially and under penalty of perjury the following financial interests: 
(1) All California-based academic or non profit research institutions from which members, their spouses, or others with whom the member has a common financial interest, receive income or other benefit of $5,000 or more. 
(2) All publicly-held biotechnology and pharmaceutical companies from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit, or hold an investment, of $5,000 or more. 
(3) All privately held biotechnology companies in which reviewers, their spouses, or others with whom a member has a common financial interest, have an equity interest. 
(4) Real property interests in California held by members, their spouses, or others with whom a member has a common financial interest. 
(f) Disqualification: A non-ICOC member is required to report to the CIRM staff any conflict of interest of which he or she is aware, including, but not limited to, those described in subdivisions (b) through (e) of this regulation. Any member of the Grants Review Working Group who has a real or apparent conflict of interest with respect to an application may not review or vote on the application and must leave the room when that application is discussed. In exceptional cases, the President of the CIRM may decide that the need for special expertise of the reviewer outweighs any possible bias posed by a real or apparent conflict of interest. Under these circumstances, the CIRM staff shall publicly disclose the working group member's interest before the meeting and the working group member shall be permitted to participate in the discussion but will not be permitted to vote on the application or participate in the scientific scoring. 
(g) All non-ICOC members must sign a pre-review statement indicating any possible conflicts of interest that they have, and must also sign a post-review statement that they did not participate in the discussion or review of any application for which they might have a conflict of interest, or shall indicate permission to participate was granted by the President pursuant to subdivision (f) of this regulation. 
(h) Record-Keeping: All financial disclosure documents shall be kept confidential by the CIRM staff and preserved for purposes of review by the State Auditor or another independent auditor and any other audit as required by law. Records of the working group indicating those members who participated in or voted on particular recommendations shall be maintained by the CIRM staff. If the CIRM or an auditor discovers a violation of these conflict of interest provisions, a report will be made to the Legislature along with a review of corrective actions taken by the CIRM to prevent future occurrences. 
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50(e) and 125290.60, Health and Safety Code. 
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
§100004. Conflicts of Interest -- Non-ICOC Members of the Scientific and Medical Facilities Working Group.
Note     •     History

(a) Prohibitions: Except as provided otherwise in this regulation, a Facilities Working Group member may not participate in a decision of the working group in which the individual has a conflict of interest. Non-ICOC members serving on the Facilities Working Group may not receive compensation from any construction or development entity providing specialized services for medical research facilities. Non-ICOC members may not provide real estate facilities brokerage services for any applicant for a facilities grant, or for any entity that receives funding from the Facilities Working Group, and shall not receive compensation from any recipient of CIRM funding grants. 
(b) Conflict of Interest Protections: A conflict of interest exists when a non-ICOC Working Group member has a real or apparent interest in the outcome of an application such that the member is in a position to gain financially or professionally from either a positive or negative evaluation of the grant proposal. 
(c) “Financial” Conflict of Interest -- Defined: A non-ICOC member has a financial conflict of interest if: 
(1) The member, his or her spouse, or any other person with whom the member has a common financial interest, is an employee of any construction, real estate or development entity on an application. 
(2) The member, his or her spouse, or any other person with whom the member has a common financial interest, is under active consideration for employment at an applicant entity. 
(3) A member, his or her spouse, or any other person with whom the member has a common financial interest, stands to receive a financial benefit of any amount from an application under review. 
(4) A member, his or her spouse, or any other person with whom the member has a common financial interest, has received or could receive a financial benefit of any type from an applicant institution or organization unrelated to the proposal, of over $5,000 per year. This total includes honoraria, fees, stock and other benefits. It also includes current stock holdings, equity interest, intellectual property or real property interest, but does not include diversified mutual funds. 
(d) “Professional” Conflict of Interest -- Defined: A non-ICOC member has a professional conflict of interest if the reviewer and a project director or manager of an application are engaged in, or are planning to be engaged in, a joint project. 
(e) Disclosure: A non-ICOC working group member shall disclose confidentially and under penalty of perjury the following financial interests: 
(1) All California-based academic or non-profit research institutions from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit of $5,000 or more. 
(2) All construction, real estate or development firms from which members, their spouses, or others with whom a member has a common financial interest, receive current income or other benefit, or hold an investment, of $5,000 or more. 
(3) All real property interests in California held by members, their spouses, or others with whom a member has a common financial interest. 
(f) Disqualification: A non-ICOC member is required to report to the CIRM staff member any conflict of interest of which he or she is aware, including, but not limited to, those described in subdivisions (c) through (e) of this regulation. Any member of the Facilities Working Group who has a real or apparent conflict of interest with respect to an application may not review or vote on the application and must leave the room when that application is discussed. In exceptional cases, the President of the CIRM may decide that the need for special expertise of the reviewer outweighs any possible bias posed by a real or apparent conflict of interest. Under these circumstances, the CIRM staff shall publicly disclose the working group member's interest before the meeting and the working group member shall be permitted to participate in the discussion but will not be permitted to vote on the application. 
(g) All members reviewing grants must sign a pre-review statement indicating any possible conflicts of interest that they have, and must also sign a post-review statement that they did not participate in the discussion or review of any application for which they might have a conflict of interest, or shall indicate permission to participate was granted by the President pursuant to subdivision (f) of this regulation. 
(h) Record-Keeping: All financial disclosure documents shall be kept confidential by the CIRM staff and preserved for purposes of audit as provided for in Health and Safety code Section 125290.30 and any other audit as required by law. Records of the working group indicating those members who participated in or voted on particular recommendations shall be maintained by the CIRM staff. If the CIRM or an auditor discovers a violation of these conflict of interest provisions, a report will be made to the Legislature along with a review of corrective actions taken by the CIRM to prevent future occurrences.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.50(e) and 125290.65, Health and Safety Code.
HISTORY

1. New section filed 10-5-2006; operative 11-4-2006 (Register 2006, No. 40).
Chapter 2. Human Embryonic Stem Cell Research
§100010. Scope of Chapter 2 -- Stem Cell Research.
Note     •     History

The standards set forth in this chapter apply to all institutions, as defined by Title 17, California Code of Regulations, section 100020, subdivision (f), performing research, as defined in Title 17, California Code of Regulations, section 100020, subdivision (d), funded by the California Institute for Regenerative Medicine (CIRM) as authorized by Article XXXV of the California Constitution. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code.
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100020. Definitions.
Note     •     History

As used in this chapter: 
(a) “Acceptably derived” means derived in accordance with the requirements of Code of California Regulations, Title 17, sections 100080 and 100090. 
(b) “CIRM” means the California Institute for Regenerative Medicine. 
(c) “Covered stem cell line” means a culture-derived, human pluripotent stem cell population that is capable of: 1) sustained propagation in culture; and (2) self-renewal to produce daughter cells with equivalent developmental potential. This definition includes both embryonic and non-embryonic human stem cell lines regardless of the tissue of origin. “Pluripotent” means capable of differentiation into mesoderm, ectoderm, and endoderm. 
(d) “Funded research” means research supported in whole or part by funds authorized by article XXXV of the California Constitution. For the purpose of this chapter, training activities supported by such funds shall be considered funded research. 
(e) “Human subject” means a living individual about whom an investigator (whether professional or student) conducting research obtains: 
(1) Data through intervention or interaction with the individual, or 
(2) Identifiable private information. 
(f) “Institution” means any public or private entity or agency (including federal, state, local or other agencies). 
(g) “Institutional Review Board” (“IRB”) is an entity established in accordance with Title 45, Code of Federal Regulations, section 46.107, revised June 23, 2005. 
(h) “Permissible Expenses” means necessary and reasonable costs directly incurred as a result of donation or participation in research activities. Permissible expenses may include but are not limited to costs associated with travel, housing, child care, medical care, health insurance and actual lost wages. 
(i) “Research” means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute research for purposes of these regulations, whether or not they are conducted or supported under a program which is considered research for other purposes. 
(j) “Somatic Cell Nuclear Transfer” (“SCNT”) means the transfer of a somatic cell nucleus into an oocyte. 
(k) “Stem Cell Research Oversight Committee” (“SCRO” committee) means a committee established in accordance with Code of California Regulations, Title 17, section 100060. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55, 125292.10(p) and (q), Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100030. Activities Not Eligible for CIRM Funding.
Note     •     History

The following activities are not eligible for CIRM funding: 
(a) Human reproductive cloning, as defined in California Health and Safety Code Section 125292.10. subdivision (k), or reproductive uses of SCNT prohibited by article XXXV, section 3, of the California Constitution. 
(b) The culture in vitro of (i) any intact human embryo or (ii) any product of SCNT, parthenogenesis or androgenesis, after the appearance of the primitive streak or after 12 days whichever is earlier. The 12 day prohibition does not count any time during which the embryos and/or cells have been stored frozen. 
(c) The introduction of stem cells from a covered stem cell line into nonhuman primate embryos. 
(d) The introduction of any stem cells, whether human or nonhuman, into human embryos. 
(e) Breeding any animal into which stem cells from a covered stem cell line have been introduced. 
(f) The transfer to a uterus of a genetically modified human embryo. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55 and 125292.10, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100040. Institutional Assurance of Compliance.
Note     •     History

(a) All research institutions shall be responsible for providing written assurance satisfactory to CIRM that CIRM-funded research complies with the requirements set forth in this chapter. 
(b) Each institution shall: 
(1) Ensure that the chancellor, chief executive officer or person with plenary authority designates an institutional official responsible for oversight of and documentation of compliance for CIRM-funded research; 
(2) Designate one or more SCRO committee(s) established in accordance with the requirements of Code of California Regulations, title 17, section 100060; 
(3) Designate one or more IRB(s); 
(4) Ensure that clinical personnel who have a conscientious objection not be required to participate in providing donor information or securing donor consent for research use of gametes or embryos. That privilege shall not extend to the care of a donor or recipient. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100050. Compliance.
Note     •     History

Grantees must report promptly to CIRM any failure to comply with the terms and conditions of an award. Depending on the severity and duration of the non-compliance, CIRM actions may include, but are not limited to, the following: 
(a) Temporary withholding of payment; 
(b) Placing special conditions on awards; 
(c) Conversion to a reimbursement payment method; 
(d) Precluding the grantee (principal investigator (PI) or grantee organization, as appropriate) from obtaining future awards for a specified period; 
(e) Debarment from receipt of further CIRM funds; 
(f) Recovery of previously awarded funds; 
(g) Civil action, including referring the matter to the Office of the Attorney General of the State of California for investigation and enforcement; 
(h) Other available legal remedies. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100060. SCRO Committee Membership and Function.
Note     •     History

(a) A SCRO committee shall be comprised of persons with expertise in, including but not limited to, developmental biology, stem cell research, molecular biology, assisted reproduction, and ethical issues in stem cell research. A SCRO committee shall include at least one non-scientist member of the public who is not employed by, or appointed to, or remunerated by the relevant research institution and who is not part of the immediate family of a person who is affiliated with the institution. In addition, a SCRO committee shall include at least one patient advocate. 
(b) Any member of a SCRO committee may be reimbursed for reasonable out-of-pocket expenses for attending the meeting, not including lost wages. No SCRO committee may have a member participate in the SCRO committee's initial or continuing review of any project in which the member has a conflicting interest, except to provide information to the SCRO committee. 
(c) The designated SCRO committee shall provide scientific and ethical review of CIRM-funded research consistent with the requirements of Section 100070 and other applicable CIRM requirements. 
(d) The SCRO committee shall facilitate education of investigators with applicable requirements of this chapter. 
(e) A SCRO committee may provide oversight for two or more funded research institutions, provided the SCRO committee has oversight authority consistent with the requirements of this chapter. 
(f) A SCRO committee may be convened by an institution, a group of institutions, the CIRM or other state agency. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j). Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100070. SCRO Committee Review and Notification.
Note     •     History

(a) CIRM-funded research involving the procurement or use of human oocytes or the creation of human gametes may not commence without SCRO committee review and approval in writing. If CIRM-funded research involves the procurement of human oocytes from a living donor a member of the committee with expertise in assisted reproduction shall be present. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (a)(3) of this regulation as a condition of granting its approval. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific rationale for the need to procure or use human oocytes or create human gametes. In the case of human oocyte procurement, a justification for the number needed. If SCNT is proposed a justification for SCNT shall be provided. 
(2) Demonstrate experience, expertise or training in derivation or culture of human or nonhuman stem cell lines. 
(3) Provide documentation of compliance with any required review of the proposed research by an IRB, Institutional Animal Care and Use Committee (IACUC), Institutional Bioethics Committee (IBC), or other mandated review. 
(b) CIRM-funded research involving procurement, creation or use of human blastocysts or embryos may not commence without SCRO committee review and approval in writing. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (b)(3) of this regulation as a condition of granting its approval. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific rationale for the need to create or use blastocysts or embryos including a justification for the number needed. 
(2) Demonstrate experience, expertise or training in derivation or culture of human or nonhuman stem cell lines. 
(3) Provide documentation of compliance with any required review of the proposed research by an IRB, Institutional Animal Care and Use Committee (IACUC), Institutional Bioethics Committee (IBC), or other mandated review. 
(c) CIRM-funded human subjects research, as defined by Title 45, Code of Federal Regulations, Part 46 (Protection of Human Subjects), revised June 23, 2005, and California Health and Safety Code section 24173, with the aim to create, from sources other than human gametes, blastocysts or embryos, or use a covered stem cell line may not commence without written notification of the SCRO committee. Research may include animal assays to evaluate pluripotency; however, subsequent introduction of derived covered stem cell lines in non-human animals shall be reviewed in accordance with subdivision (e) of this section. The designated SCRO committee may require the investigator to: 
(1) Demonstrate experience, expertise or training in derivation or culture of human or nonhuman stem cell lines. 
(2) Provide documentation of compliance with any required review of the proposed research by an IRB, Institutional Bioethics Committee (IBC), or other mandated review. 
(3) Document how stem cell lines will be characterized, validated, stored, and distributed to ensure that the confidentiality of the donor(s) is protected. 
(d) CIRM-funded purely in vitro research with the aim to create or use a covered stem cell line from non-identifiable cells may not commence with out written notification of the SCRO committee. A statement from the designated institutional official pursuant to section 100040(b)(1) may be provided in lieu of SCRO committee notification if human somatic cells conform to the requirements of section 100080(a)(3); or the covered stem cell line(s) are recognized by an authorized authority. At a minimum the statement shall certify the:
(1) Human somatic cells conform to the requirements of section 10080(a)(3); or
(2) The covered stem cell lines are recognized by an authorized authority.
In addition, the institutional official shall submit documentation of any required review of the proposed research by an IRB, IACUC, IBC, or other mandated review.
Research may include animal assays to evaluate pluripotency; however, subsequent introduction of derived covered stem cell lines in non-human animals shall be reviewed in accordance with subdivision (e) of this section.
(e) CIRM-funded research introducing covered stem cell lines into non-human animals or introducing neural-progenitor cells into the brain of non-human animals at any state of embryonic, fetal, or postnatal development may not commence without SCRO committee review and approval in writing. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (e)(3) of this regulation as a condition of granting its approval. The SCRO committee may establish guidelines and procedures for expedited review of animal research so that review by the entire SCRO committee is not required. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific rationale for introducing stem cells into non-human animals. 
(2) Provide assurance that all covered stem cell lines have been acceptably derived. 
(3) Evaluate the probable pattern and effects of differentiation and integration of the human cells into the nonhuman animal tissues. 
(4) Provide documentation of compliance with any required review of the proposed research by an IRB, IACUC, IBC, or other mandated review. 
(f) CIRM-funded research introducing cells from covered stem cell lines into a live born human may not commence without SCRO committee review and approval in writing. The designated SCRO committee may require that modification be made to proposed research or documentation of compliance with the requirements of subdivision (f)(4) of this regulation as a condition of granting its approval. At a minimum, the SCRO committee shall require the investigator to: 
(1) Provide an acceptable scientific for rationale introducing stem cells into humans. 
(2) Provide assurance that all covered stem cell lines have been acceptably derived. 
(3) Evaluate the probable pattern and effects of differentiation and integration of the human cells into the human tissues. 
(4) Provide documentation of compliance with any required review of the proposed research by an IRB, IACUC, IBC, or other mandated review. 
(g) In cases where SCRO committee approval is required, a SCRO committee shall notify investigators in writing of its decision to approve or disapprove the proposed research activity, or of modifications required to secure SCRO committee approval of the research activity. If the SCRO committee decides to disapprove a research activity, it shall include in its written notification a statement of the reasons for its decision and give the investigator an opportunity to respond in person or in writing. 
(h) SCRO committee approvals shall be reviewed no less frequently than once per year. The renewal review shall confirm compliance with all applicable rules and regulations. The SCRO committee may establish guidelines and procedures for expedited review of renewals so that review by the entire SCRO committee is not required. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Amendment of subsections (a)-(a)(1), (b)-(b)(1) and (c), repealer of subsections (c)(1)-(2), subsection renumbering, amendment of subsection (d), repealer and new subsections (d)(1)-(2) and amendment of subsection (f) filed 6-29-2010; operative 7-29-2010 (Register 2010, No. 27).
3. Editorial correction of subsection (d)(2) (Register 2010, No. 43).
§100080. Acceptable Research Materials.
Note     •     History

All covered stem cell lines used in CIRM-funded research must be “acceptably derived.” 
(a) To be “acceptably derived,” the covered stem cell line must meet one of the following three criteria: 
(1) The covered stem cell line is recognized by an authorized authority. To be recognized by an authorized authority the stem cell line must:
(A) Be approved by the National Institutes of Health; or 
(B) Be deposited in the United Kingdom Stem Cell Bank; or 
(C) Be derived by, or approved for use by, a licensee of the United Kingdom Human Fertilization and Embryology Authority; or 
(D) Be derived in accordance with the Canadian Institutes of Health Research Guidelines for Human Pluripotent Stem Cell Research under an application approved by the National Stem Cell Oversight Committee; or 
(E) Be derived in accordance with the Japanese Guidelines for Derivation and Utilization of Human Embryonic Stem Cells; or
(F) Be derived in accordance with California Code of Regulations, title 17, section 100090.
(2) The covered stem cell line is derived under the following conditions: 
(A) Donors of human gametes, embryos, somatic cells or tissue gave voluntary and informed consent; and
(B) Donors of human gametes or embryos did not receive valuable consideration. For embryos originally created using in vitro fertilization for reproductive purposes and are no longer needed for this purpose, “valuable consideration” does not include payments to original gamete donors in excess of “permissible expenses.” Original gamete donors may receive reimbursement for permissible expenses as defined in California Code of Regulations, title 17, section 100020, subdivision (h); and
(C) Donation of human gametes, embryos, somatic cells or tissue was overseen by an IRB (or, in the case of foreign sources, an IRB-equivalent); and
(D) Individuals who consented to donate stored human gametes, embryos, somatic cells or tissue were not reimbursed for the cost of storage prior to donation.
(3) The covered stem cell line is derived from non-identifiable human somatic cells under the following conditions:
(A) The derivation did not result from the transfer of a somatic cell nucleus into a human oocyte (SCNT) or the creation or use of a human embryo; and
(B) The somatic cells have no associated codes or links maintained by anyone that would identify to the investigator(s) the donor of the specimens, or, if such codes or links exist, that the identity of the donor is not readily ascertainable because, for example:
(i) the key to decipher the code or link is destroyed before the research begins;
(ii) an agreement prohibits release of the key to the investigators under any circumstances;
(iii) IRB-approved written policies and operating procedures for a repository or data management center prohibit releasing the key under any circumstances; or 
(iv) the release of the key to the investigators is forbidden by law.
(b) In addition to the requirements of subdivision (a) of this chapter, the following requirements apply to the derivation and use of all covered stem cell lines.
(1) Any covered stem cell line derived from any intact human embryo, any product of SCNT, parthenogenesis or androgenesis after 12 days in culture may not be used unless prior approval is obtained from the Independent Citizens Oversight Committee, constituted under Health & Safety Code, section 125290.15. Use of any covered stem cell line derived from any intact human embryo, any product of SCNT, parthenogenesis or androgenesis after 14 days or after the appearance of the primitive streak is prohibited. The 12-14 day limit does not include any time during which the cells have been frozen.
(2) Any payments for the purchase of covered stem cell lines, somatic cells, or human tissue to persons other than the original donors shall be limited to those costs identified in Health & Safety Code, section 125290.35, subdivision (b)(5). Any payment for gametes and embryos, to persons other than the original donors, shall be limited to necessary and reasonable costs directly incurred as a result of providing materials for research, which include but are not limited to expenditures associated with processing, quality control, storage, or transportation.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55 and 125300, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Amendment filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
3. Amendment of subsections (a), (a)(1), (a)(2), (a)(2)(B) and (a)(3) filed 1-10-2011; operative 2-9-2011 (Register 2011, No. 2).
§100081. Exemption Petition for Lines Derived Prior to November 22, 2006.
Note     •     History

For a covered stem cell line derived before November 22, 2006, the ICOC may find in public session that it is acceptably derived pursuant to the following procedure: 
(a) A person or entity seeking ICOC approval for a covered stem cell line not otherwise acceptably derived under Title 17, California Code of Regulations, section 100080, shall submit a petition in a form as required by CIRM (see Appendix A to this regulation). That petition shall, at a minimum, provide the following information: 
1. The name or designation of the covered stem cell line;
2. Information about the nature of the consents given by the donors of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line, including copies of any such consents given; 
3. Information about whether the donors of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line received valuable consideration in exchange for their donation, including copies of any documents reflecting such exchanges; 
4. Information about whether the donation of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line was overseen by an IRB or equivalent, including copies of any documents reflecting such a review; 
5. Information about whether the donors of human gametes, embryos, somatic cells or tissue used to create the covered stem cell line were reimbursed for the cost of storage prior to donation, including copies of any documentation reflecting such reimbursements; 
6. Information regarding “best practices” at the time of donation of human gametes, embryos, somatic cells or tissue, including any documents substantiating those practices for each type of donation; 
7. A statement describing the scientific and/or clinical necessity for granting the petition; and 
8. Information submitted in connection with the petition that is of a confidential or proprietary nature as defined in H&S Code section 125290.30, subdivisions (e)(B) or (C), or that is protected from disclosure pursuant to other federal or state law shall not be subject to disclosure pursuant to those laws. 
(b) Within 60 days of receipt of a complete petition, the President of CIRM will prepare a written recommendation to the ICOC, and provide a copy of that recommendation to the petitioner. The recommendation will describe the petition and the evidence without revealing confidential and proprietary information, will include an analysis of the petition, and a statement of reasons for granting or denying the petition. 
(c) Within 30 days of receipt of the President's recommendation, the petitioner may submit a response to CIRM. Once that response is received, the petition will be placed on the agenda for the next regularly scheduled ICOC meeting. 
(d) The President's recommendation and the petitioner's response shall be provided to the ICOC and the public (by posting on the CIRM website) at least ten days prior to the date of the meeting at which the ICOC will consider the petition. 
(e) The ICOC must consider the merits of the petition in open session, and must vote to grant or deny the petition in open session. Members of the ICOC may request access to confidential and proprietary information in the petition during closed session before acting on the petition. 
(f) The decision of the ICOC to grant or deny the petition is final and not subject to appeal. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 124290.55, Health and Safety Code. 
HISTORY

1. New section and Appendix A filed 8-19-2009; operative 9-18-2009 (Register 2009, No. 34).

Appendix A

View Graphic

View Graphic

View Graphic

View Graphic
§100085. Use of Fetal Tissue.
Note     •     History

Fetal tissue shall be procured in accordance with 17 Cal. Code of Regs. section 100080, subdivision (a)(2). In addition, research involving human fetal tissue will adhere to the following provisions:
(a) The woman who donates the fetal tissue must sign a statement declaring:
(1) That the donation is being made for research purposes, and
(2) The donation is made without any restriction regarding who may be the recipient(s) of materials derived from the tissue; and
(b) The attending physician must:
(1) Sign a statement that he or she has obtained the tissue in accordance with the donor's signed statement. In the case of tissue obtained pursuant to an induced abortion, the physician must sign a statement stating that he or she:
(A) Obtained the woman's consent for the abortion before requesting or obtaining consent for the tissue to be used for research;
(B) Did not alter the timing, method, or procedures used to terminate the pregnancy solely for the purpose of obtaining the tissue for research; and
(C) Performed the abortion in accordance with applicable law.
(2) Disclose to the donor any financial interest that the attending physician has in the research to be conducted with the tissue.
(3) Disclose any known medical risks to the donor or risks to her privacy that might be associated with the donation of the tissue and that are in addition to risks of such type that are associated with the woman's medical care.
(c) The principal investigator of the research project must sign a statement certifying that he or she:
(1) Is aware that the tissue is human fetal tissue obtained in a spontaneous or induced abortion or pursuant to a stillbirth;
(2) Is aware that the tissue was donated for research purposes;
(3) Had no part in any decisions as to the timing, method, or procedures used to terminate the pregnancy; and
(4) Is not the donor's attending physician.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40, 125290.55 and 125300, Health and Safety Code.
HISTORY

1. New section filed 7-24-2007; operative 8-23-2007 (Register 2007, No. 30).
2. Amendment of first paragraph filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
§100090. Special Considerations for CIRM-Funded Procurement, Derivation and Transplantation.
Note     •     History

(a) Where CIRM funds are to be used for research intended to derive a covered stem cell line, the SCRO committee must determine or the designated institutional official must certify the applicable requirements of Code of California Regulations, title 17, section 100080, subdivision (a)(2) or (a)(3), have been met subject to the following:
(1) For embryos created before November 22, 2006 consent exclusively from oocyte donors is sufficient provided the sperm donor cannot be identified and the donation was made in accordance with the legal requirements in force at the place and time of donation.
(2) For gametes or embryos, procured from human subjects, after November 22, 2006, the SCRO committee must confirm that donors provided voluntary and informed consent in accordance with Code of California Regulations, title 17, section 100100, subdivision (b).
(3) For research involving the use of embryos originally created using in vitro fertilization for reproductive purposes, the physician performing oocyte retrieval or attending physician responsible for infertility treatment may not be the CIRM-funded Principal Investigator (as defined in title 17, California Code of Regulations, section 100500) unless the SCRO committee has approved an exemption from this requirement.
(4) For human somatic cells, procured from human subjects after November 22, 2006, and the CIRM-funded research is designed to develop cells for transplantation into a live born human, the SCRO committee must confirm that donors provided voluntary and informed consent including the requirements of Code of California Regulations, title 17, section 100100, subdivision (b)(1)(E).
(b) CIRM funds may not be use to provide valuable consideration to donors of gametes, embryos, somatic cells or tissue. This provision does not prohibit reimbursement for permissible expenses as defined in California Code of Regulations, title 17, section 100200, subdivision (h).
(c) The modification of an acceptably derived stem cell line shall not be considered a CIRM-funded derivation.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Repealer and new section filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
3. Amendment of section heading and subsection (a), new subsections (a)(1)-(4) and repealer and new subsection (b) filed 6-29-2010; operative 7-29-2010 (Register 2010, No. 27).
§100095. Additional Requirements for CIRM-Funded Research Involving Oocytes.
Note     •     History

When procurement of oocytes are required for CIRM-funded research, the SCRO committee must confirm the following conditions have been met: 
(a) The clinic performing oocyte retrieval is a member of the Society for Assisted Reproductive Technology. 
(b) The procurement and disposition for research purposes of oocytes initially provided for reproductive uses, either for use by the donor or another woman, shall not knowingly compromise the optimal reproductive success of the woman in infertility treatment. Pursuant to this requirement, the SCRO shall confirm the following: 
(1) The infertility treatment protocol is established prior to requesting or obtaining consent for a donation for research purposes and that the prospect of donation for research does not alter the timing, method, or procedures selected for clinical care. 
(2) The woman in infertility treatment makes the determination that she does not want or need the oocytes for her own reproductive success. 
(3) The donation of oocytes for research is done without valuable consideration either directly or indirectly. 
(4) If the procurement of oocytes involves a donor providing oocytes for another woman's reproductive use, then the donation to research must be expressly permitted by the original donor. 
(5) If the procurement of oocytes involves use of materials donated for reproductive use by another woman and with valuable consideration in excess of reimbursement for permissible expenses for the oocyte donor, then oocytes may not be used for CIRM-funded research. 
(c) The CIRM-funded institution shall develop procedures to ensure that an individual who donates oocytes for CIRM-funded research has access to medical care that is required as a direct and proximate result of that donation. Such care shall be provided at no cost to the donor. If a donor is medically insured, the donor shall not be required to claim any treatment costs through her own insurance policy. 
(d) The physician attending to any donor and the principal investigator shall not be the same person unless exceptional circumstances exist and an IRB has approved an exemption from this requirement. 
(e) The physician performing oocyte retrieval shall not have a financial interest in the outcome of the research. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100100. Informed Consent Requirements.
Note     •     History

(a) All CIRM-funded human subjects research shall be performed in accordance with Title 45 Code of Federal Regulations, Part 46 (Protection of Human Subjects), revised June 23, 2005, and California Health and Safety Code section 24173. In accordance with existing law, California Health and Safety Code section 24173 does not apply to a person who is conducting research as an investigator within an institution that holds an assurance with the United States Department of Health and Human Services pursuant to Title 45 Code of Federal Regulations Part 46, revised June 23, 2005, and who obtains informed consent in the method and manner required by those regulations. 
(b) In addition to the requirements of Code of California Regulations, title 17, section 100080, subdivision (a)(2), the following provisions apply when CIRM funded research involves donation of human gametes, embryos, somatic cells or tissue for derivation of new covered stem cell lines: 
(1) CIRM-funds may not be used for research that violates the documented preferences of donors with regard to the use of donated materials. The SCRO committee or IRB must confirm that donors have given voluntary and informed consent in accordance with this section. To ensure that donors are fully informed of the potential uses of donated materials in addition to the general requirements for obtaining informed consent identified in subdivision (a) of this regulation, researchers shall disclose all of the following, unless a specific item has been determined by the SCRO committee or IRB to be inapplicable: 
(A) Derived cells or cell products may be kept for many years. 
(B) Whether or not the identity(ies) of the donor will be ascertainable by those who work with the resulting cells or cell products. If the identity of the donor is to remain associated with the cell or cell products, then the investigator must inform the donor of any plan for recontact whether for the purpose of providing information about research findings to donors, or for the purpose of requesting additional health information. After donation, an investigator may recontact a donor only if the donor consents at the time of donation. 
(C) Cell lines may be used in future studies which are not now foreseeable.
(D) Derived cells or cell products may be used in research involving genetic manipulation. 
(E) Derived cells or cell products may be transplanted into humans or animals. 
(F) Derived cells or cell products are not intended to provide direct medical benefit to the donor, except in the case of autologous donation. 
(G) The donation is being made without restriction on the recipient of transplanted cells, except in the case where donation is intended for autologous transplantion. 
(H) Neither consent nor refusal to donate materials for research will affect the quality of any care provided to a potential donor. 
(I) Although the results of research including donated materials may be patentable or have commercial value, the donor will have no legal or financial interest in any commercial development resulting from the research.
(2) A donor must be given the opportunity to impose restrictions on future uses of donated materials. Researchers may choose to use materials only from donors who agree to all future uses without restriction. 
(3) For CIRM-funded research involving the donation of oocytes, an IRB finding that potential risks of donation are reasonable even if there is no anticipated benefit to the donor shall be documented and made available to the donor, SCRO and the CIRM. In addition, the following requirements apply: 
(A) The description of foreseeable risk required in subdivision (a) of this regulation shall include but not be limited to information regarding the risks of ovarian hyperstimulation syndrome, bleeding, infection, anesthesia and pregnancy. 
(B) Any relationship between the attending physician and the research or researcher(s) must be disclosed to an egg donor. 
(C) Prospective donors shall be informed of their option to deliberate before deciding whether or not to give consent. If a deliberation period is chosen, the donor shall be informed of her right to determine the method of recontact. The donor must be informed that she has the option to initiate recontact. Investigators shall not initiate recontact unless the donor has consented, and this consent is documented in the research record. 
(D) The researcher shall ascertain that the donor understands the essential aspects of the research involving donated materials, following a process approved by the designated IRB or SCRO committee. Understanding the essential aspects of the research includes understanding at least that: 
(i) Eggs will not be used for reproductive purposes. 
(ii) There are medical risks in oocyte donation, including the risks of ovarian hyperstimulation syndrome, bleeding, infection, anesthesia, and pregnancy. 
(iii) The research is not intended to directly benefit the donor or any other individual. 
(iv) Whether stem cell lines will be derived from her oocytes through fertilization, SCNT, parthenogenesis, or some other method. 
(v) Stem cell lines developed from her oocytes will be grown in the lab and shared with other researchers for studies in the future. 
(vi) If stem cells derived from her donation are to be transplanted into patients, researchers might recontact the donor to get additional health information. 
(vii) Donors receive no payment beyond reimbursement for permissible expenses. 
(viii) Stem cell lines derived as a result of her oocyte donation may be patented or commercialized, but donors will not share in patent rights or in any revenue or profit from the patents. 
(4) For funded research involving the donation and destruction of human embryos for stem cell research, the informed consent process shall include a disclosure that embryos will be destroyed in the process of deriving embryonic stem cells. 
(5) Research that uses human umbilical cord, cord blood or placenta, consent shall be obtained from the birth mother. 
(6) For research involving the donation of somatic cells for SCNT, the informed consent process shall include disclosure as to whether the donated cells may be available for autologous treatment in the future. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 24173, 125290.35, 125290.40, 125290.55 and 125315, Health and Safety Code. 
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
2. Amendment filed 5-30-2008; operative 6-29-2008 (Register 2008, No. 22).
§100110. Fairness and Diversity in Research.
Note     •     History

CIRM grantees shall comply with the California Health Research Fairness Act, California Health and Safety Code, sections 439.900-439.906, and Inclusion of Women and Minorities in Clinical Research Act, Health and Safety Code, sections 100237-100239. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 439.900-439.906, 100237-100239, 125290.40 and 125290.55, Health and Safety Code.
HISTORY

1. New section filed 10-10-2006; operative 11-22-2006 (Register 2006, No. 41).
§100120. Record Keeping.
Note     •     History

(a) In addition to any other reporting or record retention obligations required by the CIRM, each grantee's institution shall also maintain records documenting:
(1) Review or notification requirements as described in Title 17, California Code of Regulations, section 100070;
(2) The final disposition of gametes, embryos and, somatic cells donated for CIRM-funded research or products of SCNT. For donated materials used to derive a covered stem cell line this record must demonstrate compliance with section 100080, subdivision (a).
(b) Such records shall be made available at CIRM's request.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35, 125290.40 and 124290.55, Health and Safety Code.
HISTORY

1. New section filed 7-14-2008; operative 8-13-2008 (Register 2008, No. 29).
§100140. Scope of Chapter. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New division 4, chapter 2 (sections 100140-100150) and section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100141. Categories of hES Cell Research. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100142. hES Cell Research Eligible for CIRM Funding. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100143. hES Cell Research Eligible for CIRM Funding After Additional ESCRO Review and Approval. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100144. hES Cell Research That is Prohibited. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100145. Obligations of Investigators and Institutions. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100146. Establishment of an Institutional Embryonic Stem Cell Research Oversight Committee. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100147. Procurement of Gametes, Blastocysts or Cells for hES Generation. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100148. Derivation of hES Cell Lines. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100149. Banking and Distribution of hES Cell Lines. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100150. Research Use of hES Cell Lines. [Repealed]
Note     •     History

NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.35(b)(1) and 125290.55, Health and Safety Code. 
HISTORY

1. New section filed 7-24-2006 as an emergency; operative 7-24-2006 (Register 2006, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-21-2006 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 2006, No. 47).
§100300. Intellectual Property Requirements for Non-Profit Organizations -- Scope.
Note     •     History

The regulations of this chapter apply to all CIRM grant awards issued on or after the effective date of these regulations. By accepting a CIRM grant award, the grantee agrees to comply with the provisions of these regulations. Any new or amended regulations adopted by the Independent Citizen's Oversight Committee (“ICOC”) will be applied to currently active grants on the start date of the next non-competitive renewal period after the effective date of the regulations. A currently active grant is a grant that is still in the Project Period or a grant for which CIRM funds are still being expended. New or amended regulations under this chapter adopted after the expiration of the Project Period of a grant and after all CIRM funds for the grant have been expended will apply on January 1 following the effective date of the new or amended regulation, unless specified otherwise in the regulation. Principal investigators, program directors and organizational officials with active CIRM grants will receive notification of revised grant terms and conditions or revised editions of the CIRM Grants Administration Policy as they are released. In addition, all revisions to these regulations will be posted on the CIRM website at www.cirm.ca.gov. Failure by a principal investigator or other person affiliated with the grantee to have notification of new or amended regulations, revised grant terms and conditions, or revised editions of the Grants Administration Policy, shall not excuse non-compliance as long as the CIRM has notified the grantee. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100301. Intellectual Property Regulations -- Definitions.
Note     •     History

(a) “Authorized Organizational Official.” The individual, named by the applicant organization, who is authorized to execute agreements that legally bind the applicant institution to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to grant applications or grant awards. 
(b) “Award.” The provision of funds by CIRM, based on an approved application and budget or progress report, to an organizational entity or an individual to carry out a project or activity.
(c) “Bayh-Dole Act.” Section 6(a) of the federal Patent and Trademark Law Amendments Act as amended (35 U.S.C. §§200-212). 
(d) “Biomedical Materials.” Entities of biomedical relevance first produced as a consequence of CIRM-funded scientific research including but not limited to unique research resources such as synthetic compounds, organisms, cell lines, viruses, cell products, cloned DNA, as well as DNA sequences, mapping information, crystallographic coordinates, and spectroscopic data. Specific examples include specialized and/or genetically defined cells, including normal and diseased human cells, monoclonal antibodies, hybridoma cell lines, microbial cells and products, viruses and viral products, recombinant nucleic acid molecules, DNA probes, nucleic acid and protein sequences, certain types of animals including transgenic mice and other property such as computer programs.
(e) “Data.” The recorded factual material commonly accepted in the scientific community as necessary to validate research findings, but not any of the following: preliminary analyses, drafts of scientific papers, plans for future research, peer reviews, or communications with colleagues. This “recorded” material excludes physical objects (e.g., laboratory samples).
(f) “Exclusive License.” Any License Agreement for a CIRM-funded patented invention that permits the licensee to exclusively exercise any commercial right within the state of California or the United States, or within any field of use, or for any licensed product or licensed purpose. 
(g) “Grantee/Grantee Organization.” The non-profit organization awarded a grant by CIRM that is legally responsible and accountable for the use of the funds provided and for the performance of the grant-supported project or activity. The grantee is the entire legal entity even if a particular component is designated in the Notice of Grant Award (“NGA”). All University of California grantee campuses shall be considered as separate and individual Grantee Organizations. 
(h) “Grantee Organization's Share.” The revenues received by a Grantee Organization under a commercial license of a CIRM-funded patented invention remaining after deducting the direct costs associated with patents and patent applications claiming inventions made under CIRM funding and the inventor's share of those revenues.
(i) “Invention.” A discovery that is or may be patentable (novel, useful and non-obvious) or otherwise protectable under Title 35 of the United States Code.
(j) “Invention Disclosure.” A description of an invention that, if made public, would trigger a patent bar under U.S. Patent Law.
(k) “Invention Disclosure Form.” A written notification to CIRM that a CIRM-funded patentable invention has been made. 
(l) “Invention Utilization Report.” Applicable to Grantee Organizations that have previously filed an Invention Disclosure Form, this annual report is a written description of efforts made by authorized organizational officials to commercialize CIRM-funded patentable inventions. This report will include information about the status of development, date of first commercial sale or use and any licensing fees and/or gross royalties received by the Grantee Organization relating to CIRM-funded patented inventions.
(m) “Inventor.” A person who thinks of, finds, discovers, or creates an invention during the project period of a CIRM grant and using CIRM funds as determined under U.S. Patent Law. 
(n) “License Agreement.” An agreement by which a patent owner allows another party to make, use, sell, offer to sell, and/or import an invention protected by a patent.
(o) “Licensing Activities.” Actions taken by authorized organizational officials, the desired outcome of which is a contractual agreement under which the Grantee Organization grants permission to another party to use intellectual property under specific conditions.
(p) “Licensing Fee.” A one-time cost payable by a licensee to the patent owner typically associated with execution of a license agreement.
(q) “Materials Transfer Agreement.” A document (“MTA”) which governs the exchange of a substance, element or item (material) to another party for the purposes of research. It limits the commercial exploitation of the material without the permission of the provider party. 
(r) “No-Cost License.” An agreement to practice an invention protected by a patent where no licensing fee, royalty or any other payment is required of the licensee.
(s) “Non-Profit Organization.” A (1) university or other institution of higher education or another organization of the type described in 501(c)(3) of the Internal Revenue Code of 1986, as amended (26 U.S.C. 501(c)(3)) and is exempt from taxation under 501(a) of the Internal Revenue Code (26 U.S.C. 501(a)), or (2) any other non-profit scientific or educational organization qualified under a state non-profit organization statute whose organizational charter provides that (A) the organization is not organized or operated for the private gain of any person, (B) no part of the organization's net income or assets shall inure to the benefit of any person, and (C) the organization's net assets upon dissolution shall be distributed to a non-profit fund, foundation or corporation which is organized and operated exclusively for charitable purposes.
(t) “Notice of Grant Award.” (“NGA”) The document that notifies the grantee and others that an award has been made, contains or references all terms and conditions of the award, and documents the obligation of CIRM funds.
(u) “Patentable Invention.” A novel, useful and non-obvious invention that advances science and enables new useful applications including therapeutics or diagnostic tools, as determined under relevant patent law. 
(v) “Person.” A “person” means an individual, proprietorship, firm, partnership, joint venture, syndicate, business trust, company, corporation, limited liability company, association, or any other organization or group of persons acting in concert.
(w) “Principal Investigator/Program Director.” The principal investigator (“PI”) or program director (“PD”) is an individual designated by the grantee to direct the project or activity being supported by the grant. He or she is responsible and accountable to the grantee and CIRM for the proper conduct of the project or activity. For training programs or similarly structured programs, the PD is the same as the PI.
(x) “Project period.” The total amount of time for which CIRM promises to fund a grant and authorizes a grantee to conduct the approved work of the project described in the application.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100302. Invention Reporting Requirements.
Note     •     History

(a) Grantee organizations are required to have written agreements with researchers requiring prompt disclosure of inventions made in the performance of CIRM-funded research.
(b) Within 60 days after an inventor discloses a CIRM-funded invention to a grantee organization, the grantee organization must notify CIRM of the invention through the use of the CIRM Invention Disclosure Form which will be received in confidence by CIRM. The Invention Disclosure Form shall identify the grant under which the invention was made and the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding, to the extent known at the time of the disclosure, of the nature, purpose, operation, and physical, chemical, biological or electrical characteristics of the invention. The disclosure shall also identify whether a manuscript describing the invention has been submitted for publication. If so, the disclosure shall identify the publication to which the manuscript has been submitted and the submission date.
(c) Grantee organizations must notify CIRM on an annual basis regarding the filing of patent applications that claim inventions made in the performance of CIRM-funded research.
(d) Grantee organization must notify CIRM on an annual basis regarding execution of any licensing agreements of inventions made in the performance of CIRM-funded research.
(e) Grantee organizations must submit annually an Invention Utilization Report that lists all CIRM-funded inventions, patents claiming such inventions and a statement of efforts made to utilize CIRM-funded inventions. Such reports shall include information about the status of development, date of first commercial sale or use and all licensing fees and/or gross royalties received by the grantee organization under licenses of CIRM-funded patented inventions. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100303. Publication Requirements.
Note     •     History

(a) Within 60 days of the publication of CIRM-funded research results in a scientific journal, PIs must submit to CIRM a 500 word abstract written for the general public that highlights the findings of the published body of work. In addition, PIs must submit a biographical sketch to accompany the abstract. The abstract and the biographical sketch will be deposited into the publicly-accessible CELR, to be accessed via the CIRM website. 
(b) One copy of each publication resulting from work performed under a CIRM grant must accompany the mandatory annual progress report submitted to CIRM.
(c) In the final manuscript, authors must include the URL of a website where the CIRM MTA (or similar document) can be accessed to facilitate requests for publication-related materials.
(d) CIRM grantees must acknowledge CIRM support of research findings in publications, announcements, presentations, and press releases by the grantees. An example of an acknowledgement is:
“The research was made possible by a grant from the California Institute for Regenerative Medicine (Grant Number _______). The contents of this publication are solely the responsibility of the authors and do not necessarily represent the official views of CIRM or any other agency of the State of California.” 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100304. Biomedical Materials.
Note     •     History

Grantees shall share biomedical materials first created under CIRM funding and described in published scientific articles for research purposes in California within 60 days of receipt of a request and without bias as to the affiliation of the requestor unless legally precluded. Under special circumstances, exceptions to the above are possible with approval by CIRM. Alternatively, authors may provide requestors with information on how to reconstruct or obtain the material. Such materials are to be shared without cost or at the actual cost of providing the material without an allocation of costs for overhead, research, discovery or other non-direct costs of providing the material.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100305. Patent Applications.
Note     •     History

(a) Grantee organizations shall bear responsibility for costs associated with patents and patent applications claiming their CIRM-funded inventions. This requirement shall not restrict the rights of Grantee Organizations to recover these costs through license fees or otherwise.
(b) Grantee organizations shall report pursuant to Code of California Regulations, Title 17, section 100302, on an annual basis filings of such patent applications that claim inventions made in the performance of CIRM-funded research.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100306. Licensing CIRM-Funded Patented Inventions.
Note     •     History

(a) A Grantee Organization shall assume responsibility for licensing activities including identification of potential licensees, negotiation of license agreements and documentation of development progress for licenses relating to CIRM-funded patented inventions. In licensing CIRM-funded patented inventions, a Grantee Organizations agrees that it shall retain the right to practice the use of its CIRM-funded patented inventions for its non-commercial purposes. A Grantee Organization agrees to make its CIRM-funded patented inventions readily accessible on reasonable terms, directly or through a licensee or licensees, to other Grantee Organizations for non-commercial purposes, upon request from a Grantee Organization. Grantee organizations are required to submit an Invention Utilization Report relevant to CIRM-funded patented inventions on an annual basis.
(b) Grantee organizations shall negotiate non-exclusive licenses of CIRM-funded inventions whenever possible. Nevertheless, grantee organizations may negotiate and award exclusive licenses for CIRM-funded inventions if such licenses are necessary to provide economic incentives required to enable commercial development and availability of the inventions. In due diligence relating to such exclusive licenses, grantee organizations shall document development and commercialization capabilities of the intended licensee, and include terms in the license agreement addressing all relevant therapeutic and diagnostic uses for which the invention is applicable and the licensee agrees to diligently develop.
(c) In exclusive license agreements, grantee organizations shall include terms for commercial development plans to bring the invention to practical application. Such provisions shall include commercial development milestones and benchmarks so that development can be assessed and monitored. 
(d) Grantee organizations shall grant exclusive licenses involving CIRM-funded patented inventions relevant to therapies and diagnostics only to persons that agree to have a plan in place at the time of commercialization to provide access to resultant therapies and diagnostics for uninsured California patients. In addition, such licensees will agree to provide drugs at prices negotiated pursuant to the California Discount Prescription Drug Program (commencing with California Health and Safety Code section 130500, et seq.) to eligible Californians under that program. This regulation is not intended, and this regulation shall not be construed, to preempt any other requirement under state or federal law or regulation that would otherwise require provision of drugs at a lower price than provided hereunder. The CIRM may make access plans available for review by the ICOC on an annual basis.
(e) Grantee organizations shall monitor the performance of exclusive licensees of CIRM-funded patented inventions to ensure that the licensed invention is developed in a timely fashion. Remedies for failure to develop may include modification or termination of a license by the grantee in the event that a licensee is unable to fully develop the rights granted. 
(f) Grantee organizations shall negotiate relevant and specific grounds for modification or termination of the license. Examples would include failure to meet agreed-upon commercialization benchmarks, failure to keep the licensed invention reasonably accessible to the public for research purposes, and failure to reasonably meet the agreed-upon plan for access to resultant therapies as described in subdivision (d) of this regulation.
(g) Grantee organizations shall monitor the commercial development activities of the licensees to determine compliance with the terms of the license agreement and include reports of monitoring activities annually to the CIRM. 
(h) Grantee organizations shall take administrative action to modify or terminate license rights where necessary and report such action to the CIRM. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code.
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100308. Revenue Sharing.
Note     •     History

(a) Grantee organizations shall share a fraction of any net revenues with the inventor(s) in accordance with their established policies. Net revenues are defined as gross revenues minus the direct costs incurred in the generation and protection of the patents from which the revenues are received.
(b) The grantee organization may retain a threshold amount of its share (after payments to inventors) of any net revenues received under a license agreement or agreements of any CIRM-funded patented invention(s). Thereafter, the grantee organization shall pay 25% of its share after payments to inventors of such net revenues to the State of California for deposit into the State's General Fund unless such action violates any federal law. The threshold amount is $500,000 (in the aggregate) multiplied by a fraction, the denominator of which is the Consumer Price Index, All Urban Consumers, All Items (San Francisco-Oakland-San Jose; 1982-84=100) as prepared by the Bureau of Labor Statistics of the United States Department of Labor and published for the month of February, 2006, and the numerator of which is such Index published for the month in which the grant award is accepted by the grantee. 
(c) If funding sources in addition to CIRM were used in the creation of a CIRM-funded patented invention, the return to the State of California of any resultant revenues shall be proportionate to the support provided by CIRM for the discovery of the invention.
(d) Grantees shall apply the grantee organization's share of any revenues earned as a result of CIRM-funded patented inventions to the support of scientific research or education. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100309. Press Release Requirements.
Note     •     History

CIRM grantees must notify CIRM prior to any press releases that refer to research findings, collaborations, inventions, patents or licensing activities that arise as a consequence of CIRM funding by contacting the CIRM Communications Officer and the Scientific Program Officer. In the event that the CIRM wishes to participate in a joint press release, the grantee will coordinate with the CIRM Communications Officer.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
§100310. March-In Rights.
Note     •     History

(a) With regard to CIRM-funded patented inventions, CIRM shall have the right to require the grantee organization, or exclusive licensee of a CIRM-funded invention, to grant a nonexclusive, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances, and if the grantee organization, or exclusive licensee refuses such request, to grant such a license itself, if the CIRM determines that such an action is required:
(1) Because the grantee organization or the licensee has not made responsible efforts in a reasonable time to achieve practical application of a CIRM-funded patented invention;
(2) Because the licensee has failed to adhere to the agreed-upon plan for access to resultant therapies as described in subdivision (d) of Code of California Regulations, Title 17, section 100306;
(3) To meet requirements for public use and the requirements have not been satisfied by the grantee organization or its licensee;
(4) To alleviate public health and safety needs which are not reasonably satisfied by the grantee organization or its licensee and which needs constitute a public health emergency.
(b) CIRM will give to the grantee or licensee notice of such determination and the basis on which it was made. CIRM will not exercise its rights described above if the grantee or licensee takes diligent action promptly to cure the deficiency and such deficiency is cured sooner than one year from receipt of notice (or longer period by mutual agreement). With respect to a deficiency described in subdivision (a)(4) of this regulation, CIRM may exercise such right at any time in the event of a public health or safety emergency.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 6-14-2007; operative 7-14-2007 (Register 2007, No. 24).
Chapter 4. Intellectual Property and Revenue Sharing Requirements for For-Profit Organizations
§100400. Intellectual Property and Revenue Sharing Requirements for For-Profit Organizations -- Scope.
Note     •     History

The regulations of this chapter apply to all California Institute for Regenerative Medicine (“CIRM”) Grants issued to For-Profit Organizations on or after the effective date of these regulations. By accepting a CIRM Grant, the Grantee agrees to comply with these regulations. Any new or amended regulations subsequently adopted by the Independent Citizens Oversight Committee (“ICOC”) will apply to Currently Active Grants on the start date of the next noncompetitive renewal period after the effective date of the regulations, except amendments to Title 17, California Code of Regulations, sections 100406, 100407 and 100408, which shall only apply to grants awarded after adoption of the new or amended regulations. CIRM will notify a Grantee's Principal Investigator and Authorized Organizational Official of the adoption of new or amended regulations. In addition, all revisions to CIRM regulations will be posted on the CIRM website at www.cirm.ca.gov. Failure of actual notice to a Grantee's Principal Investigator or Authorized Organizational Official shall not excuse non-compliance with any regulation if CIRM has notified the Grantee of the changes. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New chapter 4 (sections 100400-100410) and section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100401. Intellectual Property Regulations -- Definitions.
Note     •     History

The following definitions apply to the regulations in this chapter: 
(a) Authorized Organizational Official. The individual, named by the applicant organization, who is authorized to execute agreements that legally bind the applicant institution to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to Grant applications or Grant awards. 
(b) CIRM-funded Patented Invention. An invention that has been patented under Title 35 of the United States Code, and that resulted wholly or in part from CIRM-funded Research, except in the event the patent has expired, been abandoned or found to be invalid or otherwise unenforceable (unless noted otherwise in these regulations). 
(c) CIRM-funded Research. Research that has been funded in whole or in part by a CIRM Grant. 
(d) Currently Active Grant. A Grant that is still in the Project Period, or that is outside the Project Period but CIRM funds are still being spent on the project, or the repayment of CIRM grant funds remains unsatisfied. 
(e) Drug. (1) An article recognized in the official United States Pharmacopoeia, Homoeopathic Pharmacopoeia of the United States, or National Formulary, or any supplement to any of them; (2) an article intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in man or other animals; or, (3) an article intended for use as a component of any article specified in subdivision (1) or (2). This term includes therapeutic products such as blood, blood products, cells, and cell therapies. 
(f) Exclusive License. A License Agreement for a CIRM-funded Patented Invention that authorizes the licensee to the exclusive exercise of one or more of the rights (or a portion of the rights) belonging to the patent holder under the patent. 
(g) For-Profit Organization. A legal entity that is organized for the profit or benefit of its shareholders or owners. 
(h) Grant. CIRM funding in the form of a payment to conduct research. 
(i) Grantee. A For-Profit Organization that receives a Grant and that is legally accountable for the funds and for the performance of CIRM-funded Research. 
(j) License Agreement. An agreement by which the owner of a CIRM-funded Patented Invention allows a licensee to commercially use or develop the CIRM-funded Patented Invention in exchange for financial or other consideration. 
(k) Licensing Activities. Efforts of a Grantee to execute or enforce a License Agreement. 
(l) Material Transfer Agreement (“MTA”). An agreement that governs the transfer of tangible research material between organizations and defines the rights of the providor and the recipient with respect to the materials and any derivatives. 
(m) Net Licensing Revenue. Gross revenue derived from a License Agreement minus the direct costs incurred in the prosecution and protection of a CIRM-funded Patented Invention. 
(n) Net Commercial Revenue. Income from commercial sales of a product(s) resulting from CIRM-funded Research. Net Commercial Revenue excludes the following (as they pertain to the making, using or selling of products resulting from CIRM-funded Research): 
(1) import, export, excise and sales taxes, and customs duties; 
(2) costs of insurance, packing, and transportation from the place of manufacture to the customer's premises; 
(3) credit for returns, allowances or trades; and 
(4) pre-commercial revenues received in connection with research and development and/or clinical activities. 
(o) Principal Investigator. The Principal Investigator (“PI”) is an individual designated by the Grantee to direct CIRM-funded Research and who is accountable to the Grantee and to CIRM for the proper conduct of that research. 
(p) Project Period. The amount of time over which CIRM funds research through a Grant. 
(q) Public Funds. Funds belonging to the State of California or of any county, city, city and county, or other municipal corporation or subdivision thereof, or any public agency therein. 
(r) Publication-related Biomedical Materials. Tangible research material of biomedical relevance first produced by a Grantee in CIRM-funded Research including but not limited to unique research resources (such as synthetic compounds, organisms, cell lines, viruses, cell products, cloned DNA, as well as DNA sequences, mapping information, crystallographic coordinates, and spectroscopic data), as described in a published scientific paper as provided by Title 17, California Code of Regulations, section 100403. Specific examples include specialized and/or genetically defined cells, including normal and diseased human cells, monoclonal antibodies, hybridoma cell lines, microbial cells and products, viruses and viral products, recombinant nucleic acid molecules, DNA probes. nucleic acid and protein sequences, certain types of animals including transgenic mice and other property such as computer programs. This term does not include therapeutic products or diagnostic products. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100402. Invention and Licensing Reporting Requirements.
Note     •     History

A Grantee must annually report to CIRM all patenting and Licensing Activities relating to CIRM-funded Research during and for 15 years after the Project Period of the Grant as follows: 
(a) A Grantee must report all patent applications filed with respect to any inventions arising out of CIRM-funded Research, including the application serial number(s), and detailed description(s) of the invention(s). These reports shall be marked confidential in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(b) A Grantee must report the issuance or nonissuance of any patent applied for with respect to inventions arising out of CIRM-funded Research, including the patent number and date of issuance. 
(c) At the time of filing of a patent application, a Grantee must report the percentage of support provided by CIRM and by all other sources of funding that contributed in whole or in part to the discovery of the CIRM-funded invention. CIRM may audit all such co-funding reports. This information shall be marked confidential in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(d) A Grantee must report to CIRM the execution of any Licensing Agreement pertaining to CIRM-funded Patented Inventions. This information shall be marked confidential in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(e) In the event that a CIRM-funded Patented Invention generates revenue (whether from a License Agreement or otherwise), a Grantee must report such revenue received during the preceding 12 month period or since the last report, whichever is longer. This information shall be marked confidential in accordance with Health and Safety Code 125290.30, subdivision (e)(2)(B). 
(f) CIRM reserves the right to itself and its agents to conduct an audit of the Grantee to ensure compliance with this section and the Grantee agrees to maintain and provide such documentation as necessary to establish compliance. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100403. Publication Requirements.
Note     •     History

(a) Within 60 days of the publication in a scientific journal of CIRM-funded Research, the PI must submit to CIRM a 500-word abstract written for the general public that highlights the findings of the publication, as well as a brief statement of the Principal Investigator's biographical credentials. The abstract and the biographical statement will be deposited into the publicly-accessible CIRM electronic library repository, to be accessed via the CIRM website. 
(b) One copy of each publication of CIRM-funded Research must accompany the annual progress report submitted to CIRM pursuant to Title 17, California Code of Regulations, section 100402. 
(c) A Grantee must ensure that the final manuscript of any publication of CIRM-funded Research includes the URL of a website where an MTA (or similar document) can be accessed to facilitate requests for Publication-related Biomedical Materials. 
(d) A Grantee must acknowledge CIRM funding of research in publications, announcements, presentations, and press releases. An example of an acknowledgement is: 
“This research was made possible by a grant from the California Institute for Regenerative Medicine (Grant Number _____ ). The contents of this publication are solely the responsibility of the authors and do not necessarily represent the official views of CIRM or any other agency of the State of California.”
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100404. Publication-Related Biomedical Materials Requirements.
Note     •     History

(a) A Grantee shall share Publication-related Biomedical Material that results from CIRM-funded Research, for bona fide purposes of research in California. Such materials are to be shared without cost to the requestor or at the actual cost of providing the materials without an allocation of costs for overhead, research, discovery or other non-direct costs of providing the materials. 
(b) A Grantee must share such materials within 60 days of receipt of a written request, without bias as to the affiliation of the requestor, unless otherwise prohibited by law. 
(c) CIRM may approve alternatives to this sharing requirement on a showing that: 
(1) the number of sharing requests has become financially onerous for the Grantee; 
(2) a sharing request is in direct conflict with the business of the Grantee;
(3) the material or its transfer could pose a public health risk; or
(4) the request is otherwise inappropriate, as determined by CIRM. 
(d) In lieu of sharing as provided herein, a Grantee may provide requestors with the information necessary to reconstruct or obtain identical material. 
(e) With prior approval from CIRM, a Grantee's obligations under this regulation may cease when the materials are made broadly commercially available. 
(f) Prior to transferring any Publication-related Biomedical Material, a grantee may require the requestor to execute an industry-standard Material Transfer Agreement restricting the use and dissemination of such materials. 
(g) A Grantee has no obligation under these regulations to share third party materials described in publications of CIRM-funded Research such as raw materials purchased by the Grantee to develop or synthesize the Publication-related Biomedical Material or other materials covered by third party intellectual property rights, or if the Grantee is legally prohibited from doing so. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100405. Patents.
Note     •     History

A Grantee shall bear the costs associated with any patent application claiming any one or more inventions arising out of CIRM-funded Research, any patent itself, and all costs of protecting such patents. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100406. Licensing CIRM-Funded Patented Inventions.
Note     •     History

(a) A Grantee bears responsibility for Licensing Activities including identification of potential licensees, negotiation of license agreements, and documentation of the progress and execution of development under a License Agreement of a CIRM-funded Patented Invention. A Grantee must submit an annual report of these Licensing Activities as described in Title 17, California Code of Regulations, section 100402. 
(b) If a Grantee elects not to develop a CIRM-funded Patented Invention itself, then it shall make commercially reasonable efforts to negotiate non-exclusive licenses for third party development of such inventions, unless doing so would put the Grantee at a competitive disadvantage with a competitor. 
(c) A Grantee may negotiate an Exclusive License if exclusivity is reasonably believed by Grantee to be an economic incentive necessary to achieve commercial development and availability of the invention. 
(1) A Grantee must document the development and commercialization capabilities of any intended exclusive licensee prior to entering into an Exclusive License. 
(2) A Grantee must include in any Exclusive License terms addressing all reasonably anticipated therapeutic and diagnostic uses for the invention. 
(3) A Grantee must include in any Exclusive License terms including: 
(A) a commercial development plan to bring the invention to practical application, including milestones and benchmarks, so that the progress of development can be assessed and monitored;
(B) explicit remedies for failure to develop, including modification or termination of an Exclusive License in the event that a licensee is unable to fully develop the rights granted; and 
(C) explicit grounds for modification or termination, such as failure to use commercially reasonable efforts to meet agreed-upon milestones or benchmarks, failure to negotiate in good faith alternative milestones or benchmarks, and failure to provide access as provided in subdivision (c)(5). 
(4) A Grantee may negotiate an Exclusive License for a CIRM-funded Patented Invention that is required for commercialization of a Drug, as defined in Title 17, California Code of Regulations, section 100401, subdivision (e), only if the licensee agrees to abide by the provisions of Title 17, California Code of Regulations, section 100407. 
(5) A Grantee must monitor and annually report to CIRM the performance of an exclusive licensee to ensure that the licensee develops the invention according to the milestones and benchmarks of the commercial development plan. 
(6) A Grantee must take commercially reasonable action to enforce the terms of an Exclusive License and must promptly report any material breach of an Exclusive License to the CIRM scientific program officer. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100407. Access Requirements for Products Developed by For-Profit Grantees.
Note     •     History

(a) A Grantee (or, by terms of an Exclusive License, its exclusive licensee) must submit a plan to afford uninsured Californians access to a Drug, as defined in Title 17, California Code of Regulations, section 100401, subdivision (e), the development of which was in whole or in part the result of CIRM-funded Research. 
(1) A Grantee must submit this access plan to CIRM no fewer than 90 days prior to the time the Drug is commercialized in California, unless the agency agrees to shortened time. 
(2) The access plan must be consistent with industry standards at the time of commercialization, accounting for the size of the market for the Drug and the resources of the Grantee or its exclusive licensee. 
(3) The plan shall be subject to the approval of CIRM after a public hearing conducted by CIRM that provides for receipt of public comment.
(4) The Grantee or its exclusive licensee is responsible only for providing the Drug itself, not any costs of administering the Drug or other attendant care. 
(b) A Grantee (or its exclusive licensee) must provide a Drug, the development of which was in whole or in part the result of CIRM-funded Research, at a price as provided in the California Discount Prescription Drug Program (commencing with California Health and Safety Code section 130500) (or a successor statewide prescription drug discount program) to eligible Californians under this program. 
(c) A Grantee or its exclusive licensee must sell a Drug, the development of which is in whole or in part the result of CIRM-funded Research, and which is purchased in California with Public Funds (as defined in Title 17, California Code of Regulations, section 100401, subdivision (q)) at any benchmark price described in the California Discount Prescription Drug Program or a successor statewide prescription drug discount program. 
(d) This regulation is not intended, and this regulation shall not be construed, to preempt or prevent any other requirement under state or federal law or regulation, or agreement or contract, that would result in selling a Drug at a lower price than provided hereunder. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
2. Amendment of subsections (a)(1)-(3) filed 10-30-2008; operative 11-29-2008 (Register 2008, No. 44).
§100408. Revenue Sharing.
Note     •     History

(a) A Grantee must share with the State of California a fraction of any Net Licensing Revenue it receives under a License Agreement for a CIRM-funded Patented Invention as follows: 
(1) Subject to subdivision (a)(2) of this regulation, a Grantee must pay 25 percent of Net Licensing Revenue in excess of $500,000 to the State of California for deposit into the State's General Fund. The threshold amount of $500,000 (in the aggregate) shall be adjusted annually by a multiple of a fraction, the denominator of which is the Consumer Price Index, All Urban Consumers, All Items (San Francisco-Oakland-San Jose; 1982-84=100) as prepared by the Bureau of Labor Statistics of the United States Department of Labor and published for the month of December 2007, and the numerator of which is such Index published for the month in which the Grantee accepts the Grant. 
(2) If funding sources other than CIRM (including those of the Grantee) contributed to the development of a CIRM-funded Patented Invention, then the return to the State of California on Net Licensing Revenue in excess of the threshold amount described in subdivision (a)(1) of this regulation shall be proportionate to the support provided by CIRM, as follows: The amount of CIRM funding of the patented invention shall be divided by the total of funding provided by all sources, and that fraction shall be multiplied by 25. That numeral is the percentage due to the State of California of Net Licensing Revenue. 
(b) A Grantee must share with the State of California a fraction of any Net Commercial Revenue it receives from a self-commercialized product resulting from its CIRM-funded Research (regardless of whether a CIRM-funded Patented Invention is involved) as follows: 
(1) A Grantee must pay royalties to the State of California for deposit into the State's General Fund on Net Commercial Revenue exceeding the threshold amount described in subdivision (a)(1) of this regulation. Total payments under this subdivision (b)(1) shall not exceed three times the total amount of the CIRM Grant or Grants. The precise rate of payback in the form of a royalty shall be negotiated between the Grantee and CIRM, but in no event shall be less than two (2) percent nor more than five (5) percent of the annual Net Commercial Revenue from the invention, unless the product achieves blockbuster status, as provided in subdivisions (b)(2) and (b)(3) below. 
(2) If Net Commercial Revenue from a self-commercialized product resulting from its CIRM-funded Research exceeds the milestone of $250 million per year, and then if Net Commercial Revenue exceeds the milestone of $500 million per year from a self-commercialized product resulting from its CIRM-funded Research, then upon the first occurrence of each of these milestones the Grantee will pay to the State of California a one-time blockbuster payment of three times the total amount of the Grant. 
(3) In addition to any amounts due under any other provision of this regulation, where a CIRM-funded Patented Invention(s) is involved in the achievement of Net Commercial Revenue realized by Grantee equivalent to or greater than $500 million in any year, and where CIRM Grants amounting to more than $5 million (in the aggregate) were made in support of CIRM-funded Research that contributed to the creation of Net Commercial Revenue, the Grantee will pay the State of California one percent of Net Commercial Revenue in excess of $500 million for the life of the patent. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
2. Amendment of subsection (b)(2) filed 10-30-2008; operative 11-29-2008 (Register 2008, No. 44).
§100409. Press Release Requirements.
Note     •     History

A Grantee must notify CIRM's communications officer at least one day in advance of issuing any press release that refers to CIRM-funded Research. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100410. March-In Rights.
Note     •     History

(a) CIRM may request that a Grantee or its exclusive licensee to enter into a nonexclusive, partially exclusive, or exclusive License Agreement with respect to a CIRM-funded Patented Invention and/or data generated in CIRM-funded Research, in any field of use with a responsible applicant or applicants, upon terms that are reasonable under the circumstances. 
(b) If a Grantee or its exclusive licensee refuses CIRM's request to enter into a License Agreement to a CIRM-funded Patented Invention as provided by this regulation, CIRM shall have the right to enter into such a license with an applicant on behalf of the Grantee or its exclusive licensee (march in) if:
(1) the Grantee or its exclusive licensee has not made commercially reasonable efforts to achieve practical application of a CIRM-funded Patented Invention and/or CIRM-funded Research data, as applicable;
(2) the Grantee or its exclusive licensee has failed to provide or comply with a plan for access to a Drug in accordance with Title 17, California Code of Regulations, section 100407; 
(3) the Grantee or its exclusive licensee has failed to satisfy requirements for public use, including broad availability in California (for reasons other than price) in accordance with Title 17, California Code of Regulations, section 100407;
(4) the Grantee or its exclusive licensee has unreasonably failed to use a CIRM-funded Patented Invention or CIRM-funded Research data to alleviate public health and safety needs that constitute a public health emergency as declared by the Governor. 
(c) CIRM will promptly notify a Grantee or its exclusive licensee of any adverse determination under this provision and the basis therefore, as well as its intention to exercise march-in rights. 
(d) CIRM will not exercise its march-in rights if the Grantee or its excusive licensee promptly takes action to cure the deficiency and such deficiency is cured sooner than one year from the date of notice (or longer period by mutual agreement). With respect to a deficiency described in subdivision (b)(4) of this regulation, however, CIRM may exercise such right at any time in the event of a public health or safety emergency declared by the Governor and where CIRM finds that exercise of march-in rights is likely to alleviate the circumstances or conditions that give rise to the emergency declaration. 
(e) At any time within one year of the date CIRM issues a notice of determination and intent to exercise march-in rights, a Grantee may appeal CIRM's decision to the ICOC by notifying the President of CIRM in writing within 30 days of the next regularly scheduled meeting of the ICOC of its intent to appeal CIRM's decision. The ICOC may reverse the decision of the CIRM to exercise march-in rights under this regulation for any reason. 
(f) Any applicant to receive a license pursuant to this regulation will be bound by this Chapter as if it were an original Grantee recipient of the funding that resulted in the applicable CIRM-funded Patented Invention. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 3-4-2008; operative 4-3-2008 (Register 2008, No. 10).
§100500. Grants Administration Policy for Academic and Non-Profit Institutions.
Note     •     History

(a) All recipients of a grant, loan or guarantee from the California Institute for Regenerative Medicine (“CIRM”) who are academic or non-profit institutions agree to be bound by the terms and conditions of the CIRM Grants Administration Policy for Academic and Non-Profit Institutions (Rev. April 28, 2009) and incorporated herein by reference as identified below.
(b) The CIRM Grants Administration Policy for Academic and Non-Profit Institutions is incorporated by reference herein in its entirety as to Sections “II” through and including “VI” and Appendix. As to Section “I,” only parts “I.B.,” (“Abbreviations”), “I.C.,” (“Glossary”), and “I.E.2.” (“Roles and Responsibilities, Grantee Organization Staff”) are incorporated by reference.
(c) Amendments to this regulation and the policy incorporated herein will be applied to already active grants on the start date of the next budget period after the effective date of this regulation's amendment.
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.60 and 125292.10, Health and Safety Code.
HISTORY

1. New section filed 2-28-2007; operative 3-30-2007 (Register 2007, No. 9).
2. Amendment of subsections (a) and (b) and amendment of the CIRM Grants Administration Policy for Academic and Non-Profit Institutions (incorporated by reference) filed 9-18-2009; operative 10-18-2009 (Register 2009, No. 38).
§100501. Grants Administration Policy for For-Profit Organizations.
Note     •     History

(a) In addition to the provisions of Title 17, California Code of Regulations section 100500, all for-profit recipients of a grant from the California Institute for Regenerative Medicine (“CIRM”) agree to be bound by the terms and conditions of the CIRM Grant Administration Policy for For-Profit Organizations, as adopted by the Independent Citizens Oversight Committee and incorporated herein by reference as identified below. 
(b) The CIRM Grant Administration Policy for For-Profit Organizations, dated November 3, 2008, is incorporated by reference herein in its entirety except for its “Preface.”
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active grants on the anniversary date of the Notice of Grant Award following the effective date of the regulation's amendment unless specified otherwise in the regulation or policy amendment. 
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California. 
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.60, 125290.70 and 125292.10, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2008; operative 1-25-2009 (Register 2008, No. 52).
§100502. Definition of “California Supplier.”
Note     •     History

(a) As used in section 125290.30(i) and in CIRM policies and regulations, “California supplier” means: 
(1) any sole proprietorship, partnership, joint venture, corporation, or other business entity whose permanent, principal office or place of business from which the supplier's trade is directed or managed is located in California and which produces, builds, researches, develops or manufactures a product or service in California that is used for life science research, training, or facilities; or
(2) any sole proprietorship, partnership, joint venture, corporation, or other business entity that: 
(A) employs at least one-third of its total employees in California; or
(B) includes a business unit, division or subsidiary whose permanent principal office or place of business from which the unit, division or subsidiary's trade is directed or managed is located in California, for the specific product or products that are sold by the unit, division or subsidiary to CIRM grantees; or
(C) sells, produces, builds, or manufactures a product or products in California for the specific product or products that are sold to CIRM grantees, so long as the supplier certifies that at least 50% of the cost of the product is attributable to activity undertaken in California; or
(3) any sole proprietorship, partnership, joint venture, corporation, affiliate or other business entity, including those owned by, or under common control with, a corporation, that either individually or as an aggregated group under common control:
(A) employs at least 800 California residents engaged in functions relating to or supporting products or services used for life science research, training, or facilities regardless of where its principal office or place of business is located; or
(B) employs 5,000 or more California residents. 
(b) Any entity that qualifies as a California Supplier under subdivisions (a)(2)(B) or (a)(2)(C), but not any other section, shall be qualified as a California Supplier only for purposes of the supply of the products or services referred to in sections (a)(2)(B) or (a)(2)(C). An entity that qualifies as a California Supplier under subdivisions (a)(1), (a)(2)(A) or (a)(3) shall be considered a California Supplier for all the products and services produced or supplied by that entity. A California Supplier shall identify to CIRM those products or services that qualify under this regulation, which shall be certified by the supplier by any one of the supplier's Chief Executive Officer, General Counsel, Partner or other officer. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i) and 125290.40, Health and Safety Code. 
HISTORY

1. New section filed 11-10-2009; operative 12-10-2009 (Register 2009, No. 46).
Chapter 6. Intellectual Property and Revenue Sharing Requirements for Non-Profit and For-Profit Grantees
§100600. Intellectual Property and Revenue Sharing Requirements for Non-Profit and For-Profit Grantees -- Scope.
Note     •     History

The regulations of this chapter apply to all California Institute for Regenerative Medicine (“CIRM”) Grants awarded to Non-Profit and For-Profit Grantees on or after the effective date of these regulations. By accepting a CIRM Grant, the Grantee agrees to comply with these regulations. Any new or amended regulations of this Chapter subsequently adopted by the Independent Citizens Oversight Committee (“ICOC”) will apply to CIRM-Funded Project(s) or Activities on the start date of the next Budget Period after the effective date of the regulations, except amendments to Title 17, California Code of Regulations, sections 100606, 100607 and 100608, shall only apply to Grants awarded after adoption of the new or amended regulations. All revisions to CIRM regulations will be posted on the CIRM website at www.cirm.ca.gov, which shall serve as notice to the Grantee or Authorized Organization Official of such revisions. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New chapter 6 (sections 100600-100611) and section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100601. Intellectual Property Regulations -- Definitions.
Note     •     History

The following definitions apply to the regulations in this chapter:
(a) Authorized Organizational Official. The individual, named by the applicant organization, who is authorized to act for the applicant organization and to assume the obligations imposed by the laws, regulations, requirements, and conditions that apply to applications and awards.
(b) Budget Period. The intervals of time (usually 12 months) into which a Project Period is divided for budgetary funding and reporting purposes as specified in the relevant NGA.
(c) CIRM-Funded Invention. An Invention, whether patentable or not, which arises from CIRM-Funded Research and is either: 
(1) reduced to practice by a Grantee, Grantee Personnel and/or its Collaborator(s) during a CIRM-Funded Project or Activity; or
(2) conceived during a CIRM-Funded Project or Activity and reduced to practice by a Grantee, Grantee Personnel and/or its Collaborator(s) during a CIRM-Funded Project or Activity or within 12 months of the close of the Grant. 
(d) CIRM-Funded Project or Activity. Those activities specified or described in an Application that are approved by the ICOC for funding and for which CIRM has issued an NGA, regardless of whether CIRM funding constitutes all or only a portion of the financial support necessary to carry them out.
(e) CIRM-Funded Research. All aspects of work conducted on a CIRM-Funded Project or Activity that is paid for, in whole or in part, with CIRM funds. 
(f) CIRM-Funded Technology. Data, materials, research results or know-how whether patentable or not, that is (1) generated or conceived in the Project Period of a Grant, and is paid for in whole or in part with CIRM-funds. 
(g) Collaborator. Any person or entity other than a Grantee and Grantee Personnel who (1) receives directly or indirectly CIRM funding for work performed under a Grant, and (2) who obtains any ownership rights to a CIRM-Funded Invention or CIRM-Funded Technology during the Project Period. 
(h) Data. Scientific, clinical or technical recorded information derived during the Project Period of a Grant, regardless of form or the media on which it may be recorded, but not any of the following: financial, administrative, management data, other information incidental to contract administration, preliminary analyses, drafts of scientific papers, plans for future research, peer reviews, or communications with colleagues. “Data” excludes physical objects (e.g., laboratory samples).
(i) Drug. (1) An article recognized in the official United States Pharmacopoeia, Homoeopathic Pharmacopoeia of the United States, or National Formulary, or any supplement to any of them; (2) an article intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in humans or animals; or, (3) an article intended for use as a component of any article specified in subdivision (1) or (2). This term includes therapeutic products such as blood, blood products and cells, but excludes medical procedures and services relating thereto.
(j) Exclusive License. A License Agreement that conveys to the licensee the sole right to make, use, sell, offer for sale and/or import in one or more fields of use or territories, as to a CIRM-Funded Invention or CIRM-Funded Technology, that is not available to be licensed to other entities or persons.
(k) Exclusive Licensee. Any individual or entity receiving by license all rights to make, use, sell, offer for sale and/or import in one or more fields of use or territories a CIRM-Funded Technology or a CIRM-Funded Invention.
(l) For-Profit Organization. A sole-proprietorship, partnership, limited liability company, corporation, or other legal entity that is organized or operated for the profit or financial benefit of its shareholders or other owners. 
(m) Grant. A funding mechanism, other than a loan, providing money and/or property to an eligible entity to assist the recipient in carrying out all or any portion of a CIRM-Funded Project or Activity.
(n) Grantee. The Non-Profit Organization or For-Profit Organization awarded a Grant by CIRM that is legally responsible and accountable for the use of the CIRM funds provided for the performance of the grant-supported project or activity. The Grantee is the entire legal entity, including Affiliates, even if only a particular division is designated in the Notice of Grant Award (“NGA”). An entity is an Affiliate of a Grantee if both entities share substantial common direction or control (either directly or indirectly), or if either entity owns (directly or through one or more entities) at least a 25% capital or profits interest in the other. All University of California Grantee campuses shall be considered as separate and individual Grantees.
(o) Grantee Personnel. Grantee's Principal Investigator(s) and Grantee's employees, students and contractors working under the direct or indirect supervision of the Principal Investigator or a Co-Principal Investigator under the Grant. 
(p) Invention. A discovery that is conceived and/or reduced to practice, whether patentable or not. 
(q) Inventor. A person who is an inventor under the patent law of the relevant governing jurisdiction.
(r) License Agreement. An agreement by which an owner of a CIRM-Funded Invention or CIRM-Funded Technology conveys the right to make, use, develop, sell, offer to sell, and/or import a CIRM-Funded Invention or CIRM-Funded Technology in exchange for consideration. 
(s) Licensing Activities. Efforts of an owner or Collaborator of a CIRM-Funded Invention or CIRM-Funded Technology to negotiate, execute or enforce a License Agreement. 
(t) Licensing Revenue. The consideration rendered to an owner or Collaborator of a CIRM-Funded Invention or CIRM-Funded Technology pursuant to a License Agreement, but excludes subsequent research funding. In the case of Non-Profit Grantees only, Licensing Revenue is calculated by subtracting amounts due to the Inventor pursuant to existing institutional policies from total consideration rendered. For all owners of a CIRM-Funded Invention or CIRM-Funded Technology, Licensing Revenue is calculated by subtracting a proportion of expenses reasonably incurred in prosecuting, defending and enforcing related patent rights equal to CIRM's percentage of support for development of such Invention and Technology from total consideration rendered except to the extent that such expenses are recoverable from a third party as provided in Section 100605(c) or otherwise.
(u) Material Transfer Agreement (“MTA”). An agreement that governs the transfer of tangible research material between a Grantee and/or its Collaborator and an individual or entity (“Recipient”) and defines the rights of the Grantee and the rights and limitations of the Recipient with respect to the materials and any derivatives therefrom. 
(v) Net Commercial Revenue. Income from the sale or transfer, but not licensing or assignment, of a Drug or product(s) resulting in whole or in part from CIRM-Funded Research. Net Commercial Revenue excludes the following (as they pertain to the making, using or selling of products resulting from CIRM-Funded Research):
(1) import, export, excise and sales taxes, and customs duties;
(2) costs of insurance, packing, and transportation from the place of manufacture to the customer's premises; 
(3) credit for returns, allowances or trades; and
(4) pre-commercial revenues received in connection with research and development and/or clinical activities.
(w) Non-Exclusive License. A License Agreement under which the rights transferred or conveyed in a CIRM-Funded Technology or a CIRM-Funded Invention to the licensee remain available to be licensed to one or more entities.
(x) Non-Exclusive Licensee. Any individual or entity that obtains the right to make, use, sell, offer for sale and/or import in a specific field of use or territory, CIRM-Funded Technology or a CIRM-Funded Invention, through a Non-Exclusive License. 
(y) Non-Profit Organization. A university or other institution of higher education or another organization of the type described in 501(c)(3) of the Internal Revenue Code of 1986, as amended (26 U.S.C. 501 (c)(3)) and is exempt from taxation under 501 (a) of the Internal Revenue Code (26 U.S.C. 501 (a)) and California Revenue and Taxation Code section 23701d. 
(z) Notice of Grant Award (“NGA”). The document that notifies the Grantee and others that an award has been made, contains or references all terms and conditions of the award as well as the Grantee's and Principal Investigator's agreement to those terms and conditions, and documents the commitment of CIRM funds.
(aa) Principal Investigator. The Principal Investigator (“PI”) is an individual designated by the Grantee to direct CIRM-Funded Research. He or she is responsible and accountable to the Grantee and CIRM for the proper conduct of the project or activity. References herein to “Principal Investigator” include Co-Principal Investigators as well. 
(bb) Project Period. The amount of time over which CIRM funds a a specific Grant.
(cc) Public Funds. Funds belonging to the State of California or of any county, city, city and county, or other municipal corporation or subdivision thereof, or any public agency therein.
(dd) Publication-Related Biomedical Materials. Tangible research material of biomedical relevance first produced in the course of CIRM-Funded Research including but not limited to unique research resources (such as synthetic compounds, organisms, cell lines, viruses, cell products, cloned DNA, as well as DNA sequences, mapping information, crystallographic coordinates, and spectroscopic data), as described in a published scientific paper as provided by Title 17, California Code of Regulations, section 100603. Specific examples include specialized and/or genetically defined cells, including normal and diseased human cells, monoclonal antibodies, hybridoma cell lines, microbial cells and products, viruses and viral products, recombinant nucleic acid molecules, DNA probes, nucleic acid and protein sequences, certain types of animals including transgenic mice and other property such as computer programs. This term does not include tangible research material of biomedical relevance that is made commercially available by a Grantee, Grantee Personnel, Licensee or a Collaborator, as determined by CIRM pursuant to Title 17, California Code of Regulations section 100604, subdivision (e). 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100602. Invention and Licensing Reporting Requirements.
Note     •     History

(a) Prior to an NGA and continuing 12 months after the close of a Grant, a Grantee must have written agreements with Grantee Personnel and Collaborators requiring prompt disclosure to the Grantee of any CIRM-Funded Invention.
(b) Within 60 calendar days after a CIRM-Funded Invention has been disclosed to a Grantee, the Grantee must notify CIRM of the CIRM-Funded Invention through the use of the CIRM Invention Disclosure Form, which will be received in confidence by CIRM. The Invention Disclosure Form shall identify the Grant under which the CIRM-Funded Invention was made, the Inventor(s) and the Principle Investigator. The Disclosure shall be sufficiently complete in technical detail to convey a clear understanding, to the extent known at the time of the disclosure, of the nature, purpose, operation, and physical, chemical, biological or electrical characteristics of the CIRM-Funded Invention. If the CIRM-Funded Invention has been submitted for publication or presentation, then the Disclosure shall identify the publication, the date of the abstract or manuscript or presentation, the submission date and if relevant any publication dates, including publication via the internet. 
(c) A Grantee must submit annually to CIRM during, and for 15 years after, the Project Period of the Grant, an Invention Utilization Report containing the following information:
(1) Grantees must report all patent applications filed which claim, or cite to publications concerning, CIRM-Funded Inventions, including the countries in which application(s) were filed, application serial number(s), status and detailed description(s) of the CIRM-Funded Invention(s); and
(2) Grantees must report the issuance or abandonment of any patent applied for that claims, or cites to publications concerning, CIRM-Funded Invention, including the patent number and date of issuance or abandonment and the countries in which the applications have issued or have been abandoned; and
(3) Grantees must report the total funding from all sources that directly contributed to a CIRM-Funded Invention disclosed or claimed in the patent application, including each co-funder's identity, the dollar amounts each contributed and the dates of contribution. CIRM may audit all such co-funding reports; and 
(4) A Grantee must report to CIRM the execution of all Exclusive License Agreements, Non-Exclusive License Agreements, Material Transfer Agreements or Collaborative Agreements conveying rights in CIRM-Funded Inventions or CIRM-Funded Technology; and
(5) In the event that a CIRM- Funded Invention or CIRM-Funded Technology generates revenue or other consideration (whether from a License Agreement or otherwise), a Grantee must report such revenue or consideration received during the preceding 12 month period or since the last report, whichever is longer. 
(6) A Grantee must report the following key progress toward commercialization of a CIRM-Funded Invention or CIRM-Funded Technology including the following:
(A) Initiation of clinical testing; 
(B) Initiation of pivotal studies; and
(C) Application for marketing approval.
(7) Grantee shall have written agreements with its Grantee Personnel, Collaborators, licensees and transferees requiring such third parties to report to the Grantee information described in this subdivision (c).
(d) The Invention Utilization Report shall be marked “Confidential” in accordance with Health and Safety Code section 125290.30, subdivision (e)(2)(B). 
(e) CIRM reserves the right to itself and its agents to conduct an audit of the Grantee and Collaborators to ensure compliance with this Chapter. Grantee and Collaborators must maintain and provide such documentation as is necessary to establish compliance. Further, Grantee must ensure that its Collaborators, Grantee Personnel and all Exclusive and Non-Exclusive Licensees maintain such documentation as is necessary to establish compliance. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100603. Publication Requirements.
Note     •     History

(a) Within 60 calendar days of the publication in a scientific journal, or the publication of an abstract in connection with a scientific meeting, of a CIRM-Funded Invention or CIRM-Funded Technology, the Grantee must submit to CIRM a Publication Disclosure Form containing a 500-word abstract written for the general public that highlights the findings of the publication, as well as a brief statement of the Principal Investigator's biographical credentials. The abstract and biographical statement will be publicly-available by CIRM. 
(b) One copy of each publication or abstract must accompany the Publication Disclosure Form. The form will identify the Grant Number, Grantee Institution, Principal Investigator and provide space for information identified in subdivision (a) of this regulation.
(c) A Grantee must ensure that the final abstract or manuscript includes the URL of a website where a Materials Transfer Agreement (or similar document) can be accessed to facilitate requests for Publication-related Biomedical Materials.
(d) Any written or oral publication reporting a CIRM-Funded Invention or CIRM-Funded Technology must acknowledge CIRM funding. An example of an acknowledgement is:
“This research was made possible by a grant from the California Institute for Regenerative Medicine (Grant Number _______). The contents of this publication are solely the responsibility of the authors and do not necessarily represent the official views of CIRM or any other agency of the State of California.” 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100604. Publication-Related Biomedical Materials Requirements.
Note     •     History

(a) A Grantee shall share Publication-related Biomedical Material, for bona fide purposes of research in California. Such materials are to be shared without cost to the requestor or at the actual cost of providing the materials without an allocation of costs for overhead, research, discovery or other non-direct costs of providing the materials.
(b) A Grantee must share such materials within 60 calendar days of receipt of a written request, without bias as to the affiliation of the requestor, unless otherwise prohibited by law. 
(c) CIRM may approve alternatives to this sharing requirement on a showing that: 
(1) the number of sharing requests has become financially onerous for the Grantee; 
(2) the material or its transfer could pose a public health risk; or
(3) the request is otherwise inappropriate, as determined by CIRM.
(d) In lieu of sharing as provided herein, a Grantee may provide requestors with the information necessary to reconstruct or obtain identical material.
(e) With prior approval from CIRM, a Grantee's obligations under this regulation may cease when the materials are made broadly commercially available. CIRM's review in response to a request for such approval shall include a determination of whether Grantee's terms for access are unreasonably onerous so as to create an unreasonable barrier to access to the materials.
(f) Prior to transferring any Publication-related Biomedical Material, a Grantee may require the requestor to execute an industry-standard or university-standard Material Transfer Agreement restricting the use and dissemination of such materials and its derivatives. 
(g) A Grantee has no obligation under these regulations to share third party materials described in publications, patents, patent applications or presentations of CIRM-Funded Research or CIRM-Funded Technology or CIRM-Funded Inventions such as raw materials purchased by the Grantee to develop or synthesize the Publication-related Biomedical Material or other materials covered by third party intellectual property rights, or if the Grantee is legally prohibited from doing so.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100605. Patents.
Note     •     History

(a) Nothing in these Regulations grants CIRM an ownership interest in CIRM-Funded Inventions, CIRM-Funded Research or CIRM-Funded Technology. 
(b) Grantees may retain or transfer all or a portion of any of Grantee's right, title or interest to any CIRM-Funded Invention or CIRM-Funded Technology or CIRM-Funded Research and to any patent or patent application relating thereto. 
(c) Grantees shall bear the costs associated with any patent application disclosing or claiming any one or more CIRM-Funded Inventions, any patent itself, and all costs of pursuing, maintaining and protecting such applications patents. However, these Regulations shall not restrict the rights of Grantees to recover these costs through license fees or other consideration.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100606. Licensing and Assignment of CIRM-Funded Inventions and Technology.
Note     •     History

(a) Subject to the provisions of Title 17, California Code of Regulations, section 100610, a Grantee shall make reasonable efforts to develop, commercialize or otherwise bring to practical application CIRM-Funded Technology or CIRM-Funded Inventions.
(b) If a Grantee elects not to develop, commercialize or otherwise bring to practical application a CIRM-Funded Invention or CIRM-Funded Technology itself, then it shall make reasonable efforts to negotiate Non-Exclusive Licenses for third party development of such CIRM-Funded Inventions or CIRM-Funded Technology, unless (1) doing so would put the Grantee at a competitive disadvantage with a competitor, or (2) the Grantee through reasonable means shares or otherwise makes publicly available the CIRM-Funded Inventions or Technology. 
(c) A Grantee may negotiate an Exclusive License for a CIRM-Funded Invention or CIRM-Funded Technology if exclusivity is reasonably believed by the Grantee to be an economic incentive necessary to achieve commercial development and availability of the invention. 
(1) A Grantee must document the development and commercialization capabilities of any intended exclusive licensee prior to entering into an Exclusive License.
(2) A Grantee must include in any Exclusive License terms addressing all reasonably anticipated therapeutic and diagnostic uses for the CIRM Funded Invention or CIRM-Funded Technology that the licensee is prepared to diligently develop and commercialize. Such terms shall include the following:
(A) a commercial development plan to bring the invention to practical application, including milestones and benchmarks, so that the Exclusive Licensee's progress of development can be assessed and monitored;
(B) explicit remedies for failure to develop, including modification or termination of an Exclusive License in the event that a licensee is unable to fully develop the rights granted; and
(C) explicit grounds for modification or termination, such as failure to use commercially reasonable efforts to meet agreed-upon milestones or benchmarks, failure to negotiate in good faith alternative milestones or benchmarks, and failure to abide by subdivision (f) of this regulation.
(d) A Grantee may negotiate an Exclusive License for a CIRM- Funded Invention or CIRM-Funded Technology that is required for commercialization of a Drug, as defined in Title 17, California Code of Regulations, section 100601, subdivision (i), only if the licensee agrees in writing to abide by the provisions of Title 17, California Code of Regulations, section 100607. 
(e) Subject to the provisions of Title 17, California Code of Regulations, section 100610, a Grantee bears responsibility for Licensing Activities including identification of potential licensees, negotiation of License Agreements, and documentation of the progress and execution of development under a License Agreement for all CIRM-Funded Inventions or CIRM-Funded Technology. A Grantee must submit an annual Invention Utilization Report describing, among other things, these licensing and/or assignment activities as described in Title 17, California Code of Regulations, section 100602.
(f) In licensing CIRM-Funded Inventions or CIRM-Funded Technology Exclusively or Non-Exclusively, Non-Profit Grantees shall retain the right to practice the use of its CIRM-Funded Inventions or CIRM-Funded Technology and to utilize the same for its non-commercial purposes. A Non-Profit Grantee agrees to make its CIRM-Funded Inventions or CIRM-Funded Technology readily accessible on reasonable terms, directly or through a licensee or licensees or other suitable means, to other Non-Profit Grantees for non-commercial purposes, upon request from a Non-Profit Grantee.
(g) A Grantee must monitor and annually report to CIRM in its Invention Utilization Report the performance of an Exclusive Licensee to ensure that said Licensee performs according to the milestones and benchmarks as described in section 100602, subdivision (c). 
(h) A Grantee must take reasonable action to enforce the terms of an Exclusive License and must promptly report any material breach affecting any of the obligations under these regulations of an Exclusive License in writing to CIRM. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100607. Access Requirements for Products Developed by Grantees.
Note     •     History

(a) A Grantee, a Collaborator or an Exclusive Licensee that is commercializing a Drug, as defined in Title 17, California Code of Regulations, section 100601, subdivision (i), that resulted in whole or in part from CIRM-Funded Research must submit a plan to afford uninsured Californians access to such a Drug.
(b) A Grantee, a Collaborator or an Exclusive Licensee that commercializes a Drug must submit the access plan described in subdivision (a) of this regulation to CIRM no fewer than 90 calendar days prior to the time the Drug is commercialized in California, unless CIRM agrees to shortened time. 
(c) The access plan must be consistent with industry standards at the time of commercialization accounting for the size of the market for the Drug and the resources of the Grantee, the Collaborator or its Exclusive Licensee. Grantees, Collaborators and/or their Exclusive Licensees shall have the burden of establishing that the proposed access plan satisfies the requirements of this Section.
(d) The access plan shall be subject to the approval of CIRM after a public hearing conducted by CIRM that provides for receipt of public comment. CIRM may adopt appropriate procedures to protect proprietary information submitted by Grantees, Collaborators and Exclusive Licensees in connection with said public hearing. Approval shall not be unreasonably withheld. Overall, CIRM shall not require that proposed Access plans exceed industry standards for such plans at the time of commercialization in California.
(e) Access plans approved hereunder shall make Grantees, Collaborators and Exclusive Licensees that commercialize a Drug responsible only for providing the Drug itself. Nothing herein shall require the Grantee, Collaborator or Exclusive Licensee to be responsible for any costs of administering the Drug nor for any associate costs of medical procedures or protocols for the Drug therapy, nor for any costs for attendant care. 
(f) A Grantee, Collaborator, or an Exclusive Licensee that is commercializing the Drug must provide a Drug, that resulted in whole or in part from CIRM-Funded Research, at a price as provided in the California Discount Prescription Drug Program (commencing with California Health and Safety Code section 130500) (or a successor statewide prescription drug discount program) to eligible Californians under said program.
(g) A Grantee, Collaborator or its Exclusive Licensee that is commercializing the Drug must sell a Drug, that resulted in whole or in part from CIRM-Funded Research, and which is purchased in California with Public Funds (as defined in Title 17, California Code of Regulations, section 100601, subdivision (q)) at any benchmark price described in the California Discount Prescription Drug Program or a successor statewide prescription drug discount program. 
(h) This regulation is not intended, and this regulation shall not be construed, to preempt or prevent any other requirement under state or federal law or regulation, or agreement or contract, that would result in selling a Drug at a lower price than provided hereunder.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100608. Revenue Sharing.
Note     •     History

(a) A Grantee and Collaborator must share with the State of California a fraction of Licensing Revenue received under a License Agreement for a CIRM-Funded Invention, CIRM-Funded Technology, or results of CIRM-Funded Research, as follows:
(1) Subject to subdivision (a)(2) of this regulation and to adjustments made in accordance with the provisions hereof, the amount owed is 25 percent of Licensing Revenue received in excess of $500,000 to the State of California for deposit into the State's General Fund (such payments to be used by the State of California in a manner consistent with Title 35 United States Code, Section 202, subdivision (c)(7)). The threshold amount of $500,000 (in the aggregate) shall be adjusted annually by a multiple of a fraction, the denominator of which is the Consumer Price Index, All Urban Consumers, All Items (San Francisco-Oakland-San Jose; 1982-84=100) as prepared by the Bureau of Labor Statistics of the United States Department of Labor and published for the month of October 2009, and the numerator of which is such Index published for the month in which the Grantee accepts the Grant.
(2) If any funding sources other than CIRM (including those of the Grantee or Collaborator, as the case may be) directly contributed to the development of said CIRM-Funded Invention or CIRM-Funded Technology, then the return to the State of California on Licensing Revenue in excess of the threshold amount described in subdivision (a)(1) of this regulation shall be proportionate to the support provided by CIRM, as follows: The amount of CIRM funding of the CIRM-Funded Invention or CIRM-Funded Technology shall be divided by the total of funding provided by all sources, and that fraction shall be multiplied by 25. That numeral is the percentage due to the State of California of Licensing Revenue.
(b) A Grantee and Collaborator must share with the State of California a fraction of any Net Commercial Revenue it receives from a self-commercialized product it commercializes itself and which resulted from its CIRM-Funded Research (regardless of whether a CIRM- Funded Invention or CIRM-Funded Technology is involved) as follows:
(1) Grantees and Collaborators must pay royalties to the State of California for deposit into the State's General Fund on Net Commercial Revenue exceeding the threshold amount described in subdivision (a)(1) of this regulation. Total payments under this subdivision (b)(1) shall equal and not exceed three times the total amount of the CIRM Grant or Grants that led to the product. The rate of payback of the royalty shall be at a rate of three (3) percent of the annual Net Commercial Revenue from the product. 
(2) In addition, if Net Commercial Revenue from a product commercialized by the Grantee, or Collaborators and which resulted from its CIRM-Funded Research exceeds the milestone of $250 million in any calendar year, a one-time payment of three times the total amount of the Grant(s) awarded shall be paid to the State of California. In addition, if Net Commercial Revenue exceeds the milestone of $500 million in any calendar year, an additional one-time payment of three times the total amount of the Grant(s) awarded shall be paid to the State of California. 
(3) In addition to any amounts due under any other provision of this regulation, where a CIRM-Funded Invention(s) or CIRM-Funded Technology is involved in the achievement of Net Commercial Revenue realized by a Grantee or Collaborator equivalent to or greater than $500 million in any year, and where a CIRM Grant or Grants amounting to more than $5 million (in the aggregate) were made in support of CIRM-Funded Research that contributed to the creation of Net Commercial Revenue, the Grantee or Collaborator will pay the State of California one percent annually of Net Commercial Revenue in excess of $500 million for the life of any patent covering a CIRM-Funded Invention or CIRM-Funded Technology, or 20 years after the close of the Grant if the CIRM-Funded Invention or CIRM-Funded Technology is not patented. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100609. Press Release Requirements.
Note     •     History

Grantees and Collaborators must notify CIRM's communications officer at least one calendar day before issuing any press release that refers to CIRM-Funded Research. 
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100610. March-In Rights.
Note     •     History

(a) CIRM may request that a Grantee, Collaborator or an Exclusive Licensee enter into a nonexclusive, partially exclusive, or Exclusive License Agreement with respect to a CIRM-Funded Invention or CIRM-Funded Technology, in any field of use or territory with a responsible applicant or applicants, upon terms that are reasonable under the circumstances. 
(b) If a Grantee, Collaborator or an Exclusive Licensee refuses CIRM's request to enter into a License Agreement to a CIRM-Funded Invention or CIRM-Funded Technology as provided by this regulation, CIRM shall have the right to enter into such a license with an applicant on behalf of the Grantee or its Exclusive Licensee (march-in) if:
(1) the Grantee, Collaborator or an Exclusive Licensee has not made reasonable efforts to achieve practical application of a CIRM- Funded Invention and/or CIRM- Funded Technology, as applicable;
(2) the Grantee, Collaborator or an Exclusive Licensee have failed to provide or comply with a plan for access to a Drug in accordance with Title 17, California Code of Regulations, section 100607;
(3) the Grantee, Collaborator or Exclusive Licensee has unreasonably failed to use a CIRM- Funded Invention or CIRM- Funded Technology to alleviate public health and safety needs that constitute a public health emergency as declared by the Governor.
(c) One consideration in taking the action described in subdivision (b) of this regulation will be whether doing so will impinge on the Grantee's, Collaborator's or Exclusive Licensee's academic freedoms.
(d) CIRM will promptly notify a Grantee, Collaborator or an Exclusive Licensee of any adverse determination under this provision and the basis therefore, as well as its intention to exercise march-in rights (“March-In Notice”). 
(e) CIRM will not exercise its march-in rights if the Grantee, Collaborator or an Exclusive Licensee promptly takes action to cure the deficiency and such deficiency is cured sooner than one year from the date of the March-In Notice (or longer period by mutual agreement). With respect to a deficiency described in subdivision (b)(3) of this regulation, however, CIRM may exercise such right at any time in the event of a public health or safety emergency declared by the Governor and where CIRM finds that exercise of march-in rights is likely to alleviate the circumstances or conditions that give rise to the emergency declaration. 
(f) Within thirty (30) days of the date CIRM issues a March-In Notice, the subject Grantee may appeal CIRM's decision to the ICOC by notifying the President of CIRM in writing of its intent to appeal CIRM's decision. Within sixty (60) days of the March -In Notice date, the subject Grantee must submit a written statement of the reasons for the appeal and any supporting materials it wishes to have considered by the ICOC. Absent extraordinary circumstances, the ICOC shall render a final determination on the appeal within one hundred twenty (120) days of the March-In Notice. In cases where an appeal is filed, CIRM shall not effect a march-in unless and until the ICOC renders a final determination on the appeal. The ICOC may reverse the decision of the CIRM to exercise march-in rights under this regulation for any reason. 
(g) Unless provided otherwise by CIRM, any applicant to receive a License or Assignment pursuant to this regulation will be bound by this Chapter as if it were an original Grantee recipient of the funding that resulted in the applicable CIRM-Funded Invention or CIRM-Funded Technology.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51). For prior history, see Register 2007, No. 26.
§100611. Assurance of Third-Party Compliance.
Note     •     History

Any party that becomes a successor in interest by merger, purchase, assignment or any other means, of a Grantee, Collaborator or Exclusive Licensee with regard to a CIRM-Funded Invention, CIRM-Funded Technology or CIRM-Funded Research, assumes all obligations of the Grantee, Collaborator or Exclusive Licensee, as applicable, described in this Chapter.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code. 
HISTORY

1. New section filed 12-17-2009; operative 12-17-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 51).
§100700. Grants Administration Policy for Facilities and Equipment Grants.
Note     •     History

(a) In addition to the provisions of Title 17, California Code of Regulations section 100500, all recipients of a facilities grant (a grant pursuant to Health and Safety Code section 125290.70, subdivision (a)(4)) from the California Institute for Regenerative Medicine (“CIRM”) agree to be bound by the terms and conditions of the CIRM Grant Administration Policy for Facilities and Equipment Grants, as adopted by the Independent Citizens Oversight Committee on December 12, 2007, and incorporated herein by reference as identified below.
(b) The CIRM Grant Administration Policy for Facilities and Equipment Grants is incorporated by reference herein in its entirety except for its “Preface.”
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active grants on the anniversary date of the Notice of Grant Award following the effective date of the regulation's amendment, unless specified otherwise in the regulation or the incorporated policy amendment.
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.65, 125290.70 and 125292.10, Health and Safety Code.
HISTORY

1. New section filed 3-17-2008; operative 4-16-2008 (Register 2008, No. 12).
§100701. Grants Administration Policy for Academic and Non-Profit Institutions -- Major Facilities Grants.
Note     •     History

	(a) In addition to the provisions of Title 2, California Code of Regulations section 100500, all recipients of a Major Facilities Grant (RFA 07-03) (a grant pursuant to Health and Safety Code section 125290.70, subdivision (a)(4)) from the California Institute for Regenerative  Medicine (“CIRM”) agree to be bound by the terms and conditions of the “CIRM Grant Administration Policy for Major Facilities (RFA 07-03),” as adopted by the Independent Citizens Oversight Committee and incorporated herein by reference as identified below. The terms of Title 17, California Code of Regulations section 100700 shall not apply to a Major Facilities Grant. 
(b) The “CIRM Grant Administration Policy for Major Grants (RFA 07-03)” is incorporated by reference herein in its entirety except for its “Preface.” 
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active grants on the anniversary date of the Notice of Grant Award following the effective date of the regulation's amendment, unless specified otherwise in the regulation or policy amendment. 
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the grant and, should CIRM no longer exist, those rights may be enforced by the State of California. 
NOTE

Authority cited: California Constitution, article XXXV; Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.30(i), 125290.40, 125290.65, 125290.70 and 125292.10, Health and Safety Code. 
HISTORY

1. New section filed 2-3-2009; operative 3-5-2009 (Register 2009, No. 6).
Chapter 8. Loan Administration
§100800. Loan Administration Policy.
Note     •     History

(a) All recipients of a loan from the California Institute for Regenerative Medicine (“CIRM”) pursuant to Health and Safety Code section 125290.40 and Section 2 of Article XXXV of the California Constitution, agree to be bound by the terms and conditions of the “CIRM Loan Administration Policy,” as adopted by the Independent Citizens Oversight Committee and incorporated herein by reference as identified below.
(b) The “Interim CIRM Loan Administration Policy” is incorporated by reference herein in its entirety except for its “Preface” and the title “Interim.”
(c) Amendments to this regulation (and the policy incorporated) herein will be applied to already active loans on the anniversary date of the Notice of Loan Award following the effective date of the regulation's amendment, unless specified otherwise in the regulation or policy amendment.
(d) The CIRM's right to enforce the provisions of the policy incorporated herein shall survive the end of the term of the loan and, should CIRM no longer exist, those rights may be enforced by the State of California.
NOTE

Authority cited: California Constitution, article XXXV; and Section 125290.40(j), Health and Safety Code. Reference: Sections 125290.40, 125290.70 and 125292.10, Health and Safety Code.
HISTORY

1. New chapter 8 (section 100800) and section filed 1-10-2011; operative 1-10-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 2).
§100801. Intellectual Property Provisions Applicable to Loan Recipients.
Note     •     History

(a) The following sections of the Intellectual Property and Revenue Sharing Requirements for Non-Profit and For Profit Grantees shall apply to all recipients of a loan or loans granted pursuant to California Constitution Article XXXV Sec. 2(a) and Health and Safety Code Section 125291.20, subdivision (b) (“Loan Recipients”): Sections 100600, 100601, 100602 (except subdivisions (c)(3) and (c)(5), 100603, 100604, 100605, 100606, 100607, 100609, 100610 and 100611, of Title 17, California Code of Regulations.
(b) In the event that a Loan Recipient is unable or unwilling to repay its loan and the Loan Recipient or its CIRM Funded Invention or CIRM-Funded Technology is not the subject of a repayment-triggering change of control as defined in its loan documents or the CIRM Loan Administration Policy, then said Loan Recipient shall neither abandon nor otherwise compromise the value of the CIRM Funded Invention or Technology without first 1) notifying CIRM at least sixty (60) days in advance of any abandonment or compromise of the value or the inability or unwillingness to repay the loan; 2) making a good faith effort to identify third parties who are both i) interested in acquiring said Invention or Technology and ii) willing to undertake the applicable Loan obligations; and 3) co-operating with CIRM in transferring the Invention or Technology and all related obligations and interests to the identified third party on terms acceptable to CIRM.
NOTE

Authority cited: Article XXXV, California Constitution; and Section 125290.40(j), Health and Safety Code. Reference: Section 125290.30, Health and Safety Code.
HISTORY

1. New section filed 3-7-2011 operative 3-7-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 10).